1.3 AXOS 2022 3 2022-10-31T04:49:08Z 2022 07 100.00 89.96 1.56 4.04 4.45 Virtu Americas, LLC 62.02 66.92 39.44 22.54 6.74 1223.01 7.5000 9.03 7.5000 27.44 7.5000 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. UBS Securities, LLC 9.60 8.10 18.01 22.06 25.76 201.35 7.5006 180.36 7.4671 38.46 7.5009 31.30 7.4235 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. CITADEL SECURITIES LLC 9.10 7.84 13.66 20.62 22.39 496.30 7.5000 13.14 7.4961 30.14 4.9986 11.59 2.9477 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. Canaccord Genuity Securities 8.67 7.65 13.66 16.79 20.00 504.52 7.5181 10.17 7.5105 22.21 7.5355 33.60 7.5117 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. Two Sigma Securities, LLC 8.29 7.18 14.60 17.63 20.00 1020.09 7.5000 75.88 7.5000 79.53 7.5000 23.59 7.5000 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. 100.00 83.32 3.48 7.72 5.48 Virtu Americas, LLC 54.55 64.40 6.36 3.14 7.78 2951.68 7.3738 202.26 7.5000 8.94 7.5000 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. CITADEL SECURITIES LLC 12.03 8.92 28.71 30.11 23.39 2649.71 7.0718 1225.45 5.8911 561.35 4.6604 175.24 3.8766 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. UBS Securities, LLC 10.97 8.44 20.49 23.12 26.20 1929.13 6.1921 1307.90 5.0117 689.21 4.7168 384.71 6.9052 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 10.72 8.54 21.64 22.22 20.62 2674.99 7.5069 732.78 7.5060 1005.53 7.5051 180.90 7.5001 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. Two Sigma Securities, LLC 8.59 7.00 17.13 16.79 15.77 3961.42 7.1280 1284.27 5.9913 912.02 5.6048 268.08 7.1787 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 18.86 15.69 63.36 2.09 Citadel Execution Services 50.10 53.10 52.03 49.20 36.00 2363.25 29.6891 5253.35 32.6295 4166.70 21.9127 297.85 43.2293 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. SUS 49.87 46.90 47.87 50.78 64.00 2017.00 28.6343 3941.17 27.2576 3251.80 17.5878 72.50 27.2556 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract. 2022 08 100.00 92.42 1.40 2.67 3.51 Virtu Americas, LLC 66.33 70.57 27.44 8.99 14.03 1371.18 7.5000 8.22 7.5000 0.99 7.5000 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. UBS Securities, LLC 8.03 6.90 19.53 21.72 22.78 281.72 7.2950 218.35 7.3943 45.85 7.5001 59.82 7.4844 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. CITADEL SECURITIES LLC 7.64 6.57 16.36 24.07 19.83 651.23 7.5000 29.25 7.5006 25.78 4.9994 21.34 3.1327 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. Canaccord Genuity Securities 7.60 6.68 16.89 20.89 17.93 581.78 7.5193 13.57 7.5084 30.98 7.5394 37.20 7.5135 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. Two Sigma Securities, LLC 7.60 6.48 17.68 23.37 20.99 1153.75 7.5000 55.33 7.5000 119.95 7.5000 83.01 7.5000 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. 100.00 82.23 3.85 7.74 6.18 Virtu Americas, LLC 56.70 67.76 4.47 2.28 10.31 3496.15 7.3581 22.23 7.5000 22.83 7.5000 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. CITADEL SECURITIES LLC 11.11 8.10 26.02 27.00 22.02 4454.64 6.6024 1310.11 4.7464 628.81 3.8284 340.19 3.2941 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. Canaccord Genuity Securities 10.15 7.65 22.59 22.55 20.12 5994.25 7.5059 1056.19 7.5046 1898.00 7.5033 485.52 7.5018 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. UBS Securities, LLC 10.11 7.40 21.84 20.96 25.29 2505.23 6.5872 1903.10 5.9110 958.17 5.1311 597.98 7.2692 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Two Sigma Securities, LLC 8.22 5.96 18.80 21.96 14.49 6626.60 5.9750 2168.40 4.8202 1389.86 6.2373 531.47 7.0057 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 17.96 14.03 66.64 1.37 SUS 50.60 51.41 48.88 50.84 45.65 2644.55 28.8297 2920.05 24.0591 4444.42 24.9378 140.35 29.7983 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract. Citadel Execution Services 49.37 48.59 51.12 49.11 54.35 3639.80 28.9148 5143.45 32.0524 4569.19 25.3029 328.85 49.1555 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. 2022 09 100.00 92.62 0.96 2.55 3.87 Virtu Americas, LLC 73.52 78.08 33.09 20.83 9.07 1301.58 7.5000 4.93 7.5001 5.35 7.5001 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. UBS Securities, LLC 6.47 5.25 16.54 19.44 24.66 369.37 7.4852 112.32 7.5013 21.74 7.5009 59.89 7.5011 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Canaccord Genuity Securities 5.82 4.74 16.54 19.86 19.62 344.95 7.5251 10.67 7.5572 32.82 7.5408 30.07 7.5100 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. Two Sigma Securities, LLC 5.74 4.66 13.97 17.64 21.54 801.04 7.5000 27.79 7.5000 46.67 7.5000 88.66 7.5000 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. CITADEL SECURITIES LLC 5.71 4.50 18.75 20.97 21.36 362.58 7.5000 17.68 7.4947 23.47 5.0012 37.51 6.2057 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. 100.00 86.11 3.27 5.51 5.12 Virtu Americas, LLC 65.54 75.09 5.70 7.22 5.95 3760.64 7.4894 20.33 7.5000 11.16 7.5000 0.00 0.0000 Axos Clearing LLC receives payments from Virtu Americas, LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. CITADEL SECURITIES LLC 8.74 6.01 21.95 27.16 26.24 2776.13 6.6917 774.95 4.2681 408.62 2.9452 257.35 4.4246 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. UBS Securities, LLC 7.80 5.57 20.43 19.88 24.21 2134.67 6.9923 1088.05 4.7965 549.45 5.3605 379.67 6.9139 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 7.76 5.74 20.14 19.09 21.69 3733.64 7.5061 880.56 7.5035 1348.45 7.5031 253.00 7.4973 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. Two Sigma Securities, LLC 6.17 4.19 20.52 19.46 15.96 3505.22 6.3039 1401.45 2.4372 547.98 3.5275 244.73 6.1909 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 17.69 13.83 67.42 1.07 Citadel Execution Services 50.29 52.86 50.60 49.78 36.21 2892.45 27.1975 5300.35 34.2798 3865.06 26.8072 269.70 46.6609 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. SUS 49.69 47.14 49.40 50.19 63.79 1663.94 26.8941 1992.15 24.0685 3056.85 18.4883 229.60 41.8978 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract.