1.3 FUTU 2022 4 2023-01-26T19:14:09Z 2022 10 100.00 1.78 0.28 0.41 97.53 CITADEL SECURITIES LLC 43.58 56.68 57.93 55.24 43.25 1603.04 9.9647 10179.63 9.9988 48865.65 28.9818 11200.57 12.7055 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 23.65 30.27 30.25 31.86 23.47 871.44 10.0000 5889.76 10.0000 25439.28 29.8234 7599.56 15.5899 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 18.18 1.83 0.05 0.00 18.61 -4.91 -5.0000 -442.03 -5.0000 -1177.00 -5.0000 -0.44 -5.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 8.35 6.21 6.73 5.88 8.40 -157.88 -19.1668 -8.01 -30.2729 0.00 0.0000 -517.35 -16.7897 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 6.25 5.00 5.05 7.02 6.27 144.59 10.0000 8.31 10.0000 27.18 29.2447 4876.16 16.8067 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. 100.00 2.09 0.46 0.47 96.98 CITADEL SECURITIES LLC 43.76 55.28 49.58 55.13 43.43 23737.10 9.0882 121467.08 8.3461 406927.10 23.6158 35984.81 5.8456 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 24.28 30.60 31.20 29.18 24.09 13119.87 9.0577 73645.29 8.2687 209837.74 25.1381 30962.63 9.1035 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 15.80 1.74 0.00 0.23 16.25 -33.71 -5.0000 -12600.00 -5.0000 -13603.60 -5.0000 -9.27 -5.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 8.66 6.32 7.00 6.92 8.73 -1498.69 -11.4826 -40.97 -3.3821 0.00 0.0000 -4253.13 -7.8045 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 7.50 6.05 12.22 8.54 7.50 2256.57 9.0508 987.47 9.2391 534.84 25.2390 54206.12 11.3309 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. 100.00 1.11 9.93 88.96 0.00 CITADEL SECURITIES LLC 48.05 48.17 48.00 48.05 0.00 57708.00 50.2740 828998.60 49.2447 640613.40 42.0022 0.00 0.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to CDRG. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. Global Execution Brokers, LP 47.92 47.84 48.02 47.91 0.00 54091.80 46.1570 662936.20 47.1465 748380.10 41.6470 3.20 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to DFIN. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. Dash/IMC Financial Markets 4.03 3.98 3.98 4.04 0.00 5803.00 50.2511 61510.30 51.2795 63705.20 41.8763 1.60 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to GEBB. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. 2022 11 100.00 2.37 0.27 0.71 96.66 CITADEL SECURITIES LLC 48.79 63.09 64.09 64.41 48.28 2306.98 9.9641 9705.21 9.9956 54401.90 29.2296 11266.63 12.1708 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 22.59 29.63 30.81 31.13 22.33 1169.98 10.0000 4790.10 10.0000 24505.05 29.8547 6649.08 15.1779 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 21.34 1.99 0.00 0.01 22.03 -2.44 -3.5120 -478.30 -5.0000 -1410.43 -5.0000 0.00 0.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 5.82 4.19 4.04 3.52 5.88 -128.47 -21.9518 -5.91 -28.0851 0.00 0.0000 -360.80 -17.9024 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 1.47 1.10 1.06 0.92 1.48 39.67 10.0000 1.11 10.0000 1.16 25.1948 1075.70 16.1750 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. 100.00 2.48 0.37 0.78 96.37 CITADEL SECURITIES LLC 48.74 62.44 64.38 65.06 48.19 31964.41 8.4783 211085.17 8.3338 562888.37 22.1546 66074.19 5.8104 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 23.08 28.82 29.81 29.04 22.86 14675.14 8.6371 108640.92 8.3430 243057.71 24.0533 51261.62 9.3642 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 19.16 3.11 0.01 0.06 19.80 -96.06 -5.0000 -20549.17 -5.0000 -27211.50 -5.0000 -19.66 -5.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 6.60 4.24 4.38 4.52 6.69 -2025.31 -14.0145 -81.49 -2.4046 0.00 0.0000 -4265.31 -7.6130 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 2.43 1.38 1.41 1.32 2.47 633.02 9.1392 105.94 7.9353 300.27 27.7983 18701.97 12.2788 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. 100.00 1.09 9.97 88.94 0.00 Global Execution Brokers, LP 51.48 52.13 51.74 51.44 0.00 47616.60 45.7557 818957.70 47.1992 846839.90 42.3655 34.00 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to DFIN. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. CITADEL SECURITIES LLC 41.48 40.99 41.20 41.51 0.00 41740.00 50.5021 827294.80 49.7480 626427.70 42.5817 0.00 0.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to CDRG. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. Dash/IMC Financial Markets 7.05 6.88 7.06 7.05 0.00 8825.50 50.8469 130235.10 51.7502 124756.30 42.9287 8.40 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to GEBB. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. 2022 12 100.00 2.30 0.57 0.71 96.43 CITADEL SECURITIES LLC 58.71 64.18 64.42 64.19 58.51 3156.26 9.9775 11109.52 10.4351 57163.63 29.3387 11808.47 9.8504 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 22.18 29.68 30.30 30.29 21.89 1466.36 10.0000 5548.48 10.0000 25715.14 29.9049 5945.39 13.6079 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 13.19 1.23 0.16 0.15 13.64 -2.05 -5.0000 -324.61 -5.0000 -821.42 -5.0000 -0.17 -5.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 4.68 3.84 4.15 4.15 4.71 -242.43 -26.5088 -7.98 -26.5989 0.00 0.0000 -340.00 -15.9686 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 1.23 1.06 0.97 1.22 1.24 57.18 10.0000 2.26 10.0000 1.65 29.2895 1075.64 16.7362 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Trade.Com Online Securities, Inc. 0.01 0.00 0.00 0.00 0.01 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 2.46 0.41 1.07 96.06 CITADEL SECURITIES LLC 56.15 62.60 63.28 63.99 55.86 28852.75 7.1762 201221.76 7.7257 549146.93 20.7693 31473.68 2.1162 Futu Clearing, Inc. receives payment for routing listed equity order flow to CDRG. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Orders that are entered starting at 4 AM ET through 7 AM ET are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Virtu Americas, LLC 22.60 28.60 29.59 28.83 22.34 13390.18 7.4363 98647.15 7.7463 231537.27 22.3939 37075.49 6.9198 Futu Clearing, Inc. receives payment for routing listed equity order flow to NITE. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Virtu Agency 12.51 2.20 0.36 0.45 12.96 -199.59 -5.0000 -13702.70 -5.0000 -16642.46 -5.0000 -11.15 -5.0000 Futu Clearing Inc. routes orders to VALR to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Dash/IMC Financial Markets 7.14 5.41 5.71 5.64 7.21 -1269.59 -8.0572 -59.07 -2.6385 0.00 0.0000 -6476.39 -7.9789 Futu Clearing Inc. routes orders to DFIN to which orders are executed leveraging executing venues sweep and algorithmic order routing strategies. Futu Clearing Inc pays exchange, regulatory, market data, and clearing fees and receives exchange rebates as credits where applicable. Futu Clearing Inc may also receive incremental pricing benefits if certain volume thresholds are met as part of a cost/plus model with the base commission being $0.0005 per share. Speedroute, LLC 1.60 1.19 1.05 1.08 1.62 460.85 9.4838 79.15 8.9934 197.98 26.0306 13802.75 11.1010 Futu Clearing, Inc. receives payment for routing listed equity order flow to SPDR. For marketable orders the payment rate is $0.001 per share, for non-marketable orders the rate is $0.003 per share, and for extended hours orders the rate is $0.0002 per share. Trade.Com Online Securities, Inc. 0.00 0.00 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 1.11 10.46 88.43 0.00 Global Execution Brokers, LP 53.82 54.02 53.95 53.81 0.00 50072.00 46.5353 781146.30 47.5231 821200.00 42.0460 8.40 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to DFIN. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. CITADEL SECURITIES LLC 40.21 39.76 40.01 40.24 0.00 49366.00 51.0496 773876.70 49.7670 564594.40 42.2322 0.00 0.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to CDRG. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract. Dash/IMC Financial Markets 5.97 6.22 6.04 5.96 0.00 9532.00 50.3220 103475.60 52.1645 101162.45 42.2630 4.00 40.0000 Futu Clearing, Inc. receives payment for routing multi-listed option order flow to GEBB. For complex orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other complex orders the payment rate is $0.90 per contract. For marketable orders on classes in the penny interval program the payment rate is $0.50 per contract, and for all other marketable orders the payment rate is $1.00 per contract. For non-marketable orders on classes in the penny interval program the payment rate is $0.40 per contract, and for all other nonmarketable orders the payment rate is $0.90 per contract.