Information pursuant to SEC Rule 606 (formerly 11Ac1-6)____________________________________________________________________________
Pursuant to SEC Rule 606, Penson Financial Services, Inc. (Penson), our clearing firm, is required to make publicly available quarterly report with regard to its routing of non-directed orders. For the purpose of this Rule, Penson has entered into an agreement with Quantum5 Market Surveillance * Division of S3 Matching Technologies to disclose all required information pertaining to this rule.

Click here to view the quarterly routing report from our clearing firm, Penson Financial Services.

Under this rule, broker-dealers that route customer orders in equity and option securities will be required to make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution. In addition, broker-dealers are required to disclose to customers, on request, the venues to which their individual orders were routed. By making visible the execution quality of the securities markets, the rules are intended to spur more vigorous competition among market participants to provide the best possible prices for investor orders.

For more information on SEC Rule 606, please visit the SECís web page at www.sec.gov, or the NASDís web page at www.nasdr.com.


 

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