SEC Rule 606 Report
- Bulltick LLC - 4th Qtr, 2016
(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 |
100.00 |
0.89 |
76.52 |
22.59 |
| Barclays Capital (LHMS) |
53.93 |
59.01 |
53.86 |
53.98 |
| Morgan Stanley & Co |
27.46 |
0.21 |
26.92 |
30.36 |
| Convergex Execution Solutions |
10.06 |
16.27 |
11.86 |
3.71 |
| Goldman, Sachs & Co |
7.47 |
17.25 |
6.56 |
10.16 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
5.32 |
75.70 |
18.98 |
| Barclays Capital (LHMS) |
45.18 |
14.33 |
52.52 |
24.55 |
| Morgan Stanley & Co |
39.97 |
2.84 |
39.32 |
52.97 |
| Convergex Execution Solutions |
6.81 |
66.20 |
3.41 |
3.73 |
| Goldman, Sachs & Co |
5.49 |
10.64 |
3.21 |
13.13 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE MKT or other National Securities Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
34.84 |
51.75 |
13.40 |
| Morgan Stanley & Co |
36.49 |
2.41 |
54.50 |
55.56 |
| Convergex Execution Solutions |
24.95 |
47.63 |
13.31 |
10.96 |
| Goldman, Sachs & Co |
23.74 |
44.36 |
11.36 |
17.96 |
| Barclays Capital (LHMS) |
12.83 |
4.77 |
18.70 |
11.09 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
4.06 |
95.94 |
0.00 |
| Barclays Capital (LHMS) |
99.83 |
100.00 |
99.82 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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