1.2JP Morgan Securities LLC202042023-12-06T15:37:21Z202010100.0060.415.4126.937.24Jane Street Capital, LLCJNST27.2141.7926.421.880.000.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Citadel Securities LLCCDRG22.3729.5522.747.8016.44-6.6420-0.00510.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ11.910.0010.3136.0022.99-0.2640-30.0000736.099521.657210268.662428.5477377.95314.6895Firm 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) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for executing ADV of at least 1 million shares through midpoint and Midpoint Extended Life Orders and increasing the volume of such orders by 10% or more versus the volume of such orders in April 2019 ($0.0019 per share for Tape A/B securities and $0.0013 per share for Tape C securities for adding midpoint liquidity), (4) the rebate provided for adding over 0.03% of the total consolidated volume of non-displayed liquidity, including midpoint orders, for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (5) a 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.Virtu Americas LLCNITE8.959.009.506.8116.040.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.UBS Securities LLCUBSS8.748.699.196.7616.210.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Two Sigma Securities, LLCSOHO7.1410.927.560.520.000.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.New York Stock Exchange LLCNYSE5.540.054.0512.0428.27-21.3766-5.2309356.880811.69805974.845117.3908691.54783.2942Firm qualified for Providing Tier 3 (a rebate of $0.0018 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 d-Quote 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 $35,000 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.Cboe EDGX Exchange, Inc.EDGX3.880.005.0313.420.000.00000.0000204.71648.70602880.592014.6562-0.7128-27.0000Firm 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://markets.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.ARCA2.260.002.877.790.050.00000.0000-298.3780-13.71241615.571422.64061.23606.7065Firm qualified for Tier 3 (a rebate of $0.0025 for adding displayed liquidity in Tape A and Tape C securities and $0.0022 for adding displayed liquidity 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.BATS2.000.002.336.980.000.00000.0000130.939116.36742233.601226.3121-0.0140-10.7692Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.10% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.100.0051.957.5831.978.50Jane Street Capital, LLCJNST24.1341.3227.901.640.030.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Citadel Securities LLCCDRG20.6229.1322.107.2817.46-16.6295-0.0033-2.1445-0.00110.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ14.590.059.5637.2023.15-263.4242-12.55334284.978615.892944438.425123.5544801.44892.0047Firm 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) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for executing ADV of at least 1 million shares through midpoint and Midpoint Extended Life Orders and increasing the volume of such orders by 10% or more versus the volume of such orders in April 2019 ($0.0019 per share for Tape A/B securities and $0.0013 per share for Tape C securities for adding midpoint liquidity), (4) the rebate provided for adding over 0.03% of the total consolidated volume of non-displayed liquidity, including midpoint orders, for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (5) a 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.Virtu Americas LLCNITE8.688.528.966.4417.820.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.UBS Securities LLCUBSS8.177.907.526.3417.280.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Two Sigma Securities, LLCSOHO7.7013.0010.190.550.000.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.New York Stock Exchange LLCNYSE6.270.074.0914.2616.11-110.4652-5.9766807.49386.726014562.880815.67601145.93793.7308Firm qualified for Providing Tier 3 (a rebate of $0.0018 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 $35,000 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.ARCA4.050.013.4510.066.65-24.2136-29.1309-196.1301-3.03245154.039621.6625-1403.8309-13.0396Firm qualified for Tier 3 (a rebate of $0.0025 for adding displayed liquidity in Tape A and Tape C securities and $0.0022 for adding displayed liquidity 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.EDGX3.970.004.2911.400.020.00000.000085.07411.18794799.028413.7144-8.5995-27.0000Firm 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://markets.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.BATS1.820.001.944.831.48-2.7000-30.0000-132.8733-4.66112911.886324.1471-258.8447-4.8603Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.10% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.78.478.8820.2448.5422.35Citadel Securities LLCCDRG28.3333.3834.1134.786.990.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged, Citadel Securities LLCs recent reports pursuant to SEC Rule 606(a) are available at https://www.citadelsecurities.com/rule-605-606-statements/Global Execution Brokers, LPGEBB27.7833.2734.1934.614.980.00000.00000.00000.00000.00000.00000.00000.0000Firm not chargedMatrix Executions, LLCRSKY24.9233.3531.6730.373.610.00000.0000-1.0000-0.00080.00000.0000-1267.0400-3.2821Firm not charged for orders routed by the Asset and Wealth Management division or Corporate and Investment Bank division, except as noted below. Matrix Executions, LLCs recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Nasdaq PHLX LLCPHLX5.530.000.010.1424.490.00000.000016.180036.7727219.595030.122852508.140028.1264Firm 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.Citigroup Global Markets Inc.SBSH2.770.000.000.0012.410.00000.00000.00000.00000.00000.0000-10759.5000-10.9361Firm 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/citi/Dash Financial Technologies LLCDFIN2.760.000.000.0012.370.00000.00000.00000.00000.00000.0000-47168.4900-3.6375Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable. 