Disclosures

For Quarter Ending March 31, 2013

Dynamex Trading LLC (“Dynamex”) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of "non-directed" customer orders.

A Customer order means an order to buy or sell a security that is not for the account of a broker or dealer.

A Directed orders means a customer order for which the customer specifically instructed the broker or dealer to route to a particular venue for execution.

A Non-Directed order means any customer order other than a directed order.

Dynamex selects the execution venue on behalf of its customers for all non-directed orders. Upon customer request, Dynamex will disclose "the identity of the venue to which the customer's orders were routed for execution in the six months prior to the request, regardless of whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from those orders."

For each section, this report identifies the venues most often used by customers and sets forth the percentage of various types of orders routed to the venues.

 

Securities Listed on the New York Stock Exchange:

Non-Directed Orders as a Percentage of Total Customer Orders:

Percentage of Non-Directed Customer Orders That Were:

Total Non-Directed Orders As a Percentage of Total Customer Orders

Market Orders as a Percentage of Non-Directed Orders

Limit Orders as a Percentage of Non-Directed Orders

Other Orders as a Percentage of Non-Directed Orders

NYSE ARCA, Inc. (ARCA)

 44.44%

0.00%

100.00%

0.00%

New York Stock Exchange LLC.(NYSE)

0.00%

0.00%

100.00%

0.00%

International Securities Exchange (ISE)

55.56%

0.00%

100.00%

0.00%

CBOE Stock Exchange (CBSX)

0.00%

0.00%

100.00%

0.00%

 

Securities Listed on the NASDAQ:

Non-Directed Orders as a Percentage of Total Customer Orders:

Percentage of Non-Directed Customer Orders That Were:

Total Non-Directed Orders As a Percentage of Total Customer Orders

Market Orders as a Percentage of Non-Directed Orders

Limit Orders as a Percentage of Non-Directed Orders

Other Orders as a Percentage of Non-Directed Orders

NYSE ARCA, Inc. (ARCA)

16.67%

0.00%

100.00%

0.00%

New York Stock Exchange LLC.(NYSE)

0.00%

0.00%

100.00%

0.00%

International Securities Exchange (ISE)

83.33%

0.00%

100.00%

0.00%

CBOE Stock Exchange (CBSX)

0.00%

0.00%

100.00%

0.00%

 

Securities Listed on the American Stock Exchange:

Non-Directed Orders as a Percentage of Total Customer Orders:

Percentage of Non-Directed Customer Orders That Were:

Total Non-Directed Orders As a Percentage of Total Customer Orders

Market Orders as a Percentage of Non-Directed Orders

Limit Orders as a Percentage of Non-Directed Orders

Other Orders as a Percentage of Non-Directed Orders

NYSE ARCA, Inc. (ARCA)

0.00%

0.00%

100.00%

0.00%

New York Stock Exchange LLC.(NYSE)

0.00%

0.00%

100.00%

0.00%

International Securities Exchange (ISE)

0.00%

0.00%

100.00%

0.00%

CBOE Stock Exchange (CBSX)

0.00%

0.00%

100.00%

0.00%

 

Options routed through Dynamex:

Non-Directed Orders as a Percentage of Total Customer Orders:

 

Percentage of Non-Directed Customer Orders That Were:

Total Non-Directed Orders As a Percentage of Total Customer Orders

Market Orders as a Percentage of Non-Directed Orders

Limit Orders as a Percentage of Non-Directed Orders

Other Orders as a Percentage of Non-Directed Orders

Chicago Board Options Exchange (CBOE)

17.32%

0.00%

100.00%

0.00%

Nasdaq OMX PHLX,Inc.(PHLX)

55.85%

0.00%

100.00%

0.00%

International Securities Exchange,LLC (ISE)

11.71%

0.00%

100.00%

0.00%


 

 

 

 

NYSE AMEX, Inc. (AMEX)

11.71%

0.00%

100.00%

0.00%

NASDAQ OMX

0.00%

0.00%

100.00%

0.00%

Pacific Exchange (PCX)         3.41%                 0.00%                 100.00%               0.00%

BATS Exchange (BATS)         0.00%                    0.00%                100.00%                0.00%

Notes regarding Conflicts of Interest relating to Market Centers Most Often Selected by the Firm

Chicago Board Options Exchange, Inc.(CBOE) – Group One Trading LP, a Dynamex affiliate, is a Designated Primary Market Maker, a Lead Market Maker and/or Preferred Market Maker in options on the CBOE. Accordingly, a Dynamex affiliate may share directly in any profits generated (or that have been generated) from the execution of client orders by the Firm on the exchange, including those that are routed to the exchange.

Nasdaq OMX PHLX, Inc (PHLX) – Group One Trading LP, a Dynamex affiliate, is a Specialist, Directed Streaming Quote Trader and/or Streaming Quote Trader on PHLX. Accordingly, a Dynamex affiliate may share directly in any profits generated (or that have been generated) from the execution of client orders by the Firm on the exchange, including those that are routed to the exchange.

NYSE Amex LLC (AMEX) - Group One Trading LP, a Dynamex affiliate, is an E-Specialist and/or a Directed Order Market Maker on AMEX. Accordingly, the Firm may share directly in any profits generated (or that have been generated) from the execution of client orders by the Firm on the exchange, including those that are routed to the exchange.

NYSE ARCA (ARCA) – Group One Trading LP, a Dynamex affiliate, is an LMM and/or Market Maker on ARCA. Accordingly, the Firm may share directly in any profits generated (or that have been generated) from the execution of client orders by the Firm on the exchange, including those that are routed to the exchange.