SEC Rule 606 Report - GunnAllen Financial, Inc. - 2nd Qtr, 2008
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange |
| |
Publicly Posted Percentages |
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
62 |
17 |
21 |
| Citadel Derivatives Group |
78 |
84 |
80 |
57 |
| Pershing, LLC |
8 |
6 |
1 |
22 |
| UBS Securities LLC |
4 |
2 |
7 |
5 |
| Bernard L. Madoff |
2 |
2 |
3 |
1 |
| 100% of total customer orders were non-directed orders. |
Securities Listed on The Nasdaq Stock Market |
| |
Publicly Posted Percentages |
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
47 |
28 |
25 |
| Citadel Derivatives Group |
63 |
86 |
35 |
51 |
| Inet ATS, Inc. |
14 |
1 |
40 |
9 |
| Pershing, LLC |
6 |
4 |
5 |
11 |
| UBS Securities LLC |
5 |
3 |
6 |
10 |
| Knight Equity Markets |
5 |
3 |
5 |
10 |
| 100% of total customer orders were non-directed orders. |
Securities Listed on American Stock Exchange or Regional Exchanges |
| |
Publicly Posted Percentages |
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
41 |
37 |
23 |
| Citadel Derivatives Group |
70 |
87 |
59 |
55 |
| American Stock Exchange |
12 |
5 |
21 |
9 |
| UBS Securities LLC |
8 |
4 |
11 |
13 |
| Knight Equity Markets |
5 |
3 |
2 |
14 |
| 100% of total customer orders were non-directed orders. |
Exchange-Listed Options |
| |
Publicly Posted Percentages |
| Route Venues |
Total (%) |
Market (%) |
Limit (%) |
Other (%) |
| Total (%) |
100 |
14 |
84 |
2 |
| Chicago Board OptionsExch |
33 |
28 |
33 |
95 |
| Internat'l Secs Exch |
31 |
40 |
30 |
2 |
| Philadelphia Exch |
27 |
24 |
28 |
1 |
| Archipelago Exchange |
7 |
5 |
7 |
2 |
| 100% of total customer orders were non-directed orders. |
INET ATS
GunnAllen Financial Inc. receives payment from the INET ATS for orders that add liquidity to the INET ATS and are subsequently executed. The rate for adding liquidity for the period of review was $0.002 per share. GunnAllen Financial Inc. is charged for removing liquidity from the INET ATS. The rate for the period of review was $0.0030 per share. |
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