SEC Rule 11Ac1-6
SEC Rule 11Ac1-6 SEC – Required Report on Routing of Customer Orders For Quarter Ending June 30, 2007
WWESTPORT CAPITAL MARKETS, LLC TYPICALLY TRANSMITS ALL CUSTOMER ORDERS TO BEAR STEARNS SECURITIES CORP. (“BSSC”), OUR CLEARING FIRM. “BSSC” MAKES THE ROUTING DECISION CONCERNING OUR CUSTOMER ORDERS. BASED ON THE INFORMATION PROVIDED TO US FROM “BSSC”, THE FOLLOWING IS A SUMMARY OF OUR NON-DIRECTED ORDER ROUTING.
Securities Listed on New York Stock Exchange
Summary Statistics:
Non-directed orders as percentage of total customer orders: 100%
Market orders as percentage of total non-directed orders: 84%
Limit orders as percentage of total non-directed orders: 16%
Venues Receiving Significant Percentage of Total Non-Directed Orders:
1.NYSE: 100%
Information Concerning Significant Venues:
1.NYSE Types of Orders Routed to NYSE:
Market orders as percentage of total market orders 84%
Limit orders as percentage of total limit orders 16%
Securities Listed on the Nasdaq Stock Exchange
Summary Statistics:
Non-directed orders as percentage of total customer orders 100%
Market Orders as percentage of total non-directed orders 79%
Limit orders as percentage of total non-directed orders 21%
Venues Receiving Significant Percentage of Total Non-Directed
Orders:
1. Nasdaq Exchange 100%
Information Concerning Significant Venues:
1. Nasdaq Exchange
Types of Orders Routed to Nasdaq:
Market Orders as percentage of total market orders 79%
Limit orders as percentage of total limit orders 21%
Securities Listed on American Stock Exchange or Regional Exchanges
Summary Statistics:
Non-directed orders as percentage of total customer orders 100%
Market orders as percentage of total non-directed orders 100%
Limit orders as percentage of total non-directed orders 0%
Venues Receiving Significant Percentage of Total Non-Directed
Orders:
1. AMEX Exchange 100%
Information Concerning Significant Venues:
1. AMEX Exchange Types of Orders Routed to AMEX:
Market orders as percentage of total market orders 100%
Limit orders as percentage of total limit orders 0%
Exchange-Listed Options
Summary Statistics:
Non-directed orders as percentage of total customer orders: 100%
Market orders as percentage of total market orders: 0%
Limit orders as percentage of total limit orders: 100%
Material Aspects of Relationship with any of the above Venues: None
For individual information on customer orders, please contact
Marisa Maher at (203) 222-8933 or send a written request to:
Westport Capital Markets, LLC
257 Riverside Avenue
Westport, CT 06880
Phone: 203.222.8933
Fax: 203.222.8898