WEEDEN & CO. LP 145 MASON STREET GREENWICH, CT
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1 WEEDEN & CO. LP 145 MASON STREET GREENWICH, CT Regulation NMS - Rule 606 Disclosure of Order Routing Information For Quarter Ending December 31, 2015 Weeden & Co. LP ( Weeden ) 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 nondirected orders any order that the customer has not specifically instructed to be routing to a particular venue for execution. For these non-directed orders, Weeden has selected the execution venue on behalf of its customers. The report is divided into four sections: securities listed on the New York Stock Exchange Euronext ( NYSE ), securities listed on The Nasdaq Stock Market, Inc. ( Nasdaq ), securities listed on the NYSE Amex ( Amex ) or regional exchanges and Exchange-Listed Options. For each section, this report identifies the venues most often selected by Weeden, sets forth the percentage of various types of orders routed to the venues, and below Weeden discusses the material aspects of Weeden s relationship with all the venues. DISCUSSION Weeden makes a market in numerous NASDAQ listed securities and may internalize non-directed customer orders in such securities. Should Weeden internalize non-directed customer orders in those NASDAQ securities in which it makes a market, Weeden stands to share in up to 100% of the profits generated by trading as principal with these internalized customer orders. Weeden does not accept compensation for routing orders to any Broker or market maker nor does Weeden distribute payment for order flow to any such market venue. Weeden receives standard fee credits for placing liquidity orders with exchanges, ECNs and ATSs. Securities Listed on NYSE Non-directed orders as percentage of total customer orders 100%
2 1. NYSE Euronext 64% 2. Nasdaq OMX Group 10% 3. ITG Inc 6% 4. BATS Trading Inc. 6% 5. Weeden & Co. L.P. 4% Information Concerning Significant Venues: 1. NYSE Euronext 2. Nasdaq OMX Group. 3. ITG, Inc. 4. BATS Trading Inc. 5. Weeden & Co. L.P.
3 Securities Listed on Nasdaq Non-Directed orders as percentage of total customer orders 100% 1. NASDAQ OMX Group 62% 2. BATS Trading Inc. 9% 3. ITG, Inc. 7% 4. NYSE Euronext 5% 5. Weeden & Co. L.P 4% 6. Knight Capital Markets L.L.C. 3% Information Concerning Significant Venues: 1. NASDAQ OMX Group 2. BATS Trading Inc. 3. ITG, Inc. 4. NYSE Euronext
4 5. Weeden & Co. L.P. 6. Knight Capital Markets L.L.C Securities Listed on Amex Non-Directed orders as percentage of total customer orders 100% 1. NYSE Euronext 33% 2. NASDAQ OMX Group 32% 3. ITG Inc. 13% 4. BATS Trading Inc. 7% 5. UBS Securities LLC 4% 6. Direct Edge ECN LLC 3% Information Concerning Significant Venues: 1. NYSE Euronext 2. NASDAQ OMX Group
5 3. ITG, Inc. 4. BATS Trading Inc. 5. UBS Securities LLC 6. Direct Edge ECN LLC. Exchange-Listed Options Non-Directed orders as percentage of total customer orders 100% 1. Dash Financial 71% 2. Chicago Board of Options 29% 1. Dash Financial
6 2. Chicago Board of Options Exchange
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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.
UNIONBANC INVESTMENT SERVICES PO BOX 513100 LOS ANGELES, CA 90051-1100. SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2007
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.
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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.
UNIONBANC INVESTMENT SERVICES P.O. BOX 513100 LOS ANGELES, CA 90051-1100. SEC Rule 11Ac1-6, Quarterly Report for the Quarter Ending September 30, 2005
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.
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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.
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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.
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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.
TR1 TRIAD ADVISORS INC. 5185 PEACHTREE PARKWAY SUITE 280 NORCROSS GA 30092. SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2008
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