SEC 606

Order Handling Disclosure

Report on Routing of Customers Orders

Currently all orders of E1 Asset Management, Inc are offered through its clearing firm, AXOS Clearing LLC, a subsidiary of Axos Financial Inc. 

Axos Clearing LLC has provided information pursuant to a U.S. Securities and Exchange Commission (SEC) rule (606) that requires firms to make publicly available quarterly reports on the firm’s order routing practices. The report provides information on the routing of “non-directed orders” which is generally defined as any order that the client has not specifically instructed to be routed to a particular venue for execution.

For these non-directed orders, Axos Clearing LLC has selected the execution venue on behalf of its clients.

The report is divided into four sections: one for securities listed on the New York Stock Exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options.

For each section, this report identifies the venues most often selected by Axos, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of Axos’ relationship with the venues.

Please click on the following link https://www.axosclearing.com/disclosures/ and see the information provided under Routing Disclosure-Rule 606.

The following is a Regulatory disclosure report that has been prepared to assist our customers and the general public. Please click here to visit the public link

Please find E1 Asset Management 1Q2020 report in PDF and XML form. 

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