1.2 NATIONAL FINANCIAL SERVICES LLC 2021 02 2021-07-21T14:12:04Z 2021 04 13.31 43.20 43.23 4.81 8.75 National Financial Services LLC XSTM 9.36 0.00 0.00 0.00 10.49 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Investors Exchange IEXG 7.32 0.00 0.00 0.00 8.20 0 0.0000 0 0.0000 0 0.0000 -1127 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 6.47 0.00 16.63 14.19 6.77 0 0.0000 -7803 -22.9763 -84 -22.9763 -449 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 6.00 0.00 0.00 0.00 6.72 0 0.0000 0 0.0000 0 0.0000 -249 -6.7095 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 5.97 0.00 0.00 0.00 6.69 0 0.0000 0 0.0000 0 0.0000 -460 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 5.84 0.00 0.00 0.00 6.54 0 0.0000 0 0.0000 0 0.0000 -161 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 5.79 0.00 5.36 3.80 6.33 0 0.0000 -2178 -23.8919 -19 -23.8919 -2997 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 5.61 0.00 0.00 0.00 6.28 0 0.0000 0 0.0000 0 0.0000 -883 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 5.54 0.00 0.00 0.00 6.21 0 0.0000 0 0.0000 0 0.0000 -419 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 5.47 0.00 0.00 0.00 6.13 0 0.0000 0 0.0000 0 0.0000 -780 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 5.22 0.01 0.00 0.40 5.85 0 0.0000 0 0.0000 83 17.6006 0 0.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 4.61 0.00 0.00 0.00 5.16 0 0.0000 0 0.0000 0 0.0000 -375 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Citadel Securities LLC CDRG 4.28 48.64 11.08 21.65 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas, LLC NITE 2.68 28.82 10.92 21.41 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.64 0.00 13.38 10.06 2.58 0 0.0000 -5668 -24.8990 -48 -24.8990 -90 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.41 0.00 0.00 0.00 2.70 0 0.0000 0 0.0000 0 0.0000 -54 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.36 0.00 0.00 0.00 2.65 0 0.0000 0 0.0000 0 0.0000 -381 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.35 0.00 0.00 0.00 2.63 0 0.0000 0 0.0000 0 0.0000 -117 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.16 0.00 0.00 0.00 2.42 0 0.0000 0 0.0000 0 0.0000 -61 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 8.83 15.88 63.55 20.32 0.25 National Financial Services LLC XSTM 7.60 0.00 0.00 0.00 7.89 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 7.01 0.00 6.44 2.98 7.16 0 0.0000 -14378 -22.9763 -79 -22.9763 -1090 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 6.93 0.00 0.00 0.00 7.20 0 0.0000 0 0.0000 0 0.0000 -1380 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 6.83 0.00 0.00 0.00 7.10 0 0.0000 0 0.0000 0 0.0000 -622 -6.7996 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 6.79 0.00 2.27 0.99 7.01 0 0.0000 -5131 -23.8919 -8 -23.8919 -6800 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 6.60 0.00 0.00 0.00 6.85 0 0.0000 0 0.0000 0 0.0000 -362 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 6.57 0.00 0.00 0.00 6.82 0 0.0000 0 0.0000 0 0.0000 -1018 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Investors Exchange IEXG 6.53 0.00 0.00 0.32 6.78 0 0.0000 0 0.0000 24 7.2530 -1985 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 6.32 0.06 0.00 0.45 6.56 0 0.0000 0 0.0000 293 15.4585 1 0.0322 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 6.15 0.00 0.00 0.00 6.39 0 0.0000 0 0.0000 0 0.0000 -2293 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 6.13 0.00 0.00 0.00 6.37 0 0.0000 0 0.0000 0 0.0000 -2703 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 5.46 0.00 0.00 0.00 5.67 0 0.0000 0 0.0000 0 0.0000 -1406 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.72 0.00 0.00 0.00 2.83 0 0.0000 0 0.0000 0 0.0000 -174 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.63 0.00 5.69 2.59 2.62 0 0.0000 -12319 -24.8990 -93 -24.8990 -191 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.57 0.00 0.00 0.00 2.66 0 0.0000 0 0.0000 0 0.0000 -219 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.51 0.00 0.00 0.00 2.61 0 0.0000 0 0.0000 0 0.0000 -698 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.49 0.00 0.00 0.00 2.58 0 0.0000 0 0.0000 0 0.0000 -133 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 74.93 0.00 0.00 0.00 100.00 NYSE Arca Options ARCA 24.67 0.00 