In reliance on the SEC No-Action Letter dated September 21, 2001, Sea Port Group Securities, LLC is exempt from the quarterly reporting requirement of Regulation NMS Rule 606 (formerly SEC Rule 11Ac1-6(b)). Sea Port Group Securities, LLC has routed, on average, 500 or fewer customer orders in covered securities per month during the preceding calendar quarter.
If you are a customer of Sea Port Group Securities, LLC and would like routing information about a specific order please call 212-616-7700 and ask to speak with the Compliance Department.