UNIONBANC INVESTMENT SERVICES P.O. BOX LOS ANGELES, CA SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending September 30, 2005

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1 Note: Broker-dealers are required to disclose any material arrangements with the venues listed in each section below, including, but not limited to, any internalization or payment for order flow arrangements. 070 UNIONBANC INVESTMENT SERVICES P.O. BOX LOS ANGELES, CA SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending September 30, 2005 Summary Statistics : Securities Listed on The New York Stock Exchange Non-directed orders as percentage of total customer orders % Market orders as percentage of total non-directed orders 62.04% Limit orders as percentage of total non-directed orders 32.15% Other orders as percentage of total non-directed orders 5.81% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. The Boston Stock Exchange 40.20% 2. Knight Capital Markets, L.L.C % 3. The New York Stock Exchange 15.34% 4. Madoff (Bernard L.) Investment Securities, L.L.C % 5. UBS Capital Markets L.P. 7.06% 6. The Chicago Stock Exchange 5.40% 7. Automated Trading Desk Financial Services, L.L.C. 3.11% 8. National Financial Services LLC 0.17% Information Concerning Significant Venues : 1. The Boston Stock Exchange Market orders as percentage of total market orders 44.34% Limit orders as percentage of total limit orders 36.22% Other orders as percentage of total other orders 18.00% 2. Knight Capital Markets, L.L.C. Market orders as percentage of total market orders 16.57% Limit orders as percentage of total limit orders 14.91% Other orders as percentage of total other orders 19.00% Page 1 of 8

2 3. The New York Stock Exchange Market orders as percentage of total market orders 12.97% Limit orders as percentage of total limit orders 20.14% Other orders as percentage of total other orders 14.00% 4. Madoff (Bernard L.) Investment Securities, L.L.C. Market orders as percentage of total market orders 13.95% Limit orders as percentage of total limit orders 10.48% Other orders as percentage of total other orders 9.00% 5. UBS Capital Markets L.P. Market orders as percentage of total market orders 4.35% Limit orders as percentage of total limit orders 7.86% Other orders as percentage of total other orders 31.50% 6. The Chicago Stock Exchange Market orders as percentage of total market orders 4.40% Limit orders as percentage of total limit orders 7.05% Other orders as percentage of total other orders 7.00% 7. Automated Trading Desk Financial Services, L.L.C. Market orders as percentage of total market orders 3.42% Limit orders as percentage of total limit orders 2.80% Other orders as percentage of total other orders 1.50% 8. National Financial Services LLC Market orders as percentage of total market orders 0.00% Limit orders as percentage of total limit orders 0.54% Page 2 of 8

3 Securities Listed on The Nasdaq Stock Market Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total non-directed orders 54.71% Limit orders as percentage of total non-directed orders 39.90% Other orders as percentage of total non-directed orders 5.39% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. National Financial Services LLC 75.59% 2. Knight Equity Markets, L.P % 3. UBS Capital Markets L.P. 8.87% 4. Morgan Stanley & Co. Incorporated 1.05% 5. Hudson Securities, Inc. 0.46% 6. Madoff (Bernard L.) Investment Securities, L.L.C. 0.41% 7. Brut, L.L.C. 0.32% 8. Automated Trading Desk Financial Services, L.L.C. 0.27% 9. BAMM 0.27% 10. Bear, Stearns & Co. Inc. 0.23% Information Concerning Significant Venues : 1. National Financial Services LLC Market orders as percentage of total market orders 79.03% Limit orders as percentage of total limit orders 72.28% Other orders as percentage of total other orders 65.25% 2. Knight Equity Markets, L.P. Market orders as percentage of total market orders 8.10% Limit orders as percentage of total limit orders 15.01% Other orders as percentage of total other orders 33.90% 3. UBS Capital Markets L.P. Market orders as percentage of total market orders 9.19% Limit orders as percentage of total limit orders 9.62% 4. Morgan Stanley & Co. Incorporated Market orders as percentage of total market orders 1.59% Limit orders as percentage of total limit orders 0.46% 5. Hudson Securities, Inc. Market orders as percentage of total market orders 0.67% Limit orders as percentage of total limit orders 0.23% Page 3 of 8

