1.2JP Morgan Securities LLC202242023-02-08T14:38:11Z202210100.0062.244.4027.376.00Citadel Securities LLCCDRG31.1042.3640.157.0616.800.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 LLCNITE19.9225.4026.357.1116.790.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST16.3319.8623.747.0716.400.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ12.150.000.0137.8929.90-0.6480-30.0000-1.2450-30.00007182.058830.4657147.53162.3460Firm 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 and executing ADV of 350,000 or more shares through Midpoint Extended Life Orders during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 4 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 150% or more versus the volume of such executed orders in June 2021 , (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV and (7) 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. A description of the 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=PriceListTrading2Two Sigma Securities, LLCSOHO8.0912.309.670.030.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.New York Stock Exchange LLCNYSE4.230.080.0810.8820.11-12.3058-1.4394-4.8580-8.51681990.779619.3662139.41001.9083Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 2 for adding at least .015% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, Non-Displayed Step-up Tier 3 for adding at least 0.02% and less than 0.04% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined and Provide Tape C Tier 2 for adding .05% of consolidated ADV of Tape C securities. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesCboe EDGX Exchange, Inc.EDGX2.720.000.009.970.000.00000.0000-2.4510-30.00001246.518215.76920.00000.0000Firm did not qualify for tiered pricing. A description of the 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/MIAX Pearl EquitiesEPRL2.210.000.008.090.000.00000.00000.00000.0000665.454328.96840.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesNYSE Arca, Inc.ARCA1.840.000.006.740.000.00000.0000-0.0060-30.00001227.009024.35990.00000.0000Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 1 for executing ADV of at least 2 million shares through midpoint versus the volume of such orders in May 2019, and Limit Non-Display Order Step Up Tier 4 for increasing ADV by .15% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfCboe BZX Exchange, Inc.BATS1.410.000.005.160.000.00000.0000-0.3960-30.0000784.250019.5359-0.0098-7.5385Firm qualified for Add/Remove Volume Tier 1. A description of the 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/100.0055.956.5031.076.48Citadel Securities LLCCDRG30.4543.9440.926.4617.980.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST22.2030.4632.136.1417.850.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Virtu Americas LLCNITE16.6921.5123.376.3118.150.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.The Nasdaq Stock MarketNSDQ11.180.070.1831.7219.95-222.3479-16.6118176.264319.540826665.340319.1090853.45253.3584Firm 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 and executing ADV of 350,000 or more shares through Midpoint Extended Life Orders during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 4 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 150% or more versus the volume of such executed orders in June 2021 , (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV and (7) 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. A description of the 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=PriceListTrading2New York Stock Exchange LLCNYSE6.070.050.2016.1515.67-17.4324-2.3157-12.7016-3.34129807.036817.6015631.78274.8004Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 2 for adding at least .015% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, Non-Displayed Step-up Tier 3 for adding at least 0.02% and less than 0.04% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined and Provide Tape C Tier 2 for adding .05% of consolidated ADV of Tape C securities. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesNYSE Arca, Inc.ARCA3.880.020.0610.479.39-19.6849-29.2582-30.6677-29.44004651.618619.8373-773.9800-9.5146Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 1 for executing ADV of at least 2 million shares through midpoint versus the volume of such orders in May 2019, and Limit Non-Display Order Step Up Tier 4 for increasing ADV by .15% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfCboe EDGX Exchange, Inc.EDGX3.150.000.0410.150.000.00000.0000-24.2580-30.00003215.465513.60130.00000.0000Firm did not qualify for tiered pricing. A description of the 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/UBS Securities LLCUBSS2.413.953.080.010.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.MIAX Pearl EquitiesEPRL2.000.000.006.460.000.00000.0000-1.4500-29.00001951.294027.59940.