On a quarterly basis, pursuant to Securities & Exchange Commission (SEC) Rule 606, Joseph Gunnar & Co. LLC (“JGUN”) is making available a report on the Firm’s routing of non-directed orders in NMS stocks that are submitted on a held basis and of non-directed orders that are customer orders in NMS securities that are option contracts during that quarter broken down by calendar month. All orders are routed through our clearing agent RBC Correspondent Services (RBC) or internally through our institutional platform.

Information on execution quality for covered orders executed by JGUN, are published by TAG Audit Group and may be viewed at:

• SEC Rule 605 Reporting

Information on orders routed through our clearing agent, RBC Correspondent Services may be viewed at:

• SEC Rule 606 Reporting

Additionally upon request, JGUN will make available to clients information regarding the venues to which individual orders in the past six months were sent for execution.