SEC Rule 606 Report
- Vanguard Brokerage Services - 4th 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 |
23.20 |
21.54 |
55.26 |
Citadel Securities |
39.88 |
41.63 |
38.78 |
39.57 |
VIRTU Americas LLC |
34.49 |
33.83 |
34.07 |
34.93 |
G1 Execution Services |
18.01 |
19.50 |
17.52 |
17.58 |
UBS Securities LLC |
7.62 |
5.05 |
9.63 |
7.91 |
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 |
19.90 |
15.85 |
64.25 |
Citadel Securities |
36.77 |
37.22 |
35.23 |
37.01 |
VIRTU Americas LLC |
29.88 |
30.79 |
33.42 |
28.72 |
G1 Execution Services |
23.61 |
24.69 |
20.50 |
24.04 |
UBS Securities LLC |
9.67 |
7.31 |
10.85 |
10.11 |
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 |
12.53 |
8.39 |
79.08 |
Citadel Securities |
39.48 |
39.98 |
37.75 |
39.58 |
VIRTU Americas LLC |
28.28 |
29.46 |
32.02 |
27.70 |
G1 Execution Services |
25.24 |
25.48 |
20.76 |
25.68 |
UBS Securities LLC |
6.98 |
5.08 |
9.47 |
7.02 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
---|
Total |
100.00 |
0.28 |
97.17 |
2.55 |
Citadel Securities |
47.48 |
55.36 |
46.38 |
88.66 |
Susquehanna Capital Group |
30.37 |
26.59 |
30.88 |
11.28 |
Citigroup Global Markets |
12.08 |
8.55 |
12.41 |
0.00 |
Wolverine Execution Svc., |
10.06 |
9.50 |
10.33 |
0.06 |
100.00% of total customer orders were non-directed orders.
Material Aspects of Relationship with Route Venues
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