Jordan & Jordan Jordan & Jordan Public Disclosure

606 Report for State Street Global Markets, LLC

2016 Quarter 3 (Jul - Sepr)

NYSE

Non-Directed Orders Total Market Limit Other Relationship
Total State Street Global Markets, LLC Orders 100.00 % 1.22 % 0.09 % 98.69 %
INSTINET, LLC (INCA) 75.97 % 56.66 % 14.29 % 76.26 %
Credit Suisse Securities (USA) LLC (FBCO) 14.76 % 1.02 % 7.14 % 14.93 %
New York Stock Exchange (NYSE) 6.59 % 0.17 % 7.14 % 6.67 %

NASDAQ

Non-Directed Orders Total Market Limit Other Relationship
Total State Street Global Markets, LLC Orders 100.00 % 0.89 % 2.67 % 96.44 %
INSTINET, LLC (INCA) 85.80 % 50.26 % 0.35 % 88.49 %
Credit Suisse Securities (USA) LLC (FBCO) 6.37 % 5.18 % 1.21 % 6.52 %

AMEX

Non-Directed Orders Total Market Limit Other Relationship
Total State Street Global Markets, LLC Orders 100.00 % 1.28 % 6.46 % 92.26 %
INSTINET, LLC (INCA) 62.54 % 0.00 % 0.00 % 67.78 %
Nasdaq Execution Services, LLC. (NSDQ) 15.78 % 0.00 % 0.00 % 17.11 %
Credit Suisse Securities (USA) LLC (FBCO) 11.21 % 42.19 % 0.31 % 11.54 %
BATS Trading Z (BZX) 3.35 % 0.00 % 51.86 % 0.00 %

Options

Non-Directed Orders Total Market Limit Other Relationship
Total State Street Global Markets, LLC Orders 100.00 % 63.52 % 36.48 % 0.00 %
Chicago Board Options Exchange (CBOE) 59.66 % 91.89 % 3.53 % 0.00 %
Archipelago Trading Services, Inc. (ARCA) 25.75 % 0.00 % 70.59 % 0.00 %
Nasdaq Execution Services, LLC. (NSDQ) 6.44 % 0.00 % 17.65 % 0.00 %

General Information

State Street Global Markets, LLC (the Broker) routes customer U.S. equity orders to national securities exchanges, alternative trading systems (including unaffiliated electronic communications networks and BlockCross ATS, the Broker’s own alternative trading system), market centers and broker-dealers unaffiliated with the Broker. In exchange for the Broker routing equity orders to these execution venues, certain of these venues offer cash credits for orders that provide liquidity to their books and charge explicit fees for orders that extract liquidity from their books while others offer cash credits for orders that extract liquidity from their books and charge explicit fees for orders that provide liquidity to their books. The credits are considered payment for order flow even though they may not offset the Broker’s aggregate payment obligations to the venue. In any given month, the credits received by the Broker from a given venue may or may not exceed the debits charged to the Broker for such period. Typically, these order flow credits have resulted in the Broker receiving a credit against a portion of the expenses due from the Broker and do not result in any cash payments to the Broker. However, it is conceivable such credits could result in cash payments to the Broker. Please note, consistent with the requirements of Rule 606, the data above captures only a portion of the Broker's order flow. This report is intended only to provide an overview of the Broker’s order routing practices. Accordingly, the data is not a reliable basis upon which to assess whether the Broker or any trading venue to which the Broker routes orders has satisfied its best execution obligation.