1.2JP Morgan Securities LLC202012023-12-01T21:43:06Z20201100.0069.474.0516.569.92Citadel Securities LLCCDRG38.2551.3432.362.538.520.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Virtu Americas LLCNITE32.9235.5833.1420.8034.480.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.The Nasdaq Stock MarketNSDQ6.380.107.8522.7622.46-5.7102-12.5997220.158017.01472654.586028.952376.14451.4076Firm qualified for (1) the rebate provided for adding over 0.60% of the total consolidated volume and removing over 0.80% of the total consolidated volume ($0.0029 per share for adding displayed liquidity ), (2) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier A (a fee of $0.0008 per share for orders participating in the Closing Cross), and (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders . The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www,nasdaqtrader,com/Trader,aspx?id=PriceListTrading2. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO6.258.546.000.420.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE5.830.075.0513.2334.15-29.9829-12.73053.64720.34411144.517719.3793-689.5500-6.0568Firm qualified for Providing Tier 2 (a rebate of $0.0020 per share for adding displayed liquidity in Tape A securities), MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on-Close orders and a fee of $0.0007 per share for Limit-on-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.UBS Securities LLCUBSS3.194.293.180.310.310.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Cboe EDGX Exchange, Inc.EDGX2.790.044.9515.430.01-1.8550-26.5000-37.0173-3.3057906.445218.1878-0.9143-26.5014The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca, Inc.ARCA2.190.003.7512.310.070.00000.0000-83.3109-6.66521092.195826.6050-0.3466-2.7907The Firm qualified for Tier 2A (a rebate of $0.0031 for adding displayed in Tape A and Tape C securities and $0.0024 for adding displayed in Tape B securities ). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse-arca/ NYSE_Arca_Marketplace_Fees,pdf Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.670.042.919.190.00-1.8000-30.000068.535113.64831421.879028.87430.00000.0000The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ).The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq PHLX LLCNQPX0.530.000.813.020.000.00000.00002.55658.2628138.294019.49260.00000.0000Firm qualified for the charge applicable when accessing .01% or more of the total consolidated volume and adding 5,000 shares or more (a fee of $0.0025 per share). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/phlx/rules/phlx-equity-7 Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.100.0056.216.9023.0013.89Virtu Americas LLCNITE29.5832.1929.2519.4135.760.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Citadel Securities LLCCDRG29.2945.5127.651.7010.330.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.The Nasdaq Stock MarketNSDQ10.720.437.1530.9920.68-110.6019-15.20701187.258614.974420566.221922.2543350.01321.2311Firm qualified for (1) the rebate provided for adding over 0,60% of the total consolidated volume and removing over 0.80% of the total consolidated volume ($0.0029 per share for adding displayed liquidity), (2) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier A (a fee of $0.0008 per share for orders participating in the Closing Cross), and (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders . The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www,nasdaqtrader,com/Trader,aspx?id=PriceListTrading2. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO9.0014.1013.360.670.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE5.270.083.3812.8814.63-172.1227-12.9534478.05658.395810345.774817.8015-618.1766-2.2381Firm qualified for Providing Tier 2 (a rebate of $0.0020 per share for adding displayed liquidity in Tape A securities), MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on-Close orders and a fee of $0.0007 per share for Limit-On-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca, Inc.ARCA5.270.025.7712.2614.67-18.0565-29.0999-833.5545-15.35144576.444424.5667-1291.2916-12.2694The Firm qualified for Tier 2A (a rebate of $0.0031 for adding displayed in Tape A and Tape C securities and $0.0024 for adding displayed in Tape B securities). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse-arca/ NYSE_Arca_Marketplace_Fees,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.UBS Securities LLCUBSS4.537.036.450.430.230.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Cboe EDGX Exchange, Inc.EDGX3.220.324.3311.890.03-34.8740-26.500086.30821.87004276.178015.2158-29.2986-26.5002The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS2.520.312.347.902.64-35.5080-30.0000105.54036.08103843.861824.5133-202.1975-4.6080The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE AmericanAMEX0.600.010.321.871.03-3.2693-5.1615-0.6160-0.1043-13.6222-0.1021-132.3332-4.5882Firm did not qualify for tiered pricing . A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.nyse.com/publicdocs/nyse/markets/nyse-american/NYSE_America_Equities_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.31.917.2712.2728.9751.49Nasdaq PHLX LLCPHLX20.770.000.681.2039.480.00000.000013.200025.384645.950024.837877168.050031.8693Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/phlx/rules/phlx-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Citadel Securities LLCCDRG20.6133.1835.4336.216.560.