Jordan & Jordan Jordan & Jordan Public Disclosure

606 Report for Daiwa

2018 Quarter 4 (Oct - Dec)

NYSE

Non-Directed Orders Total Market Limit Other Relationship
Total Daiwa Orders 100.00 % 0.06 % 0.02 % 99.93 %
New York Stock Exchange (NYSE) 69.53 % 0.00 % 0.00 % 69.58 %
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MLCO) 14.64 % 0.00 % 0.00 % 14.65 %
Goldman, Sachs & Co. (GSCO) 5.06 % 0.00 % 0.00 % 5.06 %
Knight Capital Americas LLC (DTTX) 3.86 % 0.00 % 0.00 % 3.86 %

NASDAQ

Non-Directed Orders Total Market Limit Other Relationship
Total Daiwa Orders 100.00 % 0.00 % 0.00 % 100.00 %
Nasdaq Execution Services, LLC. (NSDQ) 59.85 % 0.00 % 0.00 % 59.85 %
Goldman, Sachs & Co. (GSCO) 14.91 % 0.00 % 0.00 % 14.91 %
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MLCO) 13.00 % 0.00 % 0.00 % 13.00 %
Knight Capital Americas LLC (DTTX) 5.92 % 0.00 % 0.00 % 5.92 %

AMEX

Non-Directed Orders Total Market Limit Other Relationship
Total Daiwa Orders 100.00 % 0.00 % 0.00 % 100.00 %
Archipelago Stock Exchange (ARCX) 48.22 % 0.00 % 0.00 % 48.22 %
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MLCO) 23.31 % 0.00 % 0.00 % 23.31 %
ITG Inc. (ITGI) 10.92 % 0.00 % 0.00 % 10.92 %
Knight Capital Americas LLC (DTTX) 7.85 % 0.00 % 0.00 % 7.85 %
CPEM - Clearpool (CPEM) 5.15 % 0.00 % 0.00 % 5.15 %