SEC Rule 606 Report / ViewTrade / 1st Quarter, 2010
(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 (%) |
100.00 |
21.71 |
74.02 |
1.37 |
| Nasdaq OMX Group |
0.35 |
0.00 |
0.47 |
0.00 |
| UBS Securities, LLC |
3.35 |
4.85 |
3.03 |
4.31 |
| Knight Capital Markets |
93.40 |
95.15 |
96.50 |
95.69 |
| ViewTrade Securities, Inc. |
2.90 |
2.75 |
3.11 |
0.00 |
| Seton Securities |
0.10 |
0.12 |
0.09 |
0.00 |
99.65% of total customer orders were non-directed orders.
Securities Listed on American Stock Exchange or Regional Exchanges
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) |
100.00 |
13.65 |
84.18 |
1.57 |
| Nasdaq OMX Group |
0.20 |
0.00 |
0.23 |
0.00 |
| UBS Securities, LLC |
2.55 |
0.72 |
2.92 |
0.00 |
| Knight Capital Markets |
96.37 |
97.12 |
96.85 |
100.00 |
| ViewTrade Securities, Inc. |
0.88 |
2.16 |
0.70 |
0.00 |
99.80% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Route Venues | Total (%) | Market (%) | Limit (%) | Other (%) |
| Total (%) |
100.00 |
14.63 |
83.93 |
1.44 |
| UBS Securities, LLC |
2.88 |
2.66 |
2.95 |
1.18 |
| NASDAQ OMX Group |
0.17 |
0.12 |
0.18 |
0.00 |
| Knight Capital Markets |
94.32 |
94.21 |
94.27 |
98.82 |
| Seton Securities |
0.14 |
0.23 |
0.13 |
0.00 |
| ViewTrade Securities, Inc. |
2.48 |
2.78 |
2.47 |
0.00 |
99.69% of total customer orders were non-directed orders.
Exchange-Listed Options
| Route Venues | Total (%) | Limit (%) | Market (%) | Other (%) |
| AMEX |
9.71 |
64.00 |
32.00 |
4.00 |
| BOX |
0.60 |
58.82 |
41.18 |
0.00 |
| CBOE |
33.75 |
89.23 |
7.74 |
3.03 |
| ISE |
19.45 |
95.83 |
3.09 |
1.09 |
| NOM |
2.93 |
68.67 |
31.33 |
0.00 |
| PCX |
29.83 |
95.86 |
3.79 |
0.36 |
| PHLX |
3.74 |
54.72 |
41.51 |
3.77 |
100% of total customer orders were non-directed orders.
ViewTrade's order routing decisions are based on the principle of best execution.
The firm has no payment for order flow arrangements with these market centers.