Order Routing Practices

Pursuant to SEC Rule 606, Caldwell Sutter Capital, Inc. is required to make available quarterly reports that present a statistical information regarding our routing practices. These reports identify the market centers (for example exchanges, market makers or alternative trading systems) that we route to and the material aspects of our relationship with those market centers. Rule 606 exempts broker-dealers from disclosing execution venues that received less than 5% of non-directed orders provided that 90% of the non-directed orders are disclosed. As a result, overall totals may not equal 100%.

As required under SEC Rule 606(b)(1), on request, we will provide the identity of the market center to which your 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 executions, if any, that resulted from such orders. This applies to both held and not held orders.

View Caldwell Sutter Capital, Inc.'s Order Routing Disclosures

For further information on the regulations regarding Order Routing and Order Execution, please visit the SEC’s website or contact Caldwell Sutter Capital, Inc. for specific order routing information and reporting.