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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4TH 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 |
39.9 |
60.1 |
| DIRA |
1.2 |
0.45 |
0.75 |
| TRIM |
78.8 |
23.6 |
55.2 |
| ISLAND |
0.0 |
0.0 |
0.0 |
| FISV |
13.0 |
13 |
0.00 |
| MADF |
7.0 |
2.9 |
4.1 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
36.0 |
64.0 |
| ERNS |
34.0 |
12.0 |
22.0 |
| DIRA |
0.00 |
0.00 |
0.00 |
| TRIM |
29.0 |
14.0 |
15.0 |
| ISLAND |
18.0 |
0.00 |
18.0 |
| MADF |
16.0 |
10.0 |
6.0 |
| SUSQ |
3.0 |
0.00 |
3.0 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
40.0 |
60.0 |
| DIRA |
0.20 |
0.20 |
0.00 |
| NITE |
39.6 |
10.8 |
28.8 |
| FISV |
12.4 |
10.6 |
1.8 |
| ISLAND |
12.4 |
1.4 |
11.0 |
| UCAP |
1.3 |
0.00 |
1.3 |
| HILL |
3.6 |
0.20 |
3.4 |
| MADF |
15.1 |
9.7 |
5.4 |
| SUSQ |
3.8 |
0.00 |
3.8 |
| BAMM |
10.3 |
5.8 |
4.5 |
| GSCO |
1.3 |
1.3 |
0.00 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
21.8 |
78.2 |
| AMEX |
41.0 |
21.2 |
19.8 |
| CBOE |
17.9 |
0.60 |
17.3 |
| ISE |
27.3 |
0.00 |
27.3 |
| PCSX |
5.9 |
0.00 |
5.9 |
| PHLX |
7.9 |
0.00 |
7.9 |
Order Routing Report Archives
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