Product Type Executing Entity Execution Venues

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Product Type Executing Entity Execution Venues Euronext Brussels Euronext Amsterdam Euronext Paris Euronext Lisbon Bourse de Luxembourg Xetra Frankfurt Stock Exchange KBC Securities* London Stock Exchange Dublin Stock Exchange Credit Suisse Oslo Borse Nasdaq OMX Stockholm ITG Nasdaq OMX Helsinki Nasdaq OMX Copenhague KCG SIX Swiss Exchange Vienna Stock Exchange Deutsche Bank Borsa Italiana Bolsa Madrid Equities Europe Citigroup Warsaw Stock Exchange Athens Stock Exchange Winterflood Prague Stock Exchange Budapest Stock Exchange Intercapital Bucharest Stock Exchange Zagreb Stock Exchange Patria Ljubljana Stock Exchange Belgrade Stock Exchange Lombard Odier Micex Chi-X BATS Turquoise KCG SI Citi SI Aquis Stock Exchange Equiduct Dark Pools NYSE Nasdaq KCG NYSE Amex NYSE Arca Jefferies OTC BB Equities US/Canada BATS US ITG KCG SI Toronto Stock Exchange Chi-X Canada Aequitas Stock Exchange Dark Pools Tokyo Stock Exchange Hong Kong Stock Exchange Singapore Stock Exchange Sydney Stock Exchange Jefferies Chi-X Johannesburg Stock Exchange Instinet Istanbul Stock Exchange Equities Rest of the World Tel Aviv Stock Exchange ITG Indonesia Stock Exchange Malaysia Stock Exchange Citigroup Korea Stock Exchange New Zealand Stock Exchange Bovespa Mexican Stock Exchange Dark Pools Euronext Brussels KBC Securities* Euronext Amsterdam Structured products Deutsche Bank Euronext Paris Banca IMI Frankfurt Stock Exchange Borsa Italiana Euronext Brussels KBC Securities* Euronext Amsterdam Euronext Paris Listed Bonds Frankfurt Stock Exchange Banca IMI Bourse de Luxembourg Borsa Italiana Bloomberg MTF Non-listed Bonds KBC Bank Banca IMI Listed NAV-funds KBC Securities* Euronext Amsterdam OTC NAV-funds Transfer Agents Euronext Brussels Euronext Amsterdam Euronext Paris KBC Securities* Eurex Intercontinental Exchange Societe Generale AMEX Listed derivatives BATS AFS Boston Stock Exchange CBOE Merrill Lynch ISE Nasdaq NYSE Arca Philadelphia Stock Exchange * = KBC Securities executing directly through its own membership on Euronext and on Bourse de Luxembourg.

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In the Matter of New York Stock Exchange LLC, and NYSE Euronext
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 67857 / September 14, 2012 ADMINISTRATIVE PROCEEDING File No. 3-15023 In the Matter of ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS New York Stock Exchange LLC, and PURSUANT TO SECTIONS 19(h)(1) AND 21C NYSE Euronext, OF THE SECURITIES EXCHANGE ACT OF 1934, MAKING FINDINGS AND IMPOSING Respondents. SANCTIONS AND A CEASE-AND-DESIST ORDER I. The Securities and Exchange Commission (“Commission”) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Sections 19(h)(1) and 21C of the Securities Exchange Act of 1934 (“Exchange Act”) against the New York Stock Exchange LLC (“NYSE”) and NYSE Euronext (collectively, “Respondents”). II. In anticipation of the institution of these proceedings, Respondents have submitted Offers of Settlement (the “Offers”) that the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commission’s jurisdiction over them and the subject matter of these proceedings, which are admitted, Respondents consent to the entry of this Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h)(1) and 21C of the Securities Exchange Act of 1934, Making Findings and
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Execution Venues – End Clients Family Offices
Public EXECUTION VENUES – END CLIENTS FAMILY OFFICES Product Type Executing Entity Execution Venues Euronext Brussels Euronext Amsterdam Euronext Paris Euronext Lissabon Bourse de Luxembourg Xetra Frankfurt Stock Exchange London Stock Exchange Dublin Stock Exchange KBC Securities Oslo Borse Nasdaq OMX Stockholm KCG Nasdaq OMX Helsinki Nasdaq OMX Copenhague Equities Europe Deutsche Bank SIX Swiss Exchange Vienna Stock Exchange Citigroup Borsa Italiana Bolsa Madrid Winterflood Warsaw Stock Exchange Athens Stock Exchange Tel Aviv Stock Exchange Chi-X BATS Turquoise KCG SI Citi SI Equiduct NYSE Nasdaq KCG NYSE Amex NYSE Arca Jefferies OTC BB Equities US/Canada BATS US ITG KCG SI Toronto Stock Exchange Chi-X Canada Aequitas Stock Exchange KBC Securities NV Havenlaan 2 – 1080 Brussels Tel. +32 2 429 16 86 Fax +32 429 98 39 www.kbcsecurities.com Member of the KBC group VAT BE 0437.060.521 RLP Brussels IBAN BE77 4096 5474 0142 BIC KREDBE BB Public Product Type Executing Entity Execution Venues Tokyo Stock Exchange Instinet Hong Kong Stock Exchange Singapore Stock Exchange Equities Asia/Afrika