SEC Rule 606 Report
- Merrill Lynch - 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 |
0.53 |
0.79 |
98.69 |
| DirectEdge ECN (EDGX) |
34.47 |
9.41 |
18.81 |
34.73 |
| NYSE Arca |
17.89 |
1.99 |
11.10 |
18.03 |
| New York Stock Exch |
14.90 |
41.69 |
4.80 |
14.84 |
| Nasdaq |
9.87 |
2.43 |
27.56 |
9.77 |
| BATS Stock Exchange |
9.03 |
1.81 |
6.67 |
9.09 |
| Instinct X |
6.06 |
32.43 |
17.56 |
5.83 |
| DirectEdge ECN (EDGA) |
2.06 |
1.60 |
0.66 |
2.08 |
| IEX Group |
1.87 |
1.36 |
2.43 |
1.87 |
| NASDAQ OMX BX |
1.25 |
0.83 |
8.26 |
1.19 |
| NASDAQ OMX PHLX |
1.11 |
0.07 |
0.52 |
1.12 |
2.15% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.73 |
2.44 |
96.83 |
| Nasdaq |
32.96 |
36.46 |
43.22 |
32.67 |
| DirectEdge ECN (EDGX) |
22.71 |
7.26 |
13.80 |
23.05 |
| NYSE Arca |
10.88 |
1.56 |
8.56 |
11.01 |
| Instinct X |
10.02 |
39.48 |
15.50 |
9.66 |
| NASDAQ OMX PHLX |
7.34 |
1.29 |
3.04 |
7.50 |
| BATS Stock Exchange |
5.91 |
1.54 |
0.51 |
6.08 |
| NASDAQ OMX BX |
3.20 |
0.95 |
10.45 |
3.03 |
| IEX Group |
3.11 |
1.91 |
2.79 |
3.13 |
| NYSE MKT |
1.75 |
0.18 |
0.10 |
1.81 |
| BATS Y Exchange |
0.54 |
0.12 |
0.46 |
0.54 |
1.18% 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 |
0.15 |
0.11 |
99.73 |
| Nasdaq |
81.50 |
11.70 |
43.19 |
81.65 |
| DirectEdge ECN (EDGX) |
5.09 |
2.27 |
1.64 |
5.10 |
| Instinct X |
4.07 |
47.07 |
23.99 |
3.98 |
| NYSE Arca |
3.68 |
9.22 |
3.46 |
3.67 |
| BATS Stock Exchange |
2.59 |
1.78 |
1.94 |
2.59 |
| IEX Group |
0.56 |
1.95 |
12.33 |
0.54 |
| NYSE MKT |
0.54 |
9.82 |
1.71 |
0.52 |
| ECHX |
0.45 |
1.67 |
0.60 |
0.45 |
| NASDAQ OMX BX |
0.43 |
0.20 |
4.84 |
0.43 |
| NASDAQ OMX PHLX |
0.41 |
1.03 |
0.85 |
0.41 |
4.77% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
59.06 |
40.88 |
0.05 |
| Chicago Board OptionsExch |
19.64 |
17.72 |
22.42 |
17.79 |
| Philadelphia Exch |
15.32 |
17.01 |
12.89 |
0.00 |
| Internat'l Secs Exch |
10.56 |
12.46 |
7.82 |
14.72 |
| Boston Options Exchange |
8.13 |
10.59 |
4.57 |
22.70 |
| NYSE MKT |
7.83 |
6.36 |
9.96 |
0.00 |
| MIAX Options Exchange |
7.83 |
6.54 |
9.67 |
20.25 |
| DirectEdge ECN (EDGX) |
7.42 |
4.05 |
12.26 |
24.54 |
| BATS Stock Exchange |
6.99 |
6.67 |
7.47 |
0.00 |
| NYSE Arca |
5.68 |
7.00 |
3.78 |
0.00 |
| Nasdaq Execution Services |
4.26 |
4.22 |
4.32 |
0.00 |
1.77% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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