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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2003
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
40.5 |
59.5 |
| DIRA |
0.00 |
0.00 |
0.00 |
| TRIM |
79.9 |
25.4 |
54.5 |
| ISLAND |
0.35 |
0.00 |
0.35 |
| FISV |
5.2 |
5.2 |
0.00 |
| MADF |
14.55 |
9.95 |
4.6 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
41.3 |
51.7 |
| ERNS |
5.9 |
4.1 |
1.8 |
| DIRA |
0.00 |
0.00 |
0.00 |
| TRIM |
8.8 |
2.8 |
6.0 |
| ISLAND |
57.8 |
17.0 |
40.8 |
| MADF |
25.7 |
17.4 |
8.3 |
| SUSQ |
1.8 |
0.00 |
1.8 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
28.2 |
71.8 |
| DIRA |
0.00 |
0.00 |
0.00 |
| NITE |
61.2 |
13.1 |
48.1 |
| FISV |
10.2 |
8.7 |
1.5 |
| ISLAND |
17.9 |
3.3 |
14.6 |
| UCAP |
0.50 |
0.00 |
0.50 |
| HILL |
0.50 |
0.00 |
0.50 |
| MADF |
7.3 |
2.9 |
4.4 |
| SUSQ |
0.00 |
0.00 |
0.00 |
| BAMM |
1.9 |
0.00 |
1.9 |
| CICF |
0.50 |
0.00 |
0.50 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
56.4 |
43.6 |
| AMEX |
69 |
53.7 |
15.3 |
| CBOE |
13.2 |
2.5 |
10.7 |
| ISE |
12.4 |
0.00 |
12.4 |
| PCSX |
3.05 |
0.05 |
3.0 |
| PHLX |
2.35 |
0.05 |
2.3 |
Order Routing Report Archives
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