Jefferies Sydney Stock Exchange Chi-X Johannesburg Stock Exchange Euronext Brussels KBC Securities Euronext Amsterdam Structured products Deutsche Bank Euronext Paris Banca IMI Frankfurt Stock Exchange Borsa Italiana Euronext Brussels KBC Securities Euronext Amsterdam Euronext Paris Listed Bonds Frankfurt Stock Exchange Banca IMI Bourse de Luxembourg Borsa Italiana Bloomberg MTF OTC Bonds KBC Bank Banca IMI Listed NAV-funds KBC Securities Euronext Amsterdam OTC NAV-funds Transfer Agents Euronext Brussels Euronext Amsterdam Euronext Paris KBC Securities Eurex Intercontinental Exchange Societe Generale AMEX Listed derivatives BATS AFS Boston Stock Exchange CBOE Merrill Lynch ISE Nasdaq NYSE Arca Philadelphia Stock Exchange KBC Securities NV Havenlaan 2 – 1080 Brussels Tel.
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NYSE Arca, Inc
NYSE Arca, Inc. Equity Trading Permit Application and Contracts TABLE OF CONTENTS Page Application Process 2 Application Checklist & Fees 3 Explanation of Terms 4 Application for Equity Trading Permit (Sections 1-6) 6 - 11 Individual Registration & Key Personnel (Section 7) 12-13 Designated Examining Authority (DEA) Applicant ETP (Section 8) 15 NYSE Arca ETP Application - October 2019 1 APPLICATION PROCESS Filing Requirements Prior to submitting the Application for Equity Trading Permit (“ETP”), an Applicant Broker-Dealer must file a Uniform Application for Broker-Dealer Registration (Form-BD) with the Securities and Exchange Commission and register with the FINRA Central Registration Depository (“Web CRD®”). Checklist Applicant Broker-Dealer must complete and submit all applicable materials addressed in the Application Checklist (page 4) to [email protected]. Note: All application materials sent to NYSE Arca will be reviewed by NYSE Arca’s Client Relationship Services (“CRS”) Department for completeness. The applications are then submitted to FINRA who performs the application approval recommendation. All applications are deemed confidential and are handled in a secure environment. CRS or FINRA may request applicants to submit documentation in addition to what is listed in the Application Checklist during the application review process, pursuant to NYSE Arca Rule 2.4. If you have questions on completing the application, you may direct them to: Client Relationship Services: Email: [email protected] or (212) 896-2830. Application Process • Following submission of the Application for Equity Trading Permit and supporting documents to NYSE Arca, Inc. (“NYSE Arca”), the application will be reviewed for accuracy and regulatory or other disclosures. NYSE Arca will submit the application to FINRA for review and approval recommendation.
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Thomson One Symbols
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Nyse Group Announces 2020, 2021 and 2022 Holiday and Early Closings Calendar
INVESTORS NYSE GROUP ANNOUNCES 2020, 2021 AND 2022 HOLIDAY AND EARLY CLOSINGS CALENDAR Released : 09 December 2019 NEW YORK, December 9, 2019 -- NYSE Group announced today the 2022 holiday calendar and early closing dates for its cash equity markets: New York Stock Exchange, NYSE American, NYSE Arca Equities, NYSE Chicago, and NYSE National, as well as the NYSE American Options, NYSE Arca Options and NYSE Bonds markets. The 2020 and 2021 holiday and early closing dates are also set forth below. HOLIDAY 2020 2021 2022 New Year’s Day Wednesday, January 1 Friday, January 1 -- Martin Luther King, Jr. Day Monday, January 20 Monday, January 18 Monday, January 17 Washington's Birthday Monday, February 17 Monday, February 15 Monday, February 21 Good Friday Friday, April 10 Friday, April 2 Friday, April 15 Memorial Day Monday, May 25 Monday, May 31 Monday, May 30 Independence Day Friday, July 3 Monday, July 5 Monday, July 4 (July 4 holiday observed) (July 4 holiday observed) Labor Day Monday, September 7 Monday, September 6 Monday, September 5 Thanksgiving Day Thursday, November 26* Thursday, November 25* Thursday, November 24* Christmas Day Friday, December 25** Friday, December 24 Monday, December 26 (Christmas holiday observed) (Christmas holiday observed) * Each market will close early at 1:00 p.m. (1:15 p.m. for eligible options) on Friday, November 27, 2020, Friday, November 26, 2021, and Friday, November 25, 2022 (the day after Thanksgiving). Crossing Session orders will be accepted beginning at 1:00 p.m. for continuous executions until 1:30 p.m. on these dates, and NYSE American Equities, NYSE Arca Equities, NYSE Chicago, and NYSE National late trading sessions will close at 5:00 pm.
