1.2 NATIONAL FINANCIAL SERVICES LLC 2020 03 2020-10-26T18:30:15Z 2020 07 9.77 40.87 26.27 2.05 30.81 National Financial Services LLC XSTM 8.95 0.00 0.00 0.00 10.34 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 7.70 0.00 0.00 0.00 8.89 0 0.0000 0 0.0000 0 0.0000 -2052 -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.” EBX LLC EBXL 7.42 0.00 0.00 0.00 8.57 0 0.0000 0 0.0000 0 0.0000 -356 -6.3499 * 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 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.” Credit Suisse Securities (USA) LLC FBCO 7.39 0.00 14.96 4.21 4.43 0 0.0000 -14786 -24.4966 -107 -24.4966 -683 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.27 0.00 0.00 0.00 8.39 0 0.0000 0 0.0000 0 0.0000 -195 -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 6.86 0.00 5.65 1.59 7.73 0 0.0000 -3747 -25.0439 -4 -25.0439 -3441 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 6.55 0.00 0.00 0.00 7.57 0 0.0000 0 0.0000 0 0.0000 -597 -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 6.33 0.00 0.00 0.00 7.31 0 0.0000 0 0.0000 0 0.0000 -994 -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 6.31 0.00 0.00 0.00 7.29 0 0.0000 0 0.0000 0 0.0000 -492 -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 4.50 0.00 0.00 0.00 5.20 0 0.0000 0 0.0000 0 0.0000 -586 -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 4.29 0.00 18.42 4.99 7.91 0 0.0000 -10734 -25.5333 -116 -25.5333 -120 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 4.03 49.46 0.08 0.05 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Goldman, Sachs & Co. GSCO 3.15 0.00 0.00 0.00 3.64 0 0.0000 0 0.0000 0 0.0000 -596 -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 3.08 0.00 0.00 0.00 3.56 0 0.0000 0 0.0000 0 0.0000 -210 -19.9592 * 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; * 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.” VIRTU Americas LLC NITE 3.01 33.39 5.80 5.35 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Instinet LLC INCA 2.80 0.00 0.00 0.00 3.24 0 0.0000 0 0.0000 0 0.0000 -91 -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 2.48 0.00 0.00 0.00 2.87 0 0.0000 0 0.0000 0 0.0000 -147 -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.” 7.69 19.57 33.40 3.79 43.24 National Financial Services LLC XSTM 9.15 0.00 0.00 0.00 9.81 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 8.18 0.00 10.60 2.03 3.70 0 0.0000 -17841 -24.4966 -134 -24.4966 -1138 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 8.10 0.00 0.00 0.00 8.69 0 0.0000 0 0.0000 0 0.0000 -656 -6.6388 * 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 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 8.01 0.00 0.00 0.00 8.58 0 0.0000 0 0.0000 0 0.0000 -370 -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 7.96 0.00 3.94 0.73 8.45 0 0.0000 -6693 -25.0439 -7 -25.0439 -5275 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.67 0.00 0.00 0.00 8.22 0 0.0000 0 0.0000 0 0.0000 -1055 -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.” JP Morgan Securities LLC JPMS 7.45 0.00 0.00 0.00 7.99 0 0.0000 0 0.0000 0 0.0000 -1089 -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 7.41 0.00 0.00 0.00 7.95 0 0.0000 0 0.0000 0 0.0000 -1929 -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 6.34 0.00 0.00 0.00 6.80 0 0.0000 0 0.0000 0 0.0000 -2450 -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.” Barclays Capital, Inc. LEHM 5.94 0.00 0.00 0.00 6.37 0 0.0000 0 0.0000 0 0.0000 -1413 -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 3.66 0.00 11.37 2.28 8.52 0 0.0000 -17534 -25.5333 -166 -25.5333 -169 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 3.10 0.00 0.00 0.00 3.33 0 0.0000 0 0.0000 0 0.0000 -274 -19.9592 * 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; * 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.” Goldman, Sachs & Co. GSCO 3.06 0.00 0.00 0.00 3.28 0 0.0000 0 0.0000 0 0.0000 -1013 -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.” Instinet LLC INCA 3.04 0.00 0.00 0.00 3.26 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.” ITG, Inc. ITGI 2.51 0.00 0.00 0.00 2.69 0 0.0000 0 0.0000 0 0.0000 -233 -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.” 