TJM INVESTMENTS, LLC

SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2018

posted : October 31, 2018 – Optimal Applications, LLC

In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, TJM Investments LLC is publishing statistical information about our routing practices for non-directed orders in U.S. exchange-listed equity securities and options.

This report is divided into four sections: one for securities listed on the New York Stock Exchange LLC; one for securities listed on The Nasdaq Stock Market LLC; one for securities listed on the NYSE MKT, LLC or other regional exchanges and one for exchange-listed options. For each section, this report identifies the venues most often selected by the Firm, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of the Firm’s relationship with the venues.

Regardless of whether the orders were directed orders, TJM will disclose to the customer upon request, the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, and the time of the transactions, if any, that resulted from such orders. Singularly listed options directed to the floor of an Exchange are treated as Directed Orders for purposes of this report. Written copies of the firm’s order routing reports are available free of charge upon request. Please direct written report requests to 606requests@tjmbrokerage.com

TJM prepares two separate reports with respect to its Rule 606 reporting. One report is generated for its TJM Investments business (MPID: TJMI). This report includes options data.   A second report is generated for its NYSE Floor Brokerage business also known as MND Partners (MPID: MNDX).

Information Concerning Significant Venues (EQUITIES):

NASDAQ Listed Symbols

Non-Directed Orders as a Percentage of Total Customer Orders - 1%

Venue	% of non-directed orders	% of non-directed orders - Market	% of non-directed orders - Limit
Bank of America Merrill Lynch	67	0	100
Merrill, Pierce, Fenner& Smith	33	0	100

NYSE Listed Symbols

Non-Directed Orders as a Percentage of Total Customer Orders - 2%

Venue	% of non-directed orders	% of non-directed orders - Market	% of non-directed orders - Limit
Bank of America Merrill Lynch	66	2	98
Merrill, Pierce, Fenner& Smith	34	0	100

American Stock Exchange Listed Symbols

Non-Directed Orders as a Percentage of Total Customer Orders - 1%

Venue	% of non-directed orders	% of non-directed orders - Market	% of non-directed orders - Limit
Merrill, Pierce, Fenner& Smith	67	0	100
Bank of America Merrill Lynch	33	0	100

AMOE Listed Symbols

Non-Directed Orders as a Percentage of Total Customer Orders - 2%

Venue	% of non-directed orders	% of non-directed orders - Market	% of non-directed orders - Limit
Merrill, Pierce, Fenner& Smith	100	0	100

PCSE Listed Symbols

Non-Directed Orders as a Percentage of Total Customer Orders - <1%

Venue	% of non-directed orders	% of non-directed orders - Market	% of non-directed orders - Limit
Bank of America Merrill Lynch	100	0	100

Information Concerning Significant Venues (OPTIONS):

OPTIONS

Non-Directed Orders as a Percentage of Total Customer Orders 54%

Venue	% of non-directed orders	% of non-directed orders- Market	% of non-directed orders - Limit
Merrill, Pierce, Fenner& Smith	100	56	44