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Home > Sterne, Agee & Leach > Equity Capital Markets > Institutional Equity Sales and Trading > Order Routing Information
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NASDAQ: SALI (800.239.2408) AUTEX: STRNAGEE (205.380.1760)
SEC Required Reporting for Routing of Client Orders
Sterne, Agee & Leach, Inc. has prepared reports 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 reports provide information on the routing of "non-directed orders" -- any order that the client has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Sterne, Agee & Leach, Inc. has selected the execution venue on behalf of its clients. Each report identifies the venues most often selected by Sterne, Agee & Leach, Inc., sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Sterne, Agee & Leach, Inc.'s relationship with the venues.
606 Order Routing information for the New York Stock Exchange, the Nasdaq Stock Market, and other Regional Stock Exchanges
Exchange-Listed Options
605 Order Execution Information (Raw Data)
605 Order Execution Information (Formatted Data)
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