Pursuant to SEC Rule 606, certain broker-dealers, including Genesis Securities, LLC, are required to identify and post on its website quarterly disclosure reports for their most significant execution venues for certain types of "non-directed" customer orders (i.e. any order that a customer has not specifically instructed to be routed to a particular venue for execution). For these "non-directed orders" Genesis Securities has selected the execution venue on behalf of its customers. According to the SEC, the quarterly reports relating to order routing are intended to provide a general overview of a broker-dealer's practices that is accessible and useful to individual investors.
Genesis Securities quarterly order routing report is divided into four sections: one for securities listed on the New York Stock Exchange, one for Securities listed on the Nasdaq, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange listed options. For each section, this report identities the venues most often selected by Genesis Securities, the percentage of various types of orders routed to the venues and discusses the material aspects of Genesis Securities relationship's with the venues.
SEC - Disc of Order Routing - 3rd quarter 2008.
SEC - Disc of Order Routing - 2nd quarter 2008.
SEC - Disc of Order Routing - 1st quarter 2008.
SEC - Disc of Order Routing - 4th quarter 2007.
SEC - Disc of Order Routing - 3rd quarter 2007.
SEC - Disc of Order Routing - 2nd quarter 2007.
SEC - Disc of Order Routing - 1st quarter 2007.
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