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NYSE Euronext and APX to Establish NYSE Bluetm, a Joint Venture Targeting Global Environmental Markets
NYSE Euronext and APX to Establish NYSE BlueTM, a Joint Venture Targeting Global Environmental Markets • NYSE Euronext will contribute its ownership in BlueNext in return for a majority interest in the joint venture; • APX, a leading provider of operational infrastructure and services for the environmental and energy markets, will contribute its business in return for a minority interest in the venture; • NYSE Blue will focus on environmental and sustainable energy initiatives, and will further NYSE Euronext’s efforts to increase its presence in environmental markets globally while attracting new partners and customers. New York, September 7, 2010 -- NYSE Euronext (NYX) today announced plans to create NYSE BlueTM, a joint venture that will focus exclusively on environmental and sustainable energy markets. NYSE Blue will include NYSE Euronext’s existing investment in BlueNext, the world’s leading spot market in carbon credits, and APX, Inc., a leading provider of regulatory infrastructure and services for the environmental and sustainable energy markets. NYSE Euronext will be a majority owner of NYSE Blue and will consolidate its results. Shareholders of APX, which include Goldman Sachs, MissionPoint Capital Partners, and ONSET Ventures, will take a minority stake in NYSE Blue in return for their shares in APX. Subject to customary closing conditions, including APX shareholder approval and regulatory approvals, the APX transaction is expected to close by the end of 2010. NYSE Blue will provide a broad offering of services and solutions including integrated pre-trade and post-trade platforms, environmental registry services, a front-end solution for accessing the markets and managing environmental portfolios, environmental markets reference data, and the BlueNext trading platform.
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List of Approved Regulated Stock Exchanges
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Steve Hirsch – Chief Data Officer and Chief Architect XLDB Conference, 10/6/10
Managing and Analyzing “XL” Data at Market Speed Steve Hirsch – Chief Data Officer and Chief Architect XLDB Conference, 10/6/10 © NYSE Euronext. All Rights Reserved. NYSE Euronext Profile NYSE Euronext (NYX) is the world’s most diverse exchange group, offering a broad and growing array of financial products and services in Europe and the United States that include cash equities, futures, options, exchange-traded products, bonds, market data, and commercial technology solutions. With over 8,000 listed issues globally, NYSE Euronext's equities markets -- the New York Stock Exchange, Euronext, NYSE Arca, and NYSE Amex -- represent nearly 40% of the world's cash equities trading volume, the most liquidity of any global exchange group. NYSE Euronext also operates NYSE LIFFE, the leading European derivatives business and the world’s second largest derivatives business by value of trading. NYSE Euronext is part of the S&P 500 index and the only exchange operator in the S&P 100 index. NYSE Euronext has rich historical roots dating back to 1792 in the United States (NYSE) and to 1602 in Europe (Amsterdam Stock Exchange) 2 Market Capitalization and Value of Share Trading Value of Share Trading $38.7 Trillion ($38.7 x 1012) In 2008 the United States Gross Domestic Product was $14.347 Trillion Underlying Data Source: World Federation of Exchanges (www.world-exchanges.org) 3 Financial Markets and the Latency Race to Zero Trading System Order “Ack” Times are now below 1ms Data Center Client Site Customer Matching Engine Gateway Applications Secure Network Client Application Start Ack Co-Located Measure Client Application Stop Ack Measure NYX fastest trading markets transact orders in less than 500 microseconds with the NYSE at 3 milliseconds.
