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2026Q2 2026Q1

Adopted Clearing Firm Rule 606 Reports

Under FINRA Rule 6151, this broker-dealer adopts by reference the 606 routing reports of its clearing firm(s): A.G.P./Alliance Global Partners, NATIONAL FINANCIAL SERVICES LLC, RBC CAPITAL MARKETS, LLC. Every underlying execution venue and clearing context is evaluated below.

CRD #8361 Review Period: 2026Q1 Filing: Adopts clearing firm report

A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD #8361) — Quarterly Rule 606 vs. Amended Rule 605 Competing Market Review

Name: A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD #8361) 2026Q1 Execution Quality Benchmark
Creator: Execution Reports
License: https://executionreports.com/methodology

• 0 COMPETING-MARKET EXCEPTIONS DETECTED (>1.0 BPS THRESHOLD)

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Primary Routed Venues (606)

1. Wolverine Execution Services, LLC(433.7%)

2. CITADEL SECURITIES LLC(412.3%)

3. Citadel Securities LLC(341.3%)

Top routed order shares

Disclosed PFOF / Rebates

Clears via A.G.P./Alliance Global Partners, NATIONAL FINANCIAL SERVICES LLC, RBC CAPITAL MARKETS, LLC • Subject to 5310.09(c) supervision

Clearing firm adoption

Competing-Market Exceptions

0 of 0

Scored cells with >1.0 bps shortfall

Data Coverage

0 mo • 0 builds

Amended 605 builds

Rule 5310.09 Exceptions Preview (0 Total)

All scored order size and routing buckets where venue net price improvement trailed mix-adjusted peers by > 1.0 bps.

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No statistically significant competing-market shortfalls exceeding 1.0 bps were detected in this quarter’s scored cells.

FINRA Rule 5310.09 Review Packet

A.G.P. / ALLIANCE GLOBAL PARTNERS

CRD Number: 8361 • Quarter: 2026Q1 • Generated: Wed, 14 Oct 2026 18:31:52 GMT

Methodology: exq-2

Status: CLOSED QUARTER

Resolved Rule 606 Source Filings

Author / Clearing Firm	CRD	Variant / Context	Version	SHA-256 Digest	Source Document
A.G.P./Alliance Global Partners	8361	Direct	V1	5abab97499a428c39cb2e33211f91cde06f61c1ea54c5fb20c41b2e1d8c8a082	Download XML ↗
NATIONAL FINANCIAL SERVICES LLC(Clearing: NATIONAL FINANCIAL SERVICES LLC)	13041	Direct	V1	655866126023b2a8aec940c0828842496200374beae1717277524d4f18b094db	Download XML ↗
RBC Clearing & Custody(Clearing: RBC CAPITAL MARKETS, LLC)	31194	RBCCLEARINGCUSTODY	V1	23fd69aec48f69009fe0f491f39c10b046b685b6691dbcb8d96b357d7f0b51d2	Download XML ↗
RBC Wealth Management(Clearing: RBC CAPITAL MARKETS, LLC)	31194	RBCWEALTHMANAGEMENT	V1	429b26992d4b171218a90622f0c084994ed20ae2bff3af0b039f8b38fe4b2cd8	Download XML ↗
RBC Capital Markets Corporation(Clearing: RBC CAPITAL MARKETS, LLC)	31194	RBCM	V1	2bb7bbbfb99c23bf76a67b9096003f4c90072b4a5530bf40b23dd914a01dd306	Download XML ↗

1. SEC Rule 606(a)(1) Order Routing

Quarterly non-directed customer order routing shares and net PFOF/rebates by section and venue.

