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
 
Q2 2010 (April - June)
Q1 2010 (Jan-Mar)
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
Senast uppdaterad: juli 2010 Skriv ut denna sida
Contact
New York
Neonet
Tel: +1 201 526 8600
Fax: +1 201 653 3282
Address: 111 Pavonia Avenue, Jersey City NJ 07310, USA

All Offices

Press Releases
28 april 2010
Resolutions from Neonet’s Annual General Meeting
22 april 2010
Neonet AB (publ) discloses certain preliminary information pertaining to the first quarter of 2010
13 april 2010
New CEO and CFO at Neonet AB (publ) following merger with Orc Software

Press Release Archive