Public Disclosure - SEC Rule 606

How to View Public Reports

1. From the homepage click Disclosure of SEC-Required Order Execution Information - SEC Rule 606.
2. Select a Broker/Dealer.
3. Select a Quarter.
4. Click Display Reports. The reports for the selected broker/dealer should appear.

How to View Disclosures

1. From the homepage click Disclosure of SEC-Required Order Execution Information - SEC Rule 606.
2. Select a Broker/Dealer.
3. Select a Quarter.
4. Click Display Reports. The reports for the selected broker/dealer should appear.
5. Scroll to the end of the report.
6. Click Material Aspects of Relationship with Route Venues. The Disclosure Information page should appear.
7. To view the disclosure for a specific route venue, click the hyperlink for that route venue within the returned results data.

NOTE: Only route venues with corresponding disclosure information will display as hyperlinks in the results data.

How to Read Reports

Securities Listed on New York Stock Exchange

Route Venues	Total (%)	Market (%)	Limit (%)	Other (%)
Total (%)	100	46	47	7
Route Venue A	45	24	61	91
Route Venue B	32	57	12	5
Route Venue C	8	13	15	0
Route Venue D	5	6	12	4

86% of total customer orders were non-directed orders.

Legend

Row/Column	Description
Total row	shows the percentages of all non-directed orders for the section that are market orders, limit orders or other orders.
Total column	shows the percentages of all non-directed orders that were routed to each venue.
Market column	shows the percentages of all non-directed market orders for the section that were routed to each venue.
Limit column	shows the percentages of all non-directed limit orders for the section that were routed to each venue.
Other column	shows the percentages of all non-directed other orders for the section that were routed to each venue.