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Month	Section	Execution Venue	605 Reporter	Route %	Market %	Mkt Limit %	Non-Mkt %	PFOF Mkt (¢/100)	PFOF Limit (¢/100)
202601	options	Wolverine Execution Services LLC (WEXX)	Unmapped	21.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	GLOBAL EXECUTION BROKERS, LP (GEBB)	Unmapped	20.9%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Dash Financial Technologies LLC (DASH)	Unmapped	20.9%	50.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Citadel Securities LLC (CDRG)	CDRG	20.9%	0.0%	0.0%	3.5%	0.00 ¢	0.00 ¢
202601	options	NYSE Arca Options (ARCA)	Unmapped	6.7%	0.0%	0.0%	24.1%	0.00 ¢	0.00 ¢
202601	options	Cboe Options Exchange (CBOE)	Unmapped	6.1%	0.0%	0.0%	24.1%	0.00 ¢	0.00 ¢
202601	other_stocks	National Financial Services LLC (XSTM)	XSTM	24.9%	27.0%	1.8%	0.4%	0.00 ¢	0.00 ¢
202601	other_stocks	G1 Execution Services, LLC (ETMM)	ETMM	15.0%	16.3%	0.1%	0.1%	0.00 ¢	0.00 ¢
202601	other_stocks	VIRTU Americas, LLC (NITE)	NITE	14.8%	13.5%	34.7%	15.5%	0.00 ¢	0.00 ¢
202601	other_stocks	Citadel Securities LLC (CDRG)	CDRG	14.1%	12.7%	37.3%	15.7%	0.00 ¢	0.00 ¢
202601	other_stocks	Jane Street Capital, LLC (JNST)	JNST	10.7%	11.6%	0.3%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	10.3%	11.2%	0.1%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	UBS Securities, LLC (UBSS)	UBSS	2.1%	2.3%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	Two Sigma Securities, LLC (SOHO)	SOHO	2.1%	2.3%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.1%	2.3%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	NASDAQ Stock Market (NSDQ)	Unmapped	0.6%	0.1%	22.9%	0.0%	-14.51 ¢	-6.41 ¢
202601	sp500	G1 Execution Services, LLC (ETMM)	ETMM	17.3%	18.9%	0.1%	0.1%	0.00 ¢	0.00 ¢
202601	sp500	VIRTU Americas, LLC (NITE)	NITE	15.5%	15.9%	14.8%	2.9%	0.00 ¢	0.00 ¢
202601	sp500	Citadel Securities LLC (CDRG)	CDRG	14.9%	14.9%	17.4%	3.2%	0.00 ¢	0.00 ¢
202601	sp500	National Financial Services LLC (XSTM)	XSTM	14.6%	15.0%	10.5%	10.8%	0.00 ¢	0.00 ¢
202601	sp500	Jane Street Capital, LLC (JNST)	JNST	12.4%	13.6%	0.1%	0.1%	0.00 ¢	0.00 ¢
202601	sp500	HRT FINANCIAL LP (HRTF)	HRTF	11.9%	13.0%	0.1%	0.1%	0.00 ¢	0.00 ¢
202601	sp500	UBS Securities, LLC (UBSS)	UBSS	2.5%	2.8%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	sp500	Two Sigma Securities, LLC (SOHO)	SOHO	2.5%	2.7%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	sp500	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.4%	2.7%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	sp500	Intelligent Cross LLC (INCR)	Unmapped	0.7%	0.0%	7.0%	12.1%	0.00 ¢	-8.00 ¢
202602	options	GLOBAL EXECUTION BROKERS, LP (GEBB)	Unmapped	20.1%	0.0%	0.0%	13.2%	0.00 ¢	0.00 ¢
202602	options	Wolverine Execution Services LLC (WEXX)	Unmapped	20.1%	0.0%	0.0%	7.9%	0.00 ¢	0.00 ¢
202602	options	Dash Financial Technologies LLC (DASH)	Unmapped	20.0%	0.0%	0.0%	23.7%	0.00 ¢	0.00 ¢
202602	options	Citadel Securities LLC (CDRG)	CDRG	19.9%	0.0%	0.0%	13.2%	0.00 ¢	0.00 ¢
202602	options	NYSE Arca Options (ARCA)	Unmapped	7.5%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Cboe Options Exchange (CBOE)	Unmapped	7.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	National Financial Services LLC (XSTM)	XSTM	26.1%	28.0%	4.9%	3.6%	0.00 ¢	0.00 ¢
202602	other_stocks	Citadel Securities LLC (CDRG)	CDRG	15.2%	13.6%	38.0%	18.8%	0.00 ¢	0.00 ¢
202602	other_stocks	G1 Execution Services, LLC (ETMM)	ETMM	14.9%	16.2%	0.1%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	VIRTU Americas, LLC (NITE)	NITE	14.8%	13.4%	35.4%	18.2%	0.00 ¢	0.00 ¢
202602	other_stocks	Jane Street Capital, LLC (JNST)	JNST	11.4%	12.4%	0.3%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	8.6%	9.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.3%	2.5%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	UBS Securities, LLC (UBSS)	UBSS	1.9%	2.1%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	Two Sigma Securities, LLC (SOHO)	SOHO	1.6%	1.7%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	NYSE Arca (ARCA)	Unmapped	0.5%	0.0%	0.1%	24.1%	-12.00 ¢	-1.64 ¢
202602	sp500	G1 Execution Services, LLC (ETMM)	ETMM	17.6%	18.8%	0.1%	0.2%	0.00 ¢	0.00 ¢
202602	sp500	Citadel Securities LLC (CDRG)	CDRG	16.6%	15.9%	28.8%	6.7%	0.00 ¢	0.00 ¢
202602	sp500	National Financial Services LLC (XSTM)	XSTM	16.0%	16.6%	7.9%	8.1%	0.00 ¢	0.00 ¢
202602	sp500	VIRTU Americas, LLC (NITE)	NITE	15.9%	15.5%	25.2%	6.2%	0.00 ¢	0.00 ¢
202602	sp500	Jane Street Capital, LLC (JNST)	JNST	13.4%	14.4%	0.1%	0.1%	0.00 ¢	0.00 ¢
202602	sp500	HRT FINANCIAL LP (HRTF)	HRTF	10.2%	10.9%	0.1%	0.1%	0.00 ¢	0.00 ¢
202602	sp500	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.6%	2.8%	0.0%	0.1%	0.00 ¢	0.00 ¢
