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FARINA
AND ASSOCIATES
SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2013
Summary Statistics :
Non-directed orders as percentage of total customer orders
100%
Market orders as percentage of total non-directed orders 85%
Limit orders as percentage of total non-directed orders 15%
Information Concerning Significant Venues :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
99
|
80
|
20
|
|
KNIGHT
|
1
|
90
|
10
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
ARCA
|
72
|
90
|
10
|
|
KNIGHT
|
25
|
80
|
20
|
|
NYSE
|
2
|
72
|
28
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
97
|
90
|
10
|
|
KNIGHT
|
2
|
80
|
20
|
|
NASDAQ
|
1
|
85
|
15
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
100
|
96
|
4
|
|