JonesTrading Institutional Services LLC (JonesTrading) is using its internet site to make publicly available its order routing practices pursuant to Rule 606 (Formerly known as Rule 11Ac1-6).
These quarterly reports will be made available within one month after the end of the quarter addressed in the report.
Report Period: 2nd QTR, 2017
Summary Statistics:
(As percentage of total customer orders and non-directed orders):
| Order Type | Percentage |
|---|---|
| Non-directed | 100% |
| Market orders | 0% |
| Limit orders | 0% |
| Other orders | 100% |
Venues Receiving Significant Percentage of Total Non-Directed Orders:
| Venue | Percentage |
|---|---|
| Knight Execution & Clearing Services | 23.87% |
| FIS Brokerage & Securities Services, LLC | 19.88% |
| UBS Securities, LLC | 13.01% |
| Clearpool Execution Services, LLC | 9.75% |
| NASDAQ | 6.55% |
Information Concerning Significant Venues Types of Orders Routed to Venue:
| Market Orders |
Limit Orders |
Other Orders |
Material Aspects of Relationship w/ this Venue |
||
|---|---|---|---|---|---|
| 1 | Knight Execution & Clearing Services | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 2 | FIS Brokerage & Securities Services, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 3 | UBS Securities, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 4 | Clearpool Execution Services, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 5 | NASDAQ | 0.00% | 0.00% | 100.00% | As of November 1, 2002, JonesTrading is party to Instinet's standard Schedule of Transaction Fees for US broker-dealers. Under this schedule, JonesTrading is charged for routing U.S. Equities that take liquidity from the system and is rebated for U.S. Equities and Exchange Traded Funds (ETFs) shares that provide liquidity to the system. |
Summary Statistics:
(As percentage of total customer orders and non-directed orders):
| Order Type | Percentage |
|---|---|
| Non-directed | 100% |
| Market orders | 0% |
| Limit orders | 0% |
| Other orders | 100% |
Venues Receiving Significant Percentage of Total Non-Directed Orders:
| Venue | Percentage |
|---|---|
| Knight Execution & Clearing Services | 47.91% |
| Clearpool Execution Services, LLC | 12.84% |
| FIS Brokerage & Securities Services, LLC | 8.56% |
| Credit Suisse First Boston Corporation | 8.00% |
| UBS Securities, LLC | 6.60% |
| NASDAQ | 6.06% |
Information Concerning Significant Venues Types of Orders Routed to Venue:
| Market Orders |
Limit Orders |
Other Orders |
Material Aspects of Relationship w/ this Venue |
||
|---|---|---|---|---|---|
| 1 | Knight Execution & Clearing Services | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 2 | Clearpool Execution Services, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 3 | FIS Brokerage & Securities Services, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 4 | Credit Suisse First Boston Corporation | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 5 | UBS Securities, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 6 | NASDAQ | 0.00% | 0.00% | 100.00% | As of November 1, 2002, JonesTrading is party to Instinet's standard Schedule of Transaction Fees for US broker-dealers. Under this schedule, JonesTrading is charged for routing U.S. Equities that take liquidity from the system and is rebated for U.S. Equities and Exchange Traded Funds (ETFs) shares that provide liquidity to the system. |
Summary Statistics:
(As percentage of total customer orders and non-directed orders):
| Order Type | Percentage |
|---|---|
| Non-directed | 100% |
| Market orders | 0% |
| Limit orders | 0% |
| Other orders | 100% |
Venues Receiving Significant Percentage of Total Non-Directed Orders:
| Venue | Percentage |
|---|---|
| Knight Execution & Clearing Services | 54.08% |
| Credit Suisse First Boston Corporation | 11.27% |
| Clearpool Execution Services, LLC | 10.41% |
| UBS Securities, LLC | 6.93% |
Information Concerning Significant Venues Types of Orders Routed to Venue:
| Market Orders | Limit Orders | Other Orders | Material Aspects of Relationship w/ this Venue | ||
|---|---|---|---|---|---|
| 1 | Knight Execution & Clearing Services | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 2 | Credit Suisse First Boston Corporation | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 3 | Clearpool Execution Services, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 4 | UBS Securities, LLC | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
Summary Statistics:
(As percentage of total customer orders and non-directed orders):
| Order Type | Percentage |
|---|---|
| Non-directed | 100% |
| Market orders | 0% |
| Limit orders | 0% |
| Other orders | 100% |
Venues Receiving Significant Percentage of Total Non-Directed Orders:
| Venue | Percentage |
|---|---|
| PCX ( (P) Pacific Exchange ) | 43.31% |
| DASH ( (D) Dash Financial Options ) | 35.44% |
| AMEX ( (A) American Stock Exchange ) | 10.22% |
| CBOE ( (C) Chicago Board Options Exchange ) | 8.19% |
Information Concerning Significant Venues Types of Orders Routed to Venue:
| Market Orders |
Limit Orders |
Other Orders |
Material Aspects of Relationship w/ this Venue |
||
|---|---|---|---|---|---|
| 1 | PCX ( (P) Pacific Exchange ) | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 2 | DASH ( (D) Dash Financial Options ) | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 3 | AMEX ( (A) American Stock Exchange ) | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
| 4 | CBOE ( (C) Chicago Board Options Exchange ) | 0.00% | 0.00% | 100.00% | JonesTrading does not have a profit sharing arrangement with or receive payment for order flow from this venue/market center. |
Customers may request the identity of the venue where specific orders were routed for execution for any order in the previous six (6) months by sending a written request to:
JonesTrading Institutional Services
Attn: Compliance Department
32133 Lindero Canyon Road
Suite 208
Westlake Village, CA 91361
Please include the security and trade date with your request.