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SEC Rule 11Ac1-6 Report-Securities & Investment Planning Company
1st Quarter, 2008
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on the NYSE
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
16.5 |
83.5 |
| NYSE |
72.9 |
12.5 |
60.4 |
| TRIM |
8.6 |
3.4 |
5.2 |
| ARCA |
7.1 |
0.0 |
7.1 |
| INET |
10.3 |
0.0 |
10.3 |
| LSCI |
1.1 |
0.0 |
1.1 |
Securities Listed on the AMEX
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
30.6 |
69.4 |
| AMEX |
37.2 |
14.9 |
22.3 |
| ARCA |
30.6 |
9.1 |
21.5 |
| TRIM |
18.2 |
6.6 |
11.6 |
| INET |
10.7 |
0.0 |
10.7 |
| LSCI |
3.3 |
0.0 |
3.3 |
Securities Listed on the NASDAQ/OTCBB
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
14.8 |
85.2 |
| ARCA |
15.2 |
0.0 |
15.2 |
| NITE |
18.2 |
4.6 |
13.6 |
| INET |
58.0 |
10.2 |
47.8 |
| CICF |
6.2 |
0.0 |
6.2
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| LSCI |
2.4 |
0.0 |
2.4 |
Exchange Listed Options
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
| Total (%) |
100% |
0.0 |
100.00 |
| AMEX |
2.1 |
0.0 |
2.1 |
| CBOE |
23.4 |
0.0 |
23.4 |
| ISE |
26.6 |
0.0 |
26.6 |
| PCSX |
32.5 |
0.0 |
32.5 |
| PHLX |
12.6 |
0.0 |
12.6 |
| BOXX |
2.8 |
0.0 |
2.8 |
Order Routing Report Archives
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