1.3 AXOS 2023 3 2023-10-18T19:45:07Z 2023 07 100.00 92.23 1.35 3.30 3.11 Virtu Americas, LLC 72.70 77.79 22.35 16.44 3.41 1205.53 7.5000 163.55 7.5000 99.62 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 6.57 5.36 16.47 18.12 25.72 420.30 7.5001 151.29 7.5015 35.54 7.5010 54.55 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. CITADEL SECURITIES LLC 6.33 5.22 15.29 17.24 23.85 430.06 7.4999 38.04 7.5006 26.79 5.1891 40.41 2.8722 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 6.30 5.24 14.90 15.88 23.85 570.90 7.5198 24.66 7.5188 37.45 7.5272 30.61 7.5190 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 6.14 5.12 12.94 15.96 23.08 542.32 7.5000 27.40 7.5000 52.35 7.5000 33.10 5.5272 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 84.38 3.28 6.29 6.05 Virtu Americas, LLC 61.86 71.55 7.07 6.31 14.16 892.69 7.3337 114.16 7.5000 201.89 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 8.74 6.51 19.65 18.33 23.94 2450.07 6.5170 1469.55 4.3071 722.71 3.0940 676.76 6.7886 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 8.69 6.57 20.19 19.42 20.91 4105.85 7.5077 707.31 7.5063 1396.95 7.5037 364.09 7.5037 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. CITADEL SECURITIES LLC 8.50 6.23 21.22 20.97 20.31 3136.40 6.8318 1075.19 4.8413 539.53 3.4627 364.50 2.6362 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. Two Sigma Securities, LLC 8.15 6.07 19.94 17.88 20.64 2833.12 6.4043 993.23 4.1312 490.07 2.3206 368.54 7.1996 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 16.12 19.20 63.50 1.18 SUS 50.65 51.29 46.85 51.59 52.94 1582.55 25.8798 3163.85 23.0299 3465.19 21.9371 436.25 34.7056 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 49.35 48.71 53.15 48.41 47.06 2509.20 29.0955 5908.67 29.3686 3539.65 28.0058 495.70 53.7636 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. 2023 08 100.00 91.95 1.23 3.92 2.90 Virtu Americas, LLC 70.49 75.01 38.90 16.40 13.50 1159.86 7.5000 37.08 7.5000 30.92 7.5000 1.32 0.5390 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 7.35 6.43 13.63 16.82 21.04 411.98 7.5006 92.75 7.5023 30.94 7.5007 20.20 7.5022 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 6.87 5.98 11.65 16.61 19.83 526.80 7.5247 12.57 7.5269 40.53 7.5227 13.64 7.5543 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 6.65 5.58 15.16 17.37 22.44 489.11 7.5000 28.21 7.5000 30.99 7.5000 29.88 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 6.61 5.60 10.77 16.88 22.91 463.52 7.5000 10.26 7.5000 28.81 5.2900 17.56 2.0306 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 86.75 2.62 6.05 4.59 Virtu Americas, LLC 66.78 75.16 11.09 5.37 21.09 959.98 7.3291 74.35 7.5000 84.49 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 7.73 5.63 19.14 20.70 23.92 2025.91 6.7810 1188.51 3.4002 557.95 2.8527 498.73 6.5392 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 7.54 5.76 18.95 19.83 18.36 3372.69 7.5101 879.96 7.5041 2264.69 7.5020 417.68 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. CITADEL SECURITIES LLC 7.47 5.53 20.24 21.28 18.70 2716.99 6.8447 673.17 2.8860 377.33 2.1847 293.45 2.4888 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. Two Sigma Securities, LLC 7.13 5.29 19.37 19.93 17.92 2558.65 6.6772 952.59 2.4667 534.63 3.3463 257.76 7.1964 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 16.88 22.24 59.94 0.95 Citadel Execution Services 50.08 50.74 49.15 50.13 56.60 2027.75 30.8028 4995.02 31.0829 2718.20 21.6711 137.00 38.4831 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 49.83 49.26 50.60 49.81 43.40 1326.70 25.5922 3081.84 22.5165 3902.24 28.8435 196.85 39.9290 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. 2023 09 100.00 92.17 1.04 2.71 4.08 Virtu Americas, LLC 69.73 74.22 25.30 18.27 13.82 1102.29 7.5000 30.12 7.5000 8.14 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 7.38 6.23 17.68 18.15 23.60 301.56 7.5007 81.81 7.5025 35.31 7.5008 33.95 7.5007 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. Two Sigma Securities, LLC 6.68 5.53 14.94 17.68 23.14 302.47 7.5000 12.77 7.5000 26.02 7.5000 40.92 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. Canaccord Genuity Securities 6.64 5.67 13.72 18.50 18.79 526.80 7.5247 12.57 7.5269 40.53 7.5227 13.64 7.5543 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 6.51 5.48 10.67 18.62 20.65 322.75 7.4999 31.31 7.5014 25.77 5.1879 35.19 4.7107 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 86.61 2.48 5.85 5.06 Virtu Americas, LLC 62.88 70.92 9.68 6.27 16.84 954.60 7.2456 368.05 7.4924 232.29 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 8.69 6.72 20.47 20.71 22.75 1697.44 6.3796 955.91 2.8019 648.71 3.2259 350.96 6.9960 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 8.65 6.74 21.75 21.42 20.15 3372.69 7.5101 879.96 7.5041 2264.69 7.5020 417.68 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. CITADEL SECURITIES LLC 8.28 6.36 20.23 20.78 20.92 2001.69 6.5537 752.62 2.7890 364.78 2.7053 285.83 2.8054 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. Two Sigma Securities, LLC 8.21 6.31 19.77 21.89 19.32 1933.81 5.9221 648.32 1.8748 457.99 3.0759 159.82 5.5819 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 18.43 20.80 57.23 3.54 SUS 50.24 51.33 52.76 48.80 53.10 1135.75 27.5868 2468.25 28.5710 2531.15 23.1663 259.75 26.2109 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 49.71 48.67 47.24 51.11 46.90 1991.55 29.3350 3323.91 28.4241 908.22 11.3841 1069.90 40.9296 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.