Note Concerning SEC Rule 606

Securities and Exchange Commission Rule 606 of Regulation NMS requires all broker-dealers to make publicly available a quarterly report with regard to their order routing practices for non-directed orders. The Rule excludes from the quarterly report those orders that are directed by a customer to a particular exchange or market for execution.

Lime Brokerage LLC's report is available on the Quarterly Order Routing Disclosure Reports page. Click on the appropriate quarter to access the data for the relevant time-period.

In addition, customers may request disclosure of the venues to which their orders were routed in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders. Contact the Lime Brokerage Order Desk at 212-824-5500 for any such request.