SEC Rule 606 Quarterly Report for the Quarter ending June 30, 2010
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.
MW3
VESTECH SECURITIES INC
THROUGH THE COURTESY OF
MAPLEWOOD INVESTMENT ADVISORS
8100 22ND STREET NORTH
BUILDING 600, SUITE B
WICHITA, KS 67226
SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2010
Securities Listed on 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 91.72%
Limit orders as percentage of total non-directed orders 7.01%
Other orders as percentage of total non-directed orders 1.27%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. UBS Securities, L.L.C. 35.03%
2. Knight Capital Markets, L.L.C. 24.20%
3. National Financial Services, L.L.C. 18.47%
4. Citadel Derivatives Group LLC 12.10%
5. Citigroup Global Markets, Inc. 6.37%
6. Goldman, Sachs & Co. 1.91%
7. Direct Edge ECN L.L.C. 0.64%
8. Maplewood Investment Advisors, Inc. 0.64%
9. Other 0.64%
Information Concerning Significant Venues :
1. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 35.42%
Limit orders as percentage of total limit orders 27.27%
Other orders as percentage of total other orders 50.00%
2. Knight Capital Markets, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 23.61%
Limit orders as percentage of total limit orders 36.36%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 18.75%
Limit orders as percentage of total limit orders 18.18%
Other orders as percentage of total other orders 0.00%
4. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 13.19%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
5. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 5.56%
Limit orders as percentage of total limit orders 9.09%
Other orders as percentage of total other orders 50.00%
6. Goldman, Sachs & Co.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 2.08%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. Direct Edge ECN L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 9.09%
Other orders as percentage of total other orders 0.00%
8. Maplewood Investment Advisors, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.69%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
9. Other
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.69%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
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 76.81%
Limit orders as percentage of total non-directed orders 20.29%
Other orders as percentage of total non-directed orders 2.90%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citigroup Global Markets, Inc. 34.78%
2. Citadel Derivatives Group LLC 27.54%
3. National Financial Services, L.L.C. 18.84%
4. UBS Securities, L.L.C. 7.25%
5. Knight Equity Markets, L.P. 5.80%
6. Direct Edge ECN L.L.C. 4.35%
7. BATS Exchange, Inc. 1.45%
Information Concerning Significant Venues :
1. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 33.96%
Limit orders as percentage of total limit orders 42.86%
Other orders as percentage of total other orders 0.00%
2. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 33.96%
Limit orders as percentage of total limit orders 7.14%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 22.64%
Limit orders as percentage of total limit orders 7.14%
Other orders as percentage of total other orders 0.00%
4. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 5.66%
Limit orders as percentage of total limit orders 7.14%
Other orders as percentage of total other orders 50.00%
5. Knight Equity Markets, L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.77%
Limit orders as percentage of total limit orders 7.14%
Other orders as percentage of total other orders 50.00%
6. Direct Edge ECN L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 21.43%
Other orders as percentage of total other orders 0.00%
7. BATS 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 7.14%
Other orders as percentage of total other orders 0.00%
Securities Listed on NYSE Amex 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 73.68%
Limit orders as percentage of total non-directed orders 24.56%
Other orders as percentage of total non-directed orders 1.75%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Knight Capital Markets, L.L.C. 36.84%
2. Citadel Derivatives Group LLC 33.33%
3. National Financial Services, L.L.C. 15.79%
4. UBS Securities, L.L.C. 12.28%
5. Citigroup Global Markets, Inc. 1.75%
Information Concerning Significant Venues :
1. Knight Capital Markets, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 40.48%
Limit orders as percentage of total limit orders 21.43%
Other orders as percentage of total other orders 100.00%
2. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 26.19%
Limit orders as percentage of total limit orders 57.14%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 16.67%
Limit orders as percentage of total limit orders 14.29%
Other orders as percentage of total other orders 0.00%
4. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 14.29%
Limit orders as percentage of total limit orders 7.14%
Other orders as percentage of total other orders 0.00%
5. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 2.38%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
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 0.00%
Limit orders as percentage of total non-directed orders 100.00%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. NASDAQ OMX PHLX 50.00%
2. NYSE Arca Options 33.33%
3. The Chicago Board Options Stock Exchange 16.67%
Information Concerning Significant Venues :
1. NASDAQ OMX PHLX
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 50.00%
Other orders as percentage of total other orders 0.00%
2. 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 33.33%
Other orders as percentage of total other orders 0.00%
3. The Chicago Board Options Stock 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 16.67%
Other orders as percentage of total other orders 0.00%
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