202602	sp500	UBS Securities, LLC (UBSS)	UBSS	2.3%	2.5%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	Two Sigma Securities, LLC (SOHO)	SOHO	1.8%	1.9%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	GTS SECURITIES LLC (GTSM)	GTSM	0.4%	0.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	NYSE Arca Options (ARCA)	Unmapped	17.5%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	Cboe Options Exchange (CBOE)	Unmapped	17.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	Wolverine Execution Services LLC (WEXX)	Unmapped	13.4%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	Citadel Securities LLC (CDRG)	CDRG	13.4%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	Dash Financial Technologies LLC (DASH)	Unmapped	13.4%	0.0%	0.0%	25.0%	0.00 ¢	0.00 ¢
202603	options	GLOBAL EXECUTION BROKERS, LP (GEBB)	Unmapped	13.3%	0.0%	0.0%	12.5%	0.00 ¢	0.00 ¢
202603	options	Cboe BZX Options Exchange, Inc. (BATS)	BATS	9.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	National Financial Services LLC (XSTM)	XSTM	26.6%	28.9%	12.5%	5.6%	0.00 ¢	0.00 ¢
202603	other_stocks	VIRTU Americas, LLC (NITE)	NITE	14.4%	14.9%	14.7%	4.8%	0.00 ¢	0.00 ¢
202603	other_stocks	Citadel Securities LLC (CDRG)	CDRG	14.4%	14.8%	16.5%	4.9%	0.00 ¢	0.00 ¢
202603	other_stocks	G1 Execution Services, LLC (ETMM)	ETMM	13.0%	14.8%	0.1%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	Jane Street Capital, LLC (JNST)	JNST	12.2%	13.9%	0.3%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	HRT FINANCIAL LP (HRTF)	HRTF	5.6%	6.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.2%	2.5%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	NASDAQ Stock Market (NSDQ)	Unmapped	1.6%	0.1%	0.4%	33.1%	-14.52 ¢	-5.29 ¢
202603	other_stocks	UBS Securities, LLC (UBSS)	UBSS	1.4%	1.6%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	Two Sigma Securities, LLC (SOHO)	SOHO	1.0%	1.2%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	National Financial Services LLC (XSTM)	XSTM	16.6%	17.2%	12.6%	7.9%	0.00 ¢	0.00 ¢
202603	sp500	Citadel Securities LLC (CDRG)	CDRG	16.5%	17.3%	12.9%	1.2%	0.00 ¢	0.00 ¢
202603	sp500	VIRTU Americas, LLC (NITE)	NITE	16.4%	17.5%	10.8%	1.1%	0.00 ¢	0.00 ¢
202603	sp500	G1 Execution Services, LLC (ETMM)	ETMM	15.5%	17.4%	0.1%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	Jane Street Capital, LLC (JNST)	JNST	14.5%	16.3%	0.1%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	HRT FINANCIAL LP (HRTF)	HRTF	6.7%	7.5%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	Goldman, Sachs & Co. LLC (GSCO)	GSCO	2.6%	2.9%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	UBS Securities, LLC (UBSS)	UBSS	1.7%	1.9%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	Two Sigma Securities, LLC (SOHO)	SOHO	1.2%	1.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	NASDAQ Stock Market (NSDQ)	Unmapped	1.2%	0.0%	0.9%	32.7%	-14.50 ¢	0.00 ¢
202601	options	Wolverine Execution Services, LLC	Unmapped	73.1%	56.7%	52.8%	57.5%	28.58 ¢	32.25 ¢
202601	options	CITADEL SECURITIES LLC	CDRG	26.3%	43.3%	46.9%	41.9%	12.85 ¢	23.25 ¢
202601	options	Dash/IMC Financial Markets	Unmapped	0.6%	0.0%	0.3%	0.6%	0.00 ¢	0.00 ¢
202601	other_stocks	CITADEL SECURITIES LLC	CDRG	19.4%	19.1%	21.8%	26.5%	0.00 ¢	0.00 ¢
202601	other_stocks	Jane Street Capital	JNST	17.6%	17.9%	13.8%	11.3%	0.00 ¢	0.00 ¢
202601	other_stocks	Virtu Americas, LLC	NITE	14.4%	14.1%	14.7%	18.7%	0.00 ¢	0.00 ¢
202601	other_stocks	Hudson River Trading (HRT)	HRTF	11.9%	12.1%	11.3%	7.8%	0.00 ¢	0.00 ¢
202601	other_stocks	G1 Execution Services, LLC	ETMM	10.7%	10.6%	11.9%	13.4%	0.00 ¢	0.00 ¢
202601	other_stocks	Two Sigma Securities, LLC	Unmapped	10.2%	10.3%	9.6%	7.1%	0.00 ¢	0.00 ¢
202601	other_stocks	UBS Securities, LLC	Unmapped	8.7%	8.6%	7.8%	9.2%	0.00 ¢	0.00 ¢
202601	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.2%	9.1%	6.1%	0.00 ¢	0.00 ¢
202601	sp500	CITADEL SECURITIES LLC	CDRG	21.4%	21.1%	24.4%	30.9%	0.00 ¢	0.00 ¢
202601	sp500	Virtu Americas, LLC	NITE	16.1%	15.9%	21.1%	24.3%	0.00 ¢	0.00 ¢
202601	sp500	Jane Street Capital	JNST	15.6%	15.8%	11.1%	5.8%	0.00 ¢	0.00 ¢
202601	sp500	G1 Execution Services, LLC	ETMM	10.8%	10.6%	11.9%	17.7%	0.00 ¢	0.00 ¢
202601	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	12.4%	11.3%	0.00 ¢	0.00 ¢
202601	sp500	Hudson River Trading (HRT)	HRTF	10.3%	10.4%	7.8%	3.9%	0.00 ¢	0.00 ¢
202601	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.4%	4.3%	3.1%	0.00 ¢	0.00 ¢
202601	sp500	StoneX Financial, Inc.	Unmapped	6.2%	6.3%	7.0%	3.1%	0.00 ¢	0.00 ¢
202602	options	Wolverine Execution Services, LLC	Unmapped	71.3%	53.9%	51.3%	60.0%	28.91 ¢	27.59 ¢
202602	options	CITADEL SECURITIES LLC	CDRG	27.8%	46.1%	47.8%	39.9%	11.37 ¢	24.62 ¢
202602	options	Dash/IMC Financial Markets	Unmapped	0.9%	0.0%	0.9%	0.1%	0.00 ¢	0.00 ¢
202602	other_stocks	CITADEL SECURITIES LLC	CDRG	21.3%	21.0%	21.7%	26.2%	0.00 ¢	0.00 ¢
202602	other_stocks	Jane Street Capital	JNST	15.6%	15.9%	13.2%	10.4%	0.00 ¢	0.00 ¢
