TRADE ROUTING REPORTS

Oberweis Securities, Inc. (“OSI”) is an introducing broker. Transactions effected by OSI are executed and settled through our clearing firm, National Financial Services LLC (“NFS”). NFS makes the routing decisions concerning customer transactions for OSI. SEC Rule 606 requires all broker-dealers that route orders in equity and option securities to make available quarterly reports on order routing practices. The below quarterly reports provide information on the routing of nondirected orders in NMS stocks and option contracts in NMS securities; that is, any order that the customer has not specifically instructed to be routed to a particular venue for execution.

INVESTOR INQUIRY

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. You may contact your brokerage firm for additional details on the information that is available.

 

SEC RULE 606 QUARTERLY REPORT FOR THE PERIOD ENDING MARCH 31, 2025