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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4th 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% |
37.2 |
62.8 |
| NYSE |
39.3 |
18.9 |
20.4 |
| TRIM |
27.4 |
8.6 |
18.8 |
| BRUT |
8.5 |
2.1 |
6.4 |
| ARCA |
18.4 |
3.5 |
14.9 |
| NFSC |
2.9 |
2.9 |
0.0 |
| INET |
1.2 |
0.0 |
1.2 |
| LSCI |
2.3 |
1.2 |
1.1 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
18.6 |
81.4 |
| AMEX |
31.0 |
5.2 |
25.8 |
| BRUT |
7.3 |
2.2 |
5.1 |
| ARCA |
16.5 |
2.8 |
13.7 |
| TRIM |
45.2 |
8.4 |
36.8 |
| NFSC |
0.0 |
0.0 |
0.0 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
23.7 |
76.3 |
| ARCA |
38.8 |
8.9 |
29.9 |
| NITE |
27.5 |
6.2 |
21.3 |
| INET |
16.5 |
3.8 |
12.7 |
| CICF |
2.4 |
0.0 |
2.4 |
| LSCI |
2.9 |
0.0 |
2.9 |
| BRUT |
8.0 |
2.2 |
5.8 |
| NFSC |
3.9 |
2.6 |
1.3 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
3.4 |
0.0 |
3.4 |
| CBOE |
27.1 |
0.0 |
27.1 |
| ISE |
48.9 |
0.0 |
48.9 |
| PCSX |
5.6 |
0.0 |
5.6 |
| PHLX |
13.3 |
0.0 |
13.3 |
| BOXX |
1.7 |
0.0 |
1.7 |
Order Routing Report Archives
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