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Tocqueville Securities L.P » Order Routing Disclosure

Order Routing Disclosure


In compliance with Securities and Exchange Commission Rule 606 (Regulation NMS), Tocqueville Securities L.P. has posted the 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 this website when you select this link.

 

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40 W. 57th Street
19th Floor
New York NY 10019
212.698.0800

© 2017 Tocqueville Asset Management L.P.

Tim Steele is an artist living in New York City and the founder of Tim Steele Design. As a career artist, he has also expanded into the related disciplines of interior design and contemporary structures. 
 

With solo and group exhibitions spanning 20 years, Tim’s abstract pieces are shown in galleries, public spaces and in private collections around the world. An extension of his painting, his interior work includes NYC apartments, private homes, executive offices and entire commercial floors. With an interest in utilizing recycled and new materials, Tim is also creating modular structures that are based on shipping containers.

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Artwork: Tim Steele, New York NY