SEC RULE 606 (formerly 11Ac-1-6)
Pursuant to SEC Rule 11Ac-1-6, Transcend Capital, LLC is required to make available a quarterly report with regard to our non-directed orders. To comply with this rule, Transcend Capital, LLC's clearing firm, Penson Financial Services, has entered into an agreement with Quantum5 Market Surveillance *Division of S3 Matching Technologies* to disclose all required information pertaining to this rule.
The resulting reports may be viewed at the following web address:
ftp://public.s3.com/11ac1-6/pfsi
Quarterly reports for venues other than Penson are available below.
Report for orders routed via ITG
Report for ConvergEx non-directed orders
(select "ConvergEx Executions Solutions")
Report for orders routed via Knight Capital Markets
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