202602	other_stocks	Hudson River Trading (HRT)	HRTF	13.4%	13.7%	10.4%	7.2%	0.00 ¢	0.00 ¢
202602	other_stocks	Virtu Americas, LLC	NITE	12.7%	12.3%	16.6%	19.6%	0.00 ¢	0.00 ¢
202602	other_stocks	G1 Execution Services, LLC	ETMM	10.9%	10.7%	12.3%	14.6%	0.00 ¢	0.00 ¢
202602	other_stocks	Two Sigma Securities, LLC	Unmapped	10.3%	10.4%	9.6%	6.6%	0.00 ¢	0.00 ¢
202602	other_stocks	UBS Securities, LLC	Unmapped	8.7%	8.6%	7.7%	9.0%	0.00 ¢	0.00 ¢
202602	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.3%	8.4%	6.3%	0.00 ¢	0.00 ¢
202602	sp500	CITADEL SECURITIES LLC	CDRG	21.4%	21.1%	25.7%	30.4%	0.00 ¢	0.00 ¢
202602	sp500	Virtu Americas, LLC	NITE	15.8%	15.5%	16.9%	25.1%	0.00 ¢	0.00 ¢
202602	sp500	Jane Street Capital	JNST	15.6%	15.8%	11.9%	6.9%	0.00 ¢	0.00 ¢
202602	sp500	G1 Execution Services, LLC	ETMM	11.1%	10.9%	13.8%	16.1%	0.00 ¢	0.00 ¢
202602	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	10.1%	10.9%	0.00 ¢	0.00 ¢
202602	sp500	Hudson River Trading (HRT)	HRTF	10.2%	10.4%	8.1%	4.0%	0.00 ¢	0.00 ¢
202602	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.4%	6.3%	3.2%	0.00 ¢	0.00 ¢
202602	sp500	StoneX Financial, Inc.	Unmapped	6.3%	6.4%	7.1%	3.4%	0.00 ¢	0.00 ¢
202603	options	Wolverine Execution Services, LLC	Unmapped	72.5%	51.0%	52.1%	61.9%	31.38 ¢	40.07 ¢
202603	options	CITADEL SECURITIES LLC	CDRG	26.2%	49.0%	46.9%	37.6%	13.60 ¢	32.14 ¢
202603	options	Dash/IMC Financial Markets	Unmapped	1.3%	0.0%	1.0%	0.5%	0.00 ¢	0.00 ¢
202603	other_stocks	CITADEL SECURITIES LLC	CDRG	21.1%	20.9%	21.2%	26.1%	0.00 ¢	0.00 ¢
202603	other_stocks	Jane Street Capital	JNST	15.8%	16.1%	14.7%	10.7%	0.00 ¢	0.00 ¢
202603	other_stocks	Hudson River Trading (HRT)	HRTF	12.9%	13.2%	9.8%	7.6%	0.00 ¢	0.00 ¢
202603	other_stocks	Virtu Americas, LLC	NITE	12.3%	12.0%	15.4%	19.4%	0.00 ¢	0.00 ¢
202603	other_stocks	G1 Execution Services, LLC	ETMM	11.3%	11.0%	13.5%	15.6%	0.00 ¢	0.00 ¢
202603	other_stocks	Two Sigma Securities, LLC	Unmapped	10.9%	11.1%	10.1%	6.8%	0.00 ¢	0.00 ¢
202603	other_stocks	UBS Securities, LLC	Unmapped	8.5%	8.6%	6.7%	7.3%	0.00 ¢	0.00 ¢
202603	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.2%	8.7%	6.4%	0.00 ¢	0.00 ¢
202603	sp500	CITADEL SECURITIES LLC	CDRG	21.3%	21.1%	29.9%	31.1%	0.00 ¢	0.00 ¢
202603	sp500	Jane Street Capital	JNST	15.7%	15.9%	12.2%	6.7%	0.00 ¢	0.00 ¢
202603	sp500	Virtu Americas, LLC	NITE	15.4%	15.2%	16.9%	24.0%	0.00 ¢	0.00 ¢
202603	sp500	G1 Execution Services, LLC	ETMM	11.5%	11.3%	15.6%	17.0%	0.00 ¢	0.00 ¢
202603	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	9.7%	10.9%	0.00 ¢	0.00 ¢
202603	sp500	Hudson River Trading (HRT)	HRTF	10.2%	10.4%	5.9%	3.9%	0.00 ¢	0.00 ¢
202603	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.5%	4.4%	3.2%	0.00 ¢	0.00 ¢
202603	sp500	StoneX Financial, Inc.	Unmapped	6.2%	6.3%	5.4%	3.3%	0.00 ¢	0.00 ¢
202601	options	Wolverine Execution Services, LLC	Unmapped	73.1%	56.7%	52.8%	57.5%	28.58 ¢	32.25 ¢
202601	options	CITADEL SECURITIES LLC	CDRG	26.3%	43.3%	46.9%	41.9%	12.85 ¢	23.25 ¢
202601	options	Dash/IMC Financial Markets	Unmapped	0.6%	0.0%	0.3%	0.6%	0.00 ¢	0.00 ¢
202601	other_stocks	CITADEL SECURITIES LLC	CDRG	19.4%	19.1%	21.8%	26.5%	0.00 ¢	0.00 ¢
202601	other_stocks	Jane Street Capital	JNST	17.6%	17.9%	13.8%	11.3%	0.00 ¢	0.00 ¢
202601	other_stocks	Virtu Americas, LLC	NITE	14.4%	14.1%	14.7%	18.7%	0.00 ¢	0.00 ¢
202601	other_stocks	Hudson River Trading (HRT)	HRTF	11.9%	12.1%	11.3%	7.8%	0.00 ¢	0.00 ¢
202601	other_stocks	G1 Execution Services, LLC	ETMM	10.7%	10.6%	11.9%	13.4%	0.00 ¢	0.00 ¢
202601	other_stocks	Two Sigma Securities, LLC	Unmapped	10.2%	10.3%	9.6%	7.1%	0.00 ¢	0.00 ¢
202601	other_stocks	UBS Securities, LLC	Unmapped	8.7%	8.6%	7.8%	9.2%	0.00 ¢	0.00 ¢
202601	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.2%	9.1%	6.1%	0.00 ¢	0.00 ¢
202601	sp500	CITADEL SECURITIES LLC	CDRG	21.4%	21.1%	24.4%	30.9%	0.00 ¢	0.00 ¢
202601	sp500	Virtu Americas, LLC	NITE	16.1%	15.9%	21.1%	24.3%	0.00 ¢	0.00 ¢
202601	sp500	Jane Street Capital	JNST	15.6%	15.8%	11.1%	5.8%	0.00 ¢	0.00 ¢
202601	sp500	G1 Execution Services, LLC	ETMM	10.8%	10.6%	11.9%	17.7%	0.00 ¢	0.00 ¢
202601	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	12.4%	11.3%	0.00 ¢	0.00 ¢
202601	sp500	Hudson River Trading (HRT)	HRTF	10.3%	10.4%	7.8%	3.9%	0.00 ¢	0.00 ¢
202601	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.4%	4.3%	3.1%	0.00 ¢	0.00 ¢
202601	sp500	StoneX Financial, Inc.	Unmapped	6.2%	6.3%	7.0%	3.1%	0.00 ¢	0.00 ¢
202602	options	Wolverine Execution Services, LLC	Unmapped	71.3%	53.9%	51.3%	60.0%	28.91 ¢	27.59 ¢
202602	options	CITADEL SECURITIES LLC	CDRG	27.8%	46.1%	47.8%	39.9%	11.37 ¢	24.62 ¢
202602	options	Dash/IMC Financial Markets	Unmapped	0.9%	0.0%	0.9%	0.1%	0.00 ¢	0.00 ¢
202602	other_stocks	CITADEL SECURITIES LLC	CDRG	21.3%	21.0%	21.7%	26.2%	0.00 ¢	0.00 ¢
202602	other_stocks	Jane Street Capital	JNST	15.6%	15.9%	13.2%	10.4%	0.00 ¢	0.00 ¢