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 qualified for the $.03/contract discounted tier, Dash Financial Technologies LLCs most recent report pursuant to SEC Rule 606(a) is available at: http://dash-website-static.s3-website-us-east-1.amazonaws.com/static/606.html.Cboe Exchange, Inc.CBOE2.310.000.000.0010.330.00000.000046.997533.33160.00000.000025380.730012.5218Firm 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 PHLX LLCXPHO2.210.000.020.109.630.00000.000021.165057.2027256.775039.202327069.465031.2360Firm 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 BZX Exchange, Inc.BATO1.780.000.000.007.980.00000.0000-26.5000-50.00000.00000.0000-46573.3000-50.4182Firm 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://markets.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 OptionsARCO1.610.000.000.007.210.00000.0000-4.9550-49.55000.00000.000023685.497023.1319Firm 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.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.202011100.0060.925.2325.408.44Citadel Securities LLCCDRG28.9139.2228.288.6215.540.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Jane Street Capital, LLCJNST24.9338.1423.331.870.000.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ11.000.0010.0934.4820.36-0.5680-10.79851063.448424.21949625.294428.3373255.61912.3772Firm 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) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for executing ADV of at least 1 million shares through midpoint and Midpoint Extended Life Orders and increasing the volume of such orders by 10% or more versus the volume of such orders in April 2019 ($0.0019 per share for Tape A/B securities and $0.0013 per share for Tape C securities for adding midpoint liquidity), (4) the rebate provided for adding over 0.03% of the total consolidated volume of non-displayed liquidity, including midpoint orders, for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (5) a 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.UBS Securities LLCUBSS9.8610.1310.137.1415.930.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Virtu Americas LLCNITE9.419.689.866.8314.990.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.New York Stock Exchange LLCNYSE6.590.194.8813.5233.10-147.7627-5.6525589.550714.20175886.421317.5765611.18641.8706Firm qualified for Providing Tier 3 (a rebate of $0.0018 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), Adding Tier 2 for Tape C securities (a rebate of $0.0023 per share for adding displayed liquidity in Tape C securities), 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 $35,000 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.Cboe EDGX Exchange, Inc.EDGX3.380.005.3212.210.010.00000.0000169.22546.41892556.262215.0128-4.5576-27.0000Firm subject to reduced internalization fees for adding and removing displayed liquidity (a reduced fee of $0.00040 on internalization). 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://markets.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.ARCA2.290.003.238.340.070.00000.0000-487.6895-14.85231806.623023.8426-23.9405-26.2333Firm qualified for Tier 3 (a rebate of $0.0025 for adding displayed liquidity in Tape A and Tape C securities and $0.0022 for adding displayed liquidity 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.BATS1.870.002.716.820.000.00000.0000183.715519.37232019.505025.9067-0.0155-5.0000Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.10% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.Two Sigma Securities, LLCSOHO1.762.642.170.170.000.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.100.0051.187.5431.799.49Citadel Securities LLCCDRG25.8838.3427.157.8417.95-18.3035-0.00240.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Jane Street Capital, LLCJNST21.3737.2224.081.600.020.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ14.600.0310.3736.4023.68-147.4003-14.07067160.785420.681059079.069723.53803268.21085.1029Firm 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) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for executing ADV of at least 1 million shares through midpoint and Midpoint Extended Life Orders and increasing the volume of such orders by 10% or more versus the volume of such orders in April 2019 ($0.0019 per share for Tape A/B securities and $0.0013 per share for Tape C securities for adding midpoint liquidity), (4) the rebate provided for adding over 0,03% of the total consolidated volume of non-displayed liquidity, including midpoint orders, for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (5) a 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.UBS SECURITIES LLCUBSS9.7110.169.756.5617.750.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.VIRTU Americas LLCNITE9.309.779.916.2116.600.