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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2005
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
42.9 |
57.1 |
| NYSE |
34.7 |
21.7 |
13.0 |
| TRIM |
4.8 |
0.5 |
4.3 |
| FISV |
2.7 |
2.2 |
0.5 |
| ARCA |
5.0 |
1.2 |
3.8 |
| DIRA |
52.8 |
18.6 |
34.2 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
15.3 |
84.7 |
| ERNS |
10.6 |
2.1 |
8.5 |
| AMEX |
11.9 |
6.8 |
5.1 |
| INET |
2.1 |
0.0 |
2.1 |
| ARCA |
22.4 |
2.1 |
20.3 |
| TRIM |
8.9 |
0.0 |
8.9 |
| DIRA |
44.1 |
3.4 |
40.7 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
38.7 |
61.3 |
| ARCA |
30.4 |
20.5 |
9.9 |
| NITE |
23.0 |
3.4 |
19.6 |
| INET |
3.1 |
0.0 |
3.1 |
| UCAP |
6.6 |
0.0 |
6.6 |
| CICF |
5.6 |
0.0 |
5.6 |
| FISV |
4.1 |
4.1 |
0.0 |
| LSCI |
3.1 |
0.0 |
3.1 |
| DIRA |
24.1 |
5.5 |
18.6 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100 |
0.0 |
100.0 |
| AMEX |
2.5 |
0.0 |
2.5 |
| CBOE |
27.7 |
0.0 |
27.7 |
| ISE |
54.2 |
0.0 |
54.2 |
| PCSX |
7.8 |
0.0 |
7.8 |
| PHLX |
4.7 |
0.0 |
4.7 |
| BOXX |
3.1 |
0.0 |
3.1 |
Order Routing Report Archives
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