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www,citadelsecurities,com/rule-605-606-statements/Matrix Executions, LLCREDG15.9733.3631.5929.442.210.00000.00000.00000.00000.00000.0000-907.3200-3.9006Firm not charged for orders routed by the Asset and Wealth Management division or Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms. Matrix Executions, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Dash Financial Technologies LLCDFIN15.8133.4631.9929.321.86-588.6000-5.0000-1400.8000-5.0000-1758.4500-5.0000-905.1500-10.0000Firm not charged for orders routed by the Asset and Wealth Management division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms and for orders routed by the Corporate and Investment Bank. Firm is charged $.05/contract for 0-500,000 contracts, $.04/contract for 500,001-1 million contracts, and $.03/contract for greater than 1 million contracts. Firm did not qualify for a discounted tier. Dash Financial Technologies LLC's most recent report pursuant to SEC Rule 606(a) is available at: https://www,dashfinancial,com/Cboe Exchange, Inc.CBOE6.430.000.183.3510.550.00000.0000-3.0800-6.8444-162.1800-16.3653-11604.0600-14.2904Firm did not qualify for tiered pricing with respect to customer order flow. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://cdn,cboe,com/resources/membership/Cboe_FeeSchedule,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq Options MarketXNAS5.950.000.050.1211.480.00000.00000.00000.00000.00000.0000-7852.2000-16.5289Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/nasdaq/rules/nasdaq-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO5.380.000.020.0910.390.00000.00000.00000.00000.00000.0000-22906.3500-49.8908The Firm qualified for Step-Up Tier 1 . A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/options/membership/fee_schedule/bzx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca OptionsARCO3.820.000.020.097.360.00000.00000.00000.00000.00000.00004395.41008.5853Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.nyse.com/publicdocs/nyse/markets/arca-options/NYSE_Arca_Options_Fee_Schedule. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq ISE, LLCXISX2.790.000.020.095.360.00000.00000.00000.00000.00000.0000-19371.1900-22.8243Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/ise/rules/ise-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe C2 Exchange, Inc.C2OX2.470.000.020.094.750.00000.00000.00000.00000.00000.0000-21154.4400-45.3783Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://www.cboe.com/us/options/membership/fee_schedule/ctwo/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.20202100.0067.234.2618.0510.46Citadel Securities LLCCDRG33.2445.7829.261.988.10-9.7400-0.00930.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Virtu Americas LLCNITE23.5521.7126.7422.9735.180.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.UBS Securities LLCUBSS10.1214.239.480.710.200.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Jane Street Capital, LLCJNST8.1811.557.850.440.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.The Nasdaq Stock MarketNSDQ7.160.017.4622.3326.84-1.4730-14.5697363.951018.95173954.591028.721212.39450.1321Firm qualified for (1) the rebate provided for adding over 0.60% of the total consolidated volume and removing over 0,80% of the total consolidated volume ($0.0029 per share for adding displayed liquidity), (2) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), and (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www,nasdaqtrader,com/Trader,aspx?id=PriceListTrading2. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.New York Stock Exchange LLCNYSE5.640.114.7312.5829.64-126.6815-10.7045112.268510.61691791.676519.0816-1077.4940-6.4371Firm qualified for Providing Tier 2 (a rebate of $0.0020 per share for adding displayed liquidity in Tape A securities), MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on-Close orders and a fee of $0.0007 per share for Limit-on-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO4.696.614.560.310.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.NYSE Arca, Inc.ARCA2.830.003.9314.700.040.00000.0000-6.3360-0.51212006.251129.78851.601513.7586The Firm qualified for Tier 2A (a rebate of $0.0031 for adding displayed in Tape A and Tape C securities and $0.0024 for adding displayed in Tape B securities). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse-arca/ NYSE_Arca_Marketplace_Fees,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX2.790.003.3614.630.000.00000.000077.667513.05821220.467518.9643-0.6785-26.5039The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.800.002.639.350.000.00000.0000142.048017.17942011.068728.8409-0.0500-5.0000The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.100.0057.026.8123.2112.96Citadel Securities LLCCDRG26.2940.1524.571.5810.29-25.9810-0.00630.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Virtu Americas LLCNITE21.8919.6723.0719.0036.300.