This is a sample set. Each rule set can be customized to meet clients' unique trading patterns. In addition, SEI and UNX continually make revisions to the sample rule set as market conditions warrant.

Rules Based Routing
Rules Based Routing can analyze the profile of a trade based on user-defined trade paramters, such as average daily volume and share quantity, and then autoroute the order to the appropriate destination(s) with assigned handling instructions and execution tactics.

Description of Rules Based Execution Tactics

UNX STORM (Strategic Trade Order Routing Matrix)
For market orders STORM applies smart order routing technology that actively seeks to improve execution quality through price improvement and liquidity enhancement. STORM allows orders to sweep multiple liquidity destinations extracting many types of invisible liquidity sources including hidden, reserve, and discretionary orders - then directs any remaining quantity algorithmically to one or more - potentially manual - final destinations.

UNX VWAP Strategy Server
The UNX VWAP strategy server is well suited to handle slightly larger market orders due to its ability to break up orders over time and then feed the order into the market using selected UNX execution tactics. The VWAP strategy server divides the order according to a volume curve in proportion to the expected volume within that time period.

UNX Agency Desk
The UNX Agency desk can provide the special handling requirements that are needed for the more difficult orders that represent a higher portion of the average daily volume. The UNX Agency desk will utilize the full suite of UNX trading tools as well as work with floor brokeres, market makers, and the dealer community to negotiate prices and execute the order.

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Service and Support
SEI has a dedicated team of rules trading specialists that will work with you to develop a customized rule set to fit your risk profile and trading style. For more information please contact your SEI Brokerage representative or call SEI Brokerage services at 610-676-1885.

Extreme market conditions may effect trade execution, cost and performance. Brokerage services are provided by SEI Investments Distribution Co. (SIDCO), a registered broker/dealer, member of NASD/SIPC, and wholly-owned subsidiary of SEI Investments Company. 1 Freedom Valley Drive, Oaks, PA 19456. 610-676-1000. SIDCO introduces some transactions to UNX, Inc. who in turn introduces accounts to Spear, Leeds & Kellogg, who carries and clears the accounts on a fully disclosed basis. Both UNX, Inc. and Spear, Leeds & Kellogg are registered broker/dealers and not affiliated with SIDCO.