Disclosures

Statement of Financial Condition-SEC Rule 17a-5(c)

In accordance with Securities Exchange Act Rule 17a-5(c), Axos Clearing LLC (“Axos” or “Axos Clearing”) makes its Statement of Financial Condition available at the following link:

 December 2018

June 2018

For further information or assistance, please contact our Client Services Department at (866) 774-0218.

USA Patriot Act

For information regarding Axos Clearing’s efforts to combat money laundering and details concerning Axos Clearing’s compliance with anti-money laundering regulations such as the USA PATRIOT Act, please click on the following link:

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Privacy Disclosure-Reg S/P

Axos Clearing is committed to the privacy and protection of the confidential information it possesses. For further information on how Axos Clearing collects, shares, and protects customer information, please click on the following link:

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FINRA BrokerCheck Rule 8312

BrokerCheck is a free tool from FINRA that can help you research the professional background of brokers and brokerage firms as well as investment adviser firms and advisers. BrokerCheck can be accessed by clicking on the following link: http://brokercheck.finra.org/

Routing Disclosure-Rule 606

The U.S. Securities and Exchange Commission’s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues.

SEC Rule 606 Report – Axos Clearing LLC – 4th Qtr. 2018

Securities Listed on New York Stock Exchange Euronext

Total (%)
100.00
1.78
0.00
98.22
Citadel Securities
31.01
40.35
0.00
30.84
UBS Securities LLC
28.54
21.05
0.00
28.68
Canaccord Genuity Inc
27.05
31.58
0.00
26.96
Goldman Sachs Exec & Clear
13.40
7.02
0.00
13.51
Total (%) 100.00 1.78 0.00 98.22
Citadel Securities 31.01 40.35 0.00 30.84
UBS Securities LLC 28.54 21.05 0.00 28.68
Canaccord Genuity Inc 27.05 31.58 0.00 26.96
Goldman Sachs Exec & Clear 13.40 7.02 0.00 13.51

100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market

Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 100.00 2.54 0.00 97.46
Canaccord Genuity Inc 41.75 45.00 0.00 41.67
Citadel Securities 32.49 35.00 0.00 32.42
UBS Securities LLC 25.76 20.00 0.00 25.91

100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE MKT or other National Securities Exchange

Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 100.00 1.26 0.00 98.74
Citadel Securities 38.57 41.67 0.00 38.54
Canaccord Genuity Inc 30.82 33.33 0.00 30.79
UBS Securities LLC 29.77 25.00 0.00 29.83
Goldman Sachs Exec&Clear 0.84 0.00 0.00 0.85

100.00% of total customer orders were non-directed orders.

Exchange-Listed Options

Route Venues
Total (%)
Total (%) 100.00
Market (%) 0.00
Limit (%) 100.00
Other (%) 0.00
No Covered Options
Total (%) 0.00
Market (%) 0.00
Limit (%) 0.00
Other (%) 0.00
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 0.00 0.00 100.00 0.00

There were no options trade 

executed under LGNT for this

period.

 

0.00 0.00 0.00 0.00

100.00% of total customer orders were non-directed orders.

Business Continuity Plan Disclosure-Rule 4370

Axos Clearing has prepared the following disclosure in accordance with FINRA Rule 4370.

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SIPC Rule 2266

Axos Clearing is a member of the Securities Investor Protection Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC Brochure and information about which assets are eligible for SIPC protection, by contacting SIPC at 1-202-371-8300 or visiting its website at www.sipc.org.

MSRB Investor Brochure

In addition to being registered with the Securities Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority (”FINRA”), Axos Clearing is a member of the Municipal Securities Rulemaking Board (“MSRB”). MSRB provides customers an investor brochure that describes protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority. To access this information, please click on the following link:

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Axos Clearing Base Rate (ACBR)

Axos Clearing Base Rate (ACBR) = 6.50%.
ACBR  was last changed on 12/20/2018 and is subject to change without notice.  Please contact your broker to determine the margin interest rate for your account.

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Headquarters

1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916
402-384-6100

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