CUTTONE & COMPANY
SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2012
Cuttone & Company has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of "non-directed orders, “that is, any order that the customer has not specifically instructed to be routed to a particular venue [market center] for execution. For these non-directed orders, Cuttone & Company has selected the execution venue on behalf of its customers.
Cuttone & Company may participate in programs which result in its receipt of remuneration, compensation, or other consideration for the placing of orders with other broker-dealers, exchanges and market centers for execution.
Summary Statistics :
Non-directed orders as percentage of total customer orders 100%
Market orders as percentage of total non-directed orders 67%
Limit orders as percentage of total non-directed orders 33%
Information Concerning Significant Venues (EQUITIES):
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
98
|
68
|
32
|
|
Knight Capital Markets
|
2
|
78
|
28
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
95
|
49
|
51
|
|
Knight Capital Markets
|
3
|
61
|
39
|
|
EDGE
|
1
|
65
|
35
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
75
|
40
|
60
|
|
Knight Capital Markets
|
20
|
77
|
23
|
|
ARCA
|
2
|
95
|
5
|
|
NASDAQ
|
2
|
98
|
2
|
|
BATS
|
1
|
98
|
2
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
100
|
43
|
57
|
Information Concerning Significant Venues (OPTIONS):
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
C
|
92
|
55
|
45
|
|
CBOE
|
5
|
0
|
100
|
|
BOX
|
1
|
0
|
100
|
|
C2
|
3
|
0
|
100
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
C
|
100
|
0
|
100
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
BOX
|
27
|
0
|
100
|
|
NASDAQ
|
25
|
0
|
100
|
|
C
|
16
|
0
|
100
|
|
AMEX
|
14
|
0
|
100
|
|
C2
|
5
|
0
|
100
|
|
ARCA
|
3
|
0
|
100
|
|
CBOE
|
3
|
0
|
100
|
|
ISE
|
2
|
0
|
100
|
|
BATS
|
1
|
0
|
100
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
C2
|
54
|
0
|
100
|
|
BOX
|
25
|
0
|
100
|
|
CBOE
|
10
|
0
|
100
|
|
ARCA
|
4
|
0
|
100
|
|
ISE
|
4
|
0
|
100
|
|
NASDAQ
|
4
|
0
|
100
|
|
AMEX
|
1
|
0
|
100
|
|