SEC Rule 606 Report
- Convergex Execution Solutions - 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 |
0.00 |
0.00 |
100.00 |
| VIRTU Americas LLC |
20.34 |
0.00 |
0.00 |
20.34 |
| Two Sigma Securities, LLC |
12.47 |
0.00 |
0.00 |
12.47 |
| Nasdaq Execution Services |
9.49 |
0.00 |
0.00 |
9.49 |
| UBS Securities LLC |
7.94 |
0.00 |
0.00 |
7.94 |
| Arxis Securities LLC |
7.76 |
0.00 |
0.00 |
7.76 |
| DirectEdge ECN (EDGX) |
7.45 |
0.00 |
0.00 |
7.45 |
| BATS Stock Exchange |
6.92 |
0.00 |
66.67 |
6.92 |
| New York Stock Exch |
6.54 |
0.00 |
0.00 |
6.54 |
| NYSE Arca |
4.99 |
0.00 |
0.00 |
4.99 |
| Citadel Securities |
3.65 |
0.00 |
0.00 |
3.65 |
| G-Trade Services LLC |
3.02 |
0.00 |
0.00 |
3.02 |
61.96% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.00 |
0.00 |
100.00 |
| VIRTU Americas LLC |
19.41 |
0.00 |
0.00 |
19.41 |
| Two Sigma Securities, LLC |
14.95 |
0.00 |
0.00 |
14.95 |
| Nasdaq Execution Services |
13.49 |
0.00 |
0.00 |
13.49 |
| UBS Securities LLC |
7.13 |
0.00 |
0.00 |
7.13 |
| DirectEdge ECN (EDGX) |
7.11 |
0.00 |
0.00 |
7.11 |
| Arxis Securities LLC |
6.92 |
0.00 |
0.00 |
6.92 |
| Citadel Securities |
5.89 |
0.00 |
0.00 |
5.89 |
| BATS Stock Exchange |
4.57 |
0.00 |
0.00 |
4.57 |
| CROS |
3.16 |
0.00 |
0.00 |
3.16 |
| G-Trade Services LLC |
3.07 |
0.00 |
0.00 |
3.07 |
| XV |
2.74 |
0.00 |
0.00 |
2.74 |
| NYSE Arca |
2.59 |
0.00 |
0.00 |
2.59 |
93.06% 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 |
0.00 |
0.01 |
99.99 |
| VIRTU Americas LLC |
25.13 |
0.00 |
0.00 |
25.14 |
| Two Sigma Securities, LLC |
11.28 |
0.00 |
0.00 |
11.28 |
| Nasdaq Execution Services |
9.89 |
0.00 |
0.00 |
9.89 |
| NYSE Arca |
9.57 |
0.00 |
0.00 |
9.57 |
| BATS Stock Exchange |
9.06 |
0.00 |
21.05 |
9.06 |
| Citadel Securities |
8.84 |
0.00 |
0.00 |
8.84 |
| DirectEdge ECN (EDGX) |
6.50 |
0.00 |
0.00 |
6.50 |
| New York Stock Exch |
5.65 |
0.00 |
0.00 |
5.65 |
| UBS Securities LLC |
3.86 |
0.00 |
0.00 |
3.86 |
| Arxis Securities LLC |
3.81 |
0.00 |
0.00 |
3.81 |
96.50% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
3.77 |
96.23 |
0.00 |
| Chicago Board OptionsExch |
19.68 |
9.89 |
20.07 |
0.00 |
| BATS Stock Exchange |
15.60 |
21.85 |
15.35 |
0.00 |
| Philadelphia Exch |
11.53 |
10.44 |
11.58 |
0.00 |
| M |
9.43 |
7.58 |
9.50 |
0.00 |
| J |
7.79 |
14.27 |
7.54 |
0.00 |
| E |
7.66 |
12.72 |
7.46 |
0.00 |
| Nasdaq Exchange |
6.68 |
6.87 |
6.67 |
0.00 |
| NYSE Arca |
6.04 |
6.89 |
6.00 |
0.00 |
| Internat'l Secs Exch |
4.89 |
2.88 |
4.97 |
0.00 |
| NYSE MKT |
4.22 |
2.35 |
4.29 |
0.00 |
86.59% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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