4 6. Madoff (Bernard L.) Investment Securities, L.L.C. 7. Brut, L.L.C. Market orders as percentage of total market orders 0.67% Limit orders as percentage of total limit orders 0.00% Other orders as percentage of total other orders 0.85% Market orders as percentage of total market orders 0.00% Limit orders as percentage of total limit orders 0.80% 8. Automated Trading Desk Financial Services, L.L.C. 9. BAMM Market orders as percentage of total market orders 0.33% Limit orders as percentage of total limit orders 0.23% Market orders as percentage of total market orders 0.08% Limit orders as percentage of total limit orders 0.57% 10. Bear, Stearns & Co. Inc. Market orders as percentage of total market orders 0.08% Limit orders as percentage of total limit orders 0.46% Page 4 of 8

5 Securities Listed on The American Stock Exchange or Regional Exchanges Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total non-directed orders 51.44% Limit orders as percentage of total non-directed orders 43.68% Other orders as percentage of total non-directed orders 4.88% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. The American Stock Exchang e 59.42% 2. The Chicago Stock Exchang e 17.52% 3. The Boston Stock Exchange 9.31% 4. Knight Capital Markets, L.L.C. 7.10% 5. UBS Capital Markets L.P. 5.99% 6. Archipelago Holdings, L.L.C. 0.67% Information Concerning Significant Venues : 1. The American Stock Exchange Market orders as percentage of total market orders 56.90% Limit orders as percentage of total limit orders 64.97% Other orders as percentage of total other orders 36.36% 2. The Chicago Stock Exchange Market orders as percentage of total market orders 15.09% Limit orders as percentage of total limit orders 19.80% Other orders as percentage of total other orders 22.73% 3. The Boston Stock Exchange Market orders as percentage of total market orders 14.22% Limit orders as percentage of total limit orders 3.05% Other orders as percentage of total other orders 13.64% 4. Knight Capital Markets, L.L.C. Market orders as percentage of total market orders 4.74% Limit orders as percentage of total limit orders 8.63% Other orders as percentage of total other orders 18.18% 5. UBS Capital Markets L.P. Market orders as percentage of total market orders 8.19% Limit orders as percentage of total limit orders 3.05% Other orders as percentage of total other orders 9.09% Page 5 of 8

6 6. Archipelago Holdings, L.L.C. Market orders as percentage of total market orders 0.86% Limit orders as percentage of total limit orders 0.51% Page 6 of 8

7 Exchange - Listed Options Summary Statistics : Non-directed orders as percentage of total customer orders % Market orders as percentage of total non-directed orders 55.76% Limit orders as percentage of total non-directed orders 44.24% Other orders as percentage of total non-directed orders 0.00% Venues Receiving Significant Percentage of Total Non-Directed Orders : 1. The Boston Option Exchange 50.30% 2. The Chicago Board Options Exchange 18.18% 3. The International Securities Exchange 16.36% 4. The Pacific Stock Exchange 9.09% 5. The Philadelphia Stock Exchange 2.42% 6. The American Stock Exchange 1.82% 7. Interactive Brokers L.L.C. 1.21% 8. KEXP 0.61% Information Concerning Significant Venues : 1. The Boston Option Exchange Market orders as percentage of total market orders 50.00% Limit orders as percentage of total limit orders 50.68% 2. The Chicago Board Options Exchange Market orders as percentage of total market orders 14.13% Limit orders as percentage of total limit orders 23.29% 3. The International Securities Exchange Market orders as percentage of total market orders 18.48% Limit orders as percentage of total limit orders 13.70% 4. The Pacific Stock Exchange Market orders as percentage of total market orders 9.78% Limit orders as percentage of total limit orders 8.22% 5. The Philadelphia Stock Exchange Market orders as percentage of total market orders 4.35% Limit orders as percentage of total limit orders 0.00% Page 7 of 8

8 6. The American Stock Exchange Market orders as percentage of total market orders 1.09% Limit orders as percentage of total limit orders 2.74% 7. Interactive Brokers L.L.C. 8. KEXP Market orders as percentage of total market orders 2.17% Limit orders as percentage of total limit orders 0.00% Market orders as percentage of total market orders 0.00% Limit orders as percentage of total limit orders 1.37% Page 8 of 8