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FARINA
AND ASSOCIATES
SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2014
Summary Statistics :
Non-directed orders as percentage of total customer orders
100%
Market orders as percentage of total non-directed orders 81%
Limit orders as percentage of total non-directed orders 19%
Information Concerning Significant Venues :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
97
|
80
|
20
|
|
KNIGHT
|
2
|
85
|
15
|
American Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
80
|
80
|
20
|
|
KNIGHT
|
17
|
60
|
40
|
|
ARCA
|
2
|
70
|
30
|
|
NASDAQ
|
1
|
90
|
10
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
76
|
75
|
25
|
|
KNIGHT
|
17
|
85
|
15
|
|
ARCA
|
4
|
80
|
20
|
|
NASDAQ
|
3
|
70
|
30
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
63
|
90
|
10
|
|
KNIGHT
|
34
|
50
|
50
|
|
NASDAQ
|
3
|
60
|
40
|
|
ARCA
|
1
|
30
|
70
|
|