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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2002
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues) Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
32.8 |
67.2 |
| DIRA |
16.2 |
8.3 |
7.86 |
| TRIM |
82.3 |
24.5 |
57.8 |
| ARCA |
0.7 |
0.0 |
0.7 |
| ISLAND |
0.8 |
0.0 |
0.8 |
| OTHER |
0.0 |
0.0 |
0.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
0.0 |
| DIRA |
0.0 |
0.0 |
0.0 |
| TRIM |
0.0 |
0.0 |
0.0 |
| ARCA |
0.0 |
0.0 |
0.0 |
| ISLAND |
0.0 |
0.0 |
0.0 |
| OTHER |
0.0 |
0.0 |
0.0 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
15.6 |
84.4 |
| DIRA |
10.2 |
5.2 |
5 |
| KNIGHT |
67.2 |
10.3 |
56.9 |
| ARCA |
1.7 |
1.7 |
0.0 |
| ISLAND |
5.6 |
5.6 |
0.0 |
| HILL |
8.9 |
8.9 |
0.0 |
| OTHER |
6.4 |
6.4 |
0.0 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
15.4 |
0.0 |
15.4 |
| CBOE |
28.2 |
0.0 |
28.2 |
| ISE |
29.8 |
0.0 |
29.8 |
| PCSX |
17.1 |
0.0 |
17.1 |
| PHLX |
9.4 |
0.0 |
9.4 |
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