SEC Rule 606 Report
- Convergex Execution Solutions - 1st Qtr, 2017
(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 |
Nasdaq Execution Services |
16.56 |
0.00 |
0.00 |
16.56 |
DirectEdge ECN (EDGX) |
14.43 |
0.00 |
0.00 |
14.43 |
VIRTU Americas LLC |
12.27 |
0.00 |
0.00 |
12.27 |
BATS Stock Exchange |
11.74 |
0.00 |
0.00 |
11.74 |
Two Sigma Securities, LLC |
8.57 |
0.00 |
0.00 |
8.57 |
New York Stock Exch |
7.62 |
0.00 |
0.00 |
7.62 |
NYSE Arca |
6.28 |
0.00 |
0.00 |
6.28 |
UBS Securities LLC |
5.71 |
0.00 |
0.00 |
5.71 |
Arxis Securities LLC |
5.51 |
0.00 |
0.00 |
5.51 |
G-Trade Services LLC |
2.59 |
0.00 |
0.00 |
2.59 |
Citadel Securities |
2.55 |
0.00 |
0.00 |
2.55 |
71.87% 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 |
19.00 |
0.00 |
0.00 |
19.00 |
Nasdaq Execution Services |
13.15 |
0.00 |
0.00 |
13.15 |
Two Sigma Securities, LLC |
11.79 |
0.00 |
0.00 |
11.79 |
Merrill Lynch, Pierce |
7.96 |
0.00 |
0.00 |
7.96 |
DirectEdge ECN (EDGX) |
7.18 |
0.00 |
0.00 |
7.18 |
Citadel Securities |
6.46 |
0.00 |
0.00 |
6.46 |
UBS Securities LLC |
6.11 |
0.00 |
0.00 |
6.11 |
Arxis Securities LLC |
5.92 |
0.00 |
0.00 |
5.92 |
BATS Stock Exchange |
5.43 |
0.00 |
100.00 |
5.43 |
CROS |
2.97 |
0.00 |
0.00 |
2.97 |
G-Trade Services LLC |
2.68 |
0.00 |
0.00 |
2.68 |
NYSE Arca |
2.56 |
0.00 |
0.00 |
2.56 |
84.37% 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 |
0.00 |
100.00 |
VIRTU Americas LLC |
18.50 |
0.00 |
0.00 |
18.50 |
Two Sigma Securities, LLC |
14.09 |
0.00 |
0.00 |
14.09 |
Citadel Securities |
11.33 |
0.00 |
0.00 |
11.33 |
NYSE Arca |
10.11 |
0.00 |
0.00 |
10.11 |
Nasdaq Execution Services |
9.01 |
0.00 |
0.00 |
9.01 |
BATS Stock Exchange |
8.60 |
0.00 |
0.00 |
8.60 |
DirectEdge ECN (EDGX) |
5.80 |
0.00 |
0.00 |
5.81 |
New York Stock Exch |
5.35 |
0.00 |
0.00 |
5.35 |
UBS Securities LLC |
5.34 |
0.00 |
0.00 |
5.34 |
Arxis Securities LLC |
5.20 |
0.00 |
0.00 |
5.20 |
89.60% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
3.94 |
96.06 |
0.00 |
Chicago Board OptionsExch |
19.07 |
6.26 |
19.59 |
0.00 |
BATS Stock Exchange |
16.19 |
26.09 |
15.79 |
0.00 |
Philadelphia Exch |
12.03 |
15.98 |
11.87 |
0.00 |
E |
9.56 |
20.63 |
9.11 |
0.00 |
M |
8.50 |
4.57 |
8.66 |
0.00 |
Nasdaq Exchange |
7.66 |
8.68 |
7.62 |
0.00 |
NYSE Arca |
7.30 |
6.15 |
7.35 |
0.00 |
H |
5.59 |
3.34 |
5.68 |
0.00 |
Internat'l Secs Exch |
4.67 |
2.46 |
4.76 |
0.00 |
88.18% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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