202602	other_stocks	Hudson River Trading (HRT)	HRTF	13.4%	13.7%	10.4%	7.2%	0.00 ¢	0.00 ¢
202602	other_stocks	Virtu Americas, LLC	NITE	12.7%	12.3%	16.6%	19.6%	0.00 ¢	0.00 ¢
202602	other_stocks	G1 Execution Services, LLC	ETMM	10.9%	10.7%	12.3%	14.6%	0.00 ¢	0.00 ¢
202602	other_stocks	Two Sigma Securities, LLC	Unmapped	10.3%	10.4%	9.6%	6.6%	0.00 ¢	0.00 ¢
202602	other_stocks	UBS Securities, LLC	Unmapped	8.7%	8.6%	7.7%	9.0%	0.00 ¢	0.00 ¢
202602	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.3%	8.4%	6.3%	0.00 ¢	0.00 ¢
202602	sp500	CITADEL SECURITIES LLC	CDRG	21.4%	21.1%	25.7%	30.4%	0.00 ¢	0.00 ¢
202602	sp500	Virtu Americas, LLC	NITE	15.8%	15.5%	16.9%	25.1%	0.00 ¢	0.00 ¢
202602	sp500	Jane Street Capital	JNST	15.6%	15.8%	11.9%	6.9%	0.00 ¢	0.00 ¢
202602	sp500	G1 Execution Services, LLC	ETMM	11.1%	10.9%	13.8%	16.1%	0.00 ¢	0.00 ¢
202602	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	10.1%	10.9%	0.00 ¢	0.00 ¢
202602	sp500	Hudson River Trading (HRT)	HRTF	10.2%	10.4%	8.1%	4.0%	0.00 ¢	0.00 ¢
202602	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.4%	6.3%	3.2%	0.00 ¢	0.00 ¢
202602	sp500	StoneX Financial, Inc.	Unmapped	6.3%	6.4%	7.1%	3.4%	0.00 ¢	0.00 ¢
202603	options	Wolverine Execution Services, LLC	Unmapped	72.5%	51.0%	52.1%	61.9%	31.38 ¢	40.07 ¢
202603	options	CITADEL SECURITIES LLC	CDRG	26.2%	49.0%	46.9%	37.6%	13.60 ¢	32.14 ¢
202603	options	Dash/IMC Financial Markets	Unmapped	1.3%	0.0%	1.0%	0.5%	0.00 ¢	0.00 ¢
202603	other_stocks	CITADEL SECURITIES LLC	CDRG	21.1%	20.9%	21.2%	26.1%	0.00 ¢	0.00 ¢
202603	other_stocks	Jane Street Capital	JNST	15.8%	16.1%	14.7%	10.7%	0.00 ¢	0.00 ¢
202603	other_stocks	Hudson River Trading (HRT)	HRTF	12.9%	13.2%	9.8%	7.6%	0.00 ¢	0.00 ¢
202603	other_stocks	Virtu Americas, LLC	NITE	12.3%	12.0%	15.4%	19.4%	0.00 ¢	0.00 ¢
202603	other_stocks	G1 Execution Services, LLC	ETMM	11.3%	11.0%	13.5%	15.6%	0.00 ¢	0.00 ¢
202603	other_stocks	Two Sigma Securities, LLC	Unmapped	10.9%	11.1%	10.1%	6.8%	0.00 ¢	0.00 ¢
202603	other_stocks	UBS Securities, LLC	Unmapped	8.5%	8.6%	6.7%	7.3%	0.00 ¢	0.00 ¢
202603	other_stocks	StoneX Financial, Inc.	Unmapped	7.2%	7.2%	8.7%	6.4%	0.00 ¢	0.00 ¢
202603	sp500	CITADEL SECURITIES LLC	CDRG	21.3%	21.1%	29.9%	31.1%	0.00 ¢	0.00 ¢
202603	sp500	Jane Street Capital	JNST	15.7%	15.9%	12.2%	6.7%	0.00 ¢	0.00 ¢
202603	sp500	Virtu Americas, LLC	NITE	15.4%	15.2%	16.9%	24.0%	0.00 ¢	0.00 ¢
202603	sp500	G1 Execution Services, LLC	ETMM	11.5%	11.3%	15.6%	17.0%	0.00 ¢	0.00 ¢
202603	sp500	UBS Securities, LLC	Unmapped	10.4%	10.4%	9.7%	10.9%	0.00 ¢	0.00 ¢
202603	sp500	Hudson River Trading (HRT)	HRTF	10.2%	10.4%	5.9%	3.9%	0.00 ¢	0.00 ¢
202603	sp500	Two Sigma Securities, LLC	Unmapped	9.3%	9.5%	4.4%	3.2%	0.00 ¢	0.00 ¢
202603	sp500	StoneX Financial, Inc.	Unmapped	6.2%	6.3%	5.4%	3.3%	0.00 ¢	0.00 ¢
202601	options	RBC Capital Markets Corporation	Unmapped	63.4%	99.2%	51.4%	22.1%	0.00 ¢	0.00 ¢
202601	options	Dash/IMC Financial Markets	Unmapped	35.0%	0.8%	48.6%	77.9%	0.00 ¢	0.00 ¢
202601	options	GELP	Unmapped	1.6%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	UBS Securities, LLC ATS	Unmapped	35.7%	33.9%	6.2%	67.2%	0.00 ¢	0.00 ¢
202601	other_stocks	Citadel Securities	CDRG	28.3%	25.8%	68.0%	13.8%	0.00 ¢	0.00 ¢
202601	other_stocks	GTS SECURITIES LLC	Unmapped	12.2%	15.3%	4.5%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	Virtu Agency	Unmapped	8.5%	10.8%	2.3%	0.0%	2.57 ¢	0.00 ¢
202601	other_stocks	MCAP LLC	Unmapped	7.9%	10.3%	0.0%	0.0%	0.03 ¢	0.00 ¢
202601	other_stocks	Canaccord Genuity Securities	Unmapped	1.9%	2.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	Wallachbeth	Unmapped	1.0%	1.3%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	The Nasdaq Stock Market LLC	Unmapped	1.0%	0.1%	3.4%	4.0%	0.00 ¢	23.05 ¢
202601	other_stocks	NYSE Arca, Inc.	Unmapped	0.6%	0.0%	2.3%	2.8%	0.00 ¢	30.00 ¢
202601	other_stocks	Investors Exchange (IEXG)	Unmapped	0.4%	0.0%	1.7%	2.0%	0.00 ¢	8.80 ¢
202601	sp500	Citadel Securities	CDRG	68.5%	68.9%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	sp500	UBS Securities, LLC ATS	Unmapped	15.6%	15.6%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	sp500	Virtu Agency	Unmapped	15.4%	15.5%	0.0%	0.0%	0.52 ¢	0.00 ¢
202601	sp500	The Nasdaq Stock Market LLC	Unmapped	0.3%	0.0%	0.0%	50.0%	0.00 ¢	0.00 ¢
202601	sp500	Cboe BZX Exchange, Inc.	Unmapped	0.2%	0.0%	0.0%	50.0%	0.00 ¢	0.00 ¢
202602	options	RBC Capital Markets Corporation	Unmapped	92.2%	100.0%	76.5%	73.3%	0.00 ¢	0.00 ¢
202602	options	Dash/IMC Financial Markets	Unmapped	7.5%	0.0%	23.5%	26.7%	0.00 ¢	0.00 ¢
202602	options	GELP	Unmapped	0.3%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	Virtu Agency	Unmapped	44.7%	32.7%	8.7%	71.2%	1.46 ¢	0.12 ¢
202602	other_stocks	Citadel Securities	CDRG	29.0%	23.1%	57.7%	20.5%	0.00 ¢	0.00 ¢
