Alankar, Sydney (Compliance/US)
Alankar, Sydney (Compliance/US)
2024-04-25T13:15:58Z
16.00
12165
28800
32767
32767
5
4
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
1 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
1 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
1 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
1 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
1 |
2024 |
Options |
NA |
100 |
5.53 |
64.66 |
26.23 |
3.58 |
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
1 |
2024 |
Options |
NA |
INSTINET |
|
87.97 |
3.3 |
94.71 |
97.31 |
28.47 |
-3.72 |
-12 |
-88516.57 |
-22.82584 |
-17530.43 |
-23.40511 |
-1217.83 |
-74.25779 |
NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2024_1q_rates.pdf |
| 1 |
1 |
2024 |
Options |
NA |
ICAP |
|
4.41 |
59.43 |
1.09 |
0.6 |
7.3 |
-8952.18 |
-8.019155 |
-1549.26 |
-7.84 |
-943.15 |
-7.84 |
-472.91 |
-7.84 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
XFA |
|
2.19 |
0.94 |
0 |
0 |
59.85 |
-5.7 |
-71.24 |
0 |
0 |
0 |
0 |
-3009.11 |
-69.43031 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
CASY |
|
1.85 |
23.11 |
0.73 |
0.1 |
2.19 |
-3820.82 |
-11.13714 |
-1196.93 |
-9.321893 |
-11.97 |
-15.34 |
-25.32 |
-7.84 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
DASH FINANCIAL LLC |
|
1.07 |
0 |
1.33 |
0.8 |
0 |
0 |
0 |
-2187.67 |
-20.26 |
0 |
0 |
0 |
0 |
NSI routes customer orders in equity securities, including options, to Dash Financial Technologies, LLC, for execution. Dash routes NSI’s orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Dash, whereby Dash charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Dash and NSI do not maintain any other payment for order fow arrangements with respect to listed options. Dash pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Dash may receive as a result of other aggregated order fow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2024_1q_rates.pdf |
| 1 |
1 |
2024 |
Options |
NA |
CHAPDELAINE |
|
0.97 |
2.83 |
1.09 |
0.4 |
0 |
-348.88 |
-7.84 |
-560.22 |
-9.360468 |
-103.64 |
-7.84 |
0 |
0 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
Pyramid |
|
0.47 |
3.77 |
0.36 |
0.1 |
0 |
-4127.18 |
-65.49 |
-1112.58 |
-50.38866 |
-47.43 |
-41.24 |
0 |
0 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
MAGEN FINANCIAL LLC |
|
0.34 |
4.25 |
0.04 |
0.3 |
0 |
-1361.92 |
-35.84 |
-286.72 |
-35.84 |
-824.32 |
-35.84 |
0 |
0 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
GFI Securities LLC |
|
0.29 |
0.94 |
0.24 |
0.1 |
1.46 |
-291.32 |
-34.2732 |
-1678.02 |
-34.2732 |
-65.12 |
-34.2732 |
-12633.96 |
-21.0566 |
No material aspects to disclose |
| 1 |
1 |
2024 |
Options |
NA |
TRADITION SECURITIES AND DERIVATIVES INC. |
|
0.18 |
1.42 |
0.08 |
0.2 |
0 |
-574.08 |
-47.84 |
-612.83 |
-47.84 |
-310.96 |
-47.84 |
0 |
0 |
No material aspects to disclose |
3
10
20
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
2 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
2 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
2 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
2 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
2 |
2024 |
Options |
NA |
100 |
6.12 |
59.26 |
22.82 |
11.8 |
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
2 |
2024 |
Options |
NA |
INSTINET |
|
81.9 |
3.32 |
89.41 |
95.55 |
58.51 |
-346.35 |
-10.65692 |
-62750.53 |
-17.04659 |
-15557.5 |
-17.96249 |
-6828.45 |
-20.38951 |
NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2024_1q_rates.pdf |
| 1 |
2 |
2024 |
Options |
NA |
DASH FINANCIAL LLC |
|
5.37 |
0 |
7.46 |
2.67 |
2.87 |
0 |
0 |
-5634.51 |
-20.26 |
0 |
0 |
-378.86 |
-20.26 |
NSI routes customer orders in equity securities, including options, to Dash Financial Technologies, LLC, for execution. Dash routes NSI’s orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Dash, whereby Dash charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Dash and NSI do not maintain any other payment for order fow arrangements with respect to listed options. Dash pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Dash may receive as a result of other aggregated order fow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2024_1q_rates.pdf |
| 1 |
2 |
2024 |
Options |
NA |
ICAP |
|
4.49 |
57.93 |
1.07 |
0.3 |
2.1 |
-10792.57 |
-9.970781 |
-3167.36 |
-7.84 |
-243.04 |
-7.84 |
-699.88 |
-7.84 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
CASY |
|
4.22 |
19.93 |
0.84 |
0.4 |
20.46 |
-3297.6 |
-12.07471 |
-1346.38 |
-9.616302 |
-554.54 |
-10.74698 |
-1000.63 |
-14.98179 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
XFA |
|
1.96 |
2.21 |
0.19 |
0 |
14.53 |
-1111.34 |
-71.24 |
-222.03 |
-50.69205 |
0 |
0 |
