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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2004
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
35.1 |
64.9 |
| NYSE |
74.8 |
33.4 |
41.4 |
| TRIM |
14.55 |
0.05 |
14.5 |
| MADF |
3.85 |
0.05 |
3.8 |
| ARCA |
6.8 |
1.8 |
5.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
15.00 |
85.00 |
| ERNS |
3.7 |
1.14 |
2.56 |
| ASE |
34.4 |
3.8 |
30.6 |
| INET |
26.8 |
0.00 |
26.8 |
| ARCA |
28.8 |
8.8 |
20.0 |
| MADF |
6.3 |
0.00 |
6.3 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
17.0 |
83.0 |
| ARCA |
51.9 |
16.1 |
35.8 |
| NITE |
13.35 |
0.05 |
13.3 |
| INET |
12.85 |
0.05 |
12.8 |
| UCAP |
10.8 |
0.00 |
10.8 |
| MADF |
1.0 |
0.05 |
0.05 |
| SOES |
2.90 |
0.00 |
2.9 |
| BRUT |
2.3 |
0.00 |
2.3 |
| LSCI |
1.70 |
0.00 |
1.70 |
| CICF |
1.1 |
0.00 |
1.1 |
| DATK |
2.1 |
0.0 |
2.1 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
29.9 |
0.00 |
29.9 |
| CBOE |
25.3 |
0.00 |
25.3 |
| ISE |
33.1 |
0.00 |
33.1 |
| PCSX |
8.0 |
0.00 |
8.0 |
| PHLX |
3.70 |
0.00 |
3.70 |
Order Routing Report Archives
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