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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
3rd Quarter, 2006
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
34.4 |
65.6 |
| NYSE |
38.5 |
19.1 |
19.4 |
| TRIM |
25.9 |
7.3 |
18.6 |
| BRUT |
7.9 |
1.8 |
6.1 |
| ARCA |
19.5 |
2.4 |
17.1 |
| NFSC |
3.8 |
3.8 |
0.0 |
| INET |
2.5 |
0.0 |
2.5 |
| LSCI |
1.9 |
0.0 |
1.9 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
11.2 |
88.8 |
| AMEX |
26.2 |
3.1 |
23.1 |
| BRUT |
3.1 |
0.0 |
3.1 |
| ARCA |
11.1 |
0.0 |
11.1 |
| TRIM |
59.6 |
8.1 |
51.5 |
| NFSC |
0.0 |
0.0 |
0.0 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
13.9 |
86.1 |
| ARCA |
38.6 |
4.7 |
33.9 |
| NITE |
22.7 |
2.6 |
20.1 |
| INET |
19.3 |
4.9 |
14.4 |
| CICF |
2.0 |
0.0 |
2.0 |
| LSCI |
5.2 |
0.0 |
5.2 |
| BRUT |
9.4 |
0.0 |
9.4 |
| NFSC |
2.8 |
1.7 |
1.1 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
1.9 |
0.0 |
1.9 |
| CBOE |
29.5 |
0.0 |
29.5 |
| ISE |
56.6 |
0.0 |
56.6 |
| PCSX |
6.2 |
0.0 |
6.2 |
| PHLX |
4.2 |
0.0 |
4.2 |
| BOXX |
1.6 |
0.0 |
1.6 |
Order Routing Report Archives
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