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FARINA
AND ASSOCIATES
SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2013
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 :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
99
|
52
|
48
|
|
KNIGHT
|
1
|
90
|
10
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
ARCA
|
44
|
60
|
40
|
|
KNIGHT
|
38
|
90
|
10
|
|
NASDAQ
|
11
|
70
|
30
|
|
NYSE
|
8
|
55
|
45
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
71
|
60
|
40
|
|
KNIGHT
|
23
|
90
|
10
|
|
NASDAQ
|
6
|
90
|
10
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
78
|
80
|
20
|
|
NASDAQ
|
20
|
75
|
25
|
|
KNIGHT
|
2
|
80
|
20
|
|
ARCA
|
1
|
90
|
10
|
|