1.2JP Morgan Securities LLC202132023-12-01T22:06:58Z20217100.0063.334.1425.956.58Jane Street Capital, LLCJNST54.0078.0768.004.239.760.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ11.050.000.4536.2924.29-0.0120-30.0000-90.6060-17.22816288.755029.300713.63200.2406Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) 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.Citadel Securities LLCCDRG10.6411.0715.056.9918.210.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Virtu Americas LLCNITE6.975.4810.257.0818.820.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.150.030.3916.2928.80-4.8550-0.9810-79.7324-25.39652515.395719.3010284.33062.1695Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO3.585.354.430.030.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Cboe EDGX Exchange, Inc.EDGX2.730.000.4210.470.030.00000.0000-175.8580-28.50031205.894015.6295-5.3326-28.5013Firm 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/equities/membership/fee_schedule/edgx/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.MEMX, LLCMEMX1.750.000.396.680.000.00000.0000-141.0625-26.5001946.969830.39450.00000.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://info.memxtrading.com/fee-schedule/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.NYSE Arca, Inc.ARCA1.670.000.346.360.080.00000.0000-72.3705-29.83001053.741523.96630.97607.7769Firm 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.BATS1.460.000.285.580.01-0.5100-30.0000-59.7390-30.00001031.798325.35690.12698.2403Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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:// 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.100.0051.126.1634.847.87Jane Street Capital, LLCJNST44.1274.6662.583.5210.830.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ14.650.260.9836.7921.00-1254.5658-10.9368-776.8401-23.486063802.444826.3248969.73572.0092Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) a cap of $35,000 for opening cross charges from Market-On-Open and Limit-On-Open orders for adding one million shares of liquidity, on average, during the month. 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.Citadel Securities LLCCDRG11.3812.4016.636.5622.05-1.5550-0.00040.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Virtu Americas LLCNITE8.096.5812.056.4921.890.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.850.120.5315.8215.81-59.4280-0.7969-648.9865-14.338118787.630318.64841099.16343.3105Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX4.600.000.4813.110.050.00000.0000-590.1684-27.90355522.776215.3911-20.5943-28.5003Firm 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/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.ARCA3.640.010.498.737.15-9.5861-29.1814-544.5874-18.82395976.749121.6185-928.0812-10.2529Firm 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.Two Sigma Securities, LLCSOHO3.425.975.540.050.060.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.MEMX, LLCMEMX1.790.000.385.070.010.00000.0000-619.6952-26.49483244.618430.2636-17.9617-26.5000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://info.memxtrading.com/fee-schedule/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.460.000.343.861.15-0.3510-30.0000-265.1670-26.30732258.056424.9937-38.0508-1.9754Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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://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.67.3110.3115.3652.1322.20Citadel Securities LLCCDRG26.6331.3232.5632.506.400.00000.00000.00000.00000.00000.00000.00000.0000Firm 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, LPGEBB26.4230.7632.3233.244.380.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Matrix Executions, LLCRSKY21.9129.6828.5126.363.29-2810.6800-4.5693-8061.6600-3.62537524.65004.1345-3527.2100-5.8027Firm not charged; however, Firm pays exchange and regulatory fees, less exchange rebates where applicable, for any orders that are routed by the Wealth Management division and cleared by the Firm following execution. Rebates received by Firm may exceed fees paid by Firm. Matrix Executions, LLCs recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606.Dash Financial Technologies LLCDFIN11.808.246.517.6226.910.00000.00000.00000.00000.00000.0000-15382.2000-2.9818Firm not charged for orders routed by the Wealth Management 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 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 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.Nasdaq PHLX LLCXPHO8.260.000.040.2836.590.00000.0000225.140842.8024634.093219.790783560.624223.6700Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.CBOE1.680.000.010.007.560.00000.000013.365024.75000.00000.0000-58920.0525-24.9390Firm did not qualify for tiered pricing with respect to customer order flow. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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 MarketXNDQ0.930.000.020.004.190.00000.0000-118.5720-48.20006.930019.8000-19371.0380-26.9701Firm 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 OptionsARCO0.920.000.010.004.130.00000.0000-40.6310-49.5500-0.8555-85.55001461.42702.8619Firm 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/markets/arca-options/trading-info#fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATO0.750.000.010.003.370.00000.0000-44.5000-50.0000-3.5000-50.0000-31984.1000-49.8910Firm 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.Nasdaq ISE, LLCXISX0.700.000.010.003.180.00000.0000-28.1200-37.00000.00000.0000-6251.3646-9.6845Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.20218100.0064.424.2125.056.31Jane Street Capital, LLCJNST56.3378.7668.666.7515.570.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ10.640.000.4736.5423.37-1.7400-30.0000-107.1930-26.86205638.554029.262339.80400.7482Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) 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.Citadel Securities LLCCDRG9.619.9614.116.4515.620.