1.3 AXOS 2023 4 2024-01-29T20:02:07Z 2023 10 100.00 93.08 0.93 2.77 3.21 Virtu Americas, LLC 72.59 76.96 24.92 16.02 8.74 1158.78 7.5000 32.43 7.5000 14.24 7.5000 1.32 1.8523 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 6.70 5.70 16.93 18.39 22.68 290.51 7.4318 68.26 7.4876 17.99 4.3070 23.17 7.3799 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 $0.000005 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 6.47 5.35 17.25 20.32 23.88 282.04 7.5319 6.97 7.5343 35.21 7.5277 17.31 7.5055 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 6.19 5.23 14.70 17.20 22.21 329.57 7.5000 13.17 7.5000 16.28 5.1493 37.19 4.5088 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 6.11 5.10 15.97 18.17 22.21 325.40 7.5000 22.25 7.5000 21.37 7.5000 30.32 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 86.51 2.80 5.55 5.14 Virtu Americas, LLC 63.47 71.19 12.18 10.49 18.64 7357.51 7.4507 615.04 7.5000 371.83 7.5000 1.75 0.0366 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 8.37 6.28 20.94 24.25 19.57 2239.63 6.2150 670.72 4.9837 474.42 4.2521 202.10 0.9310 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 8.30 6.59 17.66 18.47 21.05 1778.99 6.1996 1072.18 1.6180 654.65 1.8901 205.05 6.5307 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 $0.000005 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 8.10 6.31 18.87 18.58 20.96 2083.90 5.9208 682.58 1.4560 528.15 3.7409 192.12 6.2813 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. Canaccord Genuity Securities 8.08 6.39 19.02 18.02 19.76 3009.27 7.5066 798.47 7.5047 1179.74 7.5033 226.09 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. 100.00 19.00 21.77 57.32 1.91 Citadel Execution Services 51.80 53.20 50.09 51.99 51.61 2664.20 30.2338 4612.04 28.3748 2600.09 21.3175 502.65 56.0368 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 48.18 46.80 49.91 47.97 48.39 2244.70 27.8016 3187.05 19.1059 2302.35 16.8547 376.55 27.4253 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 11 100.00 91.09 1.26 3.36 4.29 Virtu Americas, LLC 67.35 72.54 32.56 19.77 4.83 832.92 7.5000 20.77 7.5000 8.54 7.5000 0.45 0.5468 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 8.15 7.04 11.03 18.03 23.17 437.70 7.4666 190.19 7.4008 29.15 4.9941 58.39 7.4907 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 $0.000005 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 7.50 6.34 12.82 17.26 22.87 450.19 7.5187 9.03 7.5350 63.23 7.5194 29.16 7.5238 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 7.34 6.08 13.08 16.01 25.58 452.51 7.5000 77.18 7.5000 23.67 5.8850 70.02 4.6034 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 7.19 6.01 14.62 17.16 22.34 777.83 7.5000 54.95 7.5000 37.54 7.5000 112.05 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 85.97 3.12 5.82 5.08 Virtu Americas, LLC 64.18 73.12 7.61 4.92 15.70 7698.13 7.4110 826.12 7.5000 182.74 7.4938 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 8.28 6.35 19.39 18.92 21.83 2152.71 6.4075 1118.29 2.8152 819.39 3.9610 255.74 6.1786 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 $0.000005 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 8.27 6.23 19.99 20.59 21.41 3444.11 7.5080 1288.23 7.5038 4262.37 7.5011 399.46 7.5015 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 7.84 5.77 19.82 21.42 19.87 2573.52 6.7000 916.24 5.1242 463.84 2.8251 252.68 0.8524 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 7.77 5.74 19.26 20.33 20.61 4160.78 4.9810 1450.35 1.5659 945.88 2.5037 503.48 5.9980 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 18.15 20.73 59.75 1.37 Citadel Execution Services 51.91 51.24 51.03 52.29 57.38 2983.90 27.8765 5045.28 25.5005 2254.59 22.7598 149.95 45.3021 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 48.02 48.76 48.97 47.59 42.62 2204.15 27.5588 2781.00 17.5613 2976.44 22.4163 305.65 42.6290 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 12 100.00 90.99 1.18 3.19 4.64 Virtu Americas, LLC 71.50 76.90 31.44 18.73 12.01 909.18 7.5000 46.58 7.5000 13.42 7.5000 0.01 0.0133 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 6.78 5.55 13.61 14.97 23.58 347.83 7.5008 112.16 7.5016 28.99 7.5012 65.78 7.5003 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 $0.000005 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 6.67 5.50 9.65 17.45 21.30 437.12 7.5000 17.88 7.5000 48.60 5.7936 80.09 5.0786 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 6.46 5.32 10.64 17.36 20.16 450.19 7.5187 9.03 7.5350 63.23 7.5194 29.16 7.5238 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 6.33 5.15 15.59 13.59 22.06 976.57 7.5000 59.41 7.5000 82.27 7.5000 129.67 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 86.34 3.13 4.98 5.56 Virtu Americas, LLC 65.14 74.00 5.84 5.06 14.70 8234.26 7.4746 812.17 7.5000 267.64 7.4531 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 8.32 6.06 21.56 19.86 25.67 2686.96 5.6815 1762.06 3.6401 938.48 4.0925 552.73 7.3295 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 $0.000005 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 7.96 6.01 20.43 20.98 19.49 3444.11 7.5080 1288.23 7.5038 4262.37 7.5011 399.46 7.5015 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 7.81 5.74 22.48 21.78 19.25 3087.82 5.0898 1117.62 2.8477 497.71 1.9802 431.68 2.5377 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 7.63 5.70 19.54 19.50 20.27 6492.66 6.5592 2013.86 3.4918 1034.90 2.9322 762.51 7.3354 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 15.31 19.32 64.01 1.35 SUS 50.54 51.03 49.40 50.74 51.56 1622.65 25.9666 2647.49 19.5690 4451.91 27.3778 837.70 51.5191 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 49.44 48.97 50.60 49.22 48.44 2054.90 29.1475 6749.54 31.5163 4071.16 31.4618 664.40 52.5633 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.