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesCboe BZX Exchange, Inc.BATS1.970.000.026.131.010.00000.0000-5.9130-30.00002144.031817.2759-64.5354-7.4619Firm qualified for Add/Remove Volume Tier 1. A description of the 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/80.9713.3114.5638.3633.77Dash Financial Technologies LLCDFIN20.6918.4416.6118.8325.300.00000.00000.00000.00000.00000.0000-14759.7200-2.9728Firm not charged for orders routed by the Wealth Management or Corporate and Investment Bank division and cleared by Dash Financial Technologies LLC. However, 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 and cleared by the Firm following execution, 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.htmlCitadel Securities LLCCDRG15.9922.4421.9722.713.280.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.citadelsecurities.com/rule-605-606-statements/Global Execution Brokers, LPGEBB15.3018.3421.4523.222.480.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Matrix Executions, LLCRSKY13.2522.3120.0817.591.80-174.9500-0.2523-2.7500-0.00120.00000.0000-1112.6800-3.6202Firm not charged for Wealth Management division executions cleared by Matrix Executions LLC; 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, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/606Wolverine Execution Services, LLCWEXX12.6718.4719.8917.651.620.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Wolverine Execution Services, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.tradewex.com/Home/Rule606.Nasdaq PHLX LLCXPHO12.140.000.000.0036.000.00000.00000.00000.00000.00000.0000-153928.2204-28.2881Firm 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 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-7Cboe Exchange, Inc.CBOE5.750.000.000.0017.030.00000.00000.00000.00000.00000.0000-47627.3200-23.3875Firm 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 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.pdfCboe BZX Exchange, Inc.BATO1.510.000.000.004.490.00000.00000.00000.00000.00000.0000-114351.2000-54.8792Firm did not qualify for tiered pricing. A description of the 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/Nasdaq Options MarketXNDQ1.380.000.000.004.080.00000.00000.00000.00000.00000.0000-39157.3828-30.9324Firm did not qualify for tiered pricing. A description of the 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-7NYSE Arca OptionsARCO1.320.000.000.003.920.00000.00000.00000.00000.00000.0000-10500.6380-10.6019Firm did not qualify for tiered pricing. A description of the 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#fees202211100.0062.714.3426.806.15Citadel Securities LLCCDRG31.0942.1339.766.9916.950.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST16.3019.7223.906.9216.930.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Virtu Americas LLCNITE15.4918.6421.127.0116.350.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Two Sigma Securities, LLCSOHO12.8819.4715.080.050.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ11.940.000.0137.8729.42-1.6650-30.0000-0.5580-30.00007743.649630.8768400.55105.5947Firm 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 and executing ADV of 350,000 or more shares through Midpoint Extended Life Orders during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 4 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 150% or more versus the volume of such executed orders in June 2021 , (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV, and (7) 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. A description of the 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=PriceListTrading2New York Stock Exchange LLCNYSE4.090.040.1310.4720.32-3.1586-0.6866-0.7032-2.56461527.366619.087357.25780.6536Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, and Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 2 for adding at least .015% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, Non-Displayed Step-up Tier 2 for adding at least 0.04% and less than 0.08% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined, and Provide Tape C Tier 2 for adding .05% of consolidated ADV of Tape C securities. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesCboe EDGX Exchange, Inc.EDGX2.910.000.0010.870.010.00000.0000-1.6290-30.00001155.704215.7152-1.3560-30.0000Firm did not qualify for tiered pricing. A description of the 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/NYSE Arca, Inc.ARCA2.100.000.007.850.010.00000.0000-0.0030-30.00001346.068024.3195-4.7820-12.7895Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 1 for executing ADV of at least 2 million shares through midpoint versus the volume of such orders in May 2019, and Limit Non-Display Order Step Up Tier 3 for increasing ADV by .10% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfMIAX Pearl EquitiesEPRL1.820.000.006.820.000.00000.00000.00000.0000450.604928.95270.