Legal & Regulatory Information

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Legal & Regulatory Information

SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2010

SEC Rule 606 Quarterly Report for the Quarter Ending September 30, 2010

SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2010

SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2010

SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2009

SEC Rule 606 Quarterly Report for the Quarter Ending September30, 2009

SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2009

SEC Rule 606 Quarterly Report for the Quarter Ending March 31, 2008

SEC Rule 606 Quarterly Report for the Quarter Ending December 31, 2008

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending September 30, 2008

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending June30, 2008

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending March 31, 2008

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending December 31, 2007

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending September 30, 2007

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending June 30, 2007

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending March 31, 2007

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending Dec. 31, 2006

SEC Rule 606 (formerly 11AC 1-6) Quarterly Report for the Quarter Ending June 30, 2006

SEC Rule 606 (formerly 11AC 1-6) 3rd Quarterly Report for the Quarter Ending September 30, 2006

Order Execution (Sec Rule 605)

Order Routing (Sec Rule 606)

Best Execution 11Ac1-6 for July 2001 – June 2004

Best Execution 11Ac1-6 for July 2004-June 2005

Best Execution 11Ac1-6 for July 2005 – September 30, 2005

Best Execution 11Ac1-6 for October 2005 to December 31, 2005