WALLACH BETH
SEC-Required Report on Routing of Customer Orders
For Quarter Ending December 2016
 
AMEX
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
513 0 100 87.329 0.195 12.476
ITGI 41.91 44.866 0 21.875
CPEX 24.561 27.009 0 7.813
NYX 19.493 20.536 0 12.5
ITGT 7.018 2.455 0 39.063
NYSE 2.924 1.116 100 14.063
CROSS-NSDQACT 1.559 1.339 0 3.125
ATMC 1.17 1.339 0 0
NSDQ 1.17 1.339 0 0
 
NYSE
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
11343 0 100 40.527 10.297 49.176
CPEX 34.673 55.188 80.051 8.265
ITGT 20.735 1.262 0.771 40.965
ITGI 12.898 23.32 0.771 6.848
NYSE 12.228 3.611 15.582 18.627
FDSA 9.53 0 0 19.38
NYX 4.972 9.658 1.027 1.936
ATMC 1.86 0.348 1.113 3.263
CROSS-NSDQACT 0.476 0.914 0 0.215
DPTAX 0.476 1.175 0 0
PTRP 0.467 1.153 0 0
 
OTC 
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
16553 0 100 61.107 1.685 37.208
CPEX 25.403 30.44 47.67 16.123
CROSS-NSDQACT 19.072 17.845 1.434 21.887
NSDQ 17.344 26.406 6.452 2.955
ITGI 10.01 12.674 12.545 5.52
ITGT 9.225 0.02 2.867 24.631
NYX 3.872 2.135 1.792 6.819
ATMC 2.568 0.484 5.376 5.861
ARCA 2.513 1.839 1.792 3.653
JSES 1.83 1.354 11.828 2.159
FDSA 1.661 0.02 0 4.433
 
LISTED OPTIONS 
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
6163 0 100 95.035 0 4.965
SUSQ 27 28.41 0 0
ISE-EB 7.902 7.99 0 6.209
BMLOPT 7.464 7.854 0 0
SPOT 7.237 5.105 0 48.039
DLB 7.107 7.478 0 0
DPTAX 5.29 5.566 0 0
PTRP 4.008 4.217 0 0
TRN2 1.314 1.383 0 0
ENGL 1.217 1.281 0 0
PTRC 0.552 0.581 0 0
 
Glossary  
 Total  Total Number of orders routed to all destinations during the quarter.
 Non-Directed%  The percentage of total orders from the provider that were non-directed orders.
 Directed%  The percentage of total orders from the provider that were directed orders.
 Market%  The percentage of total non-directed customer orders that were market orders.
 Limit%  The percentage of total non-directed customer orders that were limit orders.
 Other% The percentage of total non-directed other orders routed to the venue. Other orders include special handling orders and any orders that must be executed on a particular tick or bid.
 Venue  List of the venues to which non-directed orders were routed for execution
 Routed%  The percentage of total non-directed orders routed to the venue
 Market%  The percentage of total non-directed market orders routed to the venue
 Limit%  The percentage of total non-directed limit orders routed to the venue
 Other%  The percentage of total non-directed other orders routed to the venue. Other orders include special handling
 Compensation for order flow  Rebates, if any, received for routing orders to certain venues
 ARCA  Archipelago ECN
 INET  Instinet ECN 
 NITE  Knight Securities, L.P
 DOT  NYFIX DOT
 ML  BroadCourt Transaction services
 PRIMEFLR  Prime Floor (NYSE Floor Broker)
 PTFLR  Preferred Floor (NYSE Floor Broker)
 IAB  Interactive Brokers
 TSE   Toronto Stock Exchange
 BMLOPT   BAML Option algos
 STN   Collins Stewart
 JSES   Jane Street
 IEXG   IEX smart order router
 NSDQ   Nasdaq
 ATMC   Cowen ATM algos
 NYSE   NYSE Floor Brokers
 ITGI   ITG algos
 NYX   KCG (getco) algos
 ITGT   ITG
 CPEX   Clearpool algos
 ISP   ISE (International Securities Exchange)
 PCXOPT   Pacific Coast Exchange (options)
 AFIXNY   Amex floor (NYSE)
 TDATK   Arca
 PCX   Pacific Coast Exchange
 AFIX   Amex floor
 DATK   Arca
 NFIX  NYFIX
 BRUT  NASDAQ
 SIAC  NYSE SIAC Connection
 ISFX  ISE
 EDGX  Direct Edge ECN
 MLTS  Miletus Trading
 INCA  Instinet
 CICF  Canaccord
 SUSQ  Susquehanna Option algos
 CIBC  CIBC
 XFAS  CBOE floor
 ISE-EB International Securities Exchange
SPOT CBOE floor
ENGL AMEX/CBOE floor
DEPL AMEX floor
DLB AMEX floor
PTRX PHLX FLOOR
LSCI Lek Securities
FDSA Fidessa
NBCS National Bank of Canada
PTCR CBOE floor