SEC Rule 606 Report / ViewTrade / 1st Quater, 2007
(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)
Securities Listed on New York Stock Exchange
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) |
100 |
10 |
48 |
41 |
| Knight Capital Markets |
98 |
100 |
99 |
98 |
90% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) | 100 |
6 |
60 |
35 |
| UBS Securities LLC |
66 |
73 |
67 |
61 |
| Hudson Securities |
21 |
20 |
22 |
17 |
| Knight Equity Markets |
5 |
1 |
1 |
12 |
96% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) | 100 |
7 |
58 |
35 |
| Auto Trading Desk Fin Svc |
91 |
95 |
90 |
90 |
| Knight Capital Markets |
9 |
5 |
9 |
8 |
97% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) | 100 |
6 |
92 |
1 |
| Internat'l Secs Exch |
35 |
34 |
34 |
67 |
| Chicago Board OptionsExch |
27 |
28 |
27 |
11 |
| Philadelphia Exch |
19 |
9 |
19 |
22 |
| Pacific Stock Exch |
17 |
17 |
17 |
0 |
100% of total customer orders were non-directed orders.
ViewTrade's (VTDT Retail) order routing decisions are based on the principle of best execution.
The firm has no payment for order flow arrangements with these market centers.