Disclosure of SEC-Required Order Execution Information and Routing Information Pursuant to SEC Rules 605 and 606, formerly SEC 11Ac1-5 and 11Ac1-6 respectfully.

For the convenience of our clients, we provide the links below to our vendors, which will take you to the Firm’s order execution data and routing information as required by the Securities and Exchange Commission rules and regulations. For any additional inquiries, please contact the Chief Compliance Officer, The Vertical Group, 417 5th Avenue, New York, NY 10016..

For all 605 reports beginning on 7/1/16:
http://private.bestxstats.com/605_public/?bxs_mpid=vertical_group

For all 606 reports beginning from 3rd Quarter 2016:
http://private.bestxstats.com/606_public/?company=vert

For all prior 605 and 606 reports:
http://financialsystems.sungard.com/solutions/compliance-tax/protegent/protegent-trading-compliance/best-execution-order-routing