85.28 0.00 0.00 0.00 100.00 NYSE Arca Options ARCA 24.33 0.00 0.00 0.00 24.33 0 0.0000 0 0.0000 0 0.0000 3338 31.0304 * 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 24.23 0.00 0.00 0.00 24.23 0 0.0000 0 0.0000 0 0.0000 961 18.8560 * 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 21.50 0.00 0.00 0.00 21.50 0 0.0000 0 0.0000 0 0.0000 1270 19.7944 * 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 18.91 0.00 0.00 0.00 18.91 0 0.0000 0 0.0000 0 0.0000 -311 -16.2351 * 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 10.89 0.00 0.00 0.00 10.89 0 0.0000 0 0.0000 0 0.0000 -1263 -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 2020 08 8.13 39.70 0.01 0.10 60.18 National Financial Services LLC XSTM 9.29 0.00 0.00 0.00 10.47 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 7.77 0.00 38.58 3.88 3.84 0 0.0000 -11124 -24.6880 -56 -24.6880 -515 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.57 0.00 0.00 0.00 8.54 0 0.0000 0 0.0000 0 0.0000 -263 -6.6421 * 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 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 7.56 0.00 0.00 0.00 8.52 0 0.0000 0 0.0000 0 0.0000 -1717 -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 7.08 0.00 15.00 1.47 7.79 0 0.0000 -3538 -25.5942 -4 -25.5942 -2124 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.07 0.00 0.00 0.00 7.97 0 0.0000 0 0.0000 0 0.0000 -132 -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 6.92 0.00 0.00 0.00 7.80 0 0.0000 0 0.0000 0 0.0000 -589 -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.” JP Morgan Securities LLC JPMS 6.50 0.00 0.00 0.00 7.33 0 0.0000 0 0.0000 0 0.0000 -548 -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 6.45 0.00 0.00 0.00 7.27 0 0.0000 0 0.0000 0 0.0000 -963 -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.” Goldman, Sachs & Co. GSCO 4.21 0.00 0.00 0.00 4.75 0 0.0000 0 0.0000 0 0.0000 -411 -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 4.16 0.00 0.00 0.00 4.68 0 0.0000 0 0.0000 0 0.0000 -342 -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 3.84 0.00 46.08 4.33 8.19 0 0.0000 -8749 -24.1943 -68 -24.1943 -97 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 3.57 49.23 0.13 0.09 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 BIDS Trading LP BIDS 2.94 0.00 0.00 0.00 3.31 0 0.0000 0 0.0000 0 0.0000 -147 -20.0465 * 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; * 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 2.74 0.00 0.00 0.00 3.09 0 0.0000 0 0.0000 0 0.0000 -73 -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 NITE 2.64 33.18 0.08 7.23 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 6.67 18.32 0.04 0.13 81.52 National Financial Services LLC XSTM 9.27 0.00 0.00 0.00 9.84 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 8.23 0.00 38.42 1.49 3.53 0 0.0000 -15390 -24.6880 -98 -24.6800 -863 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 8.06 0.00 0.00 0.00 8.55 0 0.0000 0 0.0000 0 0.0000 -564 -6.7172 * 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 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 7.99 0.00 14.98 0.55 8.40 0 0.0000 -5423 -25.5942 -4 -25.5942 -3931 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.84 0.00 0.00 0.00 8.32 0 0.0000 0 0.0000 0 0.0000 -1155 -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 7.58 0.00 0.00 0.00 8.04 0 0.0000 0 0.0000 0 0.0000 -259 -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 7.27 0.00 0.00 0.00 7.71 0 0.0000 0 0.0000 0 0.0000 -1618 -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 7.14 0.00 0.00 0.00 7.57 0 0.0000 0 0.0000 0 0.0000 -947 -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 6.03 0.00 0.01 0.00 6.40 0 0.0000 0 0.0000 0 0.0000 -2202 -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.” Barclays Capital, Inc. LEHM 5.93 0.00 0.00 0.00 6.30 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.” Goldman, Sachs & Co. GSCO 4.08 0.00 0.00 0.00 4.33 0 0.0000 0 0.0000 0 0.0000 -814 -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 3.54 0.00 42.71 1.72 8.48 0 0.0000 -13721 -24.1943 -97 -24.1943 -121 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 3.13 0.00 0.00 0.00 3.32 0 0.0000 0 0.0000 0 0.0000 -460 -20.0465 * 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; * 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 3.03 0.00 0.00 0.00 3.21 0 0.0000 0 0.0000 0 0.0000 -118 -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 2.58 0.00 0.00 0.00 2.74 0 0.0000 0 0.0000 0 0.0000 -193 -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.” 93.90 0.16 0.00 0.00 99.84 NYSE Arca Options ARCA 23.48 0.00 0.00 0.00 23.50 0 0.0000 0 0.0000 0 0.0000 2465 25.7559 * 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 23.40 0.00 0.00 0.00 23.41 0 0.0000 0 0.0000 0 0.0000 772 15.0088 * 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 21.58 0.00 0.00 0.00 21.59 0 0.0000 0 0.0000 0 0.0000 1133 19.2767 * 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 18.83 0.00 0.00 0.00 18.84 0 0.0000 0 0.0000 0 0.0000 -1112 -20.8128 * 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 12.32 0.00 0.00 0.00 12.32 0 0.0000 0 0.0000 0 0.0000 -1385 -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 2020 09 10.38 39.97 45.65 3.72 10.67 National Financial Services LLC XSTM 8.84 0.00 0.00 0.00 10.07 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 7.60 0.00 0.00 0.00 8.66 0 0.0000 0 0.0000 0 0.0000 -1841 -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 