WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 1 PAGE 18.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
NOTE: BROKER-DEALERS ARE REQUIRED TO DISCLOSE ANY MATERIAL ARRANGEMENTS WITH THE VENUES
LISTED IN EACH SECTION BELOW, INCLUDING, BUT NOT LIMITED TO, ANY INTERNALIZATION
OR PAYMENT FOR ORDER FLOW ARRANGEMENTS
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
SECURITIES LISTED ON THE NEW YORK STOCK EXCHANGE
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 77.04%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 17.75%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 5.21%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 48.21%
2. Citadel Securities LLC 32.88%
3. G1 Execution Services, LLC 4.06%
4. Two Sigma Securities, LLC 3.22%
5. National Financial Services LLC 2.09%
6. UBS Securities, LLC 1.77%
7. BATS BZX Exchange 1.77%
8. Instinet LLC 1.44%
9. EDGX Exchange, Inc. 1.31%
10. BATS BYX Exchange 1.02%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 48.20%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 53.03%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 31.82%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 35.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 20.10%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 37.41%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.70%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 2.46%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.97%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.92%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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0KJ PAGE : 2 PAGE 19.01
LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
5. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.43%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.10%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 3.85%
6. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.95%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.29%
7. BATS BZX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.13%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.80%
8. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.80%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.05%
9. EDGX Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 6.87%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.75%
10. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.21%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
SECURITIES LISTED ON THE NASDAQ STOCK MARKET
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 70.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 22.47%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 7.24%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 49.05%
2. Citadel Securities LLC 30.05%
3. G1 Execution Services, LLC 3.27%
4. BATS BZX Exchange 3.24%
5. EDGX Exchange, Inc. 3.16%
6. Two Sigma Securities, LLC 2.55%
7. National Financial Services LLC 1.98%
8. UBS Securities, LLC 1.79%
9. BATS BYX Exchange 1.41%
10. Instinet LLC 1.07%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 51.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 45.59%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 37.89%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 33.69%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 19.15%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 28.42%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.12%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.69%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. BATS BZX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 14.24%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.53%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
5. EDGX Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 13.39%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.11%
6. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.58%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.17%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.06%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.51%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.79%
8. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.30%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.56%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.05%
9. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.95%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.17%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
SECURITIES LISTED ON THE NYSE MKT LLC OR REGIONAL EXCHANGES
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 83.13%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 14.90%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 1.97%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 47.79%
2. Citadel Securities LLC 35.71%
3. G1 Execution Services, LLC 4.04%
4. Two Sigma Securities, LLC 3.30%
5. Instinet LLC 2.18%
6. UBS Securities, LLC 2.13%
7. BATS BZX Exchange 1.38%
8. BATS BYX Exchange 1.17%
9. National Financial Services LLC 0.96%
10. EDGX Exchange, Inc. 0.85%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 45.84%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 62.86%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 16.22%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 38.92%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 14.64%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 59.46%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.67%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.07%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.84%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.71%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
5. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.62%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 16.22%
7. BATS BZX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.15%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.00%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. EDGX Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.71%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
EXCHANGE - LISTED OPTIONS
SUMMARY STATISTICS :
NON-DIRECTED ORDERS AS PERCENTAGE OF TOTAL CUSTOMER ORDERS 100.00%
MARKET ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 29.86%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 60.34%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 9.80%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. NASDAQ Options Market 23.33%
2. The Chicago Board Options Exchange 17.57%
3. NASDAQ PHLX Options 17.26%
4. The MIAX Options Exchange 12.60%
5. ISE Gemini Options Exchange 10.89%
6. BOX Option Exchange 7.93%
7. NYSE Amex Options 3.11%
8. NYSE Arca Options 2.02%
9. BZX Options Exchange, Inc. 2.02%
10. C2 Options Exchange 1.09%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. NASDAQ Options Market
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.04%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 38.14%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
2. The Chicago Board Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 27.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 10.05%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 34.92%
3. NASDAQ PHLX Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 25.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.28%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 41.27%
4. The MIAX Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 24.48%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.76%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
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LASALLE ST. SECURITIES, L.L.C.
940 N. INDUSTRIAL DR.
ELMHURST, IL 60126-1131
SEC RULE 606, QUARTERLY REPORT FOR THE QUARTER ENDING MARCH 31,2017
5. ISE Gemini Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.04%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 15.98%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 9.52%
6. BOX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 9.38%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 8.25%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.59%
7. NYSE Amex Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 6.25%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.29%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.76%
8. NYSE Arca Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.00%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.09%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.59%
9. BZX Options Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.52%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.09%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. C2 Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.52%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 1.59%
*END OF DATA*