1.3 AXOS 2022 4 2023-01-31T17:47:08Z 2022 10 100.00 90.39 1.47 3.55 4.59 Virtu Americas, LLC 66.29 71.61 32.76 23.99 4.98 1313.12 7.5000 4.89 7.5000 6.68 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 7.61 6.13 17.24 19.21 24.63 294.82 7.4508 110.60 7.5011 37.82 7.5007 48.26 7.5013 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 7.37 5.98 15.23 22.20 20.94 365.65 7.5001 15.96 7.5014 18.19 5.0571 35.52 5.8784 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. Two Sigma Securities, LLC 7.13 5.90 14.66 15.51 22.51 378.75 7.5000 41.06 7.5000 23.16 7.5000 36.44 6.8451 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. Canaccord Genuity Securities 6.83 5.63 16.38 16.95 19.74 375.22 7.5244 10.27 7.5244 41.58 7.5202 16.83 7.5252 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. 100.00 85.55 3.17 5.47 5.81 Virtu Americas, LLC 62.68 72.37 5.45 6.69 3.91 3163.13 7.4164 17.86 7.5000 42.47 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 9.53 6.99 22.68 26.03 24.23 2764.54 6.9806 792.53 2.2806 307.23 1.7701 203.61 1.1463 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 9.01 6.36 24.79 23.36 25.84 2115.41 6.9452 1060.20 2.5325 514.73 2.6009 305.01 3.2768 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 8.48 6.38 18.95 20.08 22.87 3427.53 7.5059 734.51 7.5029 3030.18 7.5013 752.21 7.5002 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 6.55 4.71 18.84 17.89 16.23 2852.83 7.0271 619.81 1.4245 265.76 1.4221 136.71 5.0559 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 18.74 16.43 63.62 1.21 Citadel Execution Services 51.72 51.93 50.99 51.96 46.27 3562.30 26.2610 4787.22 28.0184 3232.40 19.5820 362.80 41.6055 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 48.26 48.07 48.90 48.04 53.73 2190.75 23.8047 2888.05 26.3124 3117.05 17.4537 285.45 40.4894 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 11 100.00 90.34 1.66 3.59 4.41 Virtu Americas, LLC 66.18 71.10 46.63 24.42 6.66 1193.68 7.5000 3.78 7.5001 6.80 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 8.10 7.01 13.22 14.75 23.08 461.53 7.4864 172.94 7.4785 44.17 7.5007 49.60 7.5010 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 8.07 6.94 15.46 16.82 21.29 557.94 7.5193 43.99 7.5071 48.55 7.5296 20.71 7.5386 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. CITADEL SECURITIES LLC 8.02 6.66 11.47 25.69 20.26 575.84 7.5000 16.41 7.4983 31.92 5.0999 39.99 4.8536 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. Two Sigma Securities, LLC 7.59 6.45 11.97 17.63 21.29 445.00 7.5000 26.91 7.5000 19.71 7.5000 52.02 0.4632 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 84.86 3.58 6.50 5.05 Virtu Americas, LLC 62.66 73.07 4.81 4.91 3.13 1339.13 6.4855 17.75 7.5000 1.31 7.5003 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 9.69 6.81 26.90 25.51 25.41 3208.87 6.4863 898.99 3.1167 522.82 2.3176 232.41 4.3446 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 8.80 6.52 21.50 20.46 23.14 4063.46 7.5066 1240.54 7.5033 2336.85 7.5018 459.16 7.4981 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 8.74 6.00 23.84 22.54 26.43 1788.18 6.5751 1763.76 4.2327 769.76 3.9726 344.27 4.2493 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Two Sigma Securities, LLC 6.82 4.70 18.08 20.03 17.52 2376.89 6.1880 901.78 3.1461 444.84 2.9378 156.47 2.8614 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 16.51 16.12 66.62 0.75 SUS 50.63 47.37 51.93 51.08 55.00 1785.40 26.4425 2847.99 22.2952 3627.50 20.7227 143.00 57.6613 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 49.33 52.63 48.07 48.87 45.00 2547.35 27.4765 4772.89 30.3928 3205.85 21.3141 510.40 62.5490 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 12 100.00 90.93 1.40 3.19 4.49 Virtu Americas, LLC 69.71 74.54 48.96 20.25 13.42 1625.17 7.5000 8.33 7.5000 7.52 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 7.41 5.90 15.03 28.78 20.29 448.94 7.5000 30.84 7.5022 35.08 5.0043 48.40 4.3808 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. UBS Securities, LLC 7.07 5.88 10.62 19.45 21.34 445.27 7.5004 159.53 7.5013 33.42 7.5008 39.96 7.5015 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 6.81 5.72 13.99 17.06 19.48 405.09 7.5210 18.48 7.5177 37.51 7.5226 15.71 7.5153 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 6.28 5.34 9.33 13.99 18.92 411.51 7.5000 8.22 7.5000 25.89 7.5000 38.13 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 84.62 4.34 6.02 5.02 Virtu Americas, LLC 61.02 70.86 5.65 6.85 8.18 1809.97 7.1669 44.10 2.0155 55.90 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 9.96 7.31 24.59 25.89 22.78 3498.98 5.7466 1053.07 2.6100 452.84 1.2037 247.13 1.1889 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 9.16 6.85 21.53 21.66 22.50 4186.67 7.5069 1376.32 7.5037 3589.55 7.5023 2843.07 7.4997 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 9.01 6.75 20.70 20.37 23.38 1926.91 5.9776 1853.09 2.3310 569.02 2.4607 365.93 3.0798 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Two Sigma Securities, LLC 7.19 5.21 19.46 19.03 15.73 2254.01 5.4333 802.42 1.5779 389.10 2.7886 181.79 6.2524 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 18.50 15.80 65.43 0.26 Citadel Execution Services 50.04 52.62 48.43 49.64 63.64 1906.55 27.9922 4684.79 31.4015 4034.27 29.1031 353.30 61.9825 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 49.73 47.38 51.27 50.07 36.36 1410.10 26.5056 2033.85 22.4934 3448.78 22.6819 215.70 55.8808 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.