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Virtu Americas LLCNITE6.725.7310.126.4615.650.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE5.810.020.5715.5529.75-4.8644-1.8338-140.2976-21.06541934.701018.8434145.67901.3461Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO3.785.534.840.030.010.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Cboe EDGX Exchange, Inc.EDGX2.460.000.329.780.000.00000.0000-92.7870-26.82171003.490715.6861-0.2280-28.5000Firm 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/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.ARCA1.700.000.316.740.030.00000.0000-64.4320-27.9604938.633123.9587-0.9690-30.0000Firm 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.MEMX, LLCMEMX1.600.000.346.330.000.00000.0000-63.6052-26.9983917.463630.61280.00000.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://info.memxtrading.com/fee-schedule/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.350.000.265.370.000.00000.0000-31.1030-27.4253859.646325.0307-0.0060-5.0000Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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://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.100.0051.406.2234.857.54Jane Street Capital, LLCJNST48.0578.7666.205.9318.140.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ14.690.140.9137.1021.94-520.7370-15.4534-841.9145-26.893257959.187525.97991349.88243.5755Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) 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 LLCNITE8.127.6913.015.6918.280.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Citadel Securities LLCCDRG8.017.5712.355.6818.190.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.290.030.5714.7214.71-29.5932-3.8053-386.8815-25.391814610.717518.5711918.92703.5820Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX4.440.000.5412.630.030.00000.0000-485.4948-28.34445158.819315.3360-2.6934-28.5016Firm 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/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.ARCA3.640.010.558.737.37-22.4094-29.1410-301.5209-12.59186946.247622.0579-811.1016-10.7374Firm 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.Two Sigma Securities, LLCSOHO3.325.805.120.050.070.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.MEMX, LLCMEMX1.900.000.405.390.000.00000.0000-441.8992-28.01903548.249230.11660.00000.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://info.memxtrading.com/fee-schedule/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.540.000.354.081.27-0.6360-30.0000-311.6880-30.00002292.066125.0855-31.2213-2.0076Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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://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.67.7910.0914.9353.4421.54Dash Financial Technologies LLCDFIN24.4924.9721.6722.7330.300.00000.00000.00000.00000.00000.0000-18139.2300-2.9539Firm not charged for orders routed by the Wealth Management 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 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 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.Citadel Securities LLCCDRG22.3425.0627.0027.325.510.00000.00000.00000.00000.00000.00000.00000.0000Firm 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, LPGEBB22.0625.0126.7527.563.870.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Matrix Executions, LLCRSKY18.6924.9624.4622.242.97-2289.9700-4.3848-3261.9900-1.793118718.350011.34191412.06002.5453Firm not charged; however, Firm pays exchange and regulatory fees, less exchange rebates where applicable, for any orders that are routed by the Wealth Management division and cleared by the Firm following execution. Rebates received by Firm may exceed fees paid by Firm. Matrix Executions, LLCs recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606.Nasdaq PHLX LLCXPHO8.200.000.040.1537.720.00000.0000-188.9706-31.8669-813.9932-27.6305-106473.7194-27.9837Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.CBOE1.180.000.010.005.510.00000.000051.975011.15340.00000.0000-39258.4725-25.3455Firm did not qualify for tiered pricing with respect to customer order flow. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.NYSE Arca OptionsARCO0.950.000.020.004.420.00000.0000-55.9875-53.3214-0.4955-49.5500403.77500.9021Firm 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/markets/arca-options/trading-info#fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq Options MarketXNDQ0.770.000.020.003.580.00000.0000-57.0560-50.4920-0.4820-48.2000-18293.5280-29.4440Firm 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.Nasdaq ISE, LLCXISX0.680.000.010.003.140.00000.0000-41.8100-33.44800.00000.0000-4781.7004-7.5934Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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 BZX Exchange, Inc.BATO0.640.000.020.002.980.00000.0000-119.5500-59.1832-1.0000-50.0000-28443.5000-54.1894Firm 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.20219100.0064.904.2024.985.93Jane Street Capital, LLCJNST56.4078.5065.386.7616.780.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ10.520.001.6536.5922.34-0.7760-18.8350-232.5370-28.86335269.877029.3161-44.7315-0.9391Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) 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.Citadel Securities LLCCDRG9.8810.2513.986.5616.930.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Virtu Americas LLCNITE6.705.689.766.5516.400.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE5.720.021.4516.0627.53-5.8442-2.6070-282.3279-27.67681771.138619.0307142.35281.4682Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Two Sigma Securities, LLCSOHO3.805.554.580.030.020.