Home Log-In Inside GKB Legal & Compliance Locations Contact Us Site Map
Inside GKB Home Page Corporate Officers Career With GKB Guiding Principles Financial Statement Firm History BCP Summary SEC Rule 606 Reporting Contact Us
SEC Required Reporting

SEC-Required Reporting on Routing of Customer Orders

For Quarter Ending

George K. Baum and Company has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly 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. For these non-directed orders, George K. Baum and Company has selected the execution venue on behalf of its customers.

The report is divided into four sections: one for securities listed on the New York Stock Exchange, one for securities listed on the Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by George K. Baum and Company, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of George K. Baum and Company's relationship with the venues.

Prairie Brokerage Services (PBS), a division of George K. Baum & Company, transmits all its customer orders to its clearing firm, First Clearing, LLC (FC). FC makes routing decisions concerning customer orders without regard to the identity of PBS. Accordingly, PBS adopts by reference FC's Rule 606 quarterly reports which may be found at FC’s Disclosure of Order Routing Information website. This quarterly report describes FC's order routing practices along with material aspects of relationships with route venues. A written copy of the quarterly report will be furnished on request.