Quarterly Order Routing Report SEC Rule 606 [Formerly Rule 11AC1-6]
OptionsHouse, LLC has prepared this report pursuant to a US Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports describing their order routing practices. The report provides information on the routing of non-directed orders (any order that the customer has not specifically instructed to be routed to a particular venue for execution). For non-directed orders, OptionsHouse will determine the execution venues for its customers.
The reports are broken down into 4 sections: 1) NYSE equities 2) NASDAQ equities 3) Amex or regional exchange traded equities 4) exchange listed options. Each section will show non-directed orders as a percentage of total customer orders, market orders as a percentage of non-directed orders, and limit orders as a percentage of non-directed orders. Each section will address material relationships with each venue to which trades are routed.
Click a report to view it.
| 2008 |
March 31
June 30
September 30
|
| 2007 |
March 31
June 30
September 30
December 31
|
| 2006 |
September 30
December 31
|
September 30, 2008
| AMEX/Other Stock |
| TOTAL | 100% | 33% | 66% |
| AMEX | 100% | 49% | 51% |
| ARCA | 100% | 0% | 100% |
| ARCX | 100% | 51% | 48% |
| ATD | 100% | 0% | 100% |
| BOX | 100% | 49% | 51% |
| CBOE | 100% | 56% | 43% |
| ISE | 100% | 48% | 52% |
| NYFX | 100% | 0% | 100% |
| NYSE | 100% | 0% | 100% |
| PHLX | 100% | 49% | 50% |
| SBSH | 100% | 13% | 85% |
| SIGMA | 100% | 0% | 100% |
| TRIM | 100% | 0% | 100% |
|
| NASDAQ |
| TOTAL | 100% | 13% | 86% |
| AMEX | 100% | 25% | 75% |
| ARCA | 100% | 0% | 100% |
| ARCX | 100% | 24% | 74% |
| AT | 100% | 0% | 100% |
| ATD | 100% | 0% | 100% |
| BOX | 100% | 17% | 81% |
| CBOE | 100% | 21% | 78% |
| CITADEL | 100% | 0% | 100% |
| ISE | 100% | 19% | 80% |
| NITE | 100% | 0% | 100% |
| PHLX | 100% | 21% | 78% |
| SBSH | 100% | 7% | 92% |
| SIGMA | 100% | 0% | 100% |
|
| NYSE |
| TOTAL | 100% | 21% | 78% |
| AMEX | 100% | 29% | 71% |
| ARCA | 100% | 0% | 100% |
| ARCX | 100% | 30% | 69% |
| ATD | 100% | 0% | 100% |
| BOX | 100% | 31% | 69% |
| CBOE | 100% | 35% | 64% |
| ISE | 100% | 23% | 77% |
| NYSE | 100% | 0% | 100% |
| PHLX | 100% | 27% | 73% |
| SBSH | 100% | 12% | 86% |
| SIGMA | 100% | 0% | 100% |
|
| Exchange-Listed Options |
| TOTAL | 100% | 12% | 87% |
| AMEX | 100% | 22% | 77% |
| ARCX | 100% | 17% | 83% |
| ATD | 100% | 0% | 100% |
| BOX | 100% | 23% | 76% |
| CBOE | 100% | 13% | 87% |
| CITADEL | 100% | 0% | 100% |
| CITI | 100% | 0% | 100% |
| ISE | 100% | 7% | 93% |
| NOM | 100% | 17% | 83% |
| NYFX | 100% | 0% | 100% |
| PEAK6 | 100% | 7% | 93% |
| PHLX | 100% | 15% | 84% |
| PSE | 100% | 0% | 100% |
| SBSH | 100% | 0% | 100% |
| SIGM | 100% | 0% | 100% |
| SIGMA | 100% | 0% | 100% |
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June 30, 2008
| AMEX/Other Stock |
| TOTAL | 100% | 23% | 76% |
