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Sheet 1: Explanatory Note
| Annex to ESMA Opinion on third-country trading venues for the purpose of transparency MiFIR | |||||||||||||||||||||||||||||
| Version | 3 | Published on | 11 June 2020 | ||||||||||||||||||||||||||
| The list included in the tab "List Transparency" is the Annex referred to in ESMA's Opinion determining third-country trading venues for the purpose of transparency under MiFID II / MiFIR (ESMA70-154-165) | |||||||||||||||||||||||||||||
| Trading venues on the list with a positive assessment: For some venues, the conditions referred to in paragraph 10 of the Opinion are met for all the asset classes available on the venue, and listed in the column "Instruments in scope of the assessment" (Column G). In such cases, the column "Assessment" (Column H) states "Positive" and the column "Exemptions from the positive assessment" (Column I) states "none". Investment firms concluding transactions in ToTV instruments on those venues are not required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR. |
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| Trading venues on the list with a partially positive assessment: For some venues, the conditions referred to in paragraph 10 of the Opinion are met only for a subset of the asset classes available on the venue. In such cases, the column "Assessment" (Column H) states "Partially Positive" and the column "Exemptions from the positive assessment" (Column I) describes the instruments for which the assessment is not positive. With respect to instruments mentioned in Column I, investment firms concluding transactions in ToTV instruments on those venues are required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR by 3 October 2020. With respect to instruments not mentioned in Column I, investment firms concluding transactions in ToTV instruments on those venues are not required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR. |
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| Trading venues not on the list: As of 3 June 2020 ESMA has completed the assessment of all the trading venues in respect of which the assessment is expected to be relevant. Hence, trading venues not included on that list are deemed not to meet the conditions referred to in paragraph 10 of the Opinion. Investment firms concluding transactions in ToTV instruments on those venues are required to make those transactions post-trade transparent via an APA under Articles 20 and 21 of MiFIR by 3 October 2020. Requests to assess additional trading venues can be sent by EU market participants to ESMA by email at TCTV-secondary-markets@esma.europa.eu |
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| ESMA ID | Trading Venue Name | Operating MIC | Segment MIC | Country | Competent Authority | Instruments in scope of the assessment | Assessment | Exemptions from the positive assessment | Last update |
| AR1001 | Bolsas y Mercados Argentinos S.A. | N/A | N/A | Argentina | Comisión Nacional de Valores (CNV) | shares, depositary receipts, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| AR1002 | Matba Rofex S.A. | ROFX | N/A | Argentina | Comisión Nacional de Valores (CNV) | shares, bonds and derivatives | Positive | None | 6/3/2020 |
| AR1003 | Mercado Abierto Electrónico S. A. | N/A | N/A | Argentina | Comisión Nacional de Valores (CNV) | shares, depositary receipts, bonds and derivatives | Positive | None | 6/3/2020 |
| AU1003 | ASX | XASX | XASX | Australia | Australian Securities and Investments Commission (ASIC) | shares, ETFs, depositary receipts, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| AU1002 | ASX 24 | XASX | XSFE | Australia | Australian Securities and Investments Commission (ASIC) | derivatives | Positive | None | 6/3/2020 |
| AU1005 | Chi-X Australia Pty Ltd | CHIA | N/A | Australia | Australian Securities and Investments Commission (ASIC) | shares, ETFs, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| BR1001 | Brasil, Bolsa, Balcão (B3) S.A. | BVMF | BVMF | Brazil | Comissão de Valores Mobiliários (CVM) | shares, ETFs, depositary receipts, certificates, bonds and derivatives | Positive | None | 6/3/2020 |
| CA1015 | TSX Venture Exchange | XTSX | N/A | Canada | Alberta Securities Commission (ASC) and British Columbia Securities Commission (BCSC) | shares | Positive | None | 6/3/2020 |
| CA1002 | Canadian Securities Exchange Markets Inc. | N/A | N/A | Canada | Ontario Securities Commission (OSC) | shares, ETFs, depositary receipts, bonds and structured finance products | Positive | None | 6/3/2020 |
| CA1006 | Instinet Canada Cross Limited | N/A | N/A | Canada | Ontario Securities Commission (OSC) | shares and ETFs | Positive | None | 6/3/2020 |
| CA1016 | Liquidnet Canada Inc. | N/A | N/A | Canada | Ontario Securities Commission (OSC) | shares, ETFs and bonds | Partially Positive | Bonds | 6/3/2020 |
| CA1007 | LYNX ATS | OMGA | LYNX | Canada | Ontario Securities Commission (OSC) | shares and ETFs | Positive | None | 6/3/2020 |
