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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
2nd 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 |
67.7 |
32.3 |
| NYSE |
52.4 |
31.1 |
21.3 |
| TRIM |
19.2 |
14.1 |
5.1 |
| MADF |
19.5 |
19.5 |
0.0 |
| ARCA |
2.7 |
2.7 |
0.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
17.1 |
82.9 |
| ERNS |
9.3 |
4.1 |
5.2 |
| ASE |
63.7 |
12.9 |
50.8 |
| INET |
3.6 |
0.0 |
3.6 |
| ARCA |
14.0 |
0.0 |
14.0 |
| MADF |
8.8 |
0.0 |
8.8 |
| TRIM |
0.6 |
0.0 |
0.6 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
31.0 |
69 |
| ARCA |
64.6 |
25 |
39.6 |
| NITE |
7.6 |
1.6 |
6.0 |
| INET |
0.3 |
0.0 |
0.3 |
| UCAP |
13.9 |
0.0 |
13.9 |
| MADF |
3.8 |
3.8 |
0.0 |
| SOES |
2.2 |
0.0 |
2.2 |
| FISV |
0.6 |
0.6 |
0.0 |
| LSCI |
5.1 |
0.0 |
5.1 |
| DATK |
1.9 |
0.0 |
1.9 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
25.6 |
0.0 |
25.6 |
| CBOE |
13.1 |
0.0 |
13.1 |
| ISE |
48.1 |
0.0 |
48.1 |
| PCSX |
6.6 |
0.0 |
6.6 |
| PHLX |
5.9 |
0.0 |
5.9 |
| BOXX |
0.7 |
0.0 |
0.7 |
Order Routing Report Archives
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