U.S. Securities and Exchange Commission rules require broker-dealers to make quarterly reports detailing their order routing practices for non-directed customer orders (customer does not specify to what venue for execution to route order) in National Market System stocks publicly available. For Public Ventures, LLC, these quarterly reports describe how and where customer orders are routed. Public Ventures’ quarterly reports are available on the Public Ventures’ website at publicventures.com on the Order Routing Practices page by way of our Disclosures page, or can be obtained by contacting Alex Zapanta at (310) 526-5007.
Under SEC NMS Rule 606, in addition to basic quarterly reports, broker-dealers are required to provide information regarding the identity of the market center to which any customer order (or all orders) was routed in the prior six months upon a customer’s request. Essential pieces of information include that which is described above, whether the order was directed or non-directed, and the time of the transaction (if any) resulting from such order. Please contact Alex Zapanta at (310) 526-5007 to obtain routing information within the past six months.