SEC Rule 606 Report
- Merrill Lynch - 1st Qtr, 2019
(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 |
0.62 |
1.50 |
97.89 |
| New York Stock Exchange |
43.63 |
43.65 |
5.18 |
44.21 |
| Nasdaq |
26.11 |
9.86 |
60.93 |
25.68 |
| BATS Stock Exchange |
7.50 |
1.42 |
5.83 |
7.56 |
| IEX Exchange |
4.97 |
11.60 |
2.44 |
4.97 |
| Instinct X |
3.49 |
22.48 |
8.36 |
3.30 |
| NYSE Arca |
2.88 |
1.09 |
5.74 |
2.85 |
| UBS Securities LLC |
2.66 |
1.70 |
0.37 |
2.70 |
| DirectEdge ECN (EDGX) |
2.49 |
1.19 |
8.38 |
2.41 |
| BATS Y Exchange |
2.19 |
0.48 |
0.04 |
2.23 |
| NASDAQ OMX BX |
0.83 |
0.13 |
0.02 |
0.84 |
2.69% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
0.63 |
2.42 |
96.95 |
| Nasdaq |
49.26 |
41.12 |
73.67 |
48.70 |
| Instinct X |
13.91 |
27.78 |
7.07 |
13.99 |
| NYSE Arca |
8.77 |
2.37 |
4.82 |
8.91 |
| IEX Exchange |
6.63 |
12.02 |
5.94 |
6.61 |
| DirectEdge ECN (EDGX) |
5.43 |
1.26 |
4.00 |
5.49 |
| BATS Stock Exchange |
5.08 |
1.54 |
1.42 |
5.20 |
| UBS Securities LLC |
3.19 |
2.61 |
0.52 |
3.26 |
| BATS Y Exchange |
2.35 |
0.39 |
0.03 |
2.42 |
| NASDAQ OMX BX |
1.16 |
0.18 |
0.02 |
1.19 |
| DirectEdge ECN (EDGA) |
0.70 |
0.05 |
0.02 |
0.72 |
1.57% 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 |
0.51 |
6.97 |
92.52 |
| NYSE Arca |
37.20 |
14.37 |
27.11 |
38.09 |
| Nasdaq |
23.35 |
5.20 |
43.33 |
21.95 |
| Instinct X |
8.05 |
42.50 |
3.02 |
8.24 |
| BATS Stock Exchange |
7.66 |
2.97 |
3.12 |
8.03 |
| DirectEdge ECN (EDGX) |
5.74 |
1.49 |
11.97 |
5.30 |
| IEX Exchange |
4.23 |
6.28 |
0.32 |
4.52 |
| BATS Y Exchange |
2.42 |
1.28 |
1.89 |
2.47 |
| UBS Securities LLC |
2.42 |
0.82 |
0.14 |
2.60 |
| NYSE MKT |
1.77 |
4.88 |
0.15 |
1.87 |
| BIDS TRADING L.P. |
1.31 |
0.01 |
5.81 |
0.98 |
0.68% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
61.41 |
38.51 |
0.08 |
| Chicago Board Options Exchange |
25.79 |
24.50 |
27.88 |
12.12 |
| BATS Stock Exchange |
11.85 |
7.22 |
19.25 |
0.00 |
| Philadelphia Exch |
10.75 |
12.63 |
7.77 |
2.27 |
| International Securities Exchange |
10.39 |
12.59 |
6.83 |
36.36 |
| NYSE Arca |
10.16 |
7.39 |
14.59 |
0.00 |
| DirectEdge ECN (EDGX) |
7.59 |
8.50 |
6.11 |
17.42 |
| Nasdaq Execution Services |
5.19 |
5.60 |
4.54 |
0.00 |
| NYSE MKT |
3.78 |
4.53 |
2.59 |
0.00 |
| MIAX Options Exchange |
3.76 |
4.58 |
2.44 |
7.58 |
| MIAX PEARL Exchange |
2.75 |
2.93 |
2.48 |
0.00 |
1.23% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues-Word Document
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