SEC Rule 606 Report
- Private Equity Securities, Inc. - 3rd 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 |
0 |
100 |
0 |
| Auto Trading Desk Fin Svc |
67 |
0 |
67 |
0 |
| Knight Capital Markets |
33 |
0 |
33 |
0 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
1 |
26 |
74 |
| Knight Equity Markets |
100 |
100 |
100 |
100 |
100% of total customer orders were non-directed orders.
Securities Listed on NYSE Amex or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
57 |
43 |
0 |
| Knight Capital Markets |
100 |
100 |
100 |
0 |
100% of total customer orders were non-directed orders.
Exchange-Listed Options
No Covered Orders
Material Aspects of Relationship with Route Venues
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