-6972.91 |
-69.3408 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
Pyramid |
|
0.68 |
8.12 |
0.23 |
0.2 |
0 |
-1058.66 |
-65.43005 |
-803.16 |
-41.31485 |
-50.43 |
-65.49 |
0 |
0 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
CHAPDELAINE |
|
0.61 |
3.69 |
0.34 |
0.59 |
0.38 |
-1396.03 |
-32.84 |
-750.88 |
-19.7132 |
-723.19 |
-32.73814 |
-54.72 |
-13.85266 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
OSCAR GRUSS & SON, INCORPORATED |
|
0.18 |
0 |
0.19 |
0.2 |
0.19 |
0 |
0 |
-830.27 |
-33.026 |
-9.27 |
-66.24 |
-229.88 |
-32.84 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
GFI Securities LLC |
|
0.11 |
1.11 |
0.08 |
0 |
0 |
-1473.75 |
-34.2732 |
-141.01 |
-31.33618 |
0 |
0 |
0 |
0 |
No material aspects to disclose |
| 1 |
2 |
2024 |
Options |
NA |
MAGEN FINANCIAL LLC |
|
0.09 |
1.48 |
0 |
0 |
0 |
-1048.32 |
-35.84 |
0 |
0 |
0 |
0 |
0 |
0 |
No material aspects to disclose |
3
9
20
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
3 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
3 |
2024 |
Stocks |
SP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
3 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
3 |
2024 |
Stocks |
NonSP500 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
ndoPct (Non-Directed Orders as % of All Orders) |
ndoMarketPct (Market Orders as % of Non-Directed Orders) |
ndoMarketableLimitPct (Marketable Limit Orders as % of Non-Directed Orders) |
ndoNonmarketableLimitPct (Non-Marketable Limit Orders as % of Non-Directed Orders) |
ndoOtherPct (Other Orders as % of Non-Directed Orders) |
| 1 |
3 |
2024 |
Options |
NA |
100 |
8.11 |
57.98 |
16.36 |
17.55 |
False
False
| Quarter |
Month |
Year |
Product |
SP500 |
name (Venue - Non-directed Order Flow) |
mic (MIC) |
orderPct (Non-Directed Orders (%)) |
marketPct (Market Orders (%)) |
marketableLimitPct (Marketable Limit Orders (%)) |
nonMarketableLimitPct (Non-Marketable Limit Orders (%)) |
otherPct (Other Orders (%)) |
netPmtPaidRecvMarketOrdersUsd (Net Payment Paid/Received for Market Orders(USD)) |
netPmtPaidRecvMarketOrdersCph (Net Payment Paid/Received for Market Orders(cents per hundred shares)) |
netPmtPaidRecvMarketableLimitOrdersUsd (Net Payment Paid/Received for Marketable Limit Orders(USD)) |
netPmtPaidRecvMarketableLimitOrdersCph (Net Payment Paid/Received for Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvNonMarketableLimitOrdersUsd (Net Payment Paid/Received for Non-Marketable Limit Orders(USD)) |
netPmtPaidRecvNonMarketableLimitOrdersCph (Net Payment Paid/Received for Non-Marketable Limit Orders(cents per hundred shares)) |
netPmtPaidRecvOtherOrdersUsd (Net Payment Paid/Received for Other Orders(USD)) |
netPmtPaidRecvOtherOrdersCph (Net Payment Paid/Received for Other Orders(cents per hundred shares)) |
materialAspects (Material Aspects) |
| 1 |
3 |
2024 |
Options |
NA |
INSTINET |
|
85.33 |
2.24 |
96.33 |
95.25 |
78.14 |
-105.98 |
-15.14 |
-54577.52 |
-15.52725 |
-4853.76 |
-11.5955 |
-9665.69 |
-19.94735 |
NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2024_1q_rates.pdf |
| 1 |
3 |
2024 |
Options |
NA |
ICAP |
|
5.57 |
50.48 |
1.56 |
0.95 |
2.36 |
-12069.68 |
-8.937396 |
-1688.27 |
-7.84 |
-641.47 |
-7.84 |
-472.67 |
-7.84 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
CASY |
|
3.06 |
27.16 |
0.76 |
1.11 |
1.33 |
-6417.26 |
-13.09591 |
-2014.37 |
-12.98585 |
-597.9 |
-9.612508 |
-381.99 |
-10.67608 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
XFA |
|
2.15 |
0 |
0.04 |
0 |
12.11 |
0 |
0 |
-82.48 |
-41.24 |
0 |
0 |
-5051.61 |
-68.41294 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
CHAPDELAINE |
|
1.43 |
12.46 |
0.31 |
0.63 |
0.74 |
-4679.04 |
-32.84 |
-786.36 |
-32.98497 |
-270.45 |
-33.26509 |
-201.75 |
-32.96549 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
Pyramid |
|
0.7 |
0.64 |
0.18 |
0.16 |
2.95 |
-19.65 |
-65.49 |
-186.04 |
-41.61975 |
-4.58 |
-65.49 |
-1557.89 |
-48.69921 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
MAGEN FINANCIAL LLC |
|
0.57 |
5.43 |
0.13 |
0.32 |
0 |
-2017.79 |
-35.84 |
-331.52 |
-35.84 |
-1792 |
-35.84 |
0 |
0 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
TRADITION SECURITIES AND DERIVATIVES INC. |
|
0.26 |
0.64 |
0.13 |
0.48 |
0.3 |
-717.6 |
-47.84 |
-5262.4 |
-47.84 |
-502.32 |
-47.84 |
-9.97 |
-71.24 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
DYNAMEX TRADING, LLC |
|
0.18 |
0 |
0.31 |
0 |
0 |
0 |
0 |
-2684.75 |
-37.84 |
0 |
0 |
0 |
0 |
No material aspects to disclose |
| 1 |
3 |
2024 |
Options |
NA |
TJM INVESTMENTS, LLC |
|
0.16 |
0 |
0.04 |
0.16 |
0.59 |
0 |
0 |
-130.98 |
-65.49 |
-130.98 |
-65.49 |
-720.39 |
-65.49 |
No material aspects to disclose |
3
2
20
False
False