SEC Rule 606 Report
- Traderfield Securities Inc - 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 |
23.94 |
63.65 |
12.41 |
| Citadel Securities |
69.20 |
64.63 |
72.71 |
60.00 |
| UBS Securities LLC |
28.91 |
35.37 |
27.06 |
25.88 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
31.29 |
51.04 |
17.66 |
| Citadel Securities |
63.98 |
68.00 |
71.66 |
34.65 |
| UBS Securities LLC |
28.65 |
32.00 |
28.34 |
23.62 |
| CPPT |
7.37 |
0.00 |
0.00 |
41.73 |
100.00% 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 |
10.75 |
70.34 |
18.91 |
| Citadel Securities |
88.98 |
83.54 |
99.03 |
54.68 |
| CPPT |
7.62 |
0.00 |
0.00 |
40.29 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
5.06 |
94.94 |
0.00 |
| Citadel Securities |
100.00 |
100.00 |
100.00 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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