The reports are available via the Related Links.
SEC Rule 605
In accordance with SEC Rule 605, Barclays Capital Inc. compiles and publishes a monthly report regarding the execution quality provided by its trading desk of orders in equities in which we are a market maker. This report is available at www.tta.thomson.com within one month after the end of the month addressed in the report. These statistics represent only a portion of our executed order flow, and as such, investors should take into account a variety of factors in evaluating execution quality.
SEC Rule 606
In accordance with SEC Rule 606, Barclays Capital Inc. compiles and publishes a quarterly report regarding its routing of non-directed customer orders in national market system securities and listed options. This report is available at www.tta.thomson.com within one month after the end of the quarter addressed in the report. Customers may request a written copy of the report be furnished to them free of charge. In addition, customers may request Barclays Capital Inc. to furnish a report identifying the venue to which their orders in national market system securities and listed options were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, resulting from such orders.