| AMEX | 100% | 42% | 57% |
| ARCX | 100% | 41% | 58% |
| BOX | 100% | 47% | 52% |
| CBOE | 100% | 38% | 61% |
| ISE | 100% | 34% | 66% |
| PHLX | 100% | 33% | 65% |
| SBSH | 100% | 11% | 88% |
|
| NASDAQ |
| TOTAL | 100% | 21% | 79% |
| AMEX | 100% | 33% | 67% |
| ARCX | 100% | 29% | 70% |
| BOX | 100% | 32% | 68% |
| CBOE | 100% | 38% | 61% |
| ISE | 100% | 28% | 70% |
| PENSON | 100% | 0% | 33% |
| PHLX | 100% | 30% | 70% |
| SBSH | 100% | 13% | 87% |
|
| NYSE |
| TOTAL | 100% | 33% | 67% |
| AMEX | 100% | 52% | 48% |
| ARCX | 100% | 42% | 57% |
| BOX | 100% | 54% | 45% |
| CBOE | 100% | 46% | 54% |
| ISE | 100% | 37% | 63% |
| PHLX | 100% | 48% | 52% |
| SBSH | 100% | 12% | 87% |
|
| Exchange-Listed Options |
| TOTAL | 100% | 14% | 85% |
| AMEX | 100% | 26% | 74% |
| ARCX | 100% | 19% | 80% |
| BOX | 100% | 25% | 74% |
| CBOE | 100% | 15% | 84% |
| ISE | 100% | 7% | 92% |
| NOM | 100% | 20% | 80% |
| PHLX | 100% | 17% | 82% |
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March 31, 2008
| NASDAQ |
| TOTAL | 100% | 10% | 88% |
| AMEX | 100% | 23% | 77% |
| ARCX | 100% | 29% | 71% |
| BOX | 100% | 32% | 66% |
| CBOE | 100% | 31% | 69% |
| ISE | 100% | 17% | 83% |
| PENSON | 100% | 0% | 0% |
| PHLX | 100% | 48% | 51% |
| SBSH | 100% | 8% | 90% |
|
| NYSE |
| TOTAL | 100% | 15% | 85% |
| AMEX | 100% | 32% | 68% |
| ARCX | 100% | 19% | 81% |
| BOX | 100% | 47% | 52% |
| CBOE | 100% | 22% | 78% |
| ISE | 100% | 35% | 65% |
| PHLX | 100% | 41% | 59% |
| SBSH | 100% | 10% | 89% |
|
| AMEX/Other Stock |
| TOTAL | 100% | 12% | 86% |
| AMEX | 100% | 31% | 69% |
| ARCX | 100% | 29% | 66% |
| BOX | 100% | 20% | 80% |
| CBOE | 100% | 38% | 58% |
| ISE | 100% | 29% | 71% |
| NYSE | 100% | 0% | 100% |
| PHLX | 100% | 28% | 71% |
| SBSH | 100% | 9% | 89% |
|
| Exchange-Listed Options |
| TOTAL | 100% | 7% | 93% |
| AMEX | 100% | 20% | 79% |
| ARCX | 100% | 10% | 87% |
| BOX | 100% | 20% | 79% |
| CBOE | 100% | 10% | 90% |
| ISE | 100% | 2% | 97% |
| PHLX | 100% | 9% | 91% |
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December 31, 2007
| AMEX AND REGIONAL EXCHANGE STOCKS |
| TOTAL | 100% | 33% | 66% |
| AMEX | 100% | 47% | 51% |
| ARCX | 100% | 32% | 67% |
| BEST | 100% | 0% | 100% |
| BOX | 100% | 53% | 47% |
| CBOE | 100% | 54% | 45% |
| ISE | 100% | 56% | 44% |
| NYSE | 100% | 10% | 90% |
| PHLX | 100% | 52% | 46% |
| SBSH | 100% | 17% | 79% |
|
| NASDAQ STOCKS |
| TOTAL | 100% | 21% | 78% |
| AMEX | 100% | 45% | 53% |
| ARCX | 100% | 14% | 85% |
| BOX | 100% | 33% | 67% |
| CBOE | 100% | 47% | 51% |
| ISE | 100% | 31% | 68% |
| PENSON | 100% | 0% | 0% |
| PHLX | 100% | 30% | 70% |
| SBSH | 100% | 8% | 89% |
|
| NYSE STOCKS |
| TOTAL | 100% | 26% | 72% |
| AMEX | 100% | 59% | 41% |
| ARCX | 100% | 41% | 59% |
| BOX | 100% | 26% | 74% |
| CBOE | 100% | 29% | 69% |
| ISE | 100% | 20% | 74% |
| NYSE | 100% | 4% | 96% |
