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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
2nd 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% |
17.1 |
82.9 |
| NYSE |
47.5 |
11.2 |
36.3 |
| TRIM |
30.9 |
4.5 |
26.4 |
| ARCA |
17.6 |
1.4 |
16.2 |
| INET |
4.0 |
0.0 |
4.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
14.8 |
85.2 |
| AMEX |
23.2 |
5.3 |
17.9 |
| ARCA |
38.8 |
4.6 |
34.2 |
| TRIM |
31.3 |
4.9 |
26.4 |
| INET |
6.7 |
0.0 |
6.7 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
14.1 |
85.9 |
| ARCA |
32.5 |
3.9 |
28.6 |
| NITE |
21.7 |
4.1 |
17.6 |
| INET |
34.6 |
3.3 |
31.3 |
| CICF |
4.5 |
0.0 |
4.5 |
| LSCI |
6.7 |
2.8 |
3.9 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
6.2 |
0.0 |
6.2 |
| CBOE |
31.7 |
0.0 |
31.7 |
| ISE |
49.3 |
0.0 |
49.3 |
| PCSX |
4.2 |
0.0 |
4.2 |
| PHLX |
5.5 |
0.0 |
5.5 |
| BOXX |
3.1 |
0.0 |
3.1 |
Order Routing Report Archives
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