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Applications & Forms
Oberweis Securities, Inc. (OSI) and its affiliates, Oberweis Asset Management, Inc. and The Oberweis Funds, have developed a business continuity plan to address a possible business disruption, emergency, or catastrophic event. While it is impossible to forecast every potential problem that could occur, OSI believes it has taken reasonable precautions to enable it to resume business operations under a variety of scenarios. If the OSI offices or immediate surroundings were to become unsuitable for operations, we intend to continue business under the provisions of the plan.
So that we can respond to events as they occur, we have identified functions critical to daily operations. Among other things, these functions include:
In the event of a disruption, we intend to deliver these critical functions from an alternate facility, or a third-party service provider will deliver them to you. We require service providers who deliver these essential services to meet our business continuity requirements.
Oberweis Securities, Inc. (OSI) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of nondirected orders; that is, any order that the customer has not specifically instructed to be routed to a particular venue for execution.
The report below is divided into four sections: one for securities listed on the New York Stock Exchange and reported as a Network A eligible security; one for securities listed on The NASDAQ Stock Market; one for securities listed on the NYSE Amex Exchange or regional exchanges and reported as a Network B eligible security; and one for exchange-listed options. For each section, this report identifies the venues most often used during the past quarter, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of OSI’s relationship with the venues.
Investors have the ability to request specific order routing and execution information. This will include the identity of the market place where the orders were routed for execution, whether the orders were directed or non-directed, and the time of the execution, if any. Investors can request to receive this information in writing. Broker-dealers were required to begin capturing this information on July 2, 2001, and make it available to investors for a period of six months prior to the request. You may contact your brokerage firm for additional details on the information that is available.
SEC RULE 606 QUARTERLY REPORT FOR THE PERIOD ENDING SEPTEMBER 30, 2023
For Institutional Investors Only
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