| PHLX | 100% | 28% | 64% |
| SBSH | 100% | 7% | 91% |
|
| EXCHANGE-LISTED OPTIONS |
| TOTAL | 100% | 13% | 86% |
| AMEX | 100% | 27% | 71% |
| ARCX | 100% | 22% | 75% |
| BOX | 100% | 24% | 75% |
| CBOE | 100% | 13% | 86% |
| ISE | 100% | 6% | 93% |
| P | 100% | 13% | 87% |
| PHLX | 100% | 18% | 80% |
| PHLX_PRINTER | 100% | 0% | 100% |
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September 30, 2007
| AMEX AND REGIONAL EXCHANGE STOCKS |
| TOTAL | 100% | 22% | 77% |
| AMEX | 100% | 18% | 81% |
| ARCX | 100% | 30% | 70% |
| BOX | 100% | 39% | 61% |
| CBOE | 100% | 29% | 71% |
| ISE | 100% | 35% | 65% |
| ISLAND | 100% | 16% | 80% |
| NYSE | 100% | 16% | 84% |
| PHLX | 100% | 39% | 61% |
| SBSH | 100% | 5% | 78% |
| TMBR | 100% | 50% | 50% |
|
| NASDAQ STOCKS |
| TOTAL | 100% | 15% | 84% |
| AMEX | 100% | 19% | 81% |
| ARCX | 100% | 13% | 87% |
| BOX | 100% | 33% | 64% |
| BTRADE | 100% | 0% | 100% |
| CBOE | 100% | 22% | 78% |
| DRCTEDGE | 100% | 17% | 77% |
| ISE | 100% | 45% | 55% |
| ISLAND | 100% | 6% | 91% |
| NSX | 100% | 4% | 92% |
| PHLX | 100% | 19% | 81% |
| SBSH | 100% | 6% | 72% |
|
| NYSE STOCKS |
| TOTAL | 100% | 27% | 71% |
| AMEX | 100% | 41% | 50% |
| ARCX | 100% | 34% | 63% |
| BOX | 100% | 73% | 27% |
| CBOE | 100% | 51% | 49% |
| ISE | 100% | 57% | 43% |
| ISLAND | 100% | 10% | 90% |
| NYSE | 100% | 14% | 86% |
| PHLX | 100% | 11% | 89% |
| SBSH | 100% | 29% | 43% |
|
| EXCHANGE-LISTED OPTIONS |
| TOTAL | 100% | 7% | 93% |
| AMEX | 100% | 18% | 81% |
| ARCX | 100% | 23% | 76% |
| BOX | 100% | 16% | 84% |
| CBOE | 100% | 7% | 93% |
| ISE | 100% | 3% | 96% |
| P | 100% | 11% | 89% |
| PCX | 100% | 0% | 100% |
| PHLX | 100% | 11% | 88% |
| PSE | 100% | 1% | 99% |
| SBSH | 100% | 0% | 100% |
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June 30, 2007
| AMEX AND REGIONAL EXCHANGE STOCKS |
| TOTAL | 100% | 29% | 70% |
| AMEX | 100% | 9% | 89% |
| ARCA | 100% | 45% | 55% |
| ARCX | 100% | 20% | 78% |
| CAES | 100% | 77% | 23% |
| CHX | 100% | 0% | 100% |
| ICE | 100% | 13% | 87% |
| ISLAND | 100% | 50% | 50% |
| N | 100% | 0% | 100% |
| NYSE | 100% | 6% | 93% |
| TMBR | 100% | 18% | 79% |
|
| NASDAQ STOCKS |
| TOTAL | 100% | 22% | 76% |
| ARCA | 100% | 45% | 51% |
| ARCX | 100% | 19% | 77% |
| BTRADE | 100% | 33% | 67% |
| DRCTEDGE | 100% | 23% | 64% |
| ISE | 100% | 4% | 96% |
| ISLAND | 100% | 19% | 79% |
| NSX | 100% | 52% | 48% |
| TMBR | 100% | 20% | 78% |
|
| NYSE STOCKS |
| TOTAL | 100% | 6% | 94% |
| ARCX | 100% | 22% | 78% |
| ISE | 100% | 11% | 89% |
| ISLAND | 100% | 0% | 100% |
| NYSE | 100% | 2% | 97% |
| TMBR | 100% | 19% | 81% |
|
| EXCHANGE-LISTED OPTIONS |
| TOTAL | 100% | 3% | 85% |
| 5 | 100% | 0% | 100% |
| AMEX | 100% | 5% | 92% |
| ARCX | 100% | 0% | 100% |
| BOX | 100% | 3% | 97% |
| CBOE | 100% | 3% | 97% |
| ISE | 100% | 2% | 98% |
| P | 100% | 17% | 83% |
| PHLX | 100% | 7% | 93% |
| PSE | 100% | 4% | 96% |