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.New York Stock Exchange LLCNYSE6.770.245.1014.5617.20-162.9736-2.62621692.764612.492819911.742216.11551639.42063.4397Firm qualified for Providing Tier 3 (a rebate of $0.0018 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), Adding Tier 2 for Tape C securities (a rebate of $0.0023 per share for adding displayed liquidity in Tape C securities), 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 $35,000 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.Cboe EDGX Exchange, Inc.EDGX4.180.004.5512.060.020.00000.0000544.30708.10126480.669714.5302-65.4426-27.0000Firm subject to reduced internalization fees for adding and removing displayed liquidity (a reduced fee of $0.00040 on internalization). 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://markets.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.ARCA4.010.013.4510.085.68-5.5110-29.0818401.54047.22586952.349822.4071-1983.3816-12.5587Firm qualified for Tier 3 (a rebate of $0.0025 for Tape A and Tape C securities and $0.0022 for Tape B securities for adding displayed liquidity). 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.Two Sigma Securities, LLCSOHO2.534.233.830.250.030.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithmsCboe BZX Exchange, Inc.BATS1.650.001.814.441.07-0.0600-30.0000191.64649.81313473.106525.1085-235.1366-4.7482Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.10% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.70.938.9521.1249.4320.50Citadel Securities LLCCDRG29.2733.4134.4835.028.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLCs recent reports pursuant to SEC Rule 606(a) are available at https://www.citadelsecurities.com/rule-605-606-statements/.Global Execution Brokers, LPGEBB28.7433.3834.8135.185.040.00000.00000.00000.00000.00000.00000.00000.0000Firm not chargedMatrix Executions, LLCRSKY24.9933.2130.5529.724.280.00000.0000-0.04000.0000-0.2800-0.0002-1769.3200-3.5024Firm not charged for orders routed by the Asset and Wealth Management division or Corporate and Investment Bank division, except as noted below, Matrix Executions, LLCs recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Nasdaq PHLX LLCXPHO5.930.000.090.0828.720.00000.0000220.605018.5538416.220031.154268760.505023.1996Firm 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.Dash Financial Technologies LLCDFIN3.860.000.000.0018.830.00000.00000.00000.00000.00000.0000-28812.8500-3.5418Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable. 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 qualified for the $.03/contract discounted tier. Dash Financial Technologies LLCs most recent report pursuant to SEC Rule 606(a) is available at: http://dash-website-static.s3-website-us-east-1.amazonaws.com/static/606.htmlCitigroup Global Markets Inc.SBSH1.930.000.000.009.430.00000.00000.00000.00000.00000.0000-9013.9000-11.3918Firm 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/citi/Cboe Exchange, Inc.CBOE1.560.000.000.007.620.00000.00009.867518.61795.372548.840932372.700018.7411Firm 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 MarketXNDQ1.450.000.040.007.040.00000.0000-86.9820-34.65420.990019.8000-30543.8860-34.7769Firm 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 OptionsARCO1.240.000.010.006.040.00000.00004.831510.2798-3.4750-34.750017091.410017.2799Firm 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.pdf Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO1.030.000.020.005.000.00000.0000-28.0000-50.0000-6.0000-50.0000-34017.9000-52.8885Firm 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://markets.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.202012100.0063.735.0923.467.71Citadel Securities LLCCDRG29.7839.1428.248.8416.52-8.4575-0.00530.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Jane Street Capital, LLCJNST25.9337.9823.962.060.270.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.UBS Securities LLCUBSS9.9910.1810.437.3516.100.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Virtu Americas LLCNITE9.7310.009.937.1215.330.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ9.360.009.1631.9518.42-0.0690-30.0000937.676421.53628164.713327.4283252.84322.8397Firm qualified for (1) the rebate provided for adding over 0.35% of the total consolidated volume and removing over 0.75% of the total consolidated volume (a rebate of $0.0029 per share for adding displayed liquidity), (2) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for adding over 0.03% of the total consolidated volume of non-displayed liquidity, including midpoint orders, for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (4) a 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 LLCNYSE6.100.074.8013.9832.89-22.9299-3.8604392.449710.56304043.896517.560658.66780.2860Firm qualified for Providing Tier 3 (a rebate of $0.0018 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 d-Quote 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), and 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). The venue provided a fee cap of $35,000 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.Cboe EDGX Exchange, Inc.EDGX3.560.005.7313.960.000.00000.00006.34730.19652305.209915.03100.00000.0000Firm subject to reduced internalization fees for adding and removing displayed liquidity (a reduced fee of $0.00040 on internalization). 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://markets.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.ARCA2.110.002.998.380.000.00000.0000-179.3215-8.24821708.397924.1785-0.8100-30.0000Firm qualified for Tier 3 (a rebate of $0.0025 for Tape A and Tape C securities and $0.0022 for Tape B securities for adding displayed liquidity). 