SEC Rule 606 Report
- Merrill Lynch - 3rd Qtr, 2018
(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 |
0.57 |
0.61 |
98.83 |
| New York Stock Exchange |
41.31 |
39.30 |
12.37 |
41.50 |
| BATS Stock Exchange |
13.40 |
1.91 |
1.51 |
13.53 |
| Nasdaq |
12.92 |
8.56 |
38.67 |
12.78 |
| DirectEdge ECN (EDGX) |
7.76 |
2.82 |
2.79 |
7.82 |
| NYSE Arca |
4.95 |
1.72 |
18.80 |
4.89 |
| BATS Y Exchange |
4.72 |
1.03 |
0.46 |
4.77 |
| Instinct X |
4.58 |
30.79 |
18.49 |
4.35 |
| UBS Securities LLC |
2.69 |
2.21 |
1.10 |
2.70 |
| IEX Exchange |
2.20 |
4.68 |
1.88 |
2.18 |
| NASDAQ OMX BX |
1.90 |
0.42 |
0.29 |
1.92 |
3.94% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.62 |
2.16 |
97.23 |
| Nasdaq |
41.98 |
41.39 |
65.64 |
41.46 |
| Instinct X |
14.28 |
34.48 |
9.57 |
14.25 |
| NYSE Arca |
7.75 |
1.88 |
16.07 |
7.60 |
| DirectEdge ECN (EDGX) |
7.20 |
2.05 |
1.11 |
7.37 |
| BATS Stock Exchange |
5.40 |
1.44 |
0.61 |
5.53 |
| BATS Y Exchange |
5.12 |
0.71 |
0.21 |
5.26 |
| UBS Securities LLC |
3.45 |
2.45 |
0.55 |
3.52 |
| IEX Exchange |
3.35 |
3.84 |
2.08 |
3.37 |
| BIDS TRADING L.P. |
2.96 |
0.24 |
0.26 |
3.04 |
| NASDAQ OMX BX |
2.69 |
0.40 |
0.16 |
2.76 |
2.47% 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 |
0.26 |
0.22 |
99.51 |
| NYSE Arca |
65.65 |
11.52 |
17.56 |
65.90 |
| Nasdaq |
13.86 |
4.74 |
13.79 |
13.89 |
| Instinct X |
3.89 |
35.94 |
16.20 |
3.78 |
| Citadel Execution Service |
2.94 |
9.21 |
3.09 |
2.92 |
| BATS Stock Exchange |
2.76 |
4.27 |
1.49 |
2.76 |
| DirectEdge ECN (EDGX) |
2.18 |
4.22 |
2.36 |
2.17 |
| IEX Exchange |
2.04 |
2.18 |
1.17 |
2.04 |
| FDSA |
1.13 |
5.38 |
27.56 |
1.06 |
| BATS Y Exchange |
1.10 |
4.27 |
0.42 |
1.09 |
| DirectEdge ECN (EDGA) |
1.04 |
2.11 |
6.53 |
1.02 |
2.96% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
59.27 |
35.12 |
5.61 |
| Chicago Board Options Exchange |
21.48 |
21.88 |
24.20 |
0.24 |
| Philadelphia Exch |
11.66 |
13.03 |
11.19 |
0.00 |
| BATS Stock Exchange |
9.34 |
6.87 |
14.99 |
0.02 |
| International Securities Exchange |
8.56 |
10.74 |
6.24 |
0.04 |
| NYSE Arca |
8.19 |
6.40 |
12.50 |
0.02 |
| NYSE MKT |
6.81 |
8.50 |
5.03 |
0.10 |
| DirectEdge ECN (EDGX) |
6.34 |
7.15 |
5.44 |
3.39 |
| |
5.98 |
0.21 |
2.96 |
85.86 |
| MIAX Options Exchange |
5.40 |
6.53 |
4.22 |
0.93 |
| Nasdaq Execution Services |
3.75 |
4.56 |
2.99 |
0.00 |
| Boston Options Exchange |
2.75 |
3.37 |
2.04 |
0.69 |
2.73% of total customer orders were non-directed orders.
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