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CUTTONE
& COMPANY
SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2014
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 52%
Limit orders as percentage of total non-directed orders 48%
Information Concerning Significant Venues (EQUITIES):
New York Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
97
|
47
|
53
|
|
KNIGHT
|
2
|
84
|
16
|
American Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
96
|
47
|
53
|
|
KNIGHT
|
3
|
85
|
15
|
|
ETCC
|
1
|
45
|
55
|
NASDAQ Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
81
|
73
|
27
|
|
KNIGHT
|
16
|
86
|
14
|
|
ETCC
|
3
|
100
|
0
|
Other and Regional Exchanges Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
97
|
27
|
73
|
|
KNIGHT
|
3
|
12
|
88
|
Information Concerning Significant Venues (OPTIONS):
New York Stock Exchange
Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
KOMM
|
100
|
0
|
100
|
NASDAQ Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
KOMM
|
100
|
0
|
100
|
Other and Regional Exchanges Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
IB
|
52
|
0
|
100
|
|
KOMM
|
48
|
0
|
100
|
|