On November 15, 2000 the Securities and Exchange Commission adopted new rules mandating the public disclosure of order execution and routing practices.
SEC 605 - Disclosure of Order Execution Information SEC Rule 605 requires that Janney Montgomery Scott LLC ("Janney") publicly disclose, on a monthly basis, basic standardized information concerning its handling and execution of orders. Please direct any questions you may have to your Financial Consultant. To view Janney's current 605 disclosure please click on the following link. http://www.marketsystems.com/msi/public1_5.html SEC 606 - Disclosure of Order Routing Information Under SEC Rule 606, Janney is required to disclose, on a quarterly basis, the identity of the market centers to which it routes a significant percentage of its orders. Janney is also required to disclose the nature of its relationships with such market centers, including any internalization or payment for order flow and reciprocal business arrangements. Please direct any questions you may have to your Financial Consultant.
SEC 606 - Disclosure of Order Routing Information Under SEC Rule 606, Janney is required to disclose, on a quarterly basis, the identity of the market centers to which it routes a significant percentage of its orders. Janney is also required to disclose the nature of its relationships with such market centers, including any internalization or payment for order flow and reciprocal business arrangements. Please direct any questions you may have to your Financial Consultant.
To view Janney's current 606 disclosure please click on the following link. http://www.marketsystems.com/msi/reports/index.html?clientid=jany
