1.2 J.W. COLE FINANCIAL, INC 2020 01 2020-04-30T13:17:44.832-04:00 01 2020 100.00 94.15 2.01 2.79 1.05 Citadel Securities LLC CDRG 55.00 57.52 45.83 11.67 50.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 30.65 31.56 33.33 8.33 50.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 7.66 8.13 8.33 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 New York Stock Exchange NYSE 1.85 0.00 4.17 36.67 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 1.53 0.00 0.00 31.67 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 1.21 1.22 4.17 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 0.73 0.79 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 State Street Global Markets, LLC SSBS 0.48 0.44 4.17 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 0.32 0.00 0.00 6.67 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 JANE STREET CAPITAL, LLC JNST 0.32 0.35 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 91.38 3.24 4.64 0.74 Citadel Securities LLC CDRG 52.50 56.49 48.86 5.06 16.67 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 29.02 30.48 37.50 1.12 72.22 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 8.79 9.42 11.36 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 3.41 0.00 0.00 50.56 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 1.89 1.91 1.14 1.69 5.56 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 1.06 0.00 0.00 15.73 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 1.02 1.06 1.14 0.00 5.56 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NYSE Arca ARCA 0.83 0.00 0.00 12.36 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 State Street Global Markets, LLC SSBS 0.53 0.59 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe BZX U.S. Equities Exchange ZBAT 0.53 0.00 0.00 7.87 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 40.48 22.22 37.30 0.00 Citadel Securities LLC CDRG 32.61 29.63 21.43 41.07 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 MORGAN STANLEY & CO. LLC MSCO 22.46 31.48 28.57 10.71 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Susquehanna Capital Group SUSQ 20.29 25.93 39.29 5.36 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Wolverine Execution Services LLC WEXX 13.04 3.70 0.00 28.57 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Citigroup Global Markets, Inc. CITI 7.97 9.26 7.14 7.14 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 DASH FINANCIAL TECHNOLOGIES LLC DASH 3.62 0.00 3.57 7.14 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 02 2020 100.00 94.80 1.06 4.14 0.00 Citadel Securities LLC CDRG 53.32 56.28 61.11 7.48 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 27.99 29.48 22.22 6.54 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 9.06 9.45 5.56 3.74 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 2.48 2.61 0.00 0.93 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 1.85 0.00 5.56 28.97 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 New York Stock Exchange NYSE 1.85 0.00 5.56 28.97 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 1.15 0.00 0.00 18.69 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 0.98 1.00 0.00 0.93 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 JANE STREET CAPITAL, LLC JNST 0.81 0.87 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 State Street Global Markets, LLC SSBS 0.29 0.31 0.00 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 85.66 3.56 10.15 0.63 Citadel Securities LLC CDRG 52.11 59.90 47.66 6.62 50.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 24.25 27.32 28.04 3.68 50.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 7.55 8.53 14.02 0.25 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 5.73 0.00 0.93 41.67 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NYSE Arca ARCA 2.55 0.00 0.00 18.63 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 2.08 0.00 0.00 15.20 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 1.48 1.67 1.87 0.25 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe BZX U.S. Equities Exchange ZBAT 1.34 0.00 0.00 9.80 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 0.91 1.02 0.93 0.25 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 State Street Global Markets, LLC SSBS 0.77 0.69 5.61 0.00 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 31.03 11.21 57.76 0.00 Citadel Securities LLC CDRG 44.07 47.22 46.15 42.03 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Susquehanna Capital Group SUSQ 16.95 33.33 30.77 5.80 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Wolverine Execution Services LLC WEXX 13.56 2.78 7.69 20.29 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 MORGAN STANLEY & CO. LLC MSCO 11.86 11.11 15.38 11.59 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 DASH FINANCIAL TECHNOLOGIES LLC DASH 8.47 2.78 0.00 13.04 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Citigroup Global Markets, Inc. CITI 5.08 2.78 0.00 7.25 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 03 2020 100.00 86.69 3.83 9.23 0.25 Citadel Securities LLC CDRG 53.51 59.68 51.18 18.36 54.55 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 17.38 18.05 27.06 10.49 45.45 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 9.07 10.51 5.29 1.85 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 5.45 6.23 6.47 0.77 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 New York Stock Exchange NYSE 4.40 0.03 1.76 30.56 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 3.88 0.00 0.59 27.31 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 2.49 2.77 4.12 0.46 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 JANE STREET CAPITAL, LLC JNST 2.31 2.64 2.94 0.31 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 1.20 0.00 0.00 8.49 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe BZX U.S. Equities Exchange ZBAT 0.20 0.00 0.00 1.39 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 85.82 4.17 9.36 0.65 Citadel Securities LLC CDRG 53.50 60.26 55.96 10.73 45.24 0 0.0000 0 0.0000 0 0.0000 0 0.0000 VIRTU Americas LLC NITE 15.46 16.88 15.52 5.71 33.33 0 0.0000 0 0.0000 0 0.0000 0 0.0000 G1 Execution Services, LLC ETMM 8.37 9.50 12.27 0.46 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 UBS Securities, LLC UBSS 6.19 6.99 6.14 0.57 19.05 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NASDAQ Execution Services, LLC NSDQ 5.14 0.00 0.72 39.04 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Two Sigma Securities, LLC SOHO 2.51 2.89 1.81 0.34 2.38 0 0.0000 0 0.0000 0 0.0000 0 0.0000 JANE STREET CAPITAL, LLC JNST 2.17 2.40 4.33 0.11 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Cboe EDGX U.S. Equities Exchange EDGX 1.96 0.00 0.36 14.84 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 NYSE Arca ARCA 1.47 0.00 1.81 10.62 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 New York Stock Exchange NYSE 1.33 0.00 0.00 10.16 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).] 100.00 43.55 4.30 51.61 0.54 Citadel Securities LLC CDRG 39.69 31.40 50.00 45.36 100.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 MORGAN STANLEY & CO. LLC MSCO 17.53 24.42 10.00 12.37 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Susquehanna Capital Group SUSQ 17.53 26.74 10.00 10.31 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Citigroup Global Markets, Inc. CITI 9.28 9.30 20.00 8.25 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 Wolverine Execution Services LLC WEXX 8.25 3.49 0.00 13.40 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 DASH FINANCIAL TECHNOLOGIES LLC DASH 7.73 4.65 10.00 10.31 0.00 0 0.0000 0 0.0000 0 0.0000 0 0.0000 [Insert discussion of the material aspects of the relationship with this venue pursuant to rule 606(a)(1)(iv).]