Time period: Quarter Ending December 31, 2016
Securities Listed on the New York Stock Exchange Euronext

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 16.81 81.86 1.34
Pershing LLC (PERX) 59.16 41.14 62.22 97.86
KCG Americas LLC (DTTX) 18.87 15.19 19.94 0
Bloomberg Tradebook LLC, (BOOK) 12.03 0 14.69 0.76
Alternet Securities, Inc. (ALTX) 7.77 40.36 1.2 0
E & J Securities, Corp (EANJ) 1.7 2.29 1.59 1.37
Nasdaq Execution Services (NSDQ-TRF-FBNW)  0.2 0 0.24 0
Fog Equities, LLC (FOGS) 0.15 0.9 0 0
Farina & Associates, Inc. (FARA) 0.06 0 0.07 0
Instinet, Inc. (INET) 0.03 0 0.04 0
Chicago Stock Exchange (MWSE) 0.02 0.11 0 0

 

Time period: Quarter Ending December 31, 2016
Securities Listed on the Nasdaq Stock Market

Route Venue Total Orders % Market Orders % Limit Orders % Other Others %
TOTAL 100 10.06 88.94 1.0
Pershing LLC (PERX) 56.07 56.6 55.79 75.38
KCG Americas LLC (DTTX) 21.72 14.9 22.73 0.3
Bloomberg Tradebook LLC, (BOOK) 17.25 0 19.4 0.08
Alternet Securities, Inc. (ALTX) 3.88 27.75 1.23 0
Nasdaq (NSDQ)  0.57 0.28 0.33 24.24
E & J Securities, Corp (EANJ)  0.14 0 0.16 0
Instinet, Inc. (INET) 0.13 0 0.14 0
Fog Equities, LLC (FOGS) 0.1 0.08 0.11 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 0.1 0 0.11 0
Farina & Associates, Inc. (FARA) 0.04 0.39 0 0

 

Time period: Quarter Ending December 31, 2016
Securities Listed on the New York Stock Amex or Regional Exchanges

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 10.51 83.02 6.48
Pershing LLC (PERX) 75.42 80.08 73.68 90.13
Bloomberg Tradebook LLC, (BOOK) 18.55 0 21.63 9.09
KCG Americas LLC (DTTX) 4.31 12.13 3.6 0.78
Alternet Securities, Inc. (ALTX) 1.03 7.79 0.26 0
E & J Securities, Corp (EANJ)  0.69 0 0.83 0

 

Time period: Quarter Ending December 31, 2016
Exchange-Listed Options

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 0.00 76.62 23.38
International Securities Exchange, LLC (ISE)  48.59 0 46.32 56.02
NYSE Market LLC (AMEX) 11.55 0 9.56 18.07
TRAFIX LLC 11.41 0 14.15 2.41
Nasdaq OMX PHLX (PHLX) 10.70 0 8.64 17.47
Knight Options  9.30 0 12.13 0.00
Redi Global Technologies LLC (REDI) 5.63 0 7.35 0.00
New York Stock Exchange/Archipelago Holdings (PSE) 1.97 0 0.74 6.02
GEMINI 0.70 0 0.92 0
Chicago Board Option Exchange (CBOE) 0.14 0 0.18 0

 

Time period: Quarter Ending September 30, 2016
Securities Listed on the New York Stock Exchange Euronext

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 16.66 82.15 1.19
Pershing LLC (PERX) 47.14 47.54 46.34 96.75
KCG Americas LLC (DTTX) 23.75 9.16 27.06 0
Bloomberg Tradebook LLC, (BOOK) 16.89 0 20.55 0.29
Alternet Securities, Inc. (ALTX) 7.51 29.93 3.07 0
E & J Securities, Corp (EANJ) 2.23 4.34 1.79 2.96
Fog Equities, LLC (FOGS) 1.5 8.9 0.02 0
Nasdaq Execution Services (NSDQ-TRF-FBNW)  0.83 0 1.02 0
 Instinet, Inc. (INET) 0.08 0 0.1 0
Nasdaq (NSDQ) 0.04 0 0.05 0
Quatro M. Securities Inc. (QMSR) 0.02 0.12 0 0

 

Time period: Quarter Ending September 30, 2016
Securities Listed on the Nasdaq Stock Market

