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.

3rd Quarter 2014 Rule 606 Network A Securities - NYSE Listed

* 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

All information relates to customer orders of less than $200,000

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

Total 100 100 100 100 Rule 606 Report: Nasdaq Listed

* 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

All information relates to customer orders of less than $200,000

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

Total 100 0 100 100 Rule 606 Report: Network B Securities - AMEX and Regonals Listed

* Non directed Orders (NDO) as a Percentage of Total Customer orders Having a MV < $200000
% of NDO That Were: Market Orders
8.33%

Limit Orders

50.00%

Other Total

41.67% 100.00%
Routing Information Concerning Significant Venues

All information relates to customer orders of less than $200,000

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

Total 100.01 100 100 100 Rule 606 Report: Exchange Listed Options

* 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

All information relates to customer orders of less than $50,000

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

Total 100.01 0 100.01 0
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