Skip to main content
We Discount Commissions, Not Services

Customer Center: Ready to Serve You
1 800 SEAPORT
(212) 482-8689

SEC Rule 606

SEC Rule 606 Report - Seaport Securities Corporation - 4th Qtr, 2018

(Percentages of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange Euronext

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 39.88 23.19 36.93
Citadel Securities 34.28 46.94 12.28 34.44
VIRTU Americas LLC 14.85 17.09 4.39 19.01
National Financial Servic 13.02 10.46 12.28 16.25
G1 Execution Services 12.11 18.88 4.39 9.64
DirectEdge ECN (EDGX) 7.32 0.00 27.19 2.75
New York Stock Exchange 4.78 0.00 3.07 11.02
Inet ATS, Inc. 4.27 0.00 16.23 1.38
Nasdaq Execution Services 3.76 0.00 16.23 0.00
Two Sigma Securities, LLC 3.15 5.10 1.32 2.20
SEAP 1.02 0.00 0.00 2.75


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
983 392 228 363 0 39.88 23.19 36.93
337 184 28 125 0 54.60 8.31 37.09
146 67 10 69 0 45.89 6.85 47.26
128 41 28 59 0 32.03 21.88 46.09
119 74 10 35 0 62.18 8.40 29.41
72 0 62 10 0 0.00 86.11 13.89
47 0 7 40 0 0.00 14.89 85.11
42 0 37 5 0 0.00 88.10 11.90
37 0 37 0 0 0.00 100.00 0.00
31 20 3 8 0 64.52 9.68 25.81
10 0 0 10 0 0.00 0.00 100.00



100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market

Securities Listed on NYSE MKT or other National Securities Exchange

Exchange-Listed Options

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 28.72 30.19 41.09
Citadel Securities 32.99 49.74 11.22 37.28
VIRTU Americas LLC 15.91 17.44 6.34 21.86
Inet ATS, Inc. 8.98 0.00 29.27 0.36
G1 Execution Services 8.69 16.92 2.93 7.17
DirectEdge ECN (EDGX) 8.54 0.00 22.93 3.94
National Financial Servic 8.10 7.69 9.27 7.53
Nasdaq Execution Services 6.92 0.00 13.66 6.81
SKNY 4.86 0.00 0.49 11.47
Two Sigma Securities, LLC 3.68 7.69 0.49 3.23
BATS Stock Exchange 1.03 0.00 3.41 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
679 195 205 279 0 28.72 30.19 41.09
224 97 23 104 0 43.30 10.27 46.43
108 34 13 61 0 31.48 12.04 56.48
61 0 60 1 0 0.00 98.36 1.64
59 33 6 20 0 55.93 10.17 33.90
58 0 47 11 0 0.00 81.03 18.97
55 15 19 21 0 27.27 34.55 38.18
47 0 28 19 0 0.00 59.57 40.43
33 0 1 32 0 0.00 3.03 96.97
25 15 1 9 0 60.00 4.00 36.00
7 0 7 0 0 0.00 100.00 0.00



100.00% of total customer orders were non-directed orders.

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 21.88 63.54 14.58
Citadel Securities 21.88 47.62 9.84 35.71
DirectEdge ECN (EDGX) 19.79 0.00 29.51 7.14
BATS Stock Exchange 16.67 0.00 26.23 0.00
NYSE MKT 11.46 0.00 14.75 14.29
VIRTU Americas LLC 11.46 14.29 3.28 42.86
G1 Execution Services 7.29 23.81 3.28 0.00
National Financial Servic 6.25 9.52 6.56 0.00
Two Sigma Securities, LLC 3.13 4.76 3.28 0.00
Inet ATS, Inc. 2.08 0.00 3.28 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
96 21 61 14 0 21.88 63.54 14.58
21 10 6 5 0 47.62 28.57 23.81
19 0 18 1 0 0.00 94.74 5.26
16 0 16 0 0 0.00 100.00 0.00
11 0 9 2 0 0.00 81.82 18.18
11 3 2 6 0 27.27 18.18 54.55
7 5 2 0 0 71.43 28.57 0.00
6 2 4 0 0 33.33 66.67 0.00
3 1 2 0 0 33.33 66.67 0.00
2 0 2 0 0 0.00 100.00 0.00



100.00% of total customer orders were non-directed orders.

Publicly Posted Percentages
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total 100.00 3.00 97.00 0.00
Nasdaq Option Market 30.00 0.00 30.93 0.00
ISEG 14.00 0.00 14.43 0.00
Archipelago LLC 9.00 0.00 9.28 0.00
Philadelphia Exch 8.00 66.67 6.19 0.00
Chicago Board Options Exchange 7.00 0.00 7.22 0.00
Morgan Stanley & Co 7.00 0.00 7.22 0.00
Citadel Securities 6.00 0.00 6.19 0.00
DirectEdge ECN (EDGX) 5.00 0.00 5.15 0.00
National Financial Servic 5.00 0.00 5.15 0.00
BATS Stock Exchange 2.00 0.00 2.06 0.00


Private Supporting Data
Total (#) Market (#) Limit (#) Other (#) *Unknown (#) Market (%) Limit (%) Other (%)
100 3 97 0 0 3.00 97.00 0.00
30 0 30 0 0 0.00 100.00 0.00
14 0 14 0 0 0.00 100.00 0.00
9 0 9 0 0 0.00 100.00 0.00
8 2 6 0 0 25.00 75.00 0.00
7 0 7 0 0 0.00 100.00 0.00
7 0 7 0 0 0.00 100.00 0.00
6 0 6 0 0 0.00 100.00 0.00
5 0 5 0 0 0.00 100.00 0.00
5 0 5 0 0 0.00 100.00 0.00
2 0 2 0 0 0.00 100.00 0.00



100.00% of total customer orders were non-directed orders.

Related Web Resources