Polar Investment Counsel, Inc.

Independent Securities & Futures Brokers

Member: FINRA, NFA, MSRB, SIPC


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SEC Rule 11Ac                                 SEC 11Ac1-6 Disclosure

 

SEC Rule 11Ac1-6 Report - PICI - 1 Qtr 2020

(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 0.00 1 99 >1  
ASE 0.00 1 99 >1  
CBOE 0.01 1 99 >1  
NASDAQ 0.00 1 99 >1  
Other 99.99 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 Hilltop  Securities, Inc.  Click on the link, then select Hilltop Securities, Inc. from the list and follow the online instructions.

 

HTS Best Execution Data

 

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