SEC Rule 606 Report
- Mesirow Financial - 4th Qtr, 2011
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange Euronext
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
24 |
14 |
63 |
| Knight Capital Americas |
57.81 |
51.08 |
51.86 |
61.66 |
| Citigroup Global Markets |
30.26 |
36.91 |
25.16 |
28.87 |
| New York Stock Exch |
5.52 |
7.61 |
6.80 |
4.45 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
16 |
44 |
40 |
| Knight Capital Americas |
66.98 |
48.56 |
82.50 |
57.09 |
| Citigroup Global Markets |
29.30 |
47.61 |
14.84 |
38.06 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
56 |
10 |
34 |
| Citigroup Global Markets |
58.22 |
58.72 |
78.68 |
51.35 |
| Knight Capital Americas |
41.22 |
41.19 |
20.81 |
47.30 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
4 |
89 |
7 |
| Citigroup Global Markets |
59.61 |
62.03 |
56.91 |
90.91 |
| Citadel Securities LLC |
40.39 |
37.97 |
43.09 |
9.09 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
© Copyright 2012 Thomson Reuters.
All Rights Reserved.