In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, AOS, Inc., doing business as TradingBlock (“AOS”), is publishing information about its routing practices for non-directed orders in US exchange-listed equity securities and options.

AOS routes non-directed orders in Rule 606 reportable securities to Apex Clearing Corporation (“Apex”), and other brokerage firms for order routing and execution. Apex may not be the ultimate execution venue for such orders, and these orders may be further routed by Apex to other execution venues. Apex may receive remuneration from executing venues through maker-taker pricing or other applicable execution venue fees or rebates. AOS receives some portion of the remuneration for orders routed including any execution venue fees or rebates that may be paid by an executing venue.

AOS does not select the execution venues to which Apex routes Rule 606 reportable securities for execution. As a result, Apex is better positioned to prepare a quarterly report that reflects any execution venue specific maker-taker arrangements or other execution venue fees or rebates. Other executing firms Rule 606 reports are available here as well.

You can access these reports from this page by clicking below.

2023 Quarterly Reports 2022 Quarterly Reports 2021 Quarterly Reports 2020 Quarterly Reports