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FARINA
AND ASSOCIATES
SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2017
Summary Statistics :
Non-directed orders as percentage of total customer orders
100%
Market orders as percentage of total non-directed orders 64%
Limit orders as percentage of total non-directed orders 36%
Information Concerning Significant Venues :
New York Stock Exchange Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
NYSE
|
82
|
65
|
35
|
|
LEK
|
9
|
67
|
33
|
|
KNIGHT
|
6
|
69
|
31
|
|
KCG
|
2
|
70
|
30
|
|
NASDAQ
|
1
|
100
|
0
|
NASDAQ Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
Market on Close
|
|
NYSE
|
81
|
42
|
58
|
0
|
|
LEK
|
11
|
57
|
43
|
0
|
|
NASDAQ
|
3
|
100
|
0
|
0
|
|
KNIGHT
|
2
|
62
|
28
|
0
|
|
KCG
|
2
|
100
|
0
|
0
|
Other and Regional Exchanges Listed Symols
|
Venue
|
% of volume
|
% of orders - Market
|
% of orders - Limit
|
|
LEK
|
89
|
100
|
0
|
|
NYSE
|
11
|
100
|
0
|
|