1.2 Nomura 2020 2 2020-09-03T15:31:19Z 2020 4 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 1.35 0.00 0.00 98.65 INSTINET 94.99 0.17 0.00 0.00 99.83 0 0.0000 0 0.0000 0 0.0000 -7502.89 -2.2397 Nomura receives rebates from Instinet ICAP 2.67 25.93 0.00 0.00 74.07 2909.83 15.5158 0 0.0000 0 0.0000 7409.72 15.5158 No material aspects to report DASH FINANCIAL LLC 0.63 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 550.46 20.2600 No material aspects to report Pyramid 0.63 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 1532.47 65.4900 No material aspects to report CASY 0.36 90.91 0.00 0.00 9.09 2282.8 13.4282 0 0.0000 0 0.0000 1230.96 17.8400 No material aspects to report Lakeshore 0.26 25.00 0.00 0.00 75.00 130.67 59.9400 0 0.0000 0 0.0000 1910.19 52.8408 No material aspects to report MAXIM 0.20 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 441.9 57.8400 No material aspects to report TULLETT PREBON FINANCIAL SERVICES LLC 0.13 25.00 0.00 0.00 75.00 581.82 28.3400 0 0.0000 0 0.0000 2260.01 25.9831 No material aspects to report Baycrest 0.07 100.00 0.00 0.00 0.00 35.96 35.9604 0 0.0000 0 0.0000 0 0.0000 No material aspects to report XFA 0.07 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 142.48 71.2400 No material aspects to report 2020 5 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 2.14 0.00 0.00 97.86 INSTINET 91.14 0.22 0.00 0.00 99.78 0 0.0000 0 0.0000 0 0.0000 9461.65 3.5820 Nomura receives rebates from Instinet CASY 4.63 21.51 0.00 0.00 78.49 2314.72 10.8038 0 0.0000 0 0.0000 8489.68 13.4006 No material aspects to report ICAP 2.34 25.53 0.00 0.00 74.47 1338.97 18.6851 0 0.0000 0 0.0000 4583.45 18.6851 No material aspects to report Pyramid 0.80 25.00 0.00 0.00 75.00 243.62 65.4900 0 0.0000 0 0.0000 474.15 65.4900 No material aspects to report MAXIM 0.35 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 118.57 57.8400 No material aspects to report DASH FINANCIAL LLC 0.20 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 54.5 20.2600 No material aspects to report Lakeshore 0.20 50.00 0.00 0.00 50.00 239.76 59.9400 0 0.0000 0 0.0000 7423.57 59.9400 No material aspects to report TULLETT PREBON FINANCIAL SERVICES LLC 0.15 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 1469.43 28.3400 No material aspects to report XFA 0.10 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 1249.55 71.2400 No material aspects to report DYNAMEX TRADING, LLC 0.05 100.00 0.00 0.00 0.00 756.8 37.8400 0 0.0000 0 0.0000 0 0.0000 No material aspects to report 2020 6 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 4.83 0.00 0.00 95.17 INSTINET 90.35 2.44 0.00 0.00 97.56 49.15 12.2264 0 0.0000 0 0.0000 10635.72 4.1724 Nomura receives rebates from Instinet ICAP 4.02 26.92 0.00 0.00 73.08 3675.06 11.3913 0 0.0000 0 0.0000 6650.01 11.3913 No material aspects to report CASY 3.55 26.09 0.00 0.00 73.91 2534.07 15.7230 0 0.0000 0 0.0000 8145.87 15.0138 No material aspects to report Pyramid 0.73 10.53 0.00 0.00 89.47 261.96 65.4900 0 0.0000 0 0.0000 379.8 58.0741 No material aspects to report DYNAMEX TRADING, LLC 0.31 100.00 0.00 0.00 0.00 313.28 18.4282 0 0.0000 0 0.0000 0 0.0000 No material aspects to report XFA 0.27 28.57 0.00 0.00 71.43 247.44 41.2400 0 0.0000 0 0.0000 471.61 71.2400 No material aspects to report Lakeshore 0.23 16.67 0.00 0.00 83.33 492.6 32.8400 0 0.0000 0 0.0000 3222.37 59.9400 No material aspects to report TULLETT PREBON FINANCIAL SERVICES LLC 0.23 50.00 0.00 0.00 50.00 470.76 7.8434 0 0.0000 0 0.0000 3729.35 27.5819 No material aspects to report CANACCORD GENUITY INC. 0.15 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 808.99 46.3074 No material aspects to report DASH FINANCIAL LLC 0.08 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 6.69 20.2600 No material aspects to report