7.46 0.00 12.76 6.58 3.06 0 0.0000 -13118 -24.3991 -49 -24.3991 -521 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 6.65 0.00 0.00 0.00 7.58 0 0.0000 0 0.0000 0 0.0000 -154 -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 6.61 0.00 0.00 0.00 7.53 0 0.0000 0 0.0000 0 0.0000 -278 -6.3725 * 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 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 6.28 0.00 4.70 2.34 6.96 0 0.0000 -3028 -24.0014 -3 -24.0014 -1495 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 6.26 0.00 0.00 0.00 7.13 0 0.0000 0 0.0000 0 0.0000 -874 -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 6.23 0.00 0.00 0.00 7.10 0 0.0000 0 0.0000 0 0.0000 -735 -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.” JP Morgan Securities LLC JPMS 6.18 0.00 0.00 0.00 7.04 0 0.0000 0 0.0000 0 0.0000 -494 -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 7.02 0 0.0000 0 0.0000 0 0.0000 -821 -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 5.25 0.00 0.00 0.00 5.98 0 0.0000 0 0.0000 0 0.0000 -372 -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 50.98 8.57 4.82 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC KCGM 3.16 0.00 15.81 7.98 7.83 0 0.0000 -8055 -24.2333 -68 -24.2333 -83 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 2.79 31.72 8.66 4.77 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Deutsche Bank Securities Inc. DBAB 2.71 0.00 0.00 0.00 3.08 0 0.0000 0 0.0000 0 0.0000 -68 -15.0000 BIDS Trading LP BIDS 2.61 0.00 0.00 0.00 2.97 0 0.0000 0 0.0000 0 0.0000 -167 -20.2425 * 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; * 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 2.52 0.00 0.00 0.00 2.87 0 0.0000 0 0.0000 0 0.0000 -45 -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 16.73 60.17 9.31 13.78 National Financial Services LLC XSTM 8.38 0.00 0.00 0.00 8.96 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 7.70 0.00 6.21 1.92 3.32 0 0.0000 -15802 -24.3991 -99 -24.3991 -984 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.27 0.00 0.00 0.00 7.78 0 0.0000 0 0.0000 0 0.0000 -319 -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 7.25 0.00 2.31 0.68 7.67 0 0.0000 -5081 -24.0014 -6 -24.0014 -3245 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 7.22 0.00 0.00 0.00 7.72 0 0.0000 0 0.0000 0 0.0000 -1405 -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 7.17 0.00 0.00 0.00 7.67 0 0.0000 0 0.0000 0 0.0000 -654 -6.3515 * 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 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.” JP Morgan Securities LLC JPMS 7.12 0.00 0.00 0.00 7.62 0 0.0000 0 0.0000 0 0.0000 -1144 -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 6.72 0.00 0.00 0.00 7.19 0 0.0000 0 0.0000 0 0.0000 -1765 -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.” Goldman, Sachs & Co. GSCO 6.52 0.00 0.00 0.00 6.97 0 0.0000 0 0.0000 0 0.0000 -1661 -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 6.08 0.00 0.00 0.00 6.50 0 0.0000 0 0.0000 0 0.0000 -1133 -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 5.34 0.00 0.00 0.00 5.71 0 0.0000 0 0.0000 0 0.0000 -1935 -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.” VIRTU Americas LLC KCGM 3.30 0.00 6.69 2.02 8.01 0 0.0000 -14651 -24.2333 -129 -24.2333 -167 -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; * NFS may route orders for additional routing to Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, and VIRTU Americas LLC; Executions via these routers are charged additional fees under a cost-plus agreement; * 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 3.13 0.00 0.00 0.00 3.35 0 0.0000 0 0.0000 0 0.0000 -207 -15.0000 Instinet LLC INCA 3.05 0.00 0.00 0.00 3.27 0 0.0000 0 0.0000 0 0.0000 -143 -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 2.95 0.00 0.00 0.00 3.15 0 0.0000 0 0.0000 0 0.0000 -333 -20.2425 * 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; * 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.” ITG, Inc. ITGI 2.67 0.00 0.00 0.00 2.85 0 0.0000 0 0.0000 0 0.0000 -238 -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.” 91.96 0.08 0.00 0.00 99.92 NASDAQ Options Market NSDQ 22.10 0.00 0.00 0.00 22.11 0 0.0000 0 0.0000 0 0.0000 358 10.3573 * 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. NYSE Arca Options ARCA 21.95 0.00 0.00 0.00 21.96 0 0.0000 0 0.0000 0 0.0000 618 16.0428 * 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 19.51 0.00 0.00 0.00 19.52 0 0.0000 0 0.0000 0 0.0000 -1720 -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 Cboe BZX Options Exchange, Inc. BATS 18.60 0.00 0.00 0.00 18.60 0 0.0000 0 0.0000 0 0.0000 782 17.9740 * 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 17.77 0.00 0.00 0.00 17.78 0 0.0000 0 0.0000 0 0.0000 -870 -29.0745 * 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.