Disclosures
Statement of Financial Condition-SEC Rule 17a-5(c)
For further information or assistance, please contact our Client Services Department at (866) 774-0218.
USA Patriot Act
Privacy Disclosure-Reg S/P
FINRA BrokerCheck Rule 8312
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 – 1st Qtr. 2020
Securities Listed on New York Stock Exchange Euronext
| Total (%) 100.00 | Market (%)2.72 | Limit (%) 0.00 | Other (%) 97.28 | |
| Citadel Securities | 29.26 | 37.31 | 0.00 | 29.03 |
| Canaccord Genuity Inc | 29.09 | 26.87 | 0.00 | 29.16 |
| UBS Securities LLC | 25.72 | 23.88 | 0.00 | 25.77 |
| Maxim Group LLC | 14.75 | 11.94 | 0.00 | 14.83 |
100.00% of total customer orders were non-directed orders.
Securities Listed on The Nasdaq Stock Market
| Total (%) | 100.00 | 2.88 | 0.12 | 97.01 |
| Maxim Group LLC | 29.92 | 24.00 | 100.00 | 30.01 |
| Canaccord Genuity Inc | 26.12 | 24.00 | 0.00 | 26.22 |
| Citadel Securities | 22.44 | 40.00 | 0.00 | 21.95 |
| CPPT | 11.62 | 0.00 | 0.00 | 11.98 |
| UBS Securities LLC | 9.90 | 12.00 | 0.00 | 9.85 |
100.00% of total customer orders were non-directed orders.
Securities Listed on NYSE MKT or other National Securities Exchange
| Total (%) | 100.00 | 2.96 | 0.00 | 97.04 |
| Citadel Securities | 36.96 | 36.36 | 0.00 | 36.98 |
| Canaccord Genuity Inc | 31.72 | 36.36 | 0.00 | 31.58 |
| UBS Securities LLC | 30.24 | 27.27 | 0.00 | 30.33 |
100.00% of total customer orders were non-directed orders.
Exchange-Listed Options
| Total | 100.00 | 100.00 | 0.00 | 0.00 |
| Citadel Securities | 80.00 | 80.00 | 0.0 | 0.00 |
| Susquehanna Investment Gr | 20.00 | 20.00 | 0.0 | 0.0 |
100.00% of total customer orders were non-directed orders.
Business Continuity Plan Disclosure-Rule 4370
SIPC Rule 2266
MSRB Investor Brochure
Axos Clearing Base Rate (ACBR)
Axos Clearing Base Rate (ACBR) = 5.00%.
ACBR was last changed on 3/17/2020 and is subject to change without notice. Please contact your broker to determine the margin interest rate for your account.
The Broker Call (or Call Money) Rate
The Broker Call (or Call Money) Rate = 2.00%
The Broker Call Rate was last changed on 3/17/2020 and is subject to change without notice. It can be found in various financial newspapers including the Wall Street Journal. Please contact your Introducing Broker Dealer to determine the margin interest rate for your account.
Axos Clearing LLC Client Relationship Summary ("FORM CRS")
Regulation Best Interest requires broker dealers and investment advisers to provide clients with a relationship summary describing available services, fees, conflicts of interest, and other important information about the broker dealer or adviser. To see Axos Clearing LLC’s Client Relationship Summaries please click on the following links:
Axos Clearing LLC Client Relationship Summary – Broker Dealer
Connect With Axos Clearing
Headquarters
1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916
402-384-6100