202602	other_stocks	UBS Securities, LLC ATS	Unmapped	11.5%	24.5%	14.1%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	MCAP LLC	Unmapped	6.1%	10.9%	0.1%	5.0%	0.03 ¢	0.00 ¢
202602	other_stocks	GTS SECURITIES LLC	Unmapped	2.8%	8.0%	0.1%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	The Nasdaq Stock Market LLC	Unmapped	0.8%	0.2%	2.3%	0.5%	0.00 ¢	5.72 ¢
202602	other_stocks	NEW YORK STOCK EXCHANGE, INC.	Unmapped	0.6%	0.0%	1.7%	0.4%	0.00 ¢	0.05 ¢
202602	other_stocks	Investors Exchange (IEXG)	Unmapped	0.6%	0.0%	2.0%	0.3%	0.00 ¢	0.44 ¢
202602	other_stocks	NYSE Arca, Inc.	Unmapped	0.6%	0.0%	1.9%	0.4%	0.00 ¢	1.92 ¢
202602	other_stocks	Cboe EDGX Exchange, Inc.	Unmapped	0.5%	0.0%	2.0%	0.2%	0.00 ¢	2.93 ¢
202602	sp500	UBS Securities, LLC ATS	Unmapped	50.2%	72.0%	45.2%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	Virtu Agency	Unmapped	43.0%	28.0%	46.5%	0.0%	0.05 ¢	-5.10 ¢
202602	sp500	Citadel Securities	CDRG	4.2%	0.0%	5.2%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	NYSE Arca, Inc.	Unmapped	0.6%	0.0%	0.8%	0.0%	0.00 ¢	20.91 ¢
202602	sp500	The Nasdaq Stock Market LLC	Unmapped	0.5%	0.0%	0.7%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	Cboe EDGX Exchange, Inc.	Unmapped	0.4%	0.0%	0.5%	0.0%	0.00 ¢	30.00 ¢
202602	sp500	Investors Exchange (IEXG)	Unmapped	0.3%	0.0%	0.4%	0.0%	0.00 ¢	10.00 ¢
202602	sp500	NYSE American LLC	Unmapped	0.3%	0.0%	0.4%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	Cboe BZX Exchange, Inc.	Unmapped	0.2%	0.0%	0.3%	0.0%	0.00 ¢	30.00 ¢
202602	sp500	Cboe BYX Exchange, Inc.	Unmapped	0.1%	0.0%	0.1%	0.0%	0.00 ¢	30.00 ¢
202603	options	RBC Capital Markets Corporation	Unmapped	80.4%	100.0%	72.5%	49.1%	0.00 ¢	0.00 ¢
202603	options	Dash/IMC Financial Markets	Unmapped	18.6%	0.0%	27.5%	50.9%	0.00 ¢	0.00 ¢
202603	options	GELP	Unmapped	0.9%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	Virtu Agency	Unmapped	50.8%	23.1%	55.0%	93.8%	1.25 ¢	0.21 ¢
202603	other_stocks	Citadel Securities	CDRG	36.4%	60.1%	16.2%	3.8%	0.00 ¢	0.00 ¢
202603	other_stocks	UBS Securities, LLC ATS	Unmapped	5.2%	6.3%	18.9%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	GTS SECURITIES LLC	Unmapped	3.0%	5.4%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	MCAP LLC	Unmapped	2.0%	3.6%	0.0%	0.0%	0.08 ¢	0.00 ¢
202603	other_stocks	The Nasdaq Stock Market LLC	Unmapped	0.6%	0.1%	4.3%	0.3%	12.88 ¢	2.14 ¢
202603	other_stocks	Wallachbeth	Unmapped	0.4%	0.8%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	other_stocks	Knight Capital Markets	Unmapped	0.4%	0.7%	0.0%	0.0%	-1.97 ¢	0.00 ¢
202603	other_stocks	NYSE Arca, Inc.	Unmapped	0.3%	0.0%	1.0%	0.7%	0.00 ¢	0.00 ¢
202603	other_stocks	Cboe EDGX Exchange, Inc.	Unmapped	0.3%	0.0%	1.3%	0.4%	0.00 ¢	12.91 ¢
202603	sp500	Citadel Securities	CDRG	71.6%	71.7%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	Virtu Agency	Unmapped	28.2%	28.3%	0.0%	0.0%	0.57 ¢	0.00 ¢
202603	sp500	NYSE Arca, Inc.	Unmapped	0.2%	0.0%	0.0%	100.0%	0.00 ¢	0.00 ¢
202601	options	NYSE ARCA Options (ARCO)	Unmapped	21.6%	0.0%	0.0%	38.0%	0.00 ¢	41.17 ¢
202601	options	Bofa Securities, Inc. (MLCO)	MLCO	9.9%	0.0%	0.0%	0.5%	0.00 ¢	0.00 ¢
202601	options	MATRIX EXECUTIONS, LLC (REDG)	Unmapped	4.6%	45.6%	0.0%	0.2%	0.00 ¢	0.00 ¢
202601	options	BOX Exchange (XBOX)	Unmapped	3.9%	0.0%	33.2%	0.0%	0.00 ¢	5.98 ¢
202601	options	CBOE Exchange (XCBO)	Unmapped	3.7%	0.0%	31.5%	0.0%	0.00 ¢	-5.25 ¢
202601	options	Miami Intl Exchange (XMIO)	Unmapped	2.2%	0.0%	18.3%	0.0%	0.00 ¢	-5.00 ¢
202601	options	MIAX Sapphire (SPHR)	Unmapped	1.6%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Cboe EDGX Options (EDGO)	Unmapped	1.2%	0.0%	8.0%	0.0%	0.00 ¢	-4.00 ¢
202601	options	ISE Mercury Options (MCRY)	Unmapped	0.8%	0.0%	7.2%	0.0%	0.00 ¢	24.99 ¢
202601	options	Nasdaq OMX (XBXO)	Unmapped	0.4%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Nasdaq Options (XNDQ)	Unmapped	0.3%	0.0%	0.0%	0.1%	0.00 ¢	0.00 ¢
202601	options	MEMX Options (MXOP)	Unmapped	0.3%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	NYSE American Options (AMXO)	Unmapped	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	MIAX Pearl, LLC (MPRL)	Unmapped	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Nasdaq ISE (XISX)	Unmapped	0.1%	0.0%	1.1%	0.0%	0.00 ¢	48.85 ¢
202601	options	C2 Options Exchange, Inc. (C2OX)	Unmapped	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	options	Nasdaq GEMX, LLC (GMNI)	Unmapped	0.1%	0.0%	0.6%	0.0%	0.00 ¢	42.44 ¢
202601	options	Nasdaq PHLX (XPHO)	Unmapped	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	StoneX Financial Inc. (INTL)	INTL	32.6%	34.5%	32.1%	54.9%	0.00 ¢	0.00 ¢
202601	other_stocks	CODA MARKETS, INC. (CODA)	CODA	30.6%	31.9%	33.7%	38.5%	0.00 ¢	0.00 ¢
202601	other_stocks	Citadel Securities LLC (CDRG)	CDRG	30.1%	33.5%	29.2%	1.0%	-10.00 ¢	-10.00 ¢
202601	other_stocks	DASH FINANCIAL TECHNOLOGIES LL (DFIN)	Unmapped	6.5%	0.0%	4.9%	5.3%	-500.00 ¢	-500.00 ¢
