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Buckman, Buckman & Reid, Inc. (“BB&R”) regularly makes information available related to SEC Rules 605 and 606 related to quality of execution (“Best Execution”) and order routing practices, respectively. Currently, all of the firm’s orders are routed through BRASS (including certain orders processed by or through MIXIT), or one of its two clearing agents handling customer accounts, RBC Correspondent Services, Inc. (“RBC”) Apex Clearing, Inc. (“APEX”) and Interactive Brokers LLC (“IB”). BB&R does not accept payment for order flow with respect to any of these business arrangements.
BB&R conducts 1.3% of its business on or through Interactive Brokers’ proprietary or related systems.
BB&R conducts 95.2% of its business on or through RBC’s proprietary or related systems.
BB&R conducts 3.5% of its business on or through Apex’s proprietary or related systems.
Reports for the firm’s business through BRASS, including MIXIT data, and both RBC and APEX can be found below:
RBC: http://www.tagaudit.com/rule6.asp?user=dcsd
Apex: ftp://public.s3.com/11ac1-6/pfsi
http://www.interactivebrokers.com/download/2Q_2013_IB_ORDER_ROUTING_REPORT.pdf
Questions regarding any of the firm’s Best Execution or Order Routing data may be addressed by contacting the firm’s Chief Compliance Officer, below:
Andrew Heath
Chief Compliance Officer
Buckman, Buckman & Reid
174 Patterson Avenue
Shrewsbury, New Jersey 07702
Direct Dial: (732) 559-0089
HQ: (732) 530-0303, x 431
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