Tocqueville Securities L.P.
Tocqueville Securities L.P. is the distributor for The Tocqueville Fund, The Tocqueville Small Cap Fund, The Tocqueville International Value Fund, The Delafield Fund, The Select Fund, and The Tocqueville Gold Fund. Tocqueville Securities L.P. is an affiliate of Tocqueville Asset Management L.P., a registered investment advisor. Tocqueville Asset Management L.P., 40 W.57th St, New York, NY 10019, acts as investment advisor to each Fund. For more information on the advisor, please visit www.tocqueville.com.
In compliance with Securities and Exchange Commission Rule 606 (Regulation NMS), Tocqueville Securities L.P. has posted order routing information. This rule requires each firm to make publicly available quarterly reports on the firm's order routing practices.
The report provides information on the routing of "non-directed orders," which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Tocqueville Securities L.P. has selected the execution venue on behalf of its clients.
The report is divided into four sections, by security listing. One is for securities listed on the New York Stock Exchange, one for securities listed on the American Stock Exchange or regional exchanges, one for securities listed on The NASDAQ Stock Market, and one for exchange-listed options. In each section, the report shows the venues most often selected by Tocqueville Securities L.P.; the percentage of various types of orders routed to the venues, and a description of any material aspects of Tocqueville Securities L.P. relationship with the venues.
Transaction Auditing Group (TAG) has been selected to disseminate this information on their public website. To access this information, please click on Order Handing Disclosure Report for Tocqueville Securities L.P. You will be leaving the Tocqueville Securities L.P. website when you select this link.