SEC Rule 606 Report
- Morgan Stanley Smith Barney - 1st Qtr, 2013
(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 |
32 |
4 |
63 |
| Citigroup Global Markets |
50.82 |
50.19 |
44.97 |
51.55 |
| Morgan Stanley & Co |
44.90 |
44.33 |
39.06 |
45.61 |
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 |
27 |
6 |
66 |
| Citigroup Global Markets |
50.95 |
50.68 |
46.45 |
51.48 |
| Morgan Stanley & Co |
45.31 |
44.92 |
42.10 |
45.77 |
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 |
34 |
3 |
64 |
| Citigroup Global Markets |
51.29 |
51.06 |
45.06 |
51.67 |
| Morgan Stanley & Co |
44.74 |
44.29 |
37.64 |
45.26 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
55 |
1 |
| Morgan Stanley & Co |
43.72 |
43.83 |
43.92 |
14.93 |
| Citigroup Global Markets |
31.63 |
27.24 |
35.31 |
16.66 |
| Philadelphia Option Exch |
6.91 |
8.44 |
5.73 |
2.06 |
| Boston Options Exchange |
3.92 |
7.03 |
1.45 |
0.00 |
| Pacific Coast Option Exch |
3.75 |
0.85 |
6.12 |
0.00 |
| NYSE Amex |
3.37 |
5.60 |
1.61 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route VenuesHow to read this report
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