ORDER ROUTING QUARTERLY REPORT SEC RULE 606
Mint Global Markets, Inc. has prepared these reports pursuant to a U.S. Securities and Exchange Commission Regulation NMS Rule 606(b)(1) requiring all brokerage firms to make publicly available reports on their order-routing practices. The report provides information on the routing of “non-directed orders” (any order that the customer has not specifically instructed to be routed to a particular venue for execution). These reports were created for order routing specifically cleared through Axos Clearing and ApexPro Clearing. Mint Global Markets currently has a clearing relationship with both of those firms. Mint creates two Quarterly Order Routing 606 reports. One for each clearing firm.
Payment for Order Flow
Mint Global Markets, Inc. receives compensation on a per-share or per-contract basis for directing order flow to selected exchanges and brokers-dealers. Customers can request that Mint Global Markets, Inc disclose to its customer the identity of the venue to which the customer’s orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any that resulted from such orders. HARD COPY OF THIS REPORT IS AVAILABLE UPON REQUEST. FREE OF CHARGE. Price improvement is available under certain market conditions. We post quarterly order routing execution reports at: speedtrader.com. For additional information or to request a “Hard Copy” or “Identity of the Venue Disclosure”, please contact us in writing or by email as follows:
1717 Route 6, Suite 102, Carmel, NY 10512 — [email protected]