202601	other_stocks	VIRTU Americas LLC (NITE)	NITE	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202601	other_stocks	A.G.P. / ALLIANCE GLOBAL PARTN (ALNC)	ALNC	0.0%	0.0%	0.0%	0.3%	0.00 ¢	0.00 ¢
202601	sp500	StoneX Financial Inc. (INTL)	INTL	32.2%	33.8%	39.1%	48.8%	0.00 ¢	0.00 ¢
202601	sp500	Citadel Securities LLC (CDRG)	CDRG	31.0%	34.1%	28.3%	0.0%	-10.00 ¢	-10.00 ¢
202601	sp500	CODA MARKETS, INC. (CODA)	CODA	30.4%	32.1%	30.4%	48.8%	0.00 ¢	0.00 ¢
202601	sp500	DASH FINANCIAL TECHNOLOGIES LL (DFIN)	Unmapped	6.4%	0.0%	2.2%	2.4%	0.00 ¢	-500.00 ¢
202601	sp500	VIRTU Americas LLC (NITE)	NITE	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Bofa Securities, Inc. (MLCO)	MLCO	11.7%	0.0%	0.0%	3.2%	0.00 ¢	0.00 ¢
202602	options	NYSE ARCA Options (ARCO)	Unmapped	9.9%	0.0%	0.0%	17.6%	0.00 ¢	40.39 ¢
202602	options	MATRIX EXECUTIONS, LLC (REDG)	Unmapped	5.5%	31.5%	0.3%	1.6%	0.00 ¢	0.00 ¢
202602	options	CBOE Exchange (XCBO)	Unmapped	2.1%	0.0%	28.0%	0.0%	0.00 ¢	-5.25 ¢
202602	options	BOX Exchange (XBOX)	Unmapped	1.9%	0.0%	25.6%	0.0%	0.00 ¢	7.58 ¢
202602	options	Miami Intl Exchange (XMIO)	Unmapped	1.4%	0.0%	16.3%	0.0%	0.00 ¢	-5.00 ¢
202602	options	MIAX Sapphire (SPHR)	Unmapped	1.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Cboe EDGX Options (EDGO)	Unmapped	1.0%	0.0%	10.1%	0.0%	0.00 ¢	-4.00 ¢
202602	options	ISE Mercury Options (MCRY)	Unmapped	0.6%	0.0%	8.3%	0.0%	0.00 ¢	34.84 ¢
202602	options	Cboe BZX Options Exchange (BATO)	Unmapped	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	C2 Options Exchange, Inc. (C2OX)	Unmapped	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	MEMX Options (MXOP)	Unmapped	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Nasdaq PHLX (XPHO)	Unmapped	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Nasdaq Options (XNDQ)	Unmapped	0.1%	0.0%	0.0%	0.1%	0.00 ¢	75.00 ¢
202602	options	MIAX Pearl, LLC (MPRL)	Unmapped	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	NYSE American Options (AMXO)	Unmapped	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	Nasdaq ISE (XISX)	Unmapped	0.1%	0.0%	1.0%	0.0%	0.00 ¢	-40.75 ¢
202602	options	Nasdaq GEMX, LLC (GMNI)	Unmapped	0.0%	0.0%	0.5%	0.0%	0.00 ¢	-53.00 ¢
202602	options	National Financial Services LL (NFSC)	NFSC	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	options	MIAX Emerald, LLC. (EMLD)	Unmapped	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	StoneX Financial Inc. (INTL)	INTL	34.3%	32.0%	29.8%	58.8%	0.00 ¢	0.00 ¢
202602	other_stocks	Citadel Securities LLC (CDRG)	CDRG	33.3%	34.1%	38.9%	3.2%	-10.00 ¢	-10.00 ¢
202602	other_stocks	CODA MARKETS, INC. (CODA)	CODA	32.3%	33.8%	31.3%	38.0%	0.00 ¢	0.00 ¢
202602	other_stocks	VIRTU Americas LLC (NITE)	NITE	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	other_stocks	A.G.P. / ALLIANCE GLOBAL PARTN (ALNC)	ALNC	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202602	sp500	StoneX Financial Inc. (INTL)	INTL	34.3%	32.0%	37.8%	51.7%	0.00 ¢	0.00 ¢
202602	sp500	Citadel Securities LLC (CDRG)	CDRG	33.1%	35.2%	37.8%	1.7%	-10.00 ¢	-10.00 ¢
202602	sp500	CODA MARKETS, INC. (CODA)	CODA	32.5%	32.8%	24.3%	46.7%	0.00 ¢	0.00 ¢
202602	sp500	VIRTU Americas LLC (NITE)	NITE	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	National Financial Services LL (NFSC)	NFSC	96.1%	99.5%	0.3%	1.4%	0.00 ¢	0.00 ¢
202603	options	Bofa Securities, Inc. (MLCO)	MLCO	0.4%	0.0%	4.6%	4.2%	0.00 ¢	0.00 ¢
202603	options	NYSE ARCA Options (ARCO)	Unmapped	0.3%	0.0%	0.0%	12.8%	0.00 ¢	36.90 ¢
202603	options	MATRIX EXECUTIONS, LLC (REDG)	Unmapped	0.3%	0.2%	1.4%	2.3%	0.00 ¢	0.00 ¢
202603	options	CBOE Exchange (XCBO)	Unmapped	0.1%	0.0%	24.5%	0.0%	0.00 ¢	-5.25 ¢
202603	options	BOX Exchange (XBOX)	Unmapped	0.1%	0.0%	22.9%	0.0%	0.00 ¢	5.96 ¢
202603	options	MIAX Sapphire (SPHR)	Unmapped	0.1%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	options	Cboe EDGX Options (EDGO)	Unmapped	0.0%	0.0%	6.2%	0.0%	0.00 ¢	-4.00 ¢
202603	options	Miami Intl Exchange (XMIO)	Unmapped	0.0%	0.0%	10.0%	0.0%	0.00 ¢	-5.00 ¢
202603	options	ISE Mercury Options (MCRY)	Unmapped	0.0%	0.0%	10.0%	0.0%	0.00 ¢	32.06 ¢
202603	other_stocks	StoneX Financial Inc. (INTL)	INTL	34.8%	33.1%	37.7%	51.6%	0.00 ¢	0.00 ¢
202603	other_stocks	Citadel Securities LLC (CDRG)	CDRG	33.2%	35.2%	33.0%	3.3%	-10.00 ¢	-10.00 ¢
202603	other_stocks	CODA MARKETS, INC. (CODA)	CODA	31.8%	31.6%	29.3%	45.1%	0.00 ¢	0.00 ¢
202603	other_stocks	VIRTU Americas LLC (NITE)	NITE	0.2%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢
202603	sp500	Citadel Securities LLC (CDRG)	CDRG	34.7%	36.0%	47.1%	2.1%	-10.00 ¢	-10.00 ¢
202603	sp500	StoneX Financial Inc. (INTL)	INTL	33.7%	31.7%	23.5%	53.2%	0.00 ¢	0.00 ¢
202603	sp500	CODA MARKETS, INC. (CODA)	CODA	31.6%	32.2%	29.4%	44.7%	0.00 ¢	0.00 ¢
202603	sp500	VIRTU Americas LLC (NITE)	NITE	0.0%	0.0%	0.0%	0.0%	0.00 ¢	0.00 ¢