Route Venue Total Orders % Market Orders % Limit Orders % Other Others %
TOTAL 100 16.96 82.31 0.74
Pershing LLC (PERX) 46.71 19.82 52.36 34.23
KCG Americas LLC (DTTX) 19.93 13.38 21.45 0
Alternet Securities, Inc. (ALTX) 12.74 65.56 1.98 0
Bloomberg Tradebook LLC, (BOOK) 11.98 0 14.55 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 4.83 0 5.86 0
Instinet, Inc. (INET) 2.17 0 2.64 0
Nasdaq (NSDQ) 1.49 0.35 1.15 65.77
Fog Equities, LLC (FOGS) 0.15 0.89 0 0
E & J Securities, Corp (EANJ) 0.01 0 0.01 0

 

Time period: Quarter Ending September 30, 2016
Securities Listed on the New York Stock Amex or Regional Exchanges

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 19.79 80.16 0.06
Pershing LLC (PERX) 62.8 70.28 61 0
Bloomberg Tradebook LLC, (BOOK) 21.31 0 26.59 0
KCG Americas LLC (DTTX) 11.79 29.72 7.3 100
Alternet Securities, Inc. (ALTX) 3.03 0 3.78 0
Instinet, Inc. (INET) 0.61 0 0.76 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 0.46 0 0.57 0

 

Time period: Quarter Ending September 30, 2016
Exchange-Listed Options

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 1.62% 65.97% 32.41%
International Securities Exchange, LLC (ISE)  49.19 64.29 41.75 63.57
Knight Options 13.31 0 19.65 1.07
NYSE Market LLC (AMEX) 11.92 0 13.51 9.29
Nasdaq OMX PHLX (PHLX) 11.11 0 9.65 14.64
Redi Global Technologies LLC (REDI) 8.1 35.71 10.88 1.07
Pacific Coast Exchange (PCOAST) 4.05 0 3.16 6.07
New York Stock Exchange/Archipelago Holdings (PSE) 1.74 0 0.53 4.29
Gemini 0.58 0 0.87 0

 

Time period: Quarter Ending June 30, 2016
Securities Listed on the New York Stock Exchange Euronext
Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 16.92 82.49 0.59
Pershing LLC (PERX) 37.28 33.14 37.69 98.35
KCG Americas LLC (DTTX) 29.24 27.12 29.88 0
Bloomberg Tradebook LLC, (BOOK) 19.34 0 23.43 1.65
Alternet Securities, Inc. (ALTX) 8.61 37.33 2.77 0
E & J Securities, Corp (EANJ) 3 1.85 3.26 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 1.66 0 2.01 0
Instinet, Inc. (INET) 0.71 0 0.87 0
Fog Equities, LLC (FOGS) 0.11 0.4 0.05 0
Empire Executions, Inc. (ECKH) 0.04 0.08 0.03 0
Quatro M. Securities Inc. (QMSR) 0.02 0.07 0.01 0

 

Time period: Quarter Ending June 30, 2016
Securities Listed on the Nasdaq Stock Market

Route Venue Total Orders % Market Orders % Limit Orders % Other Others %
TOTAL 100 13.02 85.64 1.34
Pershing LLC (PERX) 42.47 37.5 43.06 52.82
KCG Americas LLC (DTTX) 24.72 24.38 25.16 0
Bloomberg Tradebook LLC, (BOOK) 20.95 0 24.45 1.18
Alternet Securities, Inc. (ALTX) 7.82 37.24 3.47 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 2.09 0 2.44 0
Nasdaq (NSDQ) 1.56 0.59 1.01 46.01
Instinet, Inc. (INET) 0.33 0 0.39 0
Fog Equities, LLC (FOGS) 0.03 0.03 0.03 0
Empire Executions, Inc. (ECKH) 0.03 0.24 0 0

 

Time period: Quarter Ending June 30, 2016
Securities Listed on the New York Stock Amex or Regional Exchanges

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 16.33 83.37 0.3
Pershing LLC (PERX) 50.28 72.25 46.07 26.47
KCG Americas LLC (DTTX) 31.9 27.75 32.56 73.53
Bloomberg Tradebook LLC, (BOOK) 15.07 0 18.08 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 1.96 0 2.35 0
Instinet, Inc. (INET) 0.73 0 0.88 0
Alternet Securities, Inc. (ALTX) 0.06 0 0.07 0

 