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.Two Sigma Securities, LLCSOHO1.902.632.370.310.470.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Cboe BZX Exchange, Inc.BATS1.540.002.396.050.000.00000.0000141.175814.23331344.488625.6455-0.0120-5.0000Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.20% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.100.0051.227.9131.479.39Citadel Securities LLCCDRG26.1038.1027.878.2818.59-2.2500-0.00030.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Jane Street Capital, LLCJNST21.4037.0822.761.810.300.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.The Nasdaq Stock MarketNSDQ15.010.129.6437.9224.20-450.6936-12.40978712.924517.859985923.512322.35334457.94344.7198Firm qualified for (1) the rebate provided for adding over 0.35% of the total consolidated volume and removing over 0.75% of the total consolidated volume (a rebate of $0.0029 per share for adding displayed liquidity), (2) Closing Cross Tier B (a fee of $0.0011 per share for orders participating in the Closing Cross), (3) the rebate provided for adding over 0.03% of the total consolidated volume of non-displayed liquidity, including midpoint orders for Tape A/B securities ($0.0010 per share) and Tape C securities ($0.0005 per share) for adding non-displayed liquidity, and (4) a 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.UBS Securities LLCUBSS10.1210.2311.697.0818.410.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Virtu Americas LLCNITE9.8610.1611.876.6517.280.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.New York Stock Exchange LLCNYSE5.760.113.8012.8514.41-177.1956-5.17171474.925311.338019303.004516.91381725.67683.9803Firm qualified for Providing Tier 3 (a rebate of $0.0018 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), and 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). The venue provided a fee cap of $35,000 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.Cboe EDGX Exchange, Inc.EDGX4.040.003.9311.860.010.00000.0000233.38802.85587228.978614.1439-34.9056-27.0000Firm subject to reduced internalization fees for adding and removing displayed liquidity (a reduced fee of $0.00040 on internalization). 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://markets.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.ARCA3.540.012.879.054.96-24.7715-29.1292300.24184.90188725.836721.5093-1787.0684-11.5873Firm qualified for Tier 3 (a rebate of $0.0025 for Tape A and Tape C securities and $0.0022 for Tape B securities for adding displayed liquidity). 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.Two Sigma Securities, LLCSOHO2.644.193.980.430.460.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 any orders routed by the Asset and Wealth Management division on behalf of its institutional clients for handling by the brokers algorithms.Cboe BZX Exchange, Inc.BATS1.530.001.594.071.38-0.8810-28.697136.54431.53313270.970523.6196-245.1709-4.4651Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.20% (an incremental rebate of $0.0007 per share for adding displayed liquidity). 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://markets.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.67.669.0521.1748.5921.19Citadel Securities LLCCDRG28.9133.2334.2635.007.600.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLCs recent reports pursuant to SEC Rule 606(a) are available at https://www.citadelsecurities.com/rule-605-606-statements/.Global Execution Brokers, LPGEBB28.0933.5134.4634.684.340.00000.00000.00000.00000.00000.00000.00000.0000Firm not chargedMatrix Executions, LLCRSKY25.3033.2631.2130.224.720.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Matrix Executions, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606Nasdaq PHLX LLCXPHO5.860.000.050.1027.410.00000.0000306.005031.2569775.355046.179685725.355028.4293Firm 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.Dash Financial Technologies LLCDFIN4.010.000.000.0018.960.00000.00000.00000.00000.00000.0000-40888.2400-7.9811Firm charged commission plus exchange, regulatory, market data, and clearing fees, less exchange rebates where applicable. 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 qualified for the $.03/contract discounted tier. Dash Financial Technologies LLC's most recent report pursuant to SEC Rule 606(a) is available at: http://dash-website-static.s3-website-us-east-1.amazonaws.com/static/606.html.Nasdaq Options MarketXNDQ1.670.000.010.007.880.00000.0000-126.5240-54.5362-86.1640-84.4745-21548.7620-31.6842Firm 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.Citigroup Global Markets Inc.SBSH1.650.000.000.007.780.00000.00000.00000.00000.00000.00000.00000.0000Firm 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/citiNYSE Arca OptionsARCO1.650.000.010.007.800.00000.00003.33856.29910.00000.00008877.300516.0504Firm 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.pd.f Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO1.500.000.000.007.100.00000.0000-52.0000-50.0000-21.5000-50.0000-28801.8500-56.1308Firm 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://markets.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.Cboe Exchange, Inc.CBOE1.360.000.000.006.410.00000.000021.285024.75000.00000.000012413.432510.1891Firm 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.