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesCboe BZX Exchange, Inc.BATS1.380.000.005.150.010.00000.00000.00000.0000893.641721.9998-0.9488-28.3224Firm qualified for Add/Remove Volume Tier 2 and for Non-Displayed Add Volume Tier 1 for adding an ADV greater than or equal to 0.05% of the total consolidated volume as Non-Displayed orders that add liquidity for Tape A/B securities and Tape C securities or receive price improvement. A description of the 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/100.0053.636.6733.006.70Citadel Securities LLCCDRG26.9439.7738.305.7017.260.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST24.3635.2735.795.7417.340.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ12.430.060.1433.1821.75-126.3020-17.8933-121.7606-14.579033682.953418.4542905.96832.7244Firm 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 and executing ADV of 350,000 or more shares through Midpoint Extended Life Orders during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 4 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 150% or more versus the volume of such executed orders in June 2021 , (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV, and (7) 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. A description of the 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=PriceListTrading2Virtu Americas LLCNITE12.2214.8218.175.6217.960.00000.00000.00000.00000.00000.00000.00000.0000Firm 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 LLCNYSE6.170.070.2215.2616.11-129.5476-7.5414-7.1430-0.86359805.080116.7014882.84244.5459Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, and Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 2 for adding at least .015% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, Non-Displayed Step-up Tier 2 for adding at least 0.04% and less than 0.08% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined, and Provide Tape C Tier 2 for adding .05% of consolidated ADV of Tape C securities. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesUBS Securties LLCUBSS5.869.997.290.030.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.NYSE Arca, Inc.ARCA3.960.020.0610.238.58-16.9229-29.2682-11.3684-29.72134859.243720.7392-815.0089-11.2941Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 1 for executing ADV of at least 2 million shares through midpoint versus the volume of such orders in May 2019, and Limit Non-Display Order Step Up Tier 3 for increasing ADV by .10% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfCboe EDGX Exchange, Inc.EDGX3.540.000.0210.740.000.00000.0000-4.6700-27.30993356.019913.90170.00000.0000Firm did not qualify for tiered pricing. A description of the 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/MIAX Pearl EquitiesEPRL2.350.000.007.120.000.00000.0000-0.2842-29.00002134.496227.74640.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesCboe BZX Exchange, Inc.BATS2.170.000.016.381.00-0.0030-30.0000-1.1650-20.61952615.917320.2928-61.6090-5.1367Firm qualified for Add/Remove Volume Tier 2 and for Non-Displayed Add Volume Tier 1 for adding an ADV greater than or equal to 0.05% of the total consolidated volume as Non-Displayed orders that add liquidity for Tape A/B securities and Tape C securities or receive price improvement. A description of the 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/86.6613.7615.4141.2029.63Dash Financial Technologies LLCDFIN24.9223.2721.1022.7730.520.00000.00000.00000.00000.00000.0000-6087.8000-1.1849Firm not charged for orders routed by the Wealth Management or Corporate and Investment Bank division and cleared by Dash Financial Technologies LLC. However, 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 and cleared by the Firm following execution, 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.htmlCitadel Securities LLCCDRG20.5428.9227.1026.874.460.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.citadelsecurities.com/rule-605-606-statements/Global Execution Brokers, LPGEBB19.4223.3925.9127.552.920.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Wolverine Execution Services, LLCWEXX16.5223.0624.5621.552.300.