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.The Nasdaq Stock MarketNSDQ10.871.146.6229.4422.75-310.4731-12.78381112.443811.458725346.964520.8312694.36811.5257Firm qualified for (1) the rebate provided for adding over 0.60% of the total consolidated volume and removing over 0.80% of the total consolidated volume ($0.029 per share for adding displayed liquidity), (2) the rebate for achieving QMM Tier 1 (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier B (a fee of $0.011 per share for orders participating in the Closing Cross), and (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www.nasdaqtrader.com/Trader.aspx?id=PriceListTrading2UBS Securities LLCUBSS9.5115.2410.070.560.070.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Jane Street Capital, LLCJNST7.1411.467.640.390.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Two Sigma Securities, LLCSOHO6.389.919.340.410.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.020.704.0513.9916.14-480.5480-11.8012581.18007.602911515.064117.4664-1521.3058-4.3745Firm qualified for Providing Tier 2 (a rebate of $0.0020 per share for adding displayed liquidity in Tape A securities), MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on-Close orders and a fee of $0.0007 per share for Limit-on-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca, Inc.ARCA5.260.585.6312.7212.25-50.6764-29.5076-633.6647-10.96775883.837924.9855-1806.8020-11.9604The Firm qualified for Tier 2A (a rebate of $0.0031 for adding displayed Tape A and Tape C securities and $0.0024 for adding displayed Tape B securities). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse-arca/ NYSE_Arca_Marketplace_Fees,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX3.790.565.9313.180.02-11.6600-26.5000-677.9065-12.33084228.983816.1753-14.7107-26.5010The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS2.850.593.088.732.18-76.6380-30.0000-127.1239-4.63024524.051026.1244-293.2865-4.8640The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.42.247.9213.3830.4648.24Nasdaq PHLX LLCPHLX20.720.000.800.8542.100.00000.000075.870025.0396137.620025.675484517.420029.6863Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/phlx/rules/phlx-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Citadel Securities LLCCDRG18.3525.6229.9830.836.080.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at:https://www,citadelsecurities,com/rule-605-606-statements/Dash Financial Technologies LLCDFIN12.8025.1223.9222.271.72-620.9500-5.0000-1388.0500-5.0000-1761.2500-5.0000-1548.6500-10.0000Firm not charged for orders routed by the Asset and Wealth Management division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms and for orders routed by the Corporate and Investment Bank, Firm is charged $.05/contract for 0-500,000 contracts, $.04/contract for 500,001-1 million contracts, and $.03/contract for greater than 1 million contracts. Firm did not qualify for a discounted tier. Dash Financial Technologies LLC's most recent report pursuant to SEC Rule 606(a) is available at: https://www.dashfinancial.com/Matrix Executions, LLCREDG12.7325.0123.4222.281.720.00000.0000-13.4400-0.0542-0.0400-0.0001-882.6400-3.7158Firm not charged for orders routed by the Asset and Wealth Management division or Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms. Matrix Executions, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Global Execution Brokers, LPGEBB11.5624.2521.2120.850.940.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Cboe Exchange, Inc.CBOE7.460.000.172.8613.610.00000.0000-9.9000-9.8020-282.2900-15.9126-42273.5200-28.2143Firm did not qualify for tiered pricing with respect to customer order flow. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://cdn,cboe,com/resources/membership/Cboe_FeeSchedule,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq Options MarketXNAS5.500.000.110.0211.370.00000.00000.00000.00000.00000.0000-403.9200-99.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/nasdaq/rules/nasdaq-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO4.490.000.210.029.250.00000.0000-14.0000-50.0000-17.0000-50.0000-29246.7000-50.9542Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/options/membership/fee_schedule/bzx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca OptionsARCO3.870.000.180.027.970.00000.0000-2.4500-49.0000-2.4500-49.00007464.070011.3908Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.nyse.com/publicdocs/nyse/markets/arca-options/NYSE_Arca_Options_Fee_Schedule. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Citigroup Global MarketsCGMI2.520.000.000.005.240.00000.00000.00000.00000.00000.0000-5774.1000-11.1635Firm not charged commission except for orders in products that typically execute in the open outcry auction (e,g,, SPX, OEX, DJX) or during VIX Extended Trading Hours. Firm charged applicable exchange fees. Firm qualified for rebate applicable when volume is 5,000 contracts/month or more, except for contracts that received price improvement, with higher rebate paid for option classes that do not participate in the Penny Pilot Program than for option classes that participate in the Penny Pilot Program. Citigroup Global Markets Inc.'s recent reports pursuant to SEC Rule 606(a) are available at: http://public.s3.com/rule606/citi20203100.0060.853.9623.4211.77Citadel Securities LLCCDRG29.9042.7525.425.5313.290.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Virtu Americas LLCNITE18.7814.8719.5820.9034.620.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.UBS Securities LLCUBSS12.1918.8110.521.120.510.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Jane Street Capital, LLCJNST10.1615.908.820.590.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE7.860.617.9214.3032.52-127.6290-1.29111176.711314.57368770.539720.49981352.07752.3219Firm qualified for Providing Tier 1 (a rebate of $0.0022 per share for adding displayed liquidity in Tape A securities), Provide Tape C Tier 2 ( a rebate of $0.0023 per share for adding displayed liquidity in Tape C securities) , MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on Close orders and a fee of $0.0007 per share for Limit-on-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.The Nasdaq Stock MarketNSDQ7.290.259.3119.3319.04-168.5100-9.60301636.105020.378712437.031028.0702-102.9725-0.4855Firm qualified for (1) the rebate provided for adding over 0.60% of the total consolidated volume and removing over 0.80% of the total consolidated volume ($0.0029 per share for adding displayed liquidity), (2) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders, and (5) the rebate provided for adding over .03% of the total consolidated volume of non-displayed liquidity for Tapes A/B ($0.0010 per share for non-displayed adding liquidity) and Tape C ($0.0005 per share for non-displayed adding liquidity). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www,nasdaqtrader,com/Trader,aspx? id=PriceListTrading2. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO4.386.814.380.290.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.NYSE Arca, Inc.ARCA3.840.005.5715.450.020.00000.0000723.482618.60807438.284727.81952.811011.0495The Firm qualified for Tier 2 for Tape A and C securities (rebate of $0.0029 per share for adding displayed liquidity), and Tape B Tier 2 (an incremental rebate of $0.0010 per share for adding displayed liquidity). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/ markets/nyse-arca/NYSE_Arca_Marketplace_Fees,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX2.940.004.4111.810.000.00000.0000188.44586.70893683.479718.3123-1.4526-27.0000The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019) and the reduced internalization fees applicable when adding an ADV of at least 10,000,000 shares (a reduced fee of $0.00040 per share). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS2.660.004.0710.680.00-6.8090-18.8458616.489717.69018072.444628.0524-1.3775-5.0000The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ). The Firm achieved the aforementioned tier based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.100.0056.105.9625.2112.73Citadel Securities LLCCDRG26.5839.1423.735.1414.93-1.2945-0.00010.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Virtu Americas LLCNITE18.4214.7719.2718.3334.290.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.UBS Securities LLCUBSS11.8919.2312.211.170.590.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.The Nasdaq Stock MarketNSDQ10.210.418.7227.7019.62-1131.9938-10.65154358.841816.085946398.136620.70477.62120.0113Firm qualified for (1) the rebate provided for adding over 0.60% of the total consolidated volume and removing over 0.80% of the total consolidated volume ($0.0029 per share for adding displayed liquidity), (2) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share), (3) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (4) the cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders, and (5) the rebate provided for adding over ,03% of the total consolidated volume of non-displayed liquidity for Tapes A/B ($0.0010 per share for non-displayed adding liquidity) and Tape C ($0.0005 per share for non-displayed adding liquidity). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www,nasdaqtrader,com/Trader,aspx? id=PriceListTrading2. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Jane Street Capital, LLCJNST9.7115.9610.210.580.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.Two Sigma Securities, LLCSOHO6.2410.028.560.430.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Asset and Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.020.445.1014.0315.15-112.0196-0.76741920.554211.792022826.596418.78161463.34582.1891Firm qualified for Providing Tier 1 (a rebate of $0.0022 per share for adding displayed liquidity in Tape A securities), Provide Tape C Tier 2 ( a rebate of $0.0023 per share for adding displayed liquidity in Tape C securities) , MOC/LOC Tier 1 (a fee of $0.0004 per share for Market-on-Close orders and a fee of $0.0007 per share for Limit-on-Close orders), NYSE dQuote Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close (a reduced fee of $0.0008 per share for d-Quotes last modified in the last 3 minutes before the scheduled close of trading), Remove Tier 1 for Tape A securities (a fee of $0.00275 per share for removing liquidity) and Tape B and Tape C securities (a fee of $0.00285 per share for removing liquidity), and Routing Tier 1 for adding average daily volume in Tapes A, B and C combined that is at least 0.20% of Tapes A, B and C consolidated average daily volume combined (a fee of $0.0030 per share for orders routed). The venue provided a fee cap of $30,000 for the month for opening executions. The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/markets/nyse/trading-info/fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca, Inc.ARCA5.680.015.2414.8412.72-42.7801-27.17061651.765815.812315786.234324.9218-3732.5352-10.4912The Firm qualified for Tier 2 for Tape A and C securities (rebate of $0.0029 per share for adding displayed liquidity), and Tape B Tier 2 (an incremental rebate of $0.0010 per share for adding displayed liquidity). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www,nyse,com/publicdocs/nyse/ markets/nyse-arca/NYSE_Arca_Marketplace_Fees,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS2.700.023.418.482.70-31.1695-6.1796815.449512.454912206.853425.5414-432.0180-4.3070The Firm qualified for Step-Up Tier 1 (an incremental rebate of $0.0010 per share for displayed orders in Tapes A and C securities and .0005 per share for displayed orders in Tape B securities for achieving a Step-Up Add total consolidated volume of at least 0.05% from April 2019 ). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/bzx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX2.550.003.559.300.000.00000.0000467.11397.61337554.215615.4389-6.6717-27.0000The Firm qualified for Growth Tier 1 (an incremental rebate of $0.0003 per share for (1) adding an ADV of at least 0.10% of the total consolidated volume; or (2) achieving a Step-Up Add total consolidated volume of at least 0.05% from March 2019) and the reduced internalization fees applicable when adding an ADV of at least 10,000,000 shares (a reduced fee of $0.00040 per share). The Firm achieved the aforementioned tiers based on its aggregated order flow for the month, i.e., not limited to the held, non-directed order flow that is the subject of this report. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/equities/membership/fee_schedule/edgx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.75.306.7916.9342.9133.38Citadel Securities LLCCDRG22.1925.5229.3630.257.440.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www,citadelsecurities,com/rule-605-606-statements/Global Execution Brokers, LPGEBB16.3924.4023.6923.312.160.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Matrix Executions, LLCREDG15.7425.0522.7821.612.72-0.4000-0.00220.00000.00000.00000.0000-1966.5600-3.7519Firm not charged for orders routed by the Asset and Wealth Management division or Corporate and Investment Bank division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms. Matrix Executions, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Dash Financial Technologies LLCDFIN15.5525.0322.8221.642.12-904.4500-5.0000-1981.7500-5.0000-3512.5000-5.0000-361.2000-10.0000Firm not charged for orders routed by the Asset and Wealth Management division, except as noted below. Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable, for orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the broker's algorithms and for orders routed by the Corporate and Investment Bank. Firm is charged $.05/contract for 0-500,000 contracts, $.04/contract for 500,001-1 million contracts, and $.03/contract for greater than 1 million contracts. Firm did not qualify for a discounted tier. Dash Financial Technologies LLC's most recent report pursuant to SEC Rule 606(a) is available at: https://www,dashfinancial,com/Nasdaq PHLX LLCPHLX12.540.000.681.3635.530.00000.0000147.720023.0813360.400024.975797687.130025.5339Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/phlx/rules/phlx-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe Exchange, Inc.CBOE6.140.000.181.6216.230.00000.000022.220017.4961644.970035.811836301.910019.0367Firm did not qualify for tiered pricing with respect to customer order flow. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://cdn,cboe,com/resources/membership/Cboe_FeeSchedule,pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Citigroup Global MarketsCGMI5.010.000.000.0015.020.00000.00000.00000.00000.00000.0000-11758.9000-13.1640Firm not charged commission except for orders in products that typically execute in the open outcry auction (e.g., SPX, OEX, DJX) or during VIX Extended Trading Hours. Firm charged applicable exchange fees. Firm qualified for rebate applicable when volume is 5,000 contracts/month or more, except for contracts that received price improvement, with higher rebate paid for option classes that do not participate in the Penny Pilot Program than for option classes that participate in the Penny Pilot Program. Citigroup Global Markets Inc.'s recent reports pursuant to SEC Rule 606(a) are available at: http://public.s3.com/rule606/citiNasdaq Options MarketXNAS2.670.000.160.067.840.00000.00000.00000.00000.00000.0000-286.1100-99.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://listingcenter.nasdaq.com/rulebook/nasdaq/rules/nasdaq-options-7. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca OptionsPXSD2.040.000.150.075.950.00000.0000-6.3700-49.0000-0.4900-49.000022675.290023.6260Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.nyse.com/publicdocs/nyse/markets/arca-options/NYSE_Arca_Options_Fee_Schedule. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO1.730.000.180.084.990.00000.0000-40.0000-50.0000-64.0000-50.0000-17652.8000-42.2791Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.cboe.com/us/options/membership/fee_schedule/bzx. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.