0.00 0.00 24.67 0 0.0000 0 0.0000 0 38.2300 3715 38.2300 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. NASDAQ Options Market NSDQ 23.51 0.00 0.00 0.00 23.51 0 0.0000 0 0.0000 0 0.0000 1480 14.5200 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe BZX Options Exchange, Inc. BATS 23.36 0.00 0.00 0.00 23.36 0 0.0000 0 0.0000 0 0.0000 1203 16.6100 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe Options Exchange CBOE 16.14 0.00 0.00 0.00 16.14 0 0.0000 0 0.0000 0 0.0000 -1186 -22.7950 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Morgan Stanley & Company LLC MSCO 11.96 0.00 0.00 0.00 11.96 0 0.0000 0 0.0000 0 0.0000 -2117 -10.0000 NFS may use broker Morgan Stanley & Co.LLC for additional options routing. Executions via this router is charged additional fees under a cost-plus agreement 2021 05 7.82 49.55 46.53 3.82 0.10 Investors Exchange IEXG 8.57 0.00 0.00 4.55 9.81 0 0.0000 0 0.0000 0 0.0000 -1045 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” National Financial Services LLC XSTM 8.26 0.00 0.00 0.00 9.48 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 6.56 0.00 31.90 24.70 6.70 0 0.0000 -11186 -23.4993 -75 -23.4993 -334 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 5.84 0.00 0.00 0.00 6.70 0 0.0000 0 0.0000 0 0.0000 -208 -6.7924 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 5.71 0.00 0.00 0.00 6.55 0 0.0000 0 0.0000 0 0.0000 -122 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 5.66 0.00 0.00 0.00 6.49 0 0.0000 0 0.0000 0 0.0000 -323 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 5.53 0.00 0.00 0.00 6.34 0 0.0000 0 0.0000 0 0.0000 -914 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Citadel Securities LLC CDRG 5.48 48.27 17.16 22.13 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 5.45 0.00 0.00 0.00 6.25 0 0.0000 0 0.0000 0 0.0000 -694 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 5.35 0.00 9.40 6.17 5.90 0 0.0000 -2364 -24.3383 -4 -24.3383 -2948 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 5.19 0.00 0.00 0.00 5.95 0 0.0000 0 0.0000 0 0.0000 -340 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 4.56 0.00 0.00 0.00 5.23 0 0.0000 0 0.0000 0 0.0000 -355 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 4.50 0.01 0.00 1.02 5.16 0 0.0000 0 0.0000 60 3.7577 0 0.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas, LLC NITE 3.59 30.25 16.94 21.44 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.75 0.00 24.49 17.85 2.52 0 0.0000 -7096 -25.1190 -57 -25.1190 -51 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.35 0.00 0.00 0.00 2.69 0 0.0000 0 0.0000 0 0.0000 -369 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.26 0.00 0.00 0.00 2.60 0 0.0000 0 0.0000 0 0.0000 -40 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.22 0.00 0.00 0.00 2.54 0 0.0000 0 0.0000 0 0.0000 -57 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.05 0.00 0.00 0.00 2.35 0 0.0000 0 0.0000 0 0.0000 -42 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 6.66 20.99 62.97 15.85 0.19 National Financial Services LLC XSTM 7.84 0.00 0.00 0.00 8.17 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 6.90 0.00 17.29 6.82 6.95 0 0.0000 -17247 -23.4993 -136 -23.4993 -895 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 6.67 0.00 0.00 0.00 6.95 0 0.0000 0 0.0000 0 0.0000 -1074 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 6.67 0.00 0.00 0.00 6.94 0 0.0000 0 0.0000 0 0.0000 -482 -6.8161 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Investors Exchange IEXG 6.67 0.00 0.01 2.89 6.92 0 0.0000 -1 -12.6851 0 0.0000 -1751 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 6.47 0.00 6.24 2.23 6.65 0 0.0000 -6368 -24.3383 -6 -24.3383 -6109 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 6.40 0.00 0.00 0.00 6.66 0 0.0000 0 0.0000 0 0.0000 -414 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 6.28 0.00 0.00 0.00 6.54 0 0.0000 0 0.0000 0 0.0000 -1069 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 6.16 0.00 0.00 0.00 6.42 0 0.0000 0 0.0000 0 0.0000 -2459 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 5.97 0.06 0.00 1.41 6.20 0 0.0000 0 0.0000 390 20.2914 0 0.