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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2007
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
29.5 |
60.5 |
| NYSE |
46.7 |
21.5 |
25.2 |
| TRIM |
21.7 |
6.5 |
15.2 |
| BRUT |
4.9 |
0.0 |
4.9 |
| ARCA |
16.9 |
4.8 |
12.1 |
| NFSC |
4.4 |
2.4 |
2.0 |
| SWST |
5.4 |
4.3 |
1.1 |
| INET |
0.0 |
0.0 |
0.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
28.4 |
71.6 |
| AMEX |
24.3 |
7.5 |
16.8 |
| BRUT |
8.8 |
3.0 |
5.8 |
| ARCA |
17.8 |
6.7 |
11.1 |
| TRIM |
41.6 |
8.9 |
32.7 |
| INET |
7.5 |
2.3 |
5.2 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
14.6 |
85.4 |
| ARCA |
37.6 |
3.8 |
33.8 |
| NITE |
14.1 |
2.5 |
11.6 |
| INET |
29.2 |
6.1 |
23.1 |
| CICF |
6.0 |
0.0 |
6.0 |
| LSCI |
2.7 |
0.0 |
2.7 |
| BRUT |
6.3 |
0.0 |
6.3 |
| NFSC |
2.2 |
2.2 |
0.0 |
| SWST |
1.9 |
0.0 |
1.9 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
2.6 |
0.0 |
2.6 |
| CBOE |
28.1 |
0.0 |
28.1 |
| ISE |
52.7 |
0.0 |
52.7 |
| PCSX |
4.1 |
0.0 |
4.1 |
| PHLX |
8.2 |
0.0 |
8.2 |
| BOXX |
4.3 |
0.0 |
4.3 |
Order Routing Report Archives
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