US Compliance and Reports

for Neonet Securities, Inc.*

Business Continuity Plan
BCP in compliance with NASD Rule 3510
SIPC Notification

Order routing report- SEC Rule 606 (formerly known as Rule 11Ac1-6)
 
The Securities and Exchange Commission requires that all broker/dealers make publicly available quarterly reports that disclose the venues to which they route non-directed orders* in certain securities. The material aspects of any payment for order flow or profit-sharing arrangements must also be disclosed.

The report is divided in three sections covering securities listed on the Nasdaq Stock Exchange, the New York Stock Exchange, and the American Stock Exchange. Neonet orders are routed to and executed in multiple venues. The data below shows the percentages of shares/contracts executed at each venue. This data does not include directed orders*.

If you have any questions about these statistics, please contact Jean Dacanay +1 201 526 8604
 
Q4 2009 (Oct - Dec)
Q3 2009 (July - September)
Q2 2009 (April - June)
Q1 2009 (Jan - Mar)
Q4 2008 (Oct - Dec)
Q2 2008 (April - June)
Q3 2008 (July - Sep)
Q2 2008 (April - June)
Q1 2008 (Jan - Mar)
Q4 2007 (Oct - Dec)
Q3 2007 (Jul - Sep)
Q2 2007 (Apr - Jun)
Q1 2007 (Jan - Mar)
Q4 2006 (Oct-Dec)
Q3 2006 (Jul-Sep)
Q2 2006 (Apr-Jun)
Q1 2006 (Jan-Mar)

Archive - Order routing reports
2005
2004


Privacy policy
Policy

Customer identification program
Program

Order Routing and Payment for Order Flow Disclosure
Disclosure

Finra Public Disclosure
Disclosure

Neonet Policy Statement Regarding Compliance with Reg NMS
REG NMS
 
* Refers to Neonet Securities, Inc., a member of FINRA and SIPC
Last updated: January 2010 Print this page
Contact
New York
Neonet
Tel: +1 201 526 8600
Fax: +1 201 653 3282
Address: 111 Pavonia Avenue, Jersey City NJ 07310, USA

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Press Releases
08 February 2010
Neonet Wins World Finance Best Service Provider Award
25 January 2010
Neonet cancels presentation of year-end report
25 January 2010
The board of Neonet stands behind Orc Software’s Offer and unanimously recommends that it be accepted by the stockholders

Press Release Archive

Press Releases
08 February 2010
Neonet Wins World Finance Best Service Provider Award
25 January 2010
Neonet cancels presentation of year-end report
25 January 2010
The board of Neonet stands behind Orc Software’s Offer and unanimously recommends that it be accepted by the stockholders

Press Release Archive

Investor Relations
Simon Says
19 February 2010
Meet us at TradeTech USA 2010
Will you be at TradeTech USA on February 23-24? Then drop by and meet us, you will find the Neone...
04 February 2010
Investor interview
Today I was interviewed regarding the announced merger between Orc and Neonet. Topics covered in...
25 January 2010
Client Greeting
Dear Client, This morning, it was announced that Neonet and Orc Software are to merge in order to...
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Please contact careers@neonet.com.

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