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 5.83 0.00 0.00 0.00 6.07 0 0.0000 0 0.0000 0 0.0000 -1834 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 5.74 0.00 0.00 0.00 5.98 0 0.0000 0 0.0000 0 0.0000 -1117 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.56 0.00 16.19 6.44 2.44 0 0.0000 -15752 -25.1190 -135 -25.1190 -150 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.47 0.00 0.00 0.00 2.57 0 0.0000 0 0.0000 0 0.0000 -144 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.45 0.00 0.00 0.00 2.55 0 0.0000 0 0.0000 0 0.0000 -720 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.38 0.00 0.00 0.00 2.47 0 0.0000 0 0.0000 0 0.0000 -233 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.30 0.00 0.00 0.00 2.39 0 0.0000 0 0.0000 0 0.0000 -123 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” ITG, Inc. ITGI 2.02 0.00 0.00 0.00 2.10 0 0.0000 0 0.0000 0 0.0000 -194 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 83.85 0.00 0.00 0.00 100.00 NYSE Arca Options ARCA 27.29 0.00 0.00 0.00 27.29 0 0.0000 0 0.0000 0 0.0000 2521 29.8200 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. NASDAQ Options Market NSDQ 24.43 0.00 0.00 0.00 24.43 0 0.0000 0 0.0000 0 0.0000 833 7.8400 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe BZX Options Exchange, Inc. BATS 22.99 0.00 0.00 0.00 22.99 0 0.0000 0 0.0000 0 0.0000 899 11.8100 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe Options Exchange CBOE 18.65 0.00 0.00 0.00 18.65 0 0.0000 0 0.0000 0 0.0000 -1463 -22.8000 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Morgan Stanley & Company LLC MSCO 6.30 0.00 0.00 0.00 6.30 0 0.0000 0 0.0000 0 0.0000 -1334 -10.0000 NFS may use broker Morgan Stanley & Co.LLC for additional options routing. Executions via this router is charged additional fees under a cost-plus agreement 2021 06 7.16 51.70 44.67 3.48 0.14 National Financial Services LLC XSTM 8.53 0.00 0.00 0.00 9.82 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Investors Exchange IEXG 7.69 0.00 0.00 7.74 8.79 0 0.0000 0 0.0000 0 0.0000 -1005 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 6.39 0.00 29.19 15.99 6.63 0 0.0000 -10512 -23.7599 -94 -23.7599 -271 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 5.89 0.00 0.00 0.00 6.78 0 0.0000 0 0.0000 0 0.0000 -1105 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 5.76 0.00 0.00 0.00 6.63 0 0.0000 0 0.0000 0 0.0000 -354 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 5.62 0.00 0.00 0.00 6.48 0 0.0000 0 0.0000 0 0.0000 -135 -6.8140 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Citadel Securities LLC CDRG 5.58 48.13 18.92 16.15 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 5.34 0.00 0.00 0.00 6.16 0 0.0000 0 0.0000 0 0.0000 -93 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 5.29 0.00 8.83 4.31 5.87 0 0.0000 -2102 -24.3352 -2 -24.3352 -2628 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 5.15 0.00 0.00 0.00 5.94 0 0.0000 0 0.0000 0 0.0000 -459 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 5.08 0.00 0.00 0.00 5.86 0 0.0000 0 0.0000 0 0.0000 -607 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 4.92 0.00 0.00 0.00 5.67 0 0.0000 0 0.0000 0 0.0000 -419 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 4.29 0.01 0.00 2.86 4.92 0 0.0000 0 0.0000 130 17.3686 -18 -1.3840 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas, LLC NITE 3.62 29.78 18.55 15.84 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.74 0.00 24.27 11.49 2.56 0 0.0000 -6161 -24.7720 -48 -24.7720 -48 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.34 0.00 0.00 0.00 2.70 0 0.0000 0 0.0000 0 0.0000 -302 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.25 0.00 0.00 0.00 2.59 0 0.0000 0 0.0000 0 0.0000 -38 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.24 0.00 0.00 0.00 2.58 0 0.0000 0 0.0000 0 0.0000 -86 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.15 0.00 0.00 0.00 2.48 0 0.0000 0 0.0000 0 0.0000 -32 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 6.04 20.94 63.83 14.99 0.24 National Financial Services LLC XSTM 7.89 0.00 0.00 0.00 8.22 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Orders may be routed to NFS’s Alternative Trading System, CrossStream. NFS is not charged an explicit fee for orders executed in CrossStream but may receive a trading commission from the contra-side party against which the order executed. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Credit Suisse Securities (USA) LLC FBCO 6.78 0.00 15.76 4.68 6.85 0 0.0000 -16037 -23.7599 -123 -23.7599 -792 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” INTELLIGENT CROSS LLC INCR 6.61 0.00 0.00 0.00 6.88 0 0.0000 0 0.0000 0 0.0000 -1021 -8.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” EBX LLC EBXL 6.50 0.00 0.00 0.00 6.77 0 0.0000 0 0.0000 0 0.0000 -444 -6.7724 Orders may be routed through EBX LLC in which NFS or its affiliates have an interest. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Morgan Stanley & Company LLC MSCO 6.40 0.00 5.55 1.46 6.59 0 0.0000 -5427 -24.3352 -10 -24.3352 -5472 -20.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Merrill Lynch, Pierce, Fenner & Smith Inc. MLCO 6.30 0.00 0.00 0.00 6.56 0 0.0000 0 0.0000 0 0.0000 -284 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Investors Exchange IEXG 6.26 0.00 0.00 6.95 6.46 0 0.0000 0 0.0000 0 0.0000 -1574 -9.0000 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” UBS Securities LLC - ATS UBSA 6.12 0.00 0.00 0.00 6.38 0 0.0000 0 0.0000 0 0.0000 -2675 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” JP Morgan Securities LLC JPMS 5.99 0.00 0.00 0.00 6.24 0 0.0000 0 0.0000 0 0.0000 -1030 -12.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Goldman, Sachs & Co. GSCO 5.84 0.00 0.00 0.00 6.08 0 0.0000 0 0.0000 0 0.0000 -1804 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” NASDAQ Execution Services, LLC NSDQ 5.57 0.06 0.00 3.04 5.78 1 0.0049 0 0.0000 531 16.5030 -5 -0.1263 NFS pays fees to and receives rebates from exchanges for executions and routing. These rates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Visit exchange websites for detailed pricing information. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Barclays Capital, Inc. LEHM 5.53 0.00 0.00 0.00 5.76 0 0.0000 0 0.0000 0 0.0000 -1176 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” VIRTU Americas LLC KCGM 2.73 0.00 15.25 4.26 2.64 0 0.0000 -14798 -24.7720 -175 -24.7720 -155 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” CODA MARKETS, INC. CODA 2.70 0.00 0.00 0.00 2.81 0 0.0000 0 0.0000 0 0.0000 -532 -5.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Deutsche Bank Securities Inc. DBAB 2.63 0.00 0.00 0.00 2.74 0 0.0000 0 0.0000 0 0.0000 -117 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” BIDS Trading LP BIDS 2.60 0.00 0.00 0.00 2.71 0 0.0000 0 0.0000 0 0.0000 -152 -15.0000 NFS is charged fees by BIDS Trading LP on a tiered price schedule based on volume thresholds. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” Instinet LLC INCA 2.53 0.00 0.00 0.00 2.63 0 0.0000 0 0.0000 0 0.0000 -98 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market.” ITG, Inc. ITGI 2.16 0.00 0.00 0.00 2.25 0 0.0000 0 0.0000 0 0.0000 -144 -10.0000 NFS may be charged fees for orders executed in Alternative Trading Systems. These fees are agreed upon between NFS and the Alternative Trading Systems or directly set by the Alternative Trading Systems. Orders to each venue are classified according to the parameters of the child order routed to the venue, not the parent order. For example, a customer market order routed to an ATS as a mid-point peg order will be classified as “Other,” not as “Market. 98.96 0.00 0.00 0.00 100.00 NYSE Arca Options ARCA 27.14 0.00 0.00 0.00 27.14 0 0.0000 0 0.0000 0 00.0000 3541 33.1400 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. NASDAQ Options Market NSDQ 23.80 0.00 0.00 0.00 23.80 0 0.0000 0 0.0000 0 0.0000 1866 15.2000 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe BZX Options Exchange, Inc. BATS 23.53 0.00 0.00 0.00 23.53 0 0.0000 0 0.0000 0 0.0000 321 4.3300 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Cboe Options Exchange CBOE 17.40 0.00 0.00 0.00 17.41 0 0.0000 0 0.0000 0 0.0000 -693 -12.1300 NFS pays fees to and receives rebates from options exchanges. These fees and rebates are subject to non-negotiable prices set by exchange rules and may include tiers based on volume thresholds. Morgan Stanley & Company LLC MSCO 7.82 0.00 0.00 0.00 7.82 0 0.0000 0 0.0000 0 0.0000 -3406 -10.0000 NFS may use broker Morgan Stanley & Co.LLC for additional options routing. Executions via this router is charged additional fees under a cost-plus agreement