SEC Rule 606 Report
- Soleil Securities - 4th 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 |
3 |
97 |
| Barclays Capital Inc |
53.49 |
0.00 |
0.00 |
55.05 |
| Archipelago LLC |
20.40 |
0.00 |
10.27 |
20.70 |
| New York Stock Exch |
17.06 |
0.00 |
89.73 |
14.93 |
| Archipelago Exchange |
4.54 |
0.00 |
0.00 |
4.67 |
| Nasdaq Execution Services |
3.87 |
0.00 |
0.00 |
3.99 |
| Nyfix Millenium LLC |
0.64 |
0.00 |
0.00 |
0.66 |
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 |
0 |
2 |
98 |
| Barclays Capital Inc |
70.09 |
0.00 |
0.00 |
71.76 |
| Archipelago LLC |
21.29 |
0.00 |
100.00 |
19.42 |
| Nasdaq Execution Services |
4.22 |
0.00 |
0.00 |
4.32 |
| Archipelago Exchange |
3.45 |
0.00 |
0.00 |
3.53 |
| Nyfix Millenium LLC |
0.94 |
0.00 |
0.00 |
0.96 |
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 |
0 |
0 |
100 |
| Barclays Capital Inc |
57.10 |
0.00 |
0.00 |
57.10 |
| Archipelago LLC |
29.23 |
0.00 |
0.00 |
29.23 |
| Nasdaq Execution Services |
11.75 |
0.00 |
0.00 |
11.75 |
| Archipelago Exchange |
1.09 |
0.00 |
0.00 |
1.09 |
| NYSE Amex |
0.82 |
0.00 |
0.00 |
0.82 |
100.00% 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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