important disclosures

Statement of Financial Condition-SEC Rule 17a-5(c)

In accordance with Securities Exchange Act Rule 17a-5(c), COR Clearing LLC (“COR” or “COR Clearing”) makes its Statement of Financial Condition available at the following link:

June 2018

December 2017

For further information or assistance, please contact our Client Services Department at (866) 774-0218.

USA Patriot Act

For information regarding COR Clearing’s efforts to combat money laundering and details concerning COR Clearing’s compliance with anti-money laundering regulations such as the USA PATRIOT Act, please click on the following link:

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Privacy Disclosure-Reg S/P

COR Clearing is committed to the privacy and protection of the confidential information it possesses. For further information on how COR Clearing collects, shares, and protects customer information, please click on the following link:

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FINRA BrokerCheck Rule 8312

BrokerCheck is a free tool from FINRA that can help you research the professional background of brokers and brokerage firms as well as investment adviser firms and advisers. BrokerCheck can be accessed by clicking on the following link: http://brokercheck.finra.org/

Routing Disclosure-Rule 606

The U.S. Securities and Exchange Commission’s client disclosure rule, Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker-dealer’s relationship with such venues.

SEC Rule 606 Report – COR Clearing LLC – 3rd Qtr. 2018

Securities Listed on New York Stock Exchange Euronext

Total (%)
100.00
1.85
4.51
93.63
Canaccord Genuity Inc
32.26
30.65
98.68
29.09
Citadel Securities
29.66
43.55
0.00
30.81
UBS Securities LLC
26.40
20.97
0.66
27.75
Goldman Sachs Exec&Clear
11.69
4.84
0.66
12.36
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 100.00 1.85 4.51 93.63
Canaccord Genuity Inc 32.26 30.65 98.68 29.09
Citadel Securities 29.66 43.55 0.00 30.81
UBS Securities LLC 26.40 20.97 0.66 27.75
Goldman Sachs Exec&Clear 11.69 4.84 0.66 12.36

100.00% of total customer orders were non-directed orders.

Securities Listed on The Nasdaq Stock Market

Total (%)
100
1.62
2.06
96.32
UBS Securities LLC
64.96
23.08
93.94
65.05
Citadel Securities
18.33
34.62
3.03
18.38
Canaccord Genuity Inc
16.71
42.31
3.03
16.57
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 100.00 1.62 2.06 96.32
UBS Securities LLC 64.96 23.08 93.94 65.05
Citadel Securities 18.33 34.62 3.03 18.38
Canaccord Genuity Inc 16.71 42.31 3.03 16.57

100.00% of total customer orders were non-directed orders.

Securities Listed on NYSE MKT or other National Securities Exchange

Total (%)
100.00
2.05
1.26
96.69
Citadel Securities
45.27
46.15
0.00
45.84
UBS Securities LLC
31.39
23.08
100.00
30.67
Canaccord Genuity Inc
22.87
23.08
0.00
23.16
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 100.00 2.05 1.26 96.69
Citadel Securities 45.27 46.15 0.00 45.84
UBS Securities LLC 31.39 23.08 100.00 30.67
Canaccord Genuity Inc 22.87 23.08 0.00 23.16

100.00% of total customer orders were non-directed orders.

Exchange-Listed Options

Route Venues
Total (%)
Total (%) 100.00
Market (%) 0.00
Limit (%) 100.00
Other (%) 0.00
No Covered Options
Total (%) 0.00
Market (%) 0.00
Limit (%) 0.00
Other (%) 0.00
Route Venues Total (%) Market (%) Limit (%) Other (%)
Total (%) 0.00 0.00 100.00 0.00
No Covered Options 0.00 0.00 0.00 0.00

100.00% of total customer orders were non-directed orders.

Business Continuity Plan Disclosure-Rule 4370

COR Clearing has prepared the following disclosure in accordance with FINRA Rule 4370.

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SIPC Rule 2266

COR Clearing is a member of the Securities Investor Protection Corporation (“SIPC”). You may obtain information about SIPC, including the SIPC Brochure and information about which assets are eligible for SIPC protection, by contacting SIPC at 1-202-371-8300 or visiting its website at www.sipc.org.

MSRB Investor Brochure

In addition to being registered with the Securities Exchange Commission (“SEC”) and a member of the Financial Industry Regulatory Authority (”FINRA”), COR Clearing is a member of the Municipal Securities Rulemaking Board (“MSRB”). MSRB provides customers an investor brochure that describes protections that may be provided by the MSRB rules and how to file a complaint with an appropriate regulatory authority. To access this information, please click on the following link:

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COR Clearing Base Rate (CCBR)

COR Clearing Base Rate (CCBR) = 6.25%.
CCBR  was last changed on 9/27/2018 and is subject to change without notice.  Please contact your broker to determine the margin interest rate for your account.

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HEADQUARTERS

1200 Landmark Center, Ste. 800
Omaha, NE 68102-1916
402-384-6100

© 2016 COR Clearing LLC. Member FINRA & SIPC. All Rights Reserved. | This website is for the use of broker-dealers, registered investment advisors, and other financial professionals. COR Clearing LLC does not provide services to the general public.