a Oberweis Asset Management ABOUT US RESOURCES LOGIN CONTACT US RESOURCES APPLICATIONS & FORMS FAQS BUSINESS CONTINUITY PLAN TRADE ROUTING REPORTS TRADE ROUTING REPORTS Oberweis Securities, Inc. (OSI) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of nondirected orders; that is, any order that the customer has not specifically instructed to be routed to a particular venue for execution. The report below is divided into four sections: one for securities listed on the New York Stock Exchange and reported as a Network A eligible security; one for securities listed on The NASDAQ Stock Market; one for securities listed on the NYSE Amex Exchange or regional exchanges and reported as a Network B eligible security; and one for exchange-listed options. For each section, this report identifies the venues most often used during the past quarter, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of OSI’s relationship with the venues. INVESTOR INQUIRY Investors have the ability to request specific order routing and execution information. This will include the identity of the market place where the orders were routed for execution, whether the orders were directed or non-directed, and the time of the execution, if any. Investors can request to receive this information in writing. Broker-dealers were required to begin capturing this information on July 2, 2001, and make it available to investors for a period of six months prior to the request. You may contact your brokerage firm for additional details on the information that is available. SEC RULE 606 QUARTERLY REPORT FOR THE PERIOD ENDING SEPTEMBER 30, 2021 Held NMS Stocks and Options Order Routing Report (pdf) Held NMS Stocks and Options Order Routing Report (xml) Oberweis Securities, Inc. 3333 Warrenville Road, Suite 500 Lisle, IL 60532 Institutional Services 800-323-6166 ©2021 "Oberweis" and the "O" design are trademarks of Oberweis Asset Management, Inc. All rights reserved. Privacy Legal Terms of Use DISCLOSURE: Before investing carefully consider the fund's investment objectives, risks, charges and expenses. Please see the prospectus and summary prospectus containing this and other information or call 1-800-323-6166. Read it carefully before investing. The Oberweis Funds are distributed by Oberweis Securities, Inc. Member FINRA & SIPC