SEC Rule 606 Quarterly Report for the Quarter ending June 30, 2010
Note: Broker-dealers are required to disclose any material arrangements with the venues listed in
each section below, including, but not limited to, any internalization or payment for order flow
arrangements.
MW0
MAPLEWOOD INVESTMENT ADVISORS
8750 N. CENTRAL EXPRESSWAY
SUITE 715
DALLAS, TX 75231
SEC Rule 606 Quarterly Report for the Quarter Ending June 30, 2010
Securities Listed on New York Stock Exchange
Summary Statistics :
Non-directed orders as percentage of total customer orders 100.00%
Market orders as percentage of total non-directed orders 80.60%
Limit orders as percentage of total non-directed orders 16.06%
Other orders as percentage of total non-directed orders 3.34%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. UBS Securities, L.L.C. 29.09%
2. Knight Capital Markets, L.L.C. 23.53%
3. National Financial Services, L.L.C. 21.30%
4. Citigroup Global Markets, Inc. 11.45%
5. Citadel Derivatives Group LLC 10.81%
6. Surge Trading, Inc. 1.11%
7. Direct Edge ECN L.L.C. 0.95%
8. BATS Exchange, Inc. 0.64%
9. NYSE Arca 0.48%
10. AlterNet Securities Inc. 0.32%Information Concerning Significant Venues :
1. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 23.47%
Limit orders as percentage of total limit orders 59.41%
Other orders as percentage of total other orders 19.05%
2. Knight Capital Markets, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 24.85%
Limit orders as percentage of total limit orders 8.91%
Other orders as percentage of total other orders 61.90
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 24.65%
Limit orders as percentage of total limit orders 8.91%
Other orders as percentage of total other orders 0.00%
4. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 12.82%
Limit orders as percentage of total limit orders 2.97%
Other orders as percentage of total other orders 19.05%
5. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 12.03%
Limit orders as percentage of total limit orders 6.93%
Other orders as percentage of total other orders 0.00%
6. Surge Trading, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.38%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. Direct Edge ECN L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 5.94%
Other orders as percentage of total other orders 0.00%
8. BATS Exchange, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 3.96%
Other orders as percentage of total other orders 0.00%
9. NYSE Arca
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 2.97%
Other orders as percentage of total other orders 0.00%
10. AlterNet Securities Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.39%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
Securities Listed on The Nasdaq Stock Market
Summary Statistics :
Non-directed orders as percentage of total customer orders 100.00%
Market orders as percentage of total non-directed orders 91.09%
Limit orders as percentage of total non-directed orders 6.44%
Other orders as percentage of total non-directed orders 2.48%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citadel Derivatives Group LLC 29.21%
2. National Financial Services, L.L.C. 26.24%
3. UBS Securities, L.L.C. 21.78%
4. Knight Equity Markets, L.P. 12.87%
5. Citigroup Global Markets, Inc. 7.43%
6. Goldman, Sachs & Co. 1.49%
7. NYSE Arca 0.50%
8. Direct Edge ECN L.L.C. 0.50%
Information Concerning Significant Venues :
1. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 30.43%
Limit orders as percentage of total limit orders 23.08%
Other orders as percentage of total other orders 0.00%
2. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 26.63%
Limit orders as percentage of total limit orders 30.77%
Other orders as percentage of total other orders 0.00%
3. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 21.20%
Limit orders as percentage of total limit orders 23.08%
Other orders as percentage of total other orders 40.00%
4. Knight Equity Markets, L.P.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 11.96%
Limit orders as percentage of total limit orders 7.69%
Other orders as percentage of total other orders 60.00%
5. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 8.15%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
6. Goldman, Sachs & Co.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 1.63%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. NYSE Arca
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 7.69%
Other orders as percentage of total other orders 0.00%
8. Direct Edge ECN L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 7.69%
Other orders as percentage of total other orders 0.00%
Securities Listed on NYSE Amex or Regional Exchanges
Summary Statistics:
Non-directed orders as percentage of total customer orders 100.00%
Market orders as percentage of total non-directed orders 97.53%
Limit orders as percentage of total non-directed orders 2.06%
Other orders as percentage of total non-directed orders 0.41%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. Citadel Derivatives Group LLC 35.80%
2. Knight Capital Markets, L.L.C. 22.22%
3. National Financial Services, L.L.C. 20.99%
4. UBS Securities, L.L.C. 14.81%
5. Citigroup Global Markets, Inc. 4.12%
6. AlterNet Securities Inc. 0.82%
7. Direct Edge ECN L.L.C. 0.82%
8. GETCO Execution Services L.L.C. 0.41%
Information Concerning Significant Venues :
1. Citadel Derivatives Group LLC
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 36.71%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
2. Knight Capital Markets, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 21.94%
Limit orders as percentage of total limit orders 40.00%
Other orders as percentage of total other orders 0.00%
3. National Financial Services, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 21.52%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
4. UBS Securities, L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 14.77%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 100.00%
5. Citigroup Global Markets, Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 3.80%
Limit orders as percentage of total limit orders 20.00%
Other orders as percentage of total other orders 0.00%
6. AlterNet Securities Inc.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.84%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
7. Direct Edge ECN L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 40.00%
Other orders as percentage of total other orders 0.00%
8. GETCO Execution Services L.L.C.
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.42%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
Exchange - Listed Options
Summary Statistics :
Non-directed orders as percentage of total customer orders 100.00%
Market orders as percentage of total non-directed orders 61.90%
Limit orders as percentage of total non-directed orders 38.10%
Other orders as percentage of total non-directed orders 0.00%
Venues Receiving Significant Percentage of Total Non-Directed Orders :
1. The Chicago Board Options Stock Exchange 33.33%
2. NYSE Amex Options 23.81%
3. NYSE Arca Options 19.05%
4. The Boston Option Exchange 14.29%
5. The International Securities Exchange 4.76%
6. Other 4.76%
Information Concerning Significant Venues :
1. The Chicago Board Options Stock Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 38.46%
Limit orders as percentage of total limit orders 25.00%
Other orders as percentage of total other orders 0.00%
2. NYSE Amex Options
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 30.77%
Limit orders as percentage of total limit orders 12.50%
Other orders as percentage of total other orders 0.00%
3. NYSE Arca Options
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 7.69%
Limit orders as percentage of total limit orders 37.50%
Other orders as percentage of total other orders 0.00%
4. The Boston Option Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 15.38%
Limit orders as percentage of total limit orders 12.50%
Other orders as percentage of total other orders 0.00%
5. The International Securities Exchange
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 0.00%
Limit orders as percentage of total limit orders 12.50%
Other orders as percentage of total other orders 0.00%
6. Other
Types of Orders Routed to Venue :
Market orders as percentage of total market orders 7.69%
Limit orders as percentage of total limit orders 0.00%
Other orders as percentage of total other orders 0.00%
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