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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
4th Quarter, 2007
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
28.9 |
71.1 |
| NYSE |
49.2 |
11.9 |
37.3 |
| TRIM |
24.3 |
8.4 |
15.9 |
| ARCA |
8.4 |
0.0 |
8.4 |
| INET |
14.2 |
4.7 |
9.5 |
| NITE |
3.9 |
3.9 |
0.0 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
27.3 |
72.7 |
| AMEX |
29.0 |
8.0 |
21.0 |
| ARCA |
37.3 |
12.0 |
25.3 |
| TRIM |
18.3 |
7.3 |
11.0 |
| EDGX |
6.1 |
0.0 |
6.1 |
| INET |
9.3 |
0.0 |
9.3 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
10.4 |
89.6 |
| ARCA |
27.8 |
3.6 |
24.2 |
| NITE |
26.1 |
0.0 |
26.1 |
| INET |
39.3 |
6.8 |
32.5 |
| CICF |
2.9 |
0.0 |
2.9 |
| LSCI |
1.9 |
0.0 |
1.9 |
| EDGX |
2.0 |
0.0 |
2.0 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.0 |
| AMEX |
3.3 |
0.0 |
3.3 |
| CBOE |
37.8 |
0.0 |
37.8 |
| ISE |
39.2 |
0.0 |
39.2 |
| PCSX |
5.4 |
0.0 |
5.4 |
| PHLX |
8.7 |
0.0 |
8.7 |
| BOXX |
5.6 |
0.0 |
5.6 |
Order Routing Report Archives
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