SEC Rule 606 Report
- Raymond James & Associates - 4th Qtr, 2009
List of Execution Venues for MiFID
(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 |
48 |
13 |
39 |
| Knight Capital Markets |
48.16 |
42.03 |
47.96 |
55.76 |
| Auto Trading Desk Fin Svc |
40.02 |
48.60 |
43.58 |
28.29 |
| E*Trade Capital Markets, |
4.70 |
4.79 |
2.93 |
5.18 |
99.91% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
44 |
19 |
37 |
| Vandham Securities Corp. |
21.42 |
22.24 |
13.92 |
24.38 |
| Knight Equity Markets |
20.33 |
17.57 |
25.82 |
20.74 |
| Citadel Derivatives Group |
19.87 |
21.75 |
21.17 |
16.96 |
| Hudson Securities |
19.07 |
20.59 |
21.23 |
16.12 |
| UBS Securities LLC |
9.41 |
9.92 |
9.63 |
8.69 |
| Domestic Securities, Inc. |
5.25 |
5.48 |
4.97 |
5.12 |
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 |
9 |
40 |
| Auto Trading Desk Fin Svc |
78.58 |
83.96 |
69.64 |
73.81 |
| Knight Capital Markets |
16.35 |
14.17 |
18.91 |
18.53 |
99.56% of total customer orders were non-directed orders.
Exchange-Listed Options
No Covered Orders
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2010 Thomson Reuters.
All Rights Reserved.