WSF3000KJ0KJ SUPER=0KJ BRANCH=0KJ DISTCODE=YY
0KJ PAGE : 1 PAGE 14.01
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 JUNE 30,2017
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 73.47%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 22.84%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 3.69%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 43.60%
2. Citadel Securities LLC 35.37%
3. G1 Execution Services, LLC 3.41%
4. EDGX Exchange, Inc. 2.78%
5. Two Sigma Securities, LLC 2.67%
6. Instinet LLC 2.43%
7. BATS BZX Exchange 2.31%
8. UBS Securities, LLC 2.20%
9. BATS BYX Exchange 1.47%
10. National Financial Services LLC 1.42%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 43.60%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 47.14%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 21.72%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 39.74%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 20.67%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 39.39%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.06%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.88%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. 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 11.85%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.02%
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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 JUNE 30,2017
5. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.43%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.22%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.25%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
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 9.07%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.57%
8. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.04%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 5.23%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 6.57%
9. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.98%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.08%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
10. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.50%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.55%
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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 JUNE 30,2017
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 70.39%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 24.78%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 4.83%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 39.69%
2. Citadel Securities LLC 38.88%
3. EDGX Exchange, Inc. 3.91%
4. G1 Execution Services, LLC 3.63%
5. BATS BZX Exchange 3.55%
6. Two Sigma Securities, LLC 2.86%
7. UBS Securities, LLC 1.57%
8. BATS BYX Exchange 1.49%
9. National Financial Services LLC 1.25%
10. Instinet LLC 1.21%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 40.76%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 38.21%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 31.67%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 43.67%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 25.20%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 39.17%
3. 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 15.12%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 3.33%
4. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.58%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.46%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.83%
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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 JUNE 30,2017
5. 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 13.50%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 4.17%
6. 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 0.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.32%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 5.00%
8. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 2.06%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.16%
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 1.32%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.65%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 3.33%
10. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.60%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.16%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.83%
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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 JUNE 30,2017
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 79.49%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 18.25%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 2.27%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. KCG Americas LLC 42.62%
2. Citadel Securities LLC 38.89%
3. G1 Execution Services, LLC 4.23%
4. BATS BYX Exchange 2.94%
5. Two Sigma Securities, LLC 2.82%
6. Instinet LLC 2.63%
7. UBS Securities, LLC 1.96%
8. EDGX Exchange, Inc. 1.29%
9. BATS BZX Exchange 1.10%
10. National Financial Services LLC 0.61%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. KCG Americas LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 41.60%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 48.32%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 32.43%
2. Citadel Securities LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 41.83%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 24.16%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 54.05%
3. G1 Execution Services, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 4.62%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 3.02%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
4. BATS BYX Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.39%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.34%
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 JUNE 30,2017
5. Two Sigma Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.16%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.68%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. Instinet LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 3.08%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.01%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
7. UBS Securities, LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.16%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.36%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 10.81%
8. 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 7.05%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. 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 5.70%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.70%
10. National Financial Services LLC
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.54%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.01%
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 JUNE 30,2017
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 31.38%
LIMIT ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 62.63%
OTHER ORDERS AS PERCENTAGE OF TOTAL NON-DIRECTED ORDERS 5.99%
VENUES RECEIVING SIGNIFICANT PERCENTAGE OF TOTAL NON-DIRECTED ORDERS :
1. The Chicago Board Options Exchange 20.54%
2. NASDAQ Options Market 18.24%
3. NASDAQ PHLX Options 18.24%
4. ISE Gemini Options Exchange 10.46%
5. The MIAX Options Exchange 9.31%
6. NYSE Arca Options 6.25%
7. BOX Option Exchange 5.48%
8. BZX Options Exchange, Inc. 4.59%
9. NYSE Amex Options 3.32%
10. EDGX Option Exchange 2.17%
INFORMATION CONCERNING SIGNIFICANT VENUES :
1. The Chicago Board Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 29.27%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 12.22%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 61.70%
2. NASDAQ Options Market
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 28.92%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
3. NASDAQ PHLX Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 29.27%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 11.61%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 29.79%
4. ISE Gemini Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.81%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 16.29%
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 JUNE 30,2017
5. The MIAX Options Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 14.63%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 7.54%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
6. NYSE Arca Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 0.41%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 9.57%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.13%
7. BOX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 8.94%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 4.28%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
8. BZX Options Exchange, Inc.
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 1.22%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 6.72%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
9. NYSE Amex Options
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 7.32%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 1.43%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 2.13%
10. EDGX Option Exchange
TYPES OF ORDERS ROUTED TO VENUE :
MARKET ORDERS AS PERCENTAGE OF TOTAL MARKET ORDERS 5.28%
LIMIT ORDERS AS PERCENTAGE OF TOTAL LIMIT ORDERS 0.81%
OTHER ORDERS AS PERCENTAGE OF TOTAL OTHER ORDERS 0.00%
*END OF DATA*