In accordance with SEC Rule 606, Mondeum Capital, LLC is making publicly available a quarterly report on its routing of non-directed orders in NMS stocks that are submitted on a held basis and of non-directed orders that are customer orders in NMS securities that are option contracts.
The report includes the following sections as required by SEC Rule 606: (1) a section for NMS stocks, separated by securities that are included in the S&P 500 Index as of the first day of that quarter and other NMS stocks, and (2) a section for NMS securities that are option contracts.
The report also, among other things, sets forth percentages of various types of non-directed orders that were routed for execution, identifies venues to which significant amounts of non-directed orders were routed for execution, and discusses material aspects of Mondeum Capital’s relationship with venues.
Click on the appropriate quarter below to access data for the relevant time period.
Mondeum Capital LLC, member FINRA and SIPC.
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