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Cboe EDGX Exchange, Inc.EDGX2.370.001.049.320.000.00000.0000-260.9524-28.5004965.909715.60260.00000.0000Firm 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://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.ARCA1.730.001.006.780.000.00000.0000-115.6320-29.8059839.523024.16350.00000.0000Firm 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.MIAX Pearl EquitiesEPRL1.510.000.406.000.000.00000.0000-26.0675-25.0000485.495731.92390.00000.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://www.miaxoptions.com/fees/pearl. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.370.000.765.350.000.00000.0000-89.5950-29.7668831.649326.0843-0.0035-5.0000Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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://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.100.0052.046.4634.047.46Jane Street Capital, LLCJNST48.8479.1564.456.0918.660.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ14.070.151.3636.3620.73-753.5917-11.1694-1684.3871-28.047357180.881224.9804857.97402.1234Firm 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 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), (4) 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 for Tape A/B securities ($0.0019 per share) and Tape C securities ($0.0013 per share), (5) the rebate for achieving QMM Tier 1 incentive (an incremental rebate of $0.0001 per share for adding displayed liquidity), and (6) 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 LLCNITE8.388.0113.075.7718.820.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0010 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.Citadel Securities LLCCDRG7.596.7511.235.7318.73-3.7420-0.0010-0.8705-0.00060.00000.00000.00000.0000Firm not charged for orders routed by the Wealth Management division or the Corporate and Investment Bank division, except as noted below. Firm charged a fee of $0.0005 per share executed for any orders routed by the Wealth Management division on behalf of its clients for handling by the broker's algorithms.New York Stock Exchange LLCNYSE6.150.091.1914.4814.69-110.3450-3.6378-1104.2488-24.334013111.733518.92941000.58454.0571Firm 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 $0.0028 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/publicdocs/nyse/markets/nyse/NYSE_Price_List.pdf. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe EDGX Exchange, Inc.EDGX4.200.001.0212.150.040.00000.0000-1512.2967-28.27554423.028615.3775-8.4475-28.5003Firm 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/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.ARCA3.920.010.939.757.20-11.9950-29.2775-881.6147-15.39617735.693521.7929-639.7109-9.2447Firm 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.Two Sigma Securities, LLCSOHO3.385.844.950.050.060.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.MEMX, LLCMEMX1.860.001.045.270.000.00000.0000-1989.6520-28.00003296.265430.0545-1.4028-28.0000Firm did not qualify for tiered pricing. A description of the current fees and rebates offered by this venue is available at: https://info.memxtrading.com/fee-schedule/. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Cboe BZX Exchange, Inc.BATS1.610.000.764.351.07-0.2460-30.0000-610.7670-30.00002137.282625.6065-45.9646-3.7333Firm qualified for Add/Remove Volume Tier 2 for having average daily added volume as a percentage of total consolidated volume of at least 0.15% or average daily added volume of at least 15,000,000 (an incremental rebate of $0.0009 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://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.65.3610.5814.1852.1023.14Dash Financial Technologies LLCDFIN25.3424.9421.5922.8033.340.00000.00000.00000.00000.00000.0000-20463.6900-2.8986Firm not charged for orders routed by the Wealth Management 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 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 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.Citadel Securities LLCCDRG22.0825.1527.4627.405.500.00000.00000.00000.00000.00000.00000.00000.0000Firm 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, LPGEBB21.6424.9527.1627.303.990.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Matrix Executions, LLCRSKY18.2324.9623.6522.302.68-3244.9900-6.3242-7639.7500-4.497417593.470011.5423-2045.5600-3.6812Firm not charged; however, Firm pays exchange and regulatory fees, less exchange rebates where applicable, for any orders that are routed by the Wealth Management division and cleared by the Firm following execution. Rebates received by Firm may exceed fees paid by Firm. Matrix Executions, LLCs recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/rule-606.Nasdaq PHLX LLCXPHO8.340.000.040.2035.640.00000.0000-305.8566-53.3781-504.2086-21.1586-111874.9476-30.3113Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.CBOE1.420.000.010.006.140.00000.000051.772517.79120.00000.0000-43180.8975-26.7767Firm did not qualify for tiered pricing with respect to customer order flow. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.NYSE Arca OptionsARCO0.910.000.020.003.930.00000.0000-66.6175-53.294014.670024.45004359.256010.2450Firm 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/markets/arca-options/trading-info#fees. Please note the exchange's publicly available Fees Schedule URL link and applicable rates may change without notice.Nasdaq Options MarketXNDQ0.780.000.020.003.380.00000.0000-158.1980-49.59188.118019.8000-11685.2000-19.7482Firm 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.BATO0.710.000.020.003.060.00000.0000-57.2000-62.1739-7.5000-50.0000-25837.3500-55.5033Firm 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.Nasdaq ISE, LLCXISX0.550.000.030.002.340.00000.0000-83.8100-27.7517344.000061.3191649.10581.4764Firm did not qualify for tiered pricing. Firm received marketing fees from preferenced market makers pursuant to marketing fee program sponsored by exchange. 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.