|
CUTTONE
& COMPANY
SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2015
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 53%
Limit orders as percentage of total non-directed orders 47%
Information Concerning Significant Venues (EQUITIES):
New York Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
99
|
53
|
47
|
|
KNIGHT
|
1
|
87
|
13
|
American Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
95
|
49
|
51
|
|
KNIGHT
|
5
|
3
|
97
|
NASDAQ Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
94
|
42
|
58
|
|
KNIGHT
|
6
|
99
|
1
|
Other and Regional Exchanges Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
100
|
98
|
2
|
Information Concerning Significant Venues (OPTIONS):
American Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
KOMM
|
100
|
0
|
100
|
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
|
|
KOMM
|
100
|
0
|
100
|
|