2. Venue Scorecards (Amended Rule 605)

Execution quality metrics for routed venues benchmarked against mix-adjusted competitors on identical symbols and size tiers.

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Month	Venue	Class	Notional × Lot	Fill Rate	PI Rate	NPI (bps)	Peer Bench (bps)	Coverage	Rank Pctl	Eff Spread	Speed <1s

3. Routing-Weighted Composite Quality

Implied execution quality achieved by the firm’s routing mix across the 24 amended size tiers, compared against the best and median competing venues.

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Month	Class	Notional × Lot	Metric	Firm Composite	Best Competing	Best Venue	Median Competing	Mapped Flow

4. Payment for Order Flow vs. Execution Quality

Addresses FINRA 5310.09 conflicts: comparing PFOF received (¢/100 sh) against net price improvement shortfall vs mix-adjusted peers.

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Month	Venue	Order Class	Route %	606 Net PFOF (¢/100)	NPI (bps)	Peer Bench (bps)	Delta (bps)	Ref Price	Delta (¢/100 sh)	Conflict Flag

Conflict Methodology Note: Quality delta (¢/100 sh) is estimated as Δ_bps × ref_price. A positive PFOF beside a negative delta indicates the firm received payment while the venue delivered less price improvement than competing market centers on identical symbols and size tiers.

5. Material Changes Since Prior Quarter

Changes in routing share (≥ 5 pp), newly added/dropped venues, and PFOF rate shifts since 2025Q4.

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No material shifts (≥ 5 percentage point route share or PFOF rate change) detected relative to 2025Q4.

6. Coverage, Exclusions & Standing Limitations

Mandatory regulatory disclosure of data availability, unmapped destinations, and methodological caveats.

Suppressed Cells

Cells with < 100 covered orders

Unmapped Venues

606 destinations without 605 match

Challenged / Missing 605

Venues missing monthly 605 report

Unmapped Routing Destinations:

NYSE Arca (ARCA), DASH FINANCIAL TECHNOLOGIES LL (DFIN), Intelligent Cross LLC (INCR), NASDAQ Stock Market (NSDQ), Canaccord Genuity Securities (name:CANACCORD GENUITY SECURITIES), Cboe BYX Exchange, Inc. (name:CBOE BYX EXCHANGE), Cboe BZX Exchange, Inc. (name:CBOE BZX EXCHANGE), Cboe EDGX Exchange, Inc. (name:CBOE EDGX EXCHANGE), GTS SECURITIES LLC (name:GTS SECURITIES), Investors Exchange (IEXG) (name:INVESTORS EXCHANGE IEXG), Knight Capital Markets (name:KNIGHT CAPITAL MARKETS), MCAP LLC (name:MCAP), NEW YORK STOCK EXCHANGE, INC. (name:NEW YORK STOCK EXCHANGE), NYSE American LLC (name:NYSE AMERICAN), NYSE Arca, Inc. (name:NYSE ARCA), StoneX Financial, Inc. (name:STONEX FINANCIAL), The Nasdaq Stock Market LLC (name:THE NASDAQ STOCK MARKET), Two Sigma Securities, LLC (name:TWO SIGMA SECURITIES), UBS Securities, LLC (name:UBS SECURITIES), UBS Securities, LLC ATS (name:UBS SECURITIES LLC ATS), Virtu Agency (name:VIRTU AGENCY), Wallachbeth (name:WALLACHBETH)

Standing Review Limitations:

A venue's Rule 605 statistics describe all flow it handled, not this firm's orders.
606 route shares are per order, not per share, and list only the top 10 venues plus any venue with at least 5% of non-directed orders.
FINRA Rule 5310.09 also requires the firm's own order-level review of its executions.
This report is not legal or compliance advice.
Net price improvement is in basis points of executed notional (quote midpoint × shares). The PFOF comparison converts the difference to ¢/100 sh at the venue's average executed price; it is an estimate.