|
SEC Rule 11Ac1-6
Disclosure of Order Routing Practices
Quarter Ending December 31, 2007
Brockhouse & Cooper Inc. has
prepared this report pursuant to a U.S. Securities and Exchange
Commission rule requiring all brokerage firms to make publicly
available quarterly reports on their order routing practices. The
report provides information on the routing of "non-directed orders" -
any order that the customer has not specifically instructed to be
routed to a particular venue for execution. For these non-directed
orders, Brockhouse & Cooper Inc. has
selected the execution venue on behalf of its customers.
The report is divided into three sections: one for securities listed on
the New York Stock Exchange; one for securities listed on The Nasdaq
Stock Market; one for securities listed on the American Stock Exchange
or regional exchanges. For each section, this report identifies the
venues most often selected by Brockhouse & Cooper Inc., sets forth
the percentage of various types of orders routed to the venues, and
discusses the material aspects of Brockhouse &
Cooper Inc.'s relationship with the venues.
NYSE
Destination
|
Total
Orders
|
Market
Orders
|
Limit
Orders
|
Other
Orders
|
ITG Canada Corp.
|
66%
|
66%
|
100%
|
0%
|
Pershing LLC
|
34%
|
34%
|
0%
|
0%
|
AMEX
Destination
|
Total
Orders
|
Market
Orders
|
Limit
Orders
|
Other
Orders
|
| ITG Canada Corp. |
83%
|
83%
|
0%
|
0%
|
| Pershing LLC |
17%
|
17%
|
0%
|
0%
|
NASDAQ
Destination
|
Total
Orders
|
Market
Orders
|
Limit
Orders
|
Other
Orders
|
ITG Canada Corp.
|
81%
|
80%
|
100%
|
0%
|
| Pershing LLC |
19%
|
20%
|
0%
|
0%
|
Although Brockhouse & Cooper Inc. has used
commercially reasonable
efforts to provide accurate information, the data is provided to you on
an "as is" basis.
BROCKHOUSE & COOPER INC. SPECIFICALLY DISCLAIMS ALL WARRANTIES
EXPRESS OR IMPLIED WITH
RESPECT TO THE INFORMATION, INCLUDING SPECIFICALLY, BUT NOT
EXCLUSIVELY, WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR
PURPOSE AND NON-INFRINGEMENT. YOU AGREE THAT
BROCKHOUSE & COOPER INC. SHALL NOT HAVE ANY
LIABILITY FOR ANY INDIRECT, CONSEQUENTIAL, SPECIAL OR DIRECT DAMAGES
FOR ANY ACTION OR INACTION WHICH YOU MAY TAKE AS THE RESULT OF THE
DATA, WHETHER AS A RESULT OF ANY CLAIM SOUNDING IN CONTRACT OR ANY
OTHER THEORY OF LIABILITY.
|
