SEC Rule 606 Report
- Mesirow Financial - 4th Qtr, 2009
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
37 |
15 |
48 |
| Knight Capital Markets |
40.28 |
33.72 |
42.45 |
44.66 |
| New York Stock Exch |
32.32 |
31.45 |
32.89 |
32.81 |
| Auto Trading Desk Fin Svc |
27.21 |
34.83 |
23.84 |
22.40 |
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 |
26 |
37 |
37 |
| Knight Equity Markets |
56.52 |
49.71 |
55.68 |
62.23 |
| Auto Trading Desk Fin Svc |
33.72 |
41.58 |
29.99 |
31.91 |
| UBS Securities LLC |
9.63 |
8.72 |
14.17 |
5.70 |
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 |
51 |
15 |
35 |
| Auto Trading Desk Fin Svc |
54.08 |
45.06 |
73.73 |
59.04 |
| Knight Capital Markets |
44.32 |
53.89 |
23.50 |
39.04 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
5 |
89 |
5 |
| Citigroup Global Markets |
100.00 |
100.00 |
100.00 |
100.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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