Time period: Quarter Ending June 30, 2016
Exchange-Listed Options

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 2.21% 82.06% 15.72%
International Securities Exchange, LLC (ISE) 41.40% 61.11% 36.83% 62.50%
Knight Options 26.54% 22.22% 31.59% 0.78%
Nasdaq OMX PHLX (PHLX) 10.44% 11.11% 9.28% 16.41%
NYSE Market LLC (AMEX) 8.61% 0% 7.63% 14.84%
New York Stock Exchange/Archipelago Holdings (PSE) 8.11% 0% 9.28% 3.13%
Redi Global Technologies LLC (REDI) 4.18% 6% 4.79% 0.78%
Pacific Coast Exchange (PCOAST) 0.49% 0% 0.30% 1.56%
Chicago Board Options Exchange (CBOE) 0.25% 0% 0.30% 0.00%

 

100% of total customer orders were non-directed orders

Securities Listed on the New York Stock Exchange Euronext

Time period: January 1, 2016 to March 31, 2016

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 24.12 74 1.88
Pershing LLC (PERX) 49.52 22.92 56.91 100
Alternet Securities, Inc. (ALTX) 17.89 65.75 2.74 0
Knight Capital Group (DTTX) 14.77 9.42 16.89 0
Bloomberg Tradebook LLC (BOOK) 14.19 0 19.18 0
E & J Securities, Corp (EANJ) 2.03 1.85 2.14 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 1.16 0 1.56 0
Instinet, Inc. (INET) 0.24 0 0.32 0
Nasdaq Execution Services (NSDQ) 0.1 0 0.13 0
Empire Executions, Inc. (ECKH) 0.08 0.07 0.09 0
Farina & Associates Inc. (FARA) 0.01 0 0.02 0
Quatro M. Securities Inc. (QMSR) 0.01 0 0.01 0

 

100% of total customer orders were non-directed orders

Securities Listed on the Nasdaq Stock Market

Time period: January 1, 2016 to March 31, 2016

Route Venue Total Orders % Market Orders % Limit Orders % Other Others %
TOTAL 100 10.27 88.47 1.26
Pershing LLC (PERX) 46.86 35.66 47.8 72.31
KCG Americas LLC (DTTX) 25.8 14.97 27.43 0.03
Bloomberg Tradebook LLC, (BOOK) 15.67 0.01 17.72 0
Alternet Securities, Inc. (ALTX) 9.57 48.94 5.13 0
Nasdaq Execution Services (NSDQ-TRF-FBNW) 1.19 0 1.34 0
Nasdaq Execution Services (NSDQ) 0.68 0.41 0.33 27.67
Instinet, Inc. (INET) 0.22 0 0.25 0
E & J Securities, Corp. (EANJ) 0 0.01 0 0

 

100% of total customer orders were non-directed orders.

Securities Listed on the New York Stock Amex or Regional Exchanges

Time period: January 1, 2016 to March 31, 2016

Route Venue Total Orders % Market Orders % Limit Orders % Other Orders %
TOTAL 100 21.52 76.69 1.79
Pershing LLC (PERX) 75.34 94.48 69.48 95.94
Bloomberg Tradebook LLC, (BOOK) 16.54 0 21.57 0
Alternet Securities, Inc. (ALTX) 4.1 0 5.34 0
KCG Americas LLC (DTTX) 3.8 5.52 3.32 4.06
Nasdaq Execution Services (NSDQ-TRF-FBNW) 0.13 0 0.16 0
Instinet, Inc. (INET) 0.06 0 0.08 0
E & J Securities, Corp. (EANJ) 0.03 0 0.05 0

 

100% of total customer orders were non-directed orders.

Exchange-Listed Options

Time period: January 1, 2016 to March 31, 2016

Route Venue Total Oredrs % Market Orders % Limit Orders % Other Orders %
TOTAL 100% 0% 79.24% 20.76%
International Securities Exchange, LLC (ISE) 47.70% 0% 41.69% 70.67%
Knight Options 19.96% 0% 25.19% 0.00%
NYSE Market LLC (AMEX) 12.08% 0% 9.70% 21.15%
Nasdaq OMX PHLX (PHLX) 10.18% 0% 10.96% 7.21%
NYSE Arca Options (PCX) 8.98% 0% 11.34% 0.00%
Chicago Board Options Exchange (CBOE) 1.10% 0% 1.13% 0.96%

 

100% of total customer orders were non-directed orders.

Material Aspects of Relationships with Routed Venues.

For Prior Years and Quarters click here