Tullett Prebon Financial Services LLC
Regulation NMS Rule 606 Quarterly Report: Jul 14 to Sep 14
Disclosure of Order Routing Information for the Quarter Ending September 30, 2014
In accordance with Regulation NMS Rule 606, Tullett Prebon Financial Services LLC ("TPFS") is publishing
information about our routing practices for non-directed orders in U.S. exchange-listed equity securities and options.
TPFS' order routing information is available to any customer upon request. TPFS will furnish its order routing
information to the customer in writing.
* Non directed Orders (NDO) as a Percentage of Total Customer orders Having a MV < $200000
% of NDO That Were: Market Orders Limit Orders Other *Total
4.17% 87.50% 8.33% 100.00% Routing Information Concerning Significant Venues
Total NDO ND Mkt Orders ND Limit ND Other
CSE (Chicago) 4.17 0 0 100
ISE/NYFIX 8.33 100 0 0
NYSE 87.5 0 100 0
AMEX 0 0 0 0
PHLX 0 0 0 0
* Non directed Orders (NDO) as a Percentage of Total Customer orders Having a MV < $200000
% of NDO That Were: Market Orders Limit Orders Other Total
0.00% 85.71% 14.29% 100.00% Routing Information Concerning Significant Venues
Total NDO ND Mkt Orders ND Limit ND Other
CSE (Chicago) 28.57 0 16.67 100
ISE/NYFIX 0 0 0 0
NYSE 71.43 0 83.33 0
AMEX 0 0 0 0
* Non directed Orders (NDO) as a Percentage of Total Customer orders Having a MV < $200000
% of NDO That Were: Market Orders
8.33%
50.00%
Other Total
41.67% 100.00%
Routing Information Concerning Significant Venues
Total NDO ND Mkt Orders ND Limit ND Other
CSE (Chicago) 41.67 0 0 100
ISE/NYFIX 29.17 0 58.33 0
NYSE 29.17 100 41.67 0
AMEX 0 0 0 0
PHLX 0 0 0 0
* Non directed Orders (NDO) as a Percentage of Total Customer orders Having a MV < $50,000
% of NDO That Were: Market Orders Limit Orders Other Total
0.00% 100.00% 0.00% 100.00% Routing Information Concerning Significant Venues
Total NDO ND Mkt Orders ND Limit ND Other
AMEX 9.05 0 £9.05 0
CBOE 55.82 0 £55.82 0
ISE 5.50 0 £5.50 0
NYSE 8.30 0 £8.30 0
PCSE 3.34 0 £3.34 0
PHLX 18.00 0 £18.00 0
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