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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4th 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% |
27.8 |
72.2 |
| NYSE |
63.0% |
13.9 |
49.1 |
| TRIM |
1.4% |
0.0 |
1.4 |
| FISV |
12.5% |
8.2 |
4.3 |
| ARCA |
21.6% |
5.7 |
15.9 |
| LSCI |
1.5% |
0.0 |
1.5 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
10.7 |
89.3 |
| ERNS |
9.0% |
3.6 |
5.4 |
| AMEX |
55.4% |
5.4 |
50.0 |
| INET |
12.5% |
0.0 |
12.5 |
| ARCA |
17.9% |
0.0 |
17.9 |
| LSCI |
3.6% |
0.0 |
3.6 |
| FISV |
1.6% |
1.6% |
0.0 |
Securities Listed on the NASDAQ
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
35.0 |
65.0 |
| ARCA |
68.2% |
27.9 |
40.3 |
| NITE |
13.0% |
2.1 |
10.9 |
| INET |
1.1% |
0.0 |
1.1 |
| UCAP |
4.2% |
0.0 |
4.2 |
| CICF |
1.3% |
0.0 |
1.3 |
| FISV |
4.2% |
4.2 |
0.0 |
| LSCI |
4.5% |
0.0 |
4.5 |
| DATK |
2.4% |
0.0 |
2.4 |
| BRUT |
1.1% |
0.0 |
1.1 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
10.9% |
0.0 |
10.9 |
| CBOE |
32.1% |
0.0 |
32.1 |
| ISE |
42.3% |
0.0 |
42.3 |
| PCSX |
9.6% |
0.0 |
9.6 |
| PHLX |
4.4% |
0.0 |
4.4 |
| BOXX |
0.7% |
0.0 |
0.7 |
Order Routing Report Archives
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