SEC Rule 606 Report
- Morgan Stanley Smith Barney - 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 |
7 |
56 |
| Citigroup Global Markets |
84.19 |
79.52 |
71.81 |
88.70 |
| Morgan Stanley & Co |
13.50 |
18.09 |
24.93 |
9.15 |
99.36% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
33 |
9 |
58 |
| Citigroup Global Markets |
82.00 |
77.44 |
66.80 |
87.06 |
| Morgan Stanley & Co |
15.08 |
20.90 |
30.56 |
9.25 |
99.88% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
38 |
5 |
57 |
| Citigroup Global Markets |
89.38 |
86.02 |
71.10 |
93.21 |
| Morgan Stanley & Co |
10.22 |
13.46 |
28.53 |
6.48 |
99.81% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
39 |
60 |
1 |
| Citigroup Global Markets |
59.49 |
54.70 |
62.92 |
33.67 |
| Morgan Stanley & Co |
27.43 |
31.62 |
24.31 |
60.82 |
| Chicago Board OptionsExch |
4.12 |
5.07 |
3.52 |
2.73 |
99.67% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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