| CA1010 | Nasdaq CXC Limited | CHIC | N/A | Canada | Ontario Securities Commission (OSC) | shares and ETFs | Positive | None | 6/3/2020 |
| CA1001 | NEO Exchange Inc. | NEOE | NEOE, NEON, NEOD, NEOC | Canada | Ontario Securities Commission (OSC) | shares, ETFs and structured finance products | Positive | None | 6/3/2020 |
| CA1011 | Omega ATS | OMGA | OMGA | Canada | Ontario Securities Commission (OSC) | shares and ETFs | Positive | None | 6/3/2020 |
| CA1013 | Toronto Stock Exchange | XTSE | N/A | Canada | Ontario Securities Commission (OSC) | shares, ETFs and structured finance products | Positive | None | 6/3/2020 |
| CA1009 | TriAct Canada Marketplace LP (which operates MATCHNow) | MATN | N/A | Canada | Ontario Securities Commission (OSC) | shares | Positive | None | 6/3/2020 |
| CA1014 | TSX Alpha Exchange | XATS | N/A | Canada | Ontario Securities Commission (OSC) | shares, ETFs and structured finance products | Positive | None | 6/3/2020 |
| CL1001 | Bolsa Comercio Santiago | N/A | N/A | Chile | Chilean Financial Markets Commission (CFM) | shares, ETFs, depositary receipts, certificates, bonds and derivatives | Positive | None | 6/3/2020 |
| CN1004 | China Financial Futures Exchange | CCFX | N/A | China | China Securities Regulatory Commission (CSRC) | derivatives | Positive | None | 6/3/2020 |
| CN1006 | Shanghai International Energy Exchange | XSGE | XINE | China | China Securities Regulatory Commission (CSRC) | derivatives | Positive | None | 6/4/2020 |
| CN1005 | Shanghai Futures Exchange | XSGE | XSGE | China | China Securities Regulatory Commission (CSRC) | derivatives | Positive | None | 6/4/2020 |
| CO1001 | Bolsa de Valores de Colombia S.A. | XBOG | N/A | Colombia | Superintendencia Financiera de Colombia (SFC) | shares, ETFs, certificates, bonds and derivatives | Positive | None | 6/3/2020 |
| DI1001 | Nasdaq Dubai Limited | DIFX | NDXB | Dubai International Financial Centre | Dubai Financial Services Authority (DFSA) | shares, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| HK1001 | Hong Kong Futures Exchange Limited | XHKF | XHKF | China | Securities and Futures Commission (SFC) | derivatives | Positive | None | 6/11/2020 |
| HK1002 | The Stock Exchange of Hong Kong Limited | XHKG | SHSC, SZSC | China | Securities and Futures Commission (SFC) | shares, ETFs, depositary receipts, bonds, structured finance products and derivatives | Positive | None | 6/11/2020 |
| IN1001 | National Stock Exchange of India Limited | XNSE | N/A | India | Securities and Exchange Board of India (SEBI) | shares, ETFs, depositary receipts, certificates, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| IN1003 | NSE IFSC Limited | XNSE | INSE | India | Securities and Exchange Board of India (SEBI) | bonds and derivatives | Positive | None | 6/3/2020 |
| IL1001 | The Tel-Aviv Stock Exchange Ltd. | XTAE | N/A | Israel | Israel Securities Authority (ISA) | shares, ETFs, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| JP1001 | Bloomberg Tradebook Japan Limited | BETP | BETP | Japan | Financial Services Agency of Japan (JFSA) | derivatives | Positive | None | 6/3/2020 |
| JP1002 | Chi-X Japan | CHIJ | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1003 | Fukuoka Stock Exchange | XFKA | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1005 | Nagoya Stock Exchange | XNGO | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1007 | Sapporo Securities Exchange | XSAP | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1008 | SBI Japannext | SBIJ | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1004 | Tokyo Stock Exchange | XJPX | N/A | Japan | Financial Services Agency of Japan (JFSA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| JP1009 | Tradeweb Japan Limited | TWJP | TWJT | Japan | Financial Services Agency of Japan (JFSA) | derivatives | Positive | None | 6/3/2020 |
| KR1002 | Korea Exchange, Inc. | XKRX | N/A | Korea | Financial Services Commission/Financial Supervisory Service (FSC/FSS) | shares, ETFs, depositary receipts, certificates, bonds, emission allowances and derivatives | Positive | None | 6/3/2020 |
| MY1001 | Bursa Malaysia | XKLS | XKLS and MESQ | Malaysia | Securities Commission (SC) | shares, ETFs and exchange-traded bonds | Positive | None | 6/3/2020 |
| MY1002 | Bursa Malaysia Derivatives | XKLS | N/A | Malaysia | Securities Commission (SC) | derivatives | Positive | None | 6/3/2020 |
| MX1001 | Bolsa Mexicana de Valores | XMEX | N/A | Mexico | Comisión Nacional Bancaria y de Valores (CNBV) | shares, ETFs, depositary receipts, certificates and structured finance products | Positive | None | 6/3/2020 |
| MA1001 | Casablanca Stock Exchange | XCAS | N/A | Morocco | Autorité Marocaine du Marché des Capitaux (AMMC) | shares and bonds | Positive | None | 6/3/2020 |
| NZ1001 | NZX Limited | XNZE | N/A | New Zealand | Financial Markets Authority (FMA) | shares, ETFs, bonds and derivatives | Positive | None | 6/3/2020 |
| RU1001 | Moscow Exchange - Derivatives market | MISX | RTSX | Russia | The Bank of Russia (CBR) | derivatives | Positive | None | 6/4/2020 |
