SEC REQUIRED DISCLOSURE ON ROUTING OF CUSTOMER ORDERS
RULE 606 (FORMERLY, RULE 11Ac1-6)
CITY SECURITIES CORPORATION
30 South Meridian Street, Suite 600
Indianapolis, IN 46204
1-800-800-CITY (2489)
Under SEC Rule 606 (formerly, Rule 11Ac1-6), broker-dealers that route customer orders in equity and option securities are required to make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution. In addition, broker-dealers are required to disclose to customers, on request, the venues to which their individual orders were routed.
City Securities Corporation directs its order flow to its clearing broker, First Clearing Corporation LLC, for routing and execution. City Securities Corporation does not receive compensation for directing order flow to First Clearing.
To view First Clearing’s 606 (formerly, Rule 11Ac1-6) statistical report of its order routing practices, please access the below link:
http://www.firstclearingllc.com/Report/FirstClearing/default.htm
To obtain information about the routing of a specific order executed within the prior six months, please send your written request to Jennifer M. Haas, Senior Vice President, Chief Compliance Officer, at the above address.