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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
3rd 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 |
87 |
113 |
| NYSE |
80 |
39 |
41 |
| TRIM |
3.0 |
0.0 |
3.0 |
| MADF |
3.0 |
3.0 |
0.0 |
| ARCA |
14.0 |
1.5 |
12.5 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100 |
6.0 |
94.0 |
| ERNS |
4.8 |
0.0 |
4.8 |
| ASE |
57.0 |
6.0 |
51.0 |
| INET |
7.2 |
0.0 |
7.2 |
| ARCA |
31.0 |
0.0 |
31.0 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100 |
32.3 |
67.7 |
| ARCA |
71.4 |
30.3 |
41.1 |
| NITE |
13.5 |
0.5 |
13.0 |
| INET |
0.5 |
0.0 |
0.5 |
| UCAP |
3.8 |
0.0 |
3.8 |
| SOES |
1.5 |
0.5 |
1.0 |
| FISV |
1.6 |
1.0 |
0.6 |
| LSCI |
2.5 |
0.0 |
2.5 |
| DATK |
4.7 |
0.0 |
4.7 |
| BRUT |
0.5 |
0.0 |
0.5 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
14.9 |
0.0 |
14.9 |
| CBOE |
22.7 |
0.0 |
22.7 |
| ISE |
44.3 |
0.0 |
44.3 |
| PCSX |
9.4 |
0.0 |
9.4 |
| PHLX |
7.6 |
0.0 |
7.6 |
| BOXX |
1.1 |
0.0 |
1.1 |
Order Routing Report Archives
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