1.2 Nomura 2020 3 2020-10-26T19:14:54Z 2020 7 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 5.93 0.00 0.00 94.07 INSTINET 86.82 1.93 0.00 0.00 98.07 326.78 53.4828 0 0.0000 0 0.0000 9983.03 4.0669 Nomura receives rebates from Instinet ICAP 4.22 26.45 0.00 0.00 73.55 4778.35 13.3975 0 0.0000 0 0.0000 12766.34 13.4473 No material aspects to disclose CASY 2.20 38.10 0.00 0.00 61.90 1569.06 12.1416 0 0.0000 0 0.0000 3450.97 12.5062 No material aspects to disclose Lakeshore 1.81 73.08 0.00 0.00 26.92 3658.6 43.0424 0 0.0000 0 0.0000 14144.22 59.0351 No material aspects to disclose Pyramid 1.81 7.69 0.00 0.00 92.31 1389.7 65.4900 0 0.0000 0 0.0000 14134.19 61.5520 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 1.25 25.00 0.00 0.00 75.00 311.74 28.3400 0 0.0000 0 0.0000 5434.15 14.7235 No material aspects to disclose Baycrest 0.59 70.59 0.00 0.00 29.41 791.13 35.9604 0 0.0000 0 0.0000 285.12 40.7318 No material aspects to disclose DASH FINANCIAL LLC 0.45 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 187 20.2600 No material aspects to disclose Oppenheimer 0.35 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 996.11 87.8400 No material aspects to disclose XFA 0.17 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 2305.33 71.2400 No material aspects to disclose 2020 8 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 3.31 0.00 0.00 96.69 INSTINET 88.96 0.25 0.00 0.00 99.75 2.16 27.0000 0 0.0000 0 0.0000 9795.61 4.5405 Nomura receives rebates from Instinet ICAP 2.97 24.76 0.00 0.00 75.24 1792.28 13.1553 0 0.0000 0 0.0000 6208.37 13.1553 No material aspects to disclose CASY 2.43 27.91 0.00 0.00 72.09 2447.71 15.8346 0 0.0000 0 0.0000 3951.38 11.7818 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 1.25 50.00 0.00 0.00 50.00 5160.5 28.6408 0 0.0000 0 0.0000 1895.71 31.7434 No material aspects to disclose Pyramid 1.16 12.20 0.00 0.00 87.80 1207.64 65.4900 0 0.0000 0 0.0000 5043.77 61.8867 No material aspects to disclose Baycrest 1.02 47.22 0.00 0.00 52.78 1058.53 34.1462 0 0.0000 0 0.0000 1872.5 44.7005 No material aspects to disclose Lakeshore 0.85 40.00 0.00 0.00 60.00 6486.6 56.4052 0 0.0000 0 0.0000 1780.92 56.7533 No material aspects to disclose DASH FINANCIAL LLC 0.59 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 589.97 20.2600 No material aspects to disclose Oppenheimer 0.31 9.09 0.00 0.00 90.91 219.6 87.8400 0 0.0000 0 0.0000 1800.72 87.8400 No material aspects to disclose CANACCORD GENUITY INC. 0.11 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 2109.77 46.3074 No material aspects to disclose 2020 9 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 6.96 0.00 0.00 93.04 INSTINET 81.11 1.52 0.00 0.00 98.48 -43.86 -2.0966 0 0.0000 0 0.0000 11210.56 3.8065 Nomura receives rebates from Instinet ICAP 4.98 27.95 0.00 0.00 72.05 4527.11 11.7970 0 0.0000 0 0.0000 12195.34 11.7377 No material aspects to disclose Lakeshore 4.82 37.82 0.00 0.00 62.18 3669.43 44.2740 0 0.0000 0 0.0000 5191.88 54.4679 No material aspects to disclose CASY 2.78 35.56 0.00 0.00 64.44 5347.71 15.2109 0 0.0000 0 0.0000 9036.81 13.0157 No material aspects to disclose Pyramid 2.16 21.43 0.00 0.00 78.57 2058.97 63.9829 0 0.0000 0 0.0000 7628.63 62.2187 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 1.58 37.25 0.00 0.00 62.75 44808.4 27.6920 0 0.0000 0 0.0000 1701.13 18.2643 No material aspects to disclose Baycrest 1.14 24.32 0.00 0.00 75.68 575.37 35.9604 0 0.0000 0 0.0000 4091.39 26.3587 No material aspects to disclose DASH FINANCIAL LLC 0.40 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 1101.74 20.2600 No material aspects to disclose Oppenheimer 0.25 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 966.24 87.8400 No material aspects to disclose XFA 0.25 37.50 0.00 0.00 62.50 141.06 71.2400 0 0.0000 0 0.0000 1513.85 71.2400 No material aspects to disclose