SEC Rule 606 Report
- Morgan Stanley Smith Barney - 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 |
34 |
6 |
60 |
| Citigroup Global Markets |
53.50 |
59.07 |
63.37 |
49.44 |
| Morgan Stanley & Co |
45.31 |
39.51 |
34.16 |
49.61 |
98.72% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
30 |
8 |
63 |
| Citigroup Global Markets |
56.64 |
63.59 |
66.14 |
52.19 |
| Morgan Stanley & Co |
42.65 |
35.84 |
33.39 |
47.01 |
98.50% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
37 |
4 |
59 |
| Citigroup Global Markets |
50.74 |
53.62 |
60.34 |
48.31 |
| Morgan Stanley & Co |
48.49 |
45.66 |
39.19 |
50.87 |
98.57% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
29 |
70 |
1 |
| Morgan Stanley & Co |
57.69 |
80.35 |
48.02 |
79.29 |
| Citigroup Global Markets |
40.35 |
16.54 |
50.49 |
19.60 |
97.69% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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