SEC Rule 606 Report. Regal Securities 1 st Quarter Percentages of Total Non Directed Orders Routed to Venues

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1 SEC Rule 606 Report Regal Securities st Quarter 207 Percentages of Total Routed to Venues Regal Securities, Inc. (Regal Securities) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule ( 240.Ac 6 / ) requiring all brokerage firms to make available to the public quarterly reports about 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, Regal Securities has selected the execution venue on behalf of its customers. The report is divided into four sections:. New York Stock Exchange listed securities 2. Nasdaq Stock listed securities 3. NYSE MKT Exchange and regional exchanges listed securities 4. Exchange listed options For each section, this report identifies the venues most often selected by Regal Securities, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Regal Securities relationship with the venues. This report has been reviewed by a third party market surveillance and auditing firm. Questions regarding this report should be addressed to the Regal Securities compliance department.

2 . New York Stock Exchange Securities * routed to: Citadel Securities, LLC 00.00% 00.00% 00.00% 00.00% Total RGLD 30.82% 7.20% 63.06% 9.74% * for which the customer requests special handling. New York Stock Exchange The chart above shows the percentages of orders placed for securities trading on the New York Stock Exchange (NYSE). received from Citadel averaged less than $ per share for the period Q207. 2

3 2. NASDAQ Listed Securities * routed to: Citadel Securities, LLC 00.00% 00.00% 00.00% 00.00% Total RGLD 42.65% 2.46% 69.90% 7.65% * for which the customer requests special handling. Nasdaq The chart above shows the percentages of orders placed for securities trading on the Nasdaq Stock (Nasdaq). received from Citadel averaged less than $ per share for the period Q207. 3

4 3. NYSE MKT/Regional Stock Exchange Securities * routed to: Citadel Securities, LLC 00.00% 00.00% 00.00% 00.00% Total RGLD 87.73%.38% 72.46% 6.6% * for which the customer requests special handling. NYSE MKT/ The chart above shows the percentages of orders placed for securities trading on the NYSE MKT Exchange (formerly AMEX) and regional exchanges. received from Citadel averaged less than $ per share for the period Q207. 4

5 4. Exchange Listed Options * routed to: Susquehanna Capital Group 60.03% 49.94% 60.65% 63.2% Citadel Securities, LLC % 29.92% 20.6% 28.65% LiquidPoint, LLC % 7.42% 6.42% 4.0% Total RGLD 00.00% 7.77% 83.66% 8.57% * for which the customer requests special handling. Exchange Listed Options The chart above shows the percentages of orders placed for securities trading as Exchange Listed Options. Regal Securities receives payment from Susquehanna Capital Group for certain types of option orders routed to them for execution on the options exchange. Payments received during this quarter range from $0.00 to $0.90 per contract. 2 Regal Securities receives payment from Citadel Securities LLC (Citadel) for certain types of option orders routed to them for execution on the options exchange. Payments received during this quarter range from $0.00 to $.06 per contract. 3 Regal Securities receives payment from LiquidPoint for certain types of option orders routed to them for execution on the options exchange. Payments received during this quarter range from $0.00 to $.50 per contract. 5

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