Wallach Beth Capital
SEC-Required Report on Routing of Customer Orders
For Quarter Ending March 2013
 
AMEX
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
347 0 100 56.19 43.51 0.28
ARCA 20.46 30.25 7.947 0
CBSX 8.069 8.205 7.947 0
GETCO-AL 0.576 0 1.324 0
MISMI 0.288 0 0 100
GFLO 34.87 46.15 20.52 0
RO-CCG 0.288 0 0.662 0
VNDM-SMRT 29.97 5.641 61.589 0
VNDSALGO 5.47 9.743 0 0
 
NYSE
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
20642 0 100 23.14 76.62 0.23
ARCA 3.943 8.41 2.604 0
CBSX 23.272 53.611 14.18 0
GETCO 1.44 0 1.88 0
GETCO-AL 12.30 0.062 16.03 0
INET 0.0242 0 0.031 0
MISMI 0.77 0 0.73 89.58
MISMI-ALGO 0.043 0 0.056 0
MISMI-CRX 5.49 12.45 3.40 0
NSDQ 0.092 0.39 0 0
NYSE 0.029 0 0.0063 10.41
GFLO 32.63 11.57 39.09 0
RO-CCG 0.024 0.041 0.018 0
TB-ALGO 0.0096 0 0.012 0
VNDM 0.0048 0.020 0 0
VNDM-SMART 17.93 4.919 21.919 0
VNDSALGO 1.971 8.499 0.006 0
 
NASDAQ
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
6342 0 100 33.58 65.59 0.53
ARCA 18.93 31.63 12.64 0
CBSX 7.74 12.42 5.42 0
GETCO 0.0788 0 0.119 0
GETCO-AL 2.175 0 3.29 0
INET 0.0.31 0 0.047 0
MISMI 0.504 0.188 0.262 50
MISMI-CRX 1.766 2.82 1.242 0
NSDQ 0.189 0.564 0 0
NYSE 0.0157 0.0470 0 0
GFLO 51.687 21.61 67.088 35.294
COLLINS 0.094 0.047 0 14.70
VNDM 0.268 0.753 0.02390 0
VNDM-SMART 5.629 0.847 8.10 0
VNDSALGO 10.879 29.04 1.744 0
 
LISTED OPTIONS 
Total Directed% Non-Directed% Limit% Market% Other% Venue Routed% Limit% Market% Other% Compensation for order flow
2347 0 100 99.87 0.042 0.085
INCA 6.39 6.39 0 0
ISE 16.44 16.38 0 100
SUSQ 77.16 77.21 100 0
Information about SEC Rule 606

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 customer orders that were 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
 orders and any orders that must be executed on a particular tick or bid.
 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)
 FANC

 Finance 500
 PTFLR

 Preferred Floor (NYSE Floor Broker)
 IAB

 Interactive Brokers
 TSE  Toronto Stock Exchange
 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
 BCAP Barclays Capital
 B-SOR Barclays - Smart Order Router
 CBSX CBOE Stock Exchange
 NFIX NYFIX
 BRUT NASDAQ
 SIAC NYSE SIAC Connection
 JEFF Jefferies
 ISFX ISE
 EDGX Direct Edge ECN
 UBSS UBS
 VNDM Vandham securities
 VNDS Vandham securities
 MLTS Miletus Trading
 HDSN Hudson Securities
 INCA Instinet
 DOMS Domestic Securities
 CICF Canaccord
 SUSQ Susquehanna Securities
 CIBC CIBC
 YKTN Blackmont Capital
 TREK Algorithm Trading