SEC Rule 606 Report
- Sterne, Agee & Leach, Inc - 4th Qtr, 2011
(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 |
57 |
10 |
33 |
| Knight Capital Americas |
81.04 |
96.96 |
32.36 |
68.06 |
| Knight Direct EMS |
9.66 |
0.01 |
66.83 |
9.49 |
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 |
53 |
15 |
32 |
| Knight Capital Americas |
75.38 |
96.87 |
42.84 |
54.93 |
| Knight Direct EMS |
11.89 |
0.00 |
52.20 |
12.83 |
| Sterne, Agee & Leach Inc. |
8.15 |
0.01 |
0.02 |
25.41 |
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 |
53 |
16 |
31 |
| Knight Capital Americas |
80.99 |
98.47 |
27.34 |
79.46 |
| Knight Direct EMS |
15.27 |
0.03 |
71.59 |
11.53 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
15 |
81 |
4 |
| Morgan Stanley & Co |
70.51 |
86.39 |
70.96 |
0.00 |
| Merrill Lynch Smart Route |
20.51 |
2.04 |
25.03 |
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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