SEC Rule 11Ac1-6 Report of Track Data Securities Non-directed Orders from 10/10/01 to 12/31/01 | |||||||
Percentage of Total Customer Orders that were Non-directed for each Section |
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Section |
Percentage |
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NASDAQ |
42.26% |
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NYSE |
36.03% |
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AMEX |
67.94% |
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OPTIONS |
77.66% |
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Percentage of Total Non-Directed Orders for a section per order type |
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Section |
Type of Order |
Percentage |
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NASDAQ |
Market |
30.79% |
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Limit |
65.60% |
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Other |
3.61% |
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NYSE |
Market |
41.42% |
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Limit |
53.23% |
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Other |
5.35% |
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AMEX |
Market |
19.52% |
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Limit |
78.05% |
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Other |
2.43% |
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Options |
Market |
13.33% |
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Limit |
86.65% |
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Other |
0.02% |
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Percentage of Non-directed orders for each venue in each section |
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Section |
Venue |
Percentage |
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NASDAQ |
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ISLD |
45.59% |
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NITE |
25.41% |
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HRZG |
10.81% |
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SLKC |
8.30% |
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ESAS |
4.13% |
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INCA |
1.73% |
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REDI |
0.99% |
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SOES |
0.92% |
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SCHB |
0.84% |
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ARCA |
0.69% |
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Other |
0.59% |
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NYSE |
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TMRK |
88.08% |
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HRZL |
7.33% |
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HRZG |
3.22% |
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ISLD |
0.81% |
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ABN |
0.26% |
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ABNL |
0.24% |
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ARCA |
0.06% |
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AMEX |
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ISLD |
49.93% |
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TMRK |
33.89% |
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ABN |
8.34% |
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HRZL |
3.16% |
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REDI |
1.52% |
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HRZG |
1.32% |
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ARCA |
1.22% |
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ABNL |
0.62% |
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Options |
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ABN |
68.72% |
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ABNO |
28.84% |
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ERNS |
2.38% |
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NITO |
0.06% |
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Percentage of Order Type by Venue |
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Type of Order |
Venue |
Percentage |
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Market Order |
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NITE |
26.51% |
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TMRK |
21.19% |
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HRZG |
15.64% |
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SLKC |
10.49% |
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ARCA |
8.10% |
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ESAS |
5.63% |
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REDI |
5.47% |
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ABN |
2.27% |
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HRZL |
2.09% |
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ABNO |
1.00% |
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(other venues) |
1.61% |
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Limit Order |
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ISLD |
49.36% |
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TMRK |
12.33% |
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ABN |
7.61% |
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NITE |
7.45% |
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ARCA |
4.22% |
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HRZG |
4.09% |
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ABNO |
2.87% |
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SLKC |
2.77% |
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REDI |
2.65% |
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INCA |
2.04% |
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(other venues) |
4.61% |
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Other |
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NITE |
61.07% |
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TMRK |
25.32% |
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HRZG |
6.02% |
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ISLD |
2.78% |
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HRZL |
0.83% |
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REDI |
0.75% |
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INCA |
0.62% |
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ARCA |
0.50% |
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SLKC |
0.42% |
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SCHB |
0.39% |
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(other venues) |
1.30% |
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Payment for order flow information: |
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Track Data Securities Corp. maintains the following payment for order flow arrangements: |
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NITE - standard rebate of 25% of spread for Nasdaq NMS and SmallCap securities orders of 2,000 shares or more |
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with a maximum of $0.01 per share. |
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HRZG - standard rebate of 25% of spread for Nasdaq NMS (or 5% of spread for Nasdaq SmallCap) securities orders |
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of 2,000 shares or more with a maximum of $0.01 per share. |
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