SEC Rule 606 Report
- Traderfield Securities Inc - 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 |
28.32 |
53.15 |
18.53 |
UBS Securities LLC |
45.10 |
51.85 |
46.05 |
32.08 |
Citadel Securities |
26.57 |
22.22 |
32.89 |
15.09 |
Goldman Sachs Exec&Clear |
22.38 |
25.93 |
21.05 |
20.75 |
CPPT |
5.94 |
0.00 |
0.00 |
32.08 |
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 |
37.57 |
42.20 |
20.23 |
UBS Securities LLC |
53.76 |
57.69 |
52.74 |
48.57 |
Goldman Sachs Exec&Clear |
22.25 |
21.54 |
23.29 |
21.43 |
Citadel Securities |
21.68 |
20.77 |
23.97 |
18.57 |
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 |
15.22 |
57.44 |
27.34 |
UBS Securities LLC |
55.71 |
59.09 |
64.46 |
35.44 |
Citadel Securities |
30.45 |
40.91 |
31.33 |
22.78 |
CPPT |
11.42 |
0.00 |
0.00 |
41.77 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
10.23 |
89.77 |
0.00 |
Susquehanna Investment Gr |
53.96 |
57.50 |
53.56 |
0.00 |
Citadel Securities |
46.04 |
42.50 |
46.44 |
0.00 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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