SEC Rule 606 Report
Order Routing Information
Lakeshore Securities LP is currently exempt from the requirement to post a report under Rule 606 pursuant to the de minimis exemption set out in Question 20 of SEC Staff Legal Bulletin No. 13A dated October 16, 2001. This exemption covers broker-dealers that have routed on average 500 or fewer customer orders in covered securities per month during the preceding calendar quarter. "Customer orders" do not include orders submitted for the account of a broker-dealer or submitted by a broker-dealer for such broker-dealer's customers. Further, "customer orders" do not include options orders with a market value of $50,000 or greater.
Lakeshore personnel and brokers are situated on the trading floor of the Chicago Board Options Exchange ("CBOE"). Lakeshore deems any options order entered with its personnel on the floor of the CBOE to include default order routing instructions for execution on the CBOE, consistent with Lakeshore's best execution obligations. A client is free at any time to set alternative default order routing with Lakeshore at no additional cost. Such alternative default order routing may include any duly registered U.S. securities exchange where the applicable option(s) is traded.
Lakeshore will disclose to any customer, upon request, the identity of the venue(s) to which the customer's orders were routed for execution in the six months prior the request.
To request order routing information, please contact Lakeshore Compliance at 312-663-1307.