For the Quarter Ending March 31, 2013
I. SECURITIES LISTED ON THE NYSE:
UBS Securities LLC: UBS is a market maker in certain exchange listed and OTC equity securities. Part of the consideration received by The Charles Schwab Corporation for the sale of its capital markets business to UBS in 2004 related to an agreement for equity order routing and execution services with UBS, which has been extended. Schwab receives payments for orders executed through the firm, which averaged less than $.00065 per share.
Citadel Derivatives Group: Citadel is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $.0009 per share.
Citigroup: Citigroup is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $.001 per share.
II. SECURITIES LISTED ON THE NYSE MKT or REGIONAL EXCHANGES:
UBS Securities LLC: UBS is a market maker in certain exchange listed and OTC equity securities. Part of the consideration received by The Charles Schwab Corporation for the sale of its capital markets business to UBS in 2004 related to an agreement for equity order routing and execution services with UBS, which has been extended. Schwab receives payments for orders executed through the firm, which averaged less than $.00065 per share.
Citadel Derivatives Group: Citadel is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $ .0009 per share.
Citigroup: Citigroup is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $.001 per share.
III. SECURITIES LISTED ON THE NASDAQ STOCK MARKET:
UBS Securities LLC: UBS is a market maker in certain exchange listed and OTC equity securities. Part of the consideration received by The Charles Schwab Corporation for the sale of its capital markets business to UBS in 2004 related to an agreement for equity order routing and execution services with UBS, which has been extended. Schwab receives payments for orders executed through the firm, which averaged less than $ .00065 per share.
Citadel Derivatives Group: Citadel is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $ .0009 per share.
Citigroup: Citigroup is a market maker in certain exchange listed and OTC equity securities. Schwab receives payments for orders executed through the firm, which averaged less than $.001 per share.
IV. EXCHANGE-LISTED OPTIONS
Schwab routes orders in exchange-listed equity and index options to UBS Securities LLC, Wolverine Execution Services LLC, Susquehanna International Group, Morgan Stanley, Knight Capital Group LLC, Citadel LLC, and Citigroup , which employ smart order routing technology to seek best execution. Payments received for routing orders through these intermediaries averaged less than $0.315 per contract for orders executed in the quarter. In addition, part of the consideration received by The Charles Schwab Corporation for the sale of its capital markets business to UBS in 2004 related to an agreement for options order routing and execution services with UBS.
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