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SEC Rule 11Ac1-6 Report for the Quarter Ending December 31, 2011
Securities Listed on The American Stock Exchange or Regional Exchanges

   

Summary Statistics:

 

Non-directed orders as percentage of total customer orders

100.00%

Market orders as percentage of total non-directed orders

69.23%

Limit orders as percentage of total non-directed orders

0.00%

Other orders as percentage of total non-directed orders

30.77%

 

 

Venues Receiving Significant Percentage of Total Non-Directed Orders:

1. The Chicago Stock Exchange

0.00%

2. Citadel Derivatives Group, L.L.C.

0.00%

3. The American Stock Exchange

0.00%

4. Archipelago Trading Services, Inc.

0.00%

5. Knight Capital Markets, L.L.C.

84.62%

6. UBS Securities, L.L.C.

7.69%

7. Automated Trading Desk Financial Services, L.L.C.

0.00%

8. BATS Trading, Inc.

0.00%

9. GETCO Execution Services, L.L.C.

0.00%

10. National Financial Services, L.L.C.

7.69%

   

Information Concerning Significant Venues:

 

1. The Chicago Stock Exchange

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

2. The American Stock Exchange Clearing L.L.C./ASE

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

3. Knight Capital Markets, L.L.C.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

77.78%

 

Other orders as percentage of total other orders

0.00%

 

Limit orders as percentage of total limit orders

100.00%

 

4. Citadel Derivatives Group, L.L.C.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

   

5. Archipelago Trading Services, Inc.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

6. UBS Securities, L.L.C.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

11.11%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

7. Automated Trading Desk Financial Services, L.L.C.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

8. BATS Trading, Inc.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

9. National Financial Services, L.L.C.

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

11.11%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

 

9. Unknown

 

 

Types of Orders Routed to Venue:

 

 

Market orders as percentage of total market orders

0.00%

 

Limit orders as percentage of total limit orders

0.00%

 

Other orders as percentage of total other orders

0.00%

   

 
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Clarendon® Securities, Inc., a division of GIT Investment Services, Inc.
Member of Financial Industry Regulatory Authority (FINRA) and
Securities Investor Protection Corporation (SIPC).
updated 01/12/2012
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