1.2 Nomura 2023 4 2024-01-26T13:00:00Z 2023 10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 6.37 56.03 31.01 6.59 INSTINET 90.01 34.41 95.25 96.90 66.77 -7514.79 -62.9749 -55996.88 -20.7546 -16099.72 -20.8987 -569.92 -5.6579 NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf ICAP 3.62 33.44 1.64 0.86 4.66 -8777.12 -7.8400 -5559.47 -11.0511 -2122.61 -14.7711 -1170.45 -8.3217 No material aspects to disclose CASY 2.85 18.65 1.32 0.53 11.49 -5842.11 -13.7455 -2810.82 -10.9789 -265.81 -14.3292 -361.9 -14.3442 No material aspects to disclose MAGEN FINANCIAL LLC 0.76 0.32 0.04 0.66 7.76 -170.24 -35.8400 -179.2 -35.8400 -3915.52 -35.8400 -1905.7 -58.4033 No material aspects to disclose XFA 0.59 5.47 0.40 0.00 0.31 -1820.89 -71.2400 -1081.67 -44.3125 0 0.0000 -378.4 -37.8400 No material aspects to disclose Pyramid 0.53 4.82 0.33 0.13 0.00 -2919.54 -65.4900 -766.43 -42.0652 -82.36 -44.5170 0 0.0000 No material aspects to disclose DASH FINANCIAL LLC 0.43 0.00 0.69 0.13 0.00 0 0.0000 -1521.93 -20.2600 0 0.0000 0 0.0000 NSI routes customer orders in equity securities, including options, to Dash Financial Technologies, LLC, for execution.  Dash routes NSI’s orders to national securities exchanges, alternative trading systems, and other market centers.  NSI maintains a pass-through relationship with Dash, whereby Dash charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers.  Dash and NSI do not maintain any other payment for order fow arrangements with respect to listed options.  Dash pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Dash may receive as a result of other aggregated order fow.  Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf GFI Securities LLC 0.33 1.29 0.11 0.20 1.86 -1019.63 -34.2732 -1028.2 -34.2732 -1028.2 -34.2732 -3599.72 -38.3357 No material aspects to disclose CHAPDELAINE 0.18 0.00 0.00 0.00 2.80 0 0.0000 0 0.0000 0 0.0000 -4597.6 -32.8400 No material aspects to disclose OSCAR GRUSS & SON, INCORPORATED 0.18 0.00 0.07 0.00 2.17 0 0.0000 -663.04 -32.8400 0 0.0000 -1377.19 -33.6228 No material aspects to disclose 2023 11 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 6.27 59.91 30.85 2.97 INSTINET 86.02 14.78 91.87 96.86 5.80 -2734.96 -51.5446 -74015.29 -20.3663 -27948.34 -32.4321 0 0.0000 NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf ICAP 5.45 57.04 2.01 0.98 12.32 -15082.01 -7.9834 -6812.18 -7.8400 -1451.65 -7.8400 -716.03 -7.8400 No material aspects to disclose CASY 3.66 13.06 1.26 0.07 69.57 -3756.04 -9.2563 -2279.36 -11.8710 -19.6 -7.8400 -7345.49 -8.0826 No material aspects to disclose DASH FINANCIAL LLC 2.35 0.00 3.27 1.26 0.00 0 0.0000 -5846.43 -20.2600 0 0.0000 0 0.0000 NSI routes customer orders in equity securities, including options, to Dash Financial Technologies, LLC, for execution.  Dash routes NSI’s orders to national securities exchanges, alternative trading systems, and other market centers.  NSI maintains a pass-through relationship with Dash, whereby Dash charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers.  Dash and NSI do not maintain any other payment for order fow arrangements with respect to listed options.  Dash pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Dash may receive as a result of other aggregated order fow.  Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf Pyramid 0.75 5.15 0.61 0.14 0.72 -1490.89 -65.4474 -2968.42 -50.6643 -73.99 -49.3233 -412.4 -41.2400 No material aspects to disclose MAGEN FINANCIAL LLC 0.56 4.81 0.04 0.14 6.52 -4865.28 -35.8400 -896 -35.8400 -2469.5 -49.3900 -2616.32 -35.8400 No material aspects to disclose GFI Securities LLC 0.32 2.41 0.11 0.21 1.45 -2193.48 -34.2732 -771.15 -34.2732 -697.22 -32.4290 -1370.93 -34.2732 No material aspects to disclose XFA 0.17 0.69 0.18 0.07 0.00 -2422.16 -71.2400 -1348.63 -64.2510 -61.86 -41.2400 0 0.0000 No material aspects to disclose Lakeshore 0.15 1.03 0.14 0.00 0.00 -708.41 -39.1389 -1193.11 -51.6500 0 0.0000 0 0.0000 No material aspects to disclose Baycrest 0.13 0.00 0.11 0.21 0.00 0 0.0000 -868.71 -35.9713 -868.71 -35.9713 0 0.0000 No material aspects to disclose 2023 12 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 5.98 59.47 24.52 10.02 INSTINET 83.81 3.66 90.68 93.74 66.56 -342.89 -9.7969 -58443.52 -19.7755 -18754.96 -29.1570 -3617.73 -20.4762 NSI routes the majority of customer orders in equity securities, including options, to Instinet, an affiliated broker-dealer, for execution. Instinet routes NSI's orders to national securities exchanges, alternative trading systems, and other market centers. NSI maintains a pass-through relationship with Instinet, whereby Instinet charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers. Instinet passes 50% of marketing fees received from market makers preferred on customer orders routed to exchanges. Instinet and NSI do not maintain any other payment for order flow arrangements with respect to listed options. Instinet pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Instinet may receive as a result of other aggregated order flow. Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf ICAP 6.14 70.16 2.05 2.30 1.56 -12912.2 -8.4292 -3732.08 -7.8400 -1110.14 -7.8400 -278.87 -7.8400 No material aspects to disclose DASH FINANCIAL LLC 3.23 0.00 4.42 1.66 1.88 0 0.0000 -5969.81 -20.2600 0 0.0000 -6.48 -20.2600 NSI routes customer orders in equity securities, including options, to Dash Financial Technologies, LLC, for execution.  Dash routes NSI’s orders to national securities exchanges, alternative trading systems, and other market centers.  NSI maintains a pass-through relationship with Dash, whereby Dash charges or remits payment to NSI based partially on the amount of the rebates received from, or fees paid to, market centers.  Dash and NSI do not maintain any other payment for order fow arrangements with respect to listed options.  Dash pays or charges NSI based on the published exchange schedule for customer orders, and not based on any more favorable pricing that Dash may receive as a result of other aggregated order fow.  Information reflecting tiered pricing/payment schedules, as applicable to NSI, can be found at: https://www.nomuraholdings.com/company/group/americas/data/2023_4q_rates.pdf CASY 2.69 14.14 0.84 0.26 12.81 -1810.78 -10.6793 -2313.95 -13.0518 -385.36 -12.8367 -64.86 -11.8785 No material aspects to disclose XFA 1.69 0.52 0.47 0.26 13.13 -213.72 -71.2400 -713.16 -61.5854 -106.56 -67.4425 -1615.53 -67.7655 No material aspects to disclose Pyramid 0.60 3.14 0.47 0.26 0.63 -1140.18 -65.4900 -1122.24 -52.8115 -83.2 -52.0009 -229.22 -65.4900 No material aspects to disclose MAGEN FINANCIAL LLC 0.44 5.24 0.11 0.13 0.31 -2705.92 -35.8400 -716.8 -35.8400 -716.8 -35.8400 -537.6 -35.8400 No material aspects to disclose TRADITION SECURITIES AND DERIVATIVES INC. 0.34 3.14 0.05 0.38 0.31 -1467 -58.6800 -299 -47.8400 -920.92 -47.8400 -478.4 -47.8400 No material aspects to disclose CHAPDELAINE 0.31 0.00 0.16 0.13 1.88 0 0.0000 -216.74 -32.8400 -26.27 -32.8400 -1559.9 -32.8400 No material aspects to disclose GFI Securities LLC 0.31 0.00 0.32 0.26 0.63 0 0.0000 -568.53 -21.0566 -514.1 -34.2732 -1370.93 -34.2732 No material aspects to disclose