SEC Rule 606 Report
- Rodman & Renshaw LLC - 1st Qtr, 2008
(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 |
4 |
96 |
| Archipelago LLC |
38 |
67 |
22 |
39 |
| New York Stock Exch |
26 |
33 |
65 |
24 |
| Nasdaq Execution Services |
19 |
0 |
12 |
19 |
| Direct Edge ECN LLC |
9 |
0 |
1 |
9 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
4 |
73 |
23 |
| Nasdaq Execution Services |
44 |
41 |
44 |
43 |
| Archipelago LLC |
35 |
48 |
34 |
37 |
| Direct Edge ECN LLC |
8 |
0 |
9 |
7 |
| LavaFlow (GOTO) |
6 |
5 |
7 |
4 |
100% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
0 |
22 |
78 |
| Archipelago LLC |
61 |
0 |
84 |
55 |
| Nasdaq Execution Services |
26 |
0 |
6 |
32 |
| LavaFlow (GOTO) |
7 |
0 |
5 |
7 |
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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