SEC Rule 606 Report
- Traderfield Securities Inc - 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 |
11.93 |
71.60 |
16.46 |
| UBS Securities LLC |
53.50 |
48.28 |
57.18 |
41.25 |
| Citadel Securities |
21.60 |
25.86 |
21.55 |
18.75 |
| Goldman Sachs Exec&Clear |
19.75 |
25.86 |
20.40 |
12.50 |
| CPPT |
5.14 |
0.00 |
0.86 |
27.50 |
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 |
30.71 |
48.63 |
20.66 |
| UBS Securities LLC |
45.70 |
47.02 |
50.38 |
32.74 |
| Citadel Securities |
28.88 |
22.62 |
28.95 |
38.05 |
| Goldman Sachs Exec&Clear |
21.57 |
29.17 |
20.30 |
13.27 |
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 |
25.70 |
48.13 |
26.17 |
| UBS Securities LLC |
61.21 |
69.09 |
60.19 |
55.36 |
| Citadel Securities |
27.57 |
27.27 |
37.86 |
8.93 |
| Goldman Sachs Exec&Clear |
7.94 |
3.64 |
1.94 |
23.21 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
|---|
| Total |
100.00 |
12.99 |
84.94 |
2.08 |
| Citadel Securities |
56.36 |
66.00 |
54.13 |
87.50 |
| Susquehanna Investment Gr |
43.64 |
34.00 |
45.87 |
12.50 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
How to read this report
© Copyright 2018 CoreOne Technologies.
All Rights Reserved.