|
FARINA
AND ASSOCIATES
SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2014
Summary Statistics :
Non-directed orders as percentage of total customer orders
100%
Market orders as percentage of total non-directed orders 73%
Limit orders as percentage of total non-directed orders 27%
Information Concerning Significant Venues :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
98
|
72
|
28
|
|
KNIGHT
|
2
|
65
|
35
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
90
|
70
|
30
|
|
KNIGHT
|
9
|
50
|
50
|
|
NASDAQ
|
1
|
30
|
70
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
76
|
75
|
25
|
|
KNIGHT
|
21
|
85
|
15
|
|
NASDAQ
|
3
|
80
|
20
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
59
|
90
|
10
|
|
KNIGHT
|
30
|
45
|
65
|
|
NASDAQ
|
8
|
30
|
70
|
|
ARCA
|
3
|
35
|
65
|
|