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PRIME
EXECUTIONS
SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2013
Prime Executions has prepared this report pursuant to a
U.S. Securities and Exchange Commission rule requiring all brokerage firms to
make publicly available quarterly reports on their order routing practices.
The report provides information on the routing of "non-directed orders,
“that is, any order that the customer has not specifically instructed to be
routed to a particular venue [market center] for execution. For these
non-directed orders, Prime Executions has selected the execution venue on
behalf of its customers.
Prime Executions may participate in programs which result in its receipt of
remuneration, compensation, or other consideration for the placing of orders
with other broker-dealers, exchanges and market centers for execution.
Summary Statistics :
Non-directed orders as percentage of total customer orders
100%
Market orders as percentage of total non-directed orders 75%
Limit orders as percentage of total non-directed orders 25%
Information Concerning Significant Venues (EQUITIES):
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
89
|
65
|
35
|
|
KNIGHT
|
8
|
95
|
5
|
|
ARCA
|
1
|
90
|
10
|
|
NASDAQ
|
1
|
93
|
7
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
ARCA
|
81
|
30
|
70
|
|
NYSE
|
10
|
45
|
55
|
|
CITADEL
|
7
|
20
|
80
|
|
BLOOMBERG
|
1
|
0
|
100
|
|
KNIGHT
|
1
|
5
|
95
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
54
|
70
|
30
|
|
GS SIGMA
|
18
|
55
|
45
|
|
ARCA
|
10
|
50
|
50
|
|
KNIGHT
|
9
|
100
|
0
|
|
CITADEL
|
5
|
100
|
0
|
|
GOLDMAN
|
1
|
100
|
0
|
|
NASDAQ
|
1
|
55
|
45
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
76
|
80
|
20
|
|
KNIGHT
|
19
|
90
|
10
|
|
CITADEL
|
5
|
100
|
0
|
|