SEC Rule 606 Report
- Traderfield Securities Inc - 2nd 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 |
28.01 |
55.53 |
16.46 |
| Citadel Securities |
50.37 |
49.12 |
56.19 |
32.84 |
| UBS Securities LLC |
46.68 |
49.12 |
43.36 |
53.73 |
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 |
51.86 |
31.12 |
17.03 |
| Citadel Securities |
79.06 |
71.70 |
93.71 |
74.71 |
| UBS Securities LLC |
18.98 |
26.04 |
6.29 |
20.69 |
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 |
14.09 |
70.79 |
15.12 |
| Citadel Securities |
93.47 |
95.12 |
100.00 |
61.36 |
| CPPT |
5.15 |
0.00 |
0.00 |
34.09 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
9.85 |
90.15 |
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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