Disclosures

Disclosures for US Counterparties and Clients

1. General Disclosures

• Complaints Disclosure
• FINRA BrokerCheck Disclosure
• Securities Investor Protection Corporation (SIPC) Disclosure
• Anti-Money Laundering (AML) Program Disclosure
• Business Continuity Plan Disclosure
• Foreign Tax Disclosure
• Citadel Group Tax Strategy

2. Equities Disclosures

• Rule 605 & 606 Statements
• Prospectus Delivery in Connection with Transactions in Exchange-Traded Products

3. Options

• Options Disclosure Document Statement

4. Fixed Income Disclosures

• Treasury Securities Fails Charge Trading Practice
• Dodd Frank Material Disclosure Statement

5. FX Disclosures

• FX Global Code of Conduct Liquidity Provider Disclosure Cover Sheet
• Citadel Securities LLC FX Market Making Client Trading Disclosure

6. Citadel Securities Swap Dealer LLC Disclosures

• December 31, 2023 Audited Financial Report
• June 30, 2023 Interim Financial Report (Unaudited)
• June 30, 2022 Interim Financial Report (Unaudited)
• December 31, 2022 Audited Financial Report
• December 31, 2021 Audited Financial Report

European Disclosures and Materials

Regarding Citadel Securities (Europe) Limited and Citadel Securities GCS (Ireland) Limited

1. Market Abuse Regulation Disclosures
Fixed Income Investment Recommendations:

Citadel Securities (Europe) Limited

• Investment Recommendation Disclosures
• Quarterly Report Disclosures
• Investment Recommendations
• Quarterly Report

Citadel Securities GCS (Ireland) Limited

• Investment Recommendation Disclosures
• Quarterly Report Disclosures
• Investment Recommendations
• Quarterly Report

2. FIMM Sales and Trading Disclosures

• Citadel Securities FIMM Sales and Trading Disclosures

3. MiFID II Disclosures

• MiFID II RTS27 BestEx Report
• Costs and Charges Information – Citadel Securities (Europe) Limited and Citadel Securities GCS (Ireland) Limited

4. Pillar 3 Disclosure Documents

• Citadel Securities (Europe) Limited
• Citadel Securities GCS (Ireland) Limited

A copy of Appendix A is available upon request at [email protected]

5. Citadel Securities GCS (Ireland) Limited, Paris Branch

• CSGI Securities GCS (Ireland) Limited, Paris Branch: Frequently Asked Questions

6. Terms of Business for Professional Clients and Eligible Counterparties

• Citadel Securities (Europe) Limited and Citadel Securities GCS (Ireland) Limited Terms of Business for Professional Clients and Eligible Counterparties

7. EU Sustainable Finance Disclosure Regulation Website Disclosures

• Citadel Securities GCS (Ireland) Limited EU Sustainable Finance Disclosure Regulation Disclosure

UK Disclosures

• Modern Slavery Statement
• CSEL Section 172(1) Statement
• CSFC section 172(1) Statement
• CSFE Section 172(1) Statement
• CSFC Corporate Governance Statement
• CSFE Corporate Governance Statement

Australia Disclosures

• ASFL Class Order Relief Disclosure

Japan Disclosures

• 利益相反管理方針
• 反社会的勢力に対する基本方針
• 苦情等に関する受付窓口
• 個人情報保護宣言

US Transparency in Coverage Rule

• Aetna Machine — Readable File