| RU1002 | Moscow Exchange - FX market | MISX | MISX | Russia | The Bank of Russia (CBR) | derivatives | Positive | None | 6/4/2020 |
| RU1003 | Moscow Exchange - Securities Market | MISX | MISX | Russia | The Bank of Russia (CBR) | shares, ETFs, depositary receipts and bonds | Positive | None | 6/4/2020 |
| SG1006 | EEX Asia Pte. Ltd. | CLTD | N/A | Singapore | Monetary Authority of Singapore (MAS) | derivatives | Positive | None | 6/3/2020 |
| SG1004 | ICE Futures Singapore Pte. Ltd. | IFSG | Not applicable | Singapore | Monetary Authority of Singapore (MAS) | derivatives | Positive | None | 6/3/2020 |
| SG1005 | Refinitiv Transaction Services Pte Ltd | RTSP | RTSP | Singapore | Monetary Authority of Singapore (MAS) | derivatives | Positive | None | 6/3/2020 |
| SG1002 | Singapore Exchange Derivatives Trading Limited | XSIM | N/A | Singapore | Monetary Authority of Singapore (MAS) | derivatives | Positive | None | 6/3/2020 |
| SG1003 | Singapore Exchange Securities Trading Limited | XSES | N/A | Singapore | Monetary Authority of Singapore (MAS) | shares, ETFs, depositary receipts, certificates, bonds and structured finance products | Positive | None | 6/3/2020 |
| ZA1001 | Johannesburg Stock Exchange | XJSE | XJSE | South Africa | Financial Sector Conduct Authority (FSCA) | shares, ETFs, depositary receipts and structured finance products | Positive | None | 6/3/2020 |
| ZA1002 | JSE Equity Derivatives Markets | XJSE | XSAF | South Africa | Financial Sector Conduct Authority (FSCA) | derivatives | Positive | None | 6/3/2020 |
| CH1002 | SIX Corporate Bonds AG | XICB | N/A | Switzerland | Swiss Financial Market Supervisory Authority (FINMA) | bonds | Positive | None | 6/3/2020 |
| CH1004 | SIX Swiss Exchange | XSWX | N/A | Switzerland | Swiss Financial Market Supervisory Authority (FINMA) | shares, ETFs, certificates, bonds and structured finance products | Positive | None | 6/3/2020 |
| TH1002 | Thailand Futures Exchange Public Company Limited | TFEX | N/A | Thailand | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| TH1001 | The Stock Exchange of Thailand | XBKK | N/A | Thailand | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts, certificates, bonds and structured finance products | Positive | None | 6/3/2020 |
| TR1001 | Borsa Istanbul A. S. | XIST | XDSM, XEQY, XFNO, XPMS | Turkey | Capital Markets Board (CMB) | shares, ETFs, certificates, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| AD1001 | Abu Dhabi Securities Exchange | XADS | N/A | UAE | Securities and Commodities Authority (SCA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| AE1001 | Dubai Financial Market | XDFM | N/A | UAE | Securities and Commodities Authority (SCA) | shares, ETFs and bonds | Positive | None | 6/3/2020 |
| AE1002 | Dubai Gold and Commodities Exchange DMCC | DGCX | N/A | UAE | Securities and Commodities Authority (SCA) | derivatives | Positive | None | 6/3/2020 |
| US1004 | 360 Trading Networks, Inc. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1016 | BGC Derivatives Markets, L.P. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1020 | Bloomberg SEF LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1025 | Cboe Futures Exchange, LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1012 | Cboe SEF, LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1030 | Clear Markets North America, Inc. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1038 | DW SEF LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1046 | Eris Exchange, LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1048 | FTSEF LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1054 | GFI Swaps Exchange LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1057 | ICAP Global Derivatives Limited | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1060 | ICE Futures U.S., Inc. | IFUS | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1061 | ICE Swap Trade, LLC | ICES | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1072 | LatAm SEF, LLC | LASF | LASF | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1073 | LedgerX LLC | LEDG | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1077 | MarketAxess SEF Corporation | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1089 | North American Derivatives Exchange, Inc. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1094 | OneChicago, LLC | XOCH | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1099 | Refinitiv US SEF LLC | THRE | THRE | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1102 | SwapEx, LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1103 | TeraExchange, LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1104 | tpSEF Inc. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1105 | TW SEF LLC | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1106 | Tradition SEF, Inc. | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1107 | Tassat Derivatives | N/A | N/A | United States of America | Commodity Futures Trading Commission (CFTC) | derivatives | Positive | None | 6/3/2020 |
