Upon request, A.G.P. / Alliance Global Partners will disclose to customers the venues to which their individual orders were routed. Each customer may request a written copy of the report be mailed to them at no charge.

SEC RULE 606(B)(1) – A G P / Alliance Global Partners, upon request of its customer, will provide details on NMS stock and option non-directed orders in NMS securities including the identity of the venue and the time of execution for the prior six months.

SEC RULE 606(B)(3) – A G P / Alliance Global Partners, upon request of its customer, will provide specific disclosures related to the routing and execution of the customer’s NMS stock orders submitted on a not held basis for the prior six months. Note: You may not be eligible to receive this report based on specific criteria noted in the text of the rule. See full rule: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=1&ty=HTML&h=L&mc=true&r=SECTION&n=se17.4.242_1606
Request can be made to COMPLIANCEOFFICERS@ALLIANCEG.COM or via your Registered Representative.