| W | 100% | 0% | 100% |
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March 31, 2007
| NASDAQ |
| TOTAL | 100% | 9% | 89% |
| ARCA | 100% | 14% | 84% |
| BTRADE | 100% | 0% | 100% |
| DRCTEDGE | 100% | 10% | 90% |
| ISE | 100% | 25% | 75% |
| ISLAND | 100% | 7% | 92% |
| NSX | 100% | 0% | 89% |
| TMBR | 100% | 12% | 86% |
|
| NYSE |
| TOTAL | 100% | 12% | 88% |
| ARCA | 100% | 100% | 0% |
| ISE | 100% | 12% | 88% |
| ISLAND | 100% | 0% | 100% |
| NYSE | 100% | 3% | 97% |
| TMBR | 100% | 18% | 82% |
|
| AMEX/Other Stock |
| TOTAL | 100% | 41% | 58% |
| AMEX | 100% | 0% | 100% |
| ARCA | 100% | 45% | 53% |
| CAES | 100% | 32% | 68% |
| ISE | 100% | 38% | 62% |
| ISLAND | 100% | 59% | 39% |
| N | 100% | 0% | 100% |
| NYSE | 100% | 27% | 70% |
| TMBR | 100% | 20% | 80% |
|
| Exchange-Listed Options |
| TOTAL | 100% | 3% | 97% |
| AMEX | 100% | 9% | 91% |
| BOX | 100% | 6% | 94% |
| CBOE | 100% | 1% | 99% |
| ISE | 100% | 2% | 98% |
| PHLX | 100% | 7% | 93% |
| PSE | 100% | 7% | 93% |
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December 31, 2006
| NASDAQ |
| TOTAL | 100% | 8% | 92% |
| ARCA | 100% | 12% | 88% |
| BRUT | 100% | 0% | 100% |
| BTRADE | 100% | 0% | 100% |
| ISLAND | 100% | 9% | 90% |
| NASDAQ | 100% | 0% | 100% |
| SMRT | 100% | 0% | 100% |
| SUPERSOES | 100% | 0% | 100% |
| TMBR | 100% | 21% | 79% |
| XBRT | 100% | 0% | 100% |
|
| NYSE |
| TOTAL | 100% | 31% | 69% |
| TMBR | 100% | 0% | 100% |
| NYSE | 100% | 29% | 71% |
| ISLAND | 100% | 30% | 70% |
| BRUT | 100% | 0% | 100% |
| ARCA | 100% | 100% | 0% |
|
| AMEX/Other Stock |
| TOTAL | 100% | 12% | 80% |
| AMEX | 100% | 0% | 80% |
| ARCA | 100% | 14% | 86% |
| CAES | 100% | 0% | 100% |
| ISLAND | 100% | 30% | 30% |
| NYSE | 100% | 3% | 97% |
| TMBR | 100% | 25% | 75% |
|
| US Options |
| TOTAL | 100% | 2% | 98% |
| AMEX | 100% | 0% | 100% |
| BOX | 100% | 0% | 100% |
| CBOE | 100% | 1% | 99% |
| ISE | 100% | 0% | 100% |
| PHLX | 100% | 5% | 95% |
| PHO | 100% | 0% | 100% |
| PSE | 100% | 15% | 85% |
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September 30, 2006
| NASDAQ |
| TOTAL | 100% | 18% | 82% |
| TMBR | 100% | 88% | 12% |
| NASDAQ | 100% | 19% | 81% |
| XBRT | 100% | 0% | 100% |
| SMRT | 100% | 0% | 100% |
| ISLAND | 100% | 0% | 100% |
| ISE | 100% | 0% | 100% |
|
| NYSE |
| TOTAL | 100% | 10% | 72% |
| TMBR | 100% | 0% | 50% |
| NYSE | 100% | 29% | 67% |
| SMRT | 100% | 0% | 100% |
|
| AMEX/Other Stock |
| TOTAL | 100% | 22% | 78% |
| PHLX | 100% | 57% | 43% |
| PHO | 100% | 0% | 100% |
| CBOE | 100% | 16% | 84% |
| PSE | 100% | 0% | 100% |
| AMEX | 100% | 11% | 89% |
| BOX | 100% | 67% | 33% |
| ISE | 100% | 3% | 97% |
|
| US Options |
| TOTAL | 100% | 63% | 37% |
| TMBR | 100% | 100% | 0% |
| NYSE | 100% | 38% | 62% |
| AMEX | 100% | 50% | 50% |
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Back to Disclosure with respect to order flow