1.2 Nomura 2021 3 2021-10-28T18:58:48Z 2021 7 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 3.89 14.24 6.99 74.88 INSTINET 85.76 0.88 14.45 7.47 77.20 438.33 32.4685 3639.82 5.7318 -1170.78 -6.6730 14819.77 6.4411 Nomura receives rebates from Instinet ICAP 5.23 32.62 10.70 2.14 54.55 10334.54 12.0846 1286.29 12.0846 100.91 12.0846 9748.79 12.0846 No material aspects to disclose CASY 3.13 19.64 16.96 0.00 63.39 3370.15 14.0330 1541.86 15.4806 0 0.0000 13921.62 15.0709 No material aspects to disclose Pyramid 2.18 24.36 20.51 12.82 42.31 610.71 65.3862 1565.17 63.5217 773.24 47.2063 1026 56.2500 No material aspects to disclose MAXIM 1.76 0.00 9.52 9.52 80.95 0 0.0000 169.47 57.8400 169.47 57.8400 5114.79 57.8400 No material aspects to disclose Lakeshore 0.67 0.00 4.17 0.00 95.83 0 0.0000 54.94 54.9400 0 0.0000 697.54 54.7516 No material aspects to disclose DASH FINANCIAL LLC 0.39 0.00 14.29 0.00 85.71 0 0.0000 40.52 20.2600 0 0.0000 287.49 20.2600 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.39 42.86 0.00 0.00 57.14 1340 21.4400 0 0.0000 0 0.0000 7223.41 53.0353 No material aspects to disclose CANACCORD GENUITY INC. 0.14 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 2884.78 33.6104 No material aspects to disclose TRADITION SECURITIES AND DERIVATIVES INC. 0.11 50.00 25.00 0.00 25.00 784 7.8400 498.68 71.2400 0 0.0000 1498.8 74.9400 No material aspects to disclose 2021 8 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 4.38 0.00 0.00 95.62 INSTINET 86.66 1.65 0.00 0.00 98.35 1090.52 31.9521 0 0.0000 0 0.0000 27125.94 8.5726 Nomura receives rebates from Instinet ICAP 6.11 18.58 0.00 0.00 81.42 3148.67 12.4272 0 0.0000 0 0.0000 22470.95 12.4272 No material aspects to disclose CASY 3.08 27.19 0.00 0.00 72.81 4947.9 13.7053 0 0.0000 0 0.0000 14647.31 15.1713 No material aspects to disclose Pyramid 1.35 24.00 0.00 0.00 76.00 234.29 62.1452 0 0.0000 0 0.0000 3564.04 58.6287 No material aspects to disclose MAXIM 0.81 13.33 0.00 0.00 86.67 4.63 57.8400 0 0.0000 0 0.0000 184.51 57.8400 No material aspects to disclose XFA 0.73 25.93 0.00 0.00 74.07 3650.34 71.2400 0 0.0000 0 0.0000 2809.62 63.8986 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.70 42.31 0.00 0.00 57.69 11292.7 57.4400 0 0.0000 0 0.0000 39534.59 49.0017 No material aspects to disclose DASH FINANCIAL LLC 0.22 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 725.71 20.2600 No material aspects to disclose CANACCORD GENUITY INC. 0.11 50.00 0.00 0.00 50.00 208.38 46.3074 0 0.0000 0 0.0000 270.74 27.0737 No material aspects to disclose PTR 0.11 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 343.59 68.7188 No material aspects to disclose 2021 9 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 3.32 21.20 6.99 68.50 INSTINET 87.81 0.62 22.26 7.60 69.52 1063.35 15.1799 20126.43 18.7332 346.54 1.9954 23101.85 7.0257 Nomura receives rebates from Instinet ICAP 5.00 13.29 8.09 0.00 78.61 3946.68 13.5495 1065.94 13.5495 0 0.0000 12885.8 13.5495 No material Aspects to disclose CASY 3.52 31.97 19.67 1.64 46.72 4953.71 15.2206 863.5 13.3607 78.4 7.8400 7299.09 12.6219 No material Aspects to disclose Pyramid 1.47 29.41 15.69 11.76 43.14 490.57 64.9761 1853.61 64.8117 384.43 65.4900 5412.21 55.1197 No material Aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.66 17.39 47.83 4.35 30.43 913.6 22.8400 8066.98 51.2157 31.17 28.3400 6657.45 39.9008 No material Aspects to disclose MAXIM 0.46 0.00 0.00 0.00 100.00 0 0.0000 0 0.0000 0 0.0000 666.9 57.8400 No material Aspects to disclose XFA 0.26 66.67 0.00 0.00 33.33 219.04 70.6594 0 0.0000 0 0.0000 465.2 71.2400 No material Aspects to disclose TRADITION SECURITIES AND DERIVATIVES INC. 0.23 62.50 0.00 0.00 37.50 1626.56 47.8400 0 0.0000 0 0.0000 329.15 16.5900 No material Aspects to disclose Lakeshore 0.20 28.57 0.00 14.29 57.14 1.31 32.8400 0 0.0000 157.23 34.9400 824.1 54.9400 No material Aspects to disclose TFS 0.14 40.00 0.00 0.00 60.00 870.13 43.5067 0 0.0000 0 0.0000 2827.93 43.5067 No material Aspects to disclose