Polar Investment Counsel, Inc.

Independent Securities & Futures Brokers

Member: FINRA, NFA, MSRB, SIPC

Home Office:  Thief River Falls MN


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US National Debt

 
 
 
 

SEC Rule 11Ac                                 SEC 11Ac1-6 Disclosure

 

SEC Rule 11Ac1-6 Report - PICI - 1st Qtr 2017

(Percentage of Total Non-Directed Orders Routed to Individual Route Venues)

Securities Listed on New York Stock Exchange

Route Venue

Total %

  Market %

  Limit %

 
NYSE 0 0 0  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
 

Securities Listed on NASDAQ Stock Market

Route Venue Total % Market % Limit %  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
         

Securities Listed on American Stock Exchange (AMEX) or

Regional Exchanges

Route Venue Total % Market % Limit%  
AMEX & Regional 0 0 0  
Hilltop Securities 100 6 94  
Approximately 99% of total customer orders were non-directed orders.
 
Exchange-Listed Options
Route Venue Total % Market % Limit % Other%  
NYSE .00 1 99 >1  
ASE 0.23 1 99 >1  
CBOE 0.23 1 99 >1  
NASDAQ 0.00 1 99 >1  
Other 99.54 1 99 >1  
100% of orders were non-directed.  
   
SEC Rule 11Ac1-5 - Best Execution  

Each firm has a duty to insure that it is getting the best execution possible.  The link below will take you to a site that enables you to download and view best execution data for Southwest Securities, Inc.  Click on the link, then select Southwest Securities, Inc. from the list and follow the online instructions.

 

HTS Best Execution Data

 

 

 

 

 

 

CLICK HERE TO VIEW THE PICI CUSTOMER INFORMATION BROCHURE

 

Securities Offered Through:

Polar Investment Counsel, Inc.

Member FINRA, NFA, MSRB, SIPC

Home Office: Thief River Falls MN

www.polarinvest1.com


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