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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
3rd Quarter, 2003
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
28.8 |
71.2 |
| NYSE |
13.5 |
4.6 |
8.9 |
| TRIM |
56.8 |
14.4 |
42.4 |
| LSCI |
1.1 |
0.0 |
1.1 |
| MADF |
14.6 |
8.6 |
6.0 |
| ARCA |
14.0 |
1.1 |
12.9 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
4.2 |
95.8 |
| ERNS |
8.2 |
2.7 |
5.5 |
| ASE |
16.6 |
0.00 |
16.6 |
| ISLAND |
36.3 |
1.6 |
34.7 |
| ARCA |
29.2 |
0.0 |
29.2 |
| MADF |
9.7 |
0.0 |
9.7 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
5.1 |
94.9 |
| ARCA |
6.6 |
0.0 |
6.6 |
| NITE |
34.3 |
3.3 |
31.0 |
| ISLAND |
40.5 |
0.4 |
40.1 |
| UCAP |
5.7 |
0.0 |
5.7 |
| MADF |
2.6 |
1.4 |
1.2 |
| SOES |
0.5 |
0.0 |
0.5 |
| BRUT |
0.5 |
0.0 |
0.5 |
| LSCI |
9.3 |
5.1 |
4.2 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
29.9 |
70.1 |
| AMEX |
31.7 |
18.4 |
13.3 |
| CBOE |
14.1 |
1.6 |
12.5 |
| ISE |
46.9 |
8.9 |
38 |
| PCSX |
3.1 |
0.0 |
3.1 |
| PHLX |
4.2 |
1.1 |
3.1 |
Order Routing Report Archives
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