|
SEVEN
POINTS CAPITAL
SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2014
Seven Points Capital 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" - 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, Seven Points Capital has
selected the execution venue on behalf of its customers. Seven
Points Capital 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.
Based on the design of the firm's proprietary order routing mechanism, most
orders were routed to and executed by multiple venues. Therefore, the data
below reflects the percentages of orders routed for execution at each market
venue.
Summary Statistics :
Market orders as percentage of total non-directed orders 6%
Limit orders as percentage of total non-directed orders 91%
Peg orders as percentage of total non-directed orders 3%
Information Concerning Significant Venues :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
% of volume - PEG
|
|
JPMJPCC
|
21%
|
10
|
89
|
0
|
|
TAILOR1
|
17%
|
4
|
96
|
0
|
|
AAA
|
12%
|
9
|
91
|
0
|
|
MERCDARK
|
9%
|
6
|
94
|
0
|
|
CUSTOML
|
5%
|
9
|
91
|
0
|
|
BARCSMT
|
5%
|
11
|
89
|
0
|
|
XFINDER
|
4%
|
0
|
100
|
0
|
|
MSPOOL
|
4%
|
0
|
90
|
10
|
|
BARCDKA
|
4%
|
0
|
100
|
0
|
|
VFIN1
|
3%
|
10
|
90
|
0
|
|
JPMXDP
|
1%
|
0
|
95
|
5
|
|
DARKMP
|
1%
|
0
|
100
|
0
|
|
EDGA
|
1%
|
0
|
99
|
1
|
|
BARCDK
|
1%
|
0
|
78
|
22
|
|
CSN
|
1%
|
0
|
89
|
11
|
|
UBSATSSCP
|
1%
|
0
|
83
|
17
|
|
SIGMAX
|
1%
|
0
|
87
|
13
|
|
XDRK
|
1%
|
13
|
87
|
0
|
|
SONARDKNEU
|
1%
|
0
|
100
|
0
|
|
RAVEN
|
1%
|
0
|
100
|
0
|
|
DAG
|
1%
|
0
|
100
|
0
|
|
BARXW
|
1%
|
2
|
98
|
0
|
|
PDQPOST
|
1%
|
0
|
94
|
6
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
% of volume - PEG
|
|
JPMJPCC
|
38%
|
14
|
86
|
0
|
|
TAILOR1
|
25%
|
4
|
96
|
0
|
|
CUSTOML
|
7%
|
9
|
91
|
0
|
|
AAA
|
6%
|
25
|
75
|
0
|
|
BARCSMT
|
5%
|
6
|
94
|
0
|
|
MERCDARK
|
4%
|
6
|
94
|
0
|
|
VFIN1
|
3%
|
12
|
88
|
0
|
|
BARCDKA
|
2%
|
0
|
100
|
0
|
|
XDRK
|
2%
|
6
|
94
|
0
|
|
XFINDER
|
2%
|
0
|
100
|
0
|
|
BARXW
|
1%
|
4
|
96
|
0
|
|
NITEFAN
|
1%
|
22
|
78
|
0
|
Nasdaq Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
% of volume - PEG
|
|
JPMJPCC
|
18%
|
9
|
91
|
0
|
|
TAILOR1
|
14%
|
4
|
96
|
0
|
|
MERCDARK
|
8%
|
7
|
93
|
0
|
|
AAA
|
8%
|
9
|
91
|
0
|
|
MSPOOL
|
6%
|
0
|
85
|
15
|
|
BARCSMT
|
5%
|
8
|
92
|
0
|
|
CUSTOML
|
5%
|
9
|
91
|
0
|
|
BARCDKA
|
4%
|
0
|
100
|
0
|
|
XFINDER
|
4%
|
0
|
100
|
0
|
|
VFIN1
|
3%
|
10
|
90
|
0
|
|
DARKMP
|
3%
|
0
|
100
|
0
|
|
SIGMAX
|
3%
|
0
|
55
|
45
|
|
EDGA
|
2%
|
0
|
100
|
0
|
|
BARCDK
|
2%
|
0
|
54
|
46
|
|
UBSATSSCP
|
2%
|
0
|
62
|
38
|
|
JPMXDP
|
2%
|
0
|
88
|
12
|
|
CSN
|
1%
|
0
|
91
|
9
|
|
BYXONLY
|
1%
|
0
|
51
|
49
|
|
DARK5
|
1%
|
0
|
89
|
11
|
|
BARXW
|
1%
|
0
|
100
|
0
|
|
SONARDKNEU
|
1%
|
0
|
100
|
0
|
|
PDQPOST
|
1%
|
0
|
93
|
7
|
|
APOGEE
|
1%
|
0
|
93
|
7
|
Regional Stock Exchange Listed Symbols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
% of volume - PEG
|
|
JPMJPCC
|
23%
|
4
|
96
|
0
|
|
TAILOR1
|
17%
|
8
|
92
|
0
|
|
AAA
|
9%
|
33
|
67
|
0
|
|
BARCSMT
|
6%
|
6
|
94
|
0
|
|
XFINDER
|
5%
|
0
|
100
|
0
|
|
MERCDARK
|
5%
|
5
|
95
|
0
|
|
EDGA
|
4%
|
0
|
100
|
0
|
|
BARCDKA
|
4%
|
0
|
100
|
0
|
|
DARKMP
|
4%
|
0
|
100
|
0
|
|
BARCDK
|
3%
|
0
|
38
|
62
|
|
CUSTOML
|
3%
|
5
|
95
|
0
|
|
JPMXDP
|
2%
|
0
|
83
|
17
|
|
MSPOOL
|
2%
|
0
|
77
|
23
|
|
SIGMAX
|
1%
|
0
|
84
|
16
|
|
VFIN1
|
1%
|
5
|
95
|
0
|
|
UBSATSSCP
|
1%
|
0
|
82
|
18
|
|
BARXW
|
1%
|
0
|
100
|
0
|
|
CSN
|
1%
|
0
|
98
|
2
|
|
ARCA
|
1%
|
1
|
99
|
0
|
|
SONARDKNEU
|
1%
|
0
|
100
|
0
|
|
BYXONLY
|
1%
|
0
|
81
|
19
|
|
NITMTCH
|
1%
|
0
|
100
|
0
|
|