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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4th Quarter, 2001
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues) Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
32.2 |
67.8 |
| DIRA |
38.1 |
10.8 |
27.3 |
| TRIM |
39.5 |
8.0 |
31.5 |
| ARCA |
1.0 |
0.0 |
1.0 |
| ISLAND |
0.0 |
0.0 |
0.0 |
| AVANTAGE |
21.4 |
13.4 |
8.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
5.9 |
94.1 |
| DIRA |
64.7 |
0.0 |
64.7 |
| TRIM |
23.5 |
5.9 |
17.6 |
| ARCA |
0.0 |
0.0 |
0.0 |
| ISLAND |
11.8 |
0.0 |
11.8 |
| AVANTAGE |
0.0 |
0.0 |
0.0 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
12.6 |
87.4 |
| DIRA |
38.7 |
3.6 |
35.1 |
| TRIM |
0.0 |
0.0 |
0.0 |
| KNIGHT |
16.5 |
1.6 |
14.9 |
| ARCA |
2.6 |
0.0 |
2.6 |
| ISLAND |
22.8 |
0.0 |
22.8 |
| ADVANTAGE |
15.1 |
7.4 |
7.7 |
| HILL |
4.3 |
0.0 |
4.3 |
| OTHER |
0.0 |
0.0 |
0.0 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.0 |
100.0 |
| AMEX |
21.7 |
0.0 |
21.7 |
| CBOE |
28.4 |
0.0 |
28.4 |
| ISE |
18.6 |
0.0 |
18.6 |
| PCSX |
18.1 |
0.0 |
18.1 |
| PHLX |
13.2 |
0.0 |
13.2 |
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