SEC Rule 606 Report
- Merrill Lynch - 4th 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 |
0.72 |
1.28 |
98.00 |
| New York Stock Exchange |
46.71 |
46.87 |
4.29 |
47.26 |
| Nasdaq |
18.73 |
8.99 |
47.78 |
18.42 |
| BATS Stock Exchange |
12.75 |
1.36 |
6.77 |
12.91 |
| Instinct X |
4.24 |
29.19 |
9.32 |
3.99 |
| BATS Y Exchange |
3.69 |
0.57 |
0.08 |
3.76 |
| UBS Securities LLC |
3.34 |
1.25 |
0.44 |
3.39 |
| NYSE Arca |
3.02 |
0.96 |
25.11 |
2.75 |
| IEX Exchange |
2.66 |
4.21 |
0.62 |
2.67 |
| DirectEdge ECN (EDGX) |
2.16 |
1.12 |
4.12 |
2.14 |
| NASDAQ OMX BX |
0.60 |
0.14 |
0.03 |
0.61 |
2.83% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.88 |
3.07 |
96.05 |
| Nasdaq |
49.46 |
46.09 |
64.34 |
49.02 |
| Instinct X |
9.96 |
32.85 |
7.98 |
9.82 |
| NYSE Arca |
9.31 |
1.96 |
20.59 |
9.02 |
| BATS Stock Exchange |
5.64 |
1.55 |
0.92 |
5.83 |
| DirectEdge ECN (EDGX) |
5.50 |
1.13 |
1.46 |
5.67 |
| UBS Securities LLC |
5.39 |
2.50 |
0.42 |
5.57 |
| IEX Exchange |
5.10 |
4.61 |
2.37 |
5.19 |
| BATS Y Exchange |
4.10 |
0.54 |
0.07 |
4.26 |
| NASDAQ OMX BX |
1.68 |
0.19 |
0.04 |
1.75 |
| BIDS TRADING L.P. |
0.75 |
0.07 |
0.13 |
0.78 |
1.48% 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 |
0.29 |
1.55 |
98.16 |
| NYSE Arca |
72.87 |
15.39 |
30.81 |
73.70 |
| Nasdaq |
10.42 |
4.60 |
42.35 |
9.93 |
| Instinct X |
4.51 |
48.03 |
4.82 |
4.38 |
| BATS Stock Exchange |
3.06 |
3.26 |
3.20 |
3.06 |
| UBS Securities LLC |
1.72 |
0.97 |
0.26 |
1.75 |
| DirectEdge ECN (EDGX) |
1.68 |
2.21 |
6.58 |
1.60 |
| IEX Exchange |
1.23 |
1.45 |
0.13 |
1.25 |
| BATS Y Exchange |
1.06 |
1.22 |
0.03 |
1.08 |
| BIDS TRADING L.P. |
0.74 |
0.01 |
7.24 |
0.64 |
| ECHX |
0.51 |
0.42 |
0.01 |
0.52 |
1.44% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
58.75 |
41.17 |
0.08 |
| Chicago Board Options Exchange |
23.51 |
21.74 |
26.06 |
8.39 |
| BATS Stock Exchange |
12.29 |
8.41 |
17.84 |
0.00 |
| Philadelphia Exch |
10.62 |
11.23 |
9.77 |
2.10 |
| NYSE Arca |
10.59 |
8.71 |
13.29 |
0.00 |
| International Securities Exchange |
9.67 |
10.63 |
8.30 |
9.79 |
| NYSE MKT |
6.57 |
7.42 |
5.37 |
0.00 |
| DirectEdge ECN (EDGX) |
6.42 |
6.66 |
6.04 |
30.07 |
| Nasdaq Execution Services |
4.29 |
5.04 |
3.22 |
0.00 |
| MIAX Options Exchange |
4.21 |
5.51 |
2.33 |
16.78 |
| Boston Options Exchange |
2.92 |
3.81 |
1.60 |
32.87 |
2.83% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues-Word Document
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