| US1005 | Aqua Securities L.P. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1055 | Archipelago Trading Services, Inc | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1009 | AX Trading, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1010 | Barclays Capital Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1015 | BGC Financial L.P. ATS | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1018 | BGC Financial L.P. Fenics Treasury Platform | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1019 | BIDS Trading L.P. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1063 | BOFA SECURITIES, INC. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1021 | BOX Exchange LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1114 | Cboe BYX Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs and depositary receipts | Positive | None | 6/3/2020 |
| US1115 | Cboe BZX Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| US1117 | Cboe C2 Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1118 | Cboe EDGA Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs and depositary receipts | Positive | None | 6/3/2020 |
| US1119 | Cboe EDGX Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| US1024 | Cboe Exchange, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1028 | CITIGROUP GLOBAL MARKETS INC. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1034 | CODA Markets, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1035 | Credit Suisse Securities (USA) LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1036 | Creditex Securities Corporation | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1090 | Dash Financial Technologies LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1039 | Dealerweb, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1044 | eBX LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1084 | Execution Access, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Positive | None | 6/3/2020 |
| US1047 | FNC AG Stock, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1116 | GFI Securities LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1053 | GFI Securities LLC ATS | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1001 | GFI Securities LLC ATS LATG | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | bonds | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1101 | GOLDMAN SACHS & CO. LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1064 | INSTINET, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1070 | J.P. MORGAN SECURITIES LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1074 | LIQUIDNET, INC. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1076 | Luminex Trading & Analytics LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1078 | Miami International Securities Exchange, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1113 | MIAX PEARL, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1006 | MORGAN STANLEY & CO. LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1080 | Nasdaq BX, Inc. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| US1081 | Nasdaq GEMX, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1082 | Nasdaq ISE, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1083 | Nasdaq MRX, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | derivatives | Positive | None | 6/3/2020 |
| US1085 | Nasdaq Phlx, LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts and derivatives | Positive | None | 6/3/2020 |
| US1087 | New York Stock Exchange Group | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts, bonds and derivatives | Positive | None | 6/3/2020 |
| US1096 | OTC Link LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1112 | PIPER JAFFRAY & CO. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1098 | PRO SECURITIES, L.L.C. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1086 | The Nasdaq Stock Market LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | shares, ETFs, depositary receipts, certificates, bonds, structured finance products and derivatives | Positive | None | 6/3/2020 |
| US1108 | Tullett Prebon Financial Services LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1110 | USTOCKTRADE SECURITIES, INC. | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1111 | Variable Investment Advisors, Inc | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | Not provided | Partially Positive | U.S. Treasury Securities | 6/3/2020 |
| US1097 | VIRTU ITG LLC | N/A | N/A | United States of America | Securities and Exchange Commission (SEC) | NMS Stocks | Positive | None | 6/3/2020 |
| US1088 | NEX SEF Limited* | NEXS | REST | United States of America and United Kingdom [1] | Commodity Futures Trading Commission (CFTC) and UK Financial Conduct Authority (FCA) | derivatives | Positive | None | 6/3/2020 |
| (*) NEX SEF is registered as a Swap Execution Facility (SEF) with the Commodity Futures Trading Commission (“CFTC”) and is also authorized by the UK Financial Conduct Authority (the “FCA”) to operate an MTF. |
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