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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
3rd 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 |
27.6 |
72.4 |
| DIRA |
15.7 |
6.5 |
9.2 |
| TRIM |
84 |
21.1 |
62.9 |
| ARCA |
0.0 |
0.0 |
0.0 |
| ISLAND |
0.3 |
0.0 |
0.3 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100 |
| 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 |
| AMEX |
100 |
0.0 |
100 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
17.1 |
82.9 |
| DIRA |
14.2 |
3.6 |
10.6 |
| KNIGHT |
58.4 |
13.5 |
44.9 |
| ARCA |
0.0 |
0.0 |
0.0 |
| ISLAND |
12.9 |
0.0 |
12.9 |
| HILL |
5.6 |
0.0 |
5.6 |
| MLNJ |
6.3 |
0.0 |
6.3 |
| VFIN |
2.3 |
0.0 |
2.3 |
| CICF |
0.3 |
0.0 |
0.3 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
15.6 |
0.0 |
15.6 |
| CBOE |
23.5 |
0.0 |
23.5 |
| ISE |
44.3 |
0.0 |
44.3 |
| PCSX |
8.7 |
0.0 |
8.7 |
| PHLX |
7.9 |
0.0 |
7.9 |
Order Routing Report Archives
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