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Wolverine Execution Services, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.tradewex.com/Home/Rule606.Nasdaq PHLX LLCXPHO11.420.000.000.0038.600.00000.00000.00000.00000.00000.0000-136652.3010-28.0249Firm 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 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-7Cboe BZX Exchange, Inc.BATO1.790.000.000.006.050.00000.00000.00000.00000.00000.0000-78319.5000-54.9830Firm did not qualify for tiered pricing. A description of the 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/Nasdaq Options MarketXNDQ1.560.000.000.005.280.00000.00000.00000.00000.00000.0000-27610.7132-27.4780Firm did not qualify for tiered pricing. A description of the 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-7Cboe Exchange, Inc.CBOE1.510.000.000.005.120.00000.00000.00000.00000.00000.0000-58138.3675-26.2448Firm 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 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.pdfNYSE Arca OptionsARCO1.360.000.000.004.590.00000.00000.00000.00000.00000.0000-8096.4800-8.4024Firm did not qualify for tiered pricing. A description of the 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#feesMatrix Executions, LLCRSKY0.961.361.331.260.160.00000.00000.00000.00000.00000.0000-36.8000-1.2782Firm not charged for Wealth Management division executions cleared by Matrix Executions LLC; 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, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.matrixexecutions.com/606202212100.0064.804.0925.585.54Citadel Securities LLCCDRG31.7142.1839.637.1616.180.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST16.3219.5723.196.9916.190.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Virtu Americas LLCNITE15.0717.8020.807.0915.850.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.Two Sigma Securities, LLCSOHO13.9120.4316.210.060.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.The Nasdaq Stock MarketNSDQ11.750.000.0639.2431.21-4.3740-30.0000-5.9440-16.75787321.391130.3924238.57013.4016Firm qualified for: (1) the rebate provided for adding over 0.70% of the total consolidated volume and adding over .20% of the total consolidated volume using midpoint orders and removing 1.10% of the total consolidated volume during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 3 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 100% or more versus the volume of such executed orders in June 2021, (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV , and (7) 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. A description of the 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=PriceListTrading2New York Stock Exchange LLCNYSE3.660.020.059.8120.57-5.9288-3.5362-0.9107-16.80261227.860518.688384.35701.2849Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 3 for adding at least .0075% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, and Non-Displayed Step-up Tier 3 for adding at least 0.02% and less than 0.04% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesCboe EDGX Exchange, Inc.EDGX2.750.000.0210.750.000.00000.0000-2.3670-30.00001012.359215.76530.00000.0000Firm did not qualify for tiered pricing. A description of the 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/MIAX Pearl EquitiesEPRL1.870.000.007.340.000.00000.00000.00000.0000469.063428.95240.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesNYSE Arca, Inc.ARCA1.760.000.026.870.000.00000.0000-0.9870-30.00001025.073324.58560.00000.0000Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 2 for executing ADV of at least 1 million shares through midpoint versus the volume of such orders in May 2019 and Limit Non-Display Order Step Up Tier 4 for increasing ADV by .15% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfCboe BZX Exchange, Inc.BATS1.200.000.024.690.000.00000.0000-1.8570-30.0000641.247019.4499-0.0015-7.5000Firm qualified for Add/Remove Volume Tier 1. A description of the 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/100.0058.636.6428.636.10Citadel Securities LLCCDRG27.7338.1536.266.4717.600.00000.0000-100.0000-0.04410.00000.00000.00000.0000Firm 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.Jane Street Capital, LLCJNST25.4134.4235.096.4617.260.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Virtu Americas LLCNITE11.9113.3917.496.3817.570.00000.00000.00000.00000.00000.00000.00000.0000Firm 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.The Nasdaq Stock MarketNSDQ11.630.100.2035.5023.09-328.5799-11.3863-96.1703-19.142631261.185416.8788401.05860.9688Firm qualified for: (1) the rebate provided for adding over 0.70% of the total consolidated volume and adding over .20% of the total consolidated volume using midpoint orders and removing 1.10% of the total consolidated volume during the month, (2) Closing Cross Tier B, (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 and Tape C securities, (4) the rebate provided for executing ADV of at least 3 million shares through midpoint and Midpoint Extended Life Orders and increasing the executed volume of such orders by 100% or more versus the volume of such executed orders in June 2021, (5) the rebate for achieving QMM Tier 1 incentive, (6) the rebate provided for adding a minimum of 15 million shares of midpoint liquidity per day and increasing midpoint adding ADV by 30% or more versus May 2021 midpoint adding ADV , and (7) 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. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: http://www.nasdaqtrader.com/Trader.aspx?id=PriceListTrading2UBS Securties LLCUBSS6.5210.297.190.050.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.New York Stock Exchange LLCNYSE5.350.040.1015.2815.49-43.8609-3.3493-44.6370-13.45268424.800516.2896325.38581.6543Firm qualified for Providing Tier 2, MOC/LOC Tier 1, NYSE d-Order Tier 1 charges applicable for Executions at the Close after the first 750,000 ADV of aggregate executions at the close, Remove Tier 1 for Tape A securities, Remove Tier for Tape B and Tape C securities, Midpoint Liquidity Tier 3 for adding at least .0075% of consolidated ADV through the midpoint for tapes A, B, and C securities combined, and Non-Displayed Step-up Tier 3 for adding at least 0.02% and less than 0.04% of ADV in non-displayed limit orders and mid-point liquidity orders in all securities consolidated ADV combined. The venue provided a fee cap of $35,000 for the month for opening executions. A description of the 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/feesNYSE Arca, Inc.ARCA3.640.030.0710.718.99-32.0467-29.1997-41.4156-29.55094791.320919.5229-930.0966-11.8037Firm qualified for Tier 4 for adding .20% of consolidated ADV, Mid-Point Liquidity Step-up Tier 2 for executing ADV of at least 1 million shares through midpoint versus the volume of such orders in May 2019 and Limit Non-Display Order Step Up Tier 4 for increasing ADV by .15% of limit non-displayed and mid-point liquidity orders combined over July 2020. A description of the 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.pdfCboe EDGX Exchange, Inc.EDGX3.130.000.0210.940.000.00000.0000-24.1470-27.24172999.281613.13950.00000.0000Firm did not qualify for tiered pricing. A description of the 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/MIAX Pearl EquitiesEPRL2.340.000.008.200.000.00000.0000-0.3296-16.48002088.682726.96750.00000.0000Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://www.miaxoptions.com/fees/pearl-equitiesTwo Sigma Securities, LLCSOHO2.343.583.580.010.000.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.98.4313.3915.4339.2231.97Dash Financial Technologies LLCDFIN24.0623.7721.4323.1526.410.00000.00000.00000.00000.00000.0000-2918.2700-0.8807Firm not charged for orders routed by the Wealth Management or Corporate and Investment Bank division and cleared by Dash Financial Technologies LLC. However, 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 and cleared by the Firm following execution, 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.htmlCitadel Securities LLCCDRG19.9728.9827.4927.153.780.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Citadel Securities LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.citadelsecurities.com/rule-605-606-statements/Global Execution Brokers, LPGEBB19.1923.6726.2227.983.150.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged.Wolverine Execution Services, LLCWEXX16.1423.5824.8621.721.990.00000.00000.00000.00000.00000.00000.00000.0000Firm not charged. Wolverine Execution Services, LLC's recent reports pursuant to SEC Rule 606(a) are available at: https://www.tradewex.com/Home/Rule606.Nasdaq PHLX LLCXPHO11.380.000.000.0035.650.00000.00000.00000.00000.00000.0000-112428.3436-26.6719Firm 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 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-7Cboe Exchange, Inc.CBOE4.340.000.000.0013.570.00000.00000.00000.00000.00000.0000-91359.3325-32.2782Firm 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 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.pdfNasdaq Options MarketXNDQ1.520.000.000.004.760.00000.00000.00000.00000.00000.0000-40153.9372-36.0649Firm did not qualify for tiered pricing. A description of the 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-7NYSE Arca OptionsARCO1.440.000.000.004.530.00000.00000.00000.00000.00000.0000-12790.8500-15.8895Firm did not qualify for tiered pricing. A description of the 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#feesCboe BZX Exchange, Inc.BATO1.300.000.000.004.090.00000.00000.00000.00000.00000.0000-46190.3500-53.4258Firm did not qualify for tiered pricing. A description of the 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/BOX Options ExchangeXBOX0.660.000.000.002.070.00000.00000.00000.00000.00000.00007448.760425.7049Firm did not qualify for tiered pricing. A description of the fees and rebates offered by this venue, including the pricing tiers offered and the pricing for each tier, is available at: https://boxoptions.com/fee-schedule/