SEC Rule 606 Report
- Sterne, Agee & Leach, 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 |
57 |
11 |
33 |
| UBS Securities LLC |
83 |
99 |
25 |
72 |
| Bats Trading Inc |
9 |
0 |
74 |
4 |
100% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total (%) | 100 |
50 |
13 |
37 |
| UBS Securities LLC |
66 |
85 |
29 |
52 |
| Sterne, Agee & Leach Inc. |
19 |
14 |
19 |
27 |
| Bats Trading Inc |
8 |
0 |
51 |
4 |
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 |
52 |
12 |
36 |
| UBS Securities LLC |
80 |
89 |
30 |
84 |
| Auto Trading Desk Fin Svc |
9 |
11 |
3 |
9 |
| Bats Trading Inc |
9 |
0 |
67 |
2 |
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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