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Exhibit A - Example of Format for Rule 11Ac1-6 Quarterly ReportSample Firm, Inc.
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Summary Statistics: | ||
Non-directed orders as percentage of total customer orders | 86% | |
Market orders as percentage of total non-directed orders | 46% | |
Limit orders as percentage of total non-directed orders | 47% | |
Other orders as percentage of total non-directed orders | 7% |
Venues Receiving Significant Percentage of Total Non-Directed Orders: | |||
1. | Exchange A | 45% | |
2. | Market Maker A | 32% | |
3. | Market Maker B | 8% | |
4. | Exchange B | 4% | |
5. | ECN A | 3% |
Information Concerning Significant Venues: | ||||
1. | Exchange A
Types of Orders Routed to Venue: | |||
Market orders as percentage of total market orders | 24% | |||
Limit orders as percentage of total limit orders | 61% | |||
Other orders as percentage of total other orders | 91% | |||
Material Aspects of Relationship with Venue:
[discussion] | ||||
2. | Market Maker A
Types of Orders Routed to Venue: | |||
Market orders as percentage of total market orders | 57% | |||
Limit orders as percentage of total limit orders | 12% | |||
Other orders as percentage of total other orders | 5% | |||
Material Aspects of Relationship with Venue:
[discussion] | ||||
3. | Market Maker B
Types of Orders Routed to Venue: | |||
Market orders as percentage of total market orders | 13% | |||
Limit orders as percentage of total limit orders | -- | |||
Other orders as percentage of total other orders | -- | |||
Material Aspects of Relationship with Venue:
[discussion] | ||||
4. | Exchange B
Types of Orders Routed to Venue: | |||
Market orders as percentage of total market orders | 2% | |||
Limit orders as percentage of total limit orders | 6% | |||
Other orders as percentage of total other orders | 4% | |||
Material Aspects of Relationship with Venue:
[discussion] | ||||
5. | ECN A
Types of Orders Routed to Venue: | |||
Market orders as percentage of total market orders | -- | |||
Limit orders as percentage of total limit orders | 7% | |||
Other orders as percentage of total other orders | -- | |||
Material Aspects of Relationship with Venue:
[discussion] |
Securities Listed On The Nasdaq Stock Market
[same format as above]
Securities Listed on American Stock Exchange or Regional Exchanges
[same format as above]
Exchange-Listed Options
[same format as above]
http://www.sec.gov/interps/legal/mrslb13appxa.htm
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