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Execution Venues Equities and Fixed Income
UBS AG London Branch 5 Broadgate London EC2M 2QS United Kingdom UBS Europe SE OpernTurm Bockenheimer Landstraße 2-4 60306 Frankfurt am Main Germany www.ubs.com/ibterms Execution venues Equities and fixed income Version: December 2020 For information about our investment bank entities, visit www.ubs.com/ibterms Execution venues This is a non-exhaustive list of the main execution venues that we use outside UBS and our own systematic internalisers. We will review and update it from time to time in accordance with our UK and EEA MiFID Order Handling & Execution Policy. We may use other execution venues where appropriate. Equities Cash Equities Direct access Aquis Exchange Europe Aquis Exchange PlcAthens Stock Exchange BATS Europe, a CBOE Company Borsa Italiana CBOE NL CBOE UK Citadel Securities (Europe) Limited SI Deutsche Börse Group - Xetra Euronext Amsterdam Stock Exchange Euronext Brussels Stock Exchange Euronext Lisbon Stock Exchange Euronext Paris Stock Exchange Instinet Blockmatch Euronext DublinITG Posit London Stock Exchange Madrid Stock Exchange Nasdaq Copenhagen Nasdaq Helsinki Nasdaq Stockholm Oslo Bors Sigma X Europe Sigma X MTFTower Research Capital Europe Limited SI Turquoise Europe TurquoiseUBS Investment Bank UBS MTF Vienna Stock Exchange Virtu Financial Ireland Limited Warsaw Stock Exchange Via intermediate broker Budapest Stock Exchange Cairo & Alexandria Stock Exchange Deutsche Börse - Frankfurt Stock Exchange Istanbul Stock Exchange Johannesburg Stock Exchange Moscow Exchange Prague Stock Exchange SIX Swiss Exchange Tel Aviv Stock Exchange Structured Products Direct access Börse Frankfurt (Zertifikate Premium) Börse Stuttgart (EUWAX) Xetra SIX Swiss Exchange SeDeX Milan Euronext Amsterdam London Stock Exchange Madrid Stock Exchange NASDAQ OMX Stockholm JSE Johannesburg Stock Exchange OTC matching CATS-OS Fixed Income Cash bonds Via Bond Port Bloomberg EuroTLX Euronext ICE (KCG) BondPoint Market Axess MOT MTS BondsPro 1 © UBS 2020.
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NYSE Arca Options Fee Schedule
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The NYSE Arca China Index (CZH)
NYSE ARCA The NYSE Arca China Index (CZH) Index Description percent (57%) of the Index. The bottom five securities are equally weighted to represent The NYSE Arca China Index (“Index”) is a ten percent (10%) of the Index or two percent modified equal weighted index comprised of each (2%). The securities not in the top five or selected publicly traded stocks and American bottom five are equally weighted to represent Depositary Receipts (“ADRs”) of companies thirty-three percent (33%) of the Index. with significant exposure to the Chinese economy. The Index divisor was initially Index Level determined to yield a benchmark value of The official closing level of the index is 100.00 at the close of trading on December calculated each day using the official 19, 2003. The Index is calculated and closing price from the primary listing maintained by the NYSE Arca (“NYSE Arca”). exchange of each index constituent. If no Similar to other stock indices calculated by official closing price is available due to the the NYSE Arca, the value of the Index will following reasons, the respective course of be disseminated every 15 seconds over the action will be taken: Consolidated Tape Association’s Network B 1. Trading of index component is between the hours of approximately 9:30am suspended before market close and and 4:15pm. remains suspended through market close Eligibility Criteria for – The index will use the last traded price of the current day from the primary listing Index Components exchange in calculating the current day’s The Index includes companies whose official closing level.
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Understanding the Market for U.S. Equity Market Data
Understanding the Market for U.S. Equity Market Data Charles M. Jones1 August 31, 2018 1 Robert W. Lear Professor of Finance and Economics, Columbia Business School. I am solely responsible for the contents of this paper. I thank Larry Glosten, Frank Hatheway, Terry Hendershott, Stewart Mayhew, Jonathan Sokobin, and Chester Spatt for helpful discussions on these topics. I currently serve on FINRA’s Economic Advisory Committee and on Nasdaq’s Quality of Markets Committee, and I served as Visiting Economist at the New York Stock Exchange (“NYSE”) in 2002–2003. The NYSE provided financial support for this research. I. Executive Summary A stock exchange facilitates share trading, in large part by developing computer systems, rules, and processes that allow buyers and sellers to submit orders, trade with each other, and determine a market price for shares listed on those exchanges. In the current market environment, this results in a vast amount of data, which market participants of all types rely on to make investment and trading decisions. Exchanges provide some of this market data to market participants at prices that vary depending on the type of data as well as how the data is used. This paper provides an analysis of the market for equity market data in the United States. Unlike other data sources, U.S. equity market data is highly regulated by the Securities and Exchange Commission (“SEC”), and recently the SEC has been lobbied by entities arguing that exchanges charge too much. These entities have written comment letters and filed a number of proceedings with the SEC in an effort to reduce the prices of equity market data.
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