FOLIOfn Investments, Inc.

SEC Rule 606 Quarterly Report for the Quarter Ending Jun 30, 2016

The following is our routing report of customer orders for the quarter ending Jun 30, 2016.

In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, FOLIOfn Investments, Inc. is publishing this quarterly report on our order routing practices. The report provides information on the venues where we route our “non-directed orders” for execution. A “non-directed order” means that we decide where the order is executed, in contrast to “directed orders” where the customer decides. At this time, all of our orders are “non-directed.”

This report is divided into four sections: