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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4th 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 |
30.5 |
69.5 |
| NYSE |
57.1 |
22.2 |
34.9 |
| TRIM |
13.2 |
5.9 |
7.3 |
| MADF |
3.2 |
1.3 |
1.9 |
| ARCA |
26.5 |
1.4 |
25.1 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
5.00 |
95.0 |
| ERNS |
8.8 |
0.00 |
8.8 |
| ASE |
11.3 |
0.00 |
11.3 |
| INET |
47.5 |
2.5 |
45.0 |
| ARCA |
25.0 |
2.5 |
22.5 |
| MADF |
6.3 |
0.00 |
6.3 |
| GNET |
1.1 |
0.00 |
1.1 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
6.60 |
93.4 |
| ARCA |
21.2 |
5.7 |
15.5 |
| NITE |
27.14 |
0.24 |
26.9 |
| INET |
9.6 |
0.00 |
9.6 |
| UCAP |
13.4 |
0.00 |
13.4 |
| MADF |
0.59 |
0.59 |
0.00 |
| SOES |
3.00 |
0.00 |
3.00 |
| BRUT |
0.89 |
0.00 |
0.89 |
| LSCI |
0.89 |
0.00 |
0.89 |
| GNET |
22.7 |
0.00 |
22.7 |
| DATK |
0.59 |
0.00 |
0.59 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100.0 |
0.00 |
100.0 |
| AMEX |
8.8 |
0.00 |
8.8 |
| CBOE |
20.2 |
0.00 |
20.2 |
| ISE |
61.4 |
0.00 |
61.4 |
| PCSX |
2.6 |
0.00 |
2.6 |
| PHLX |
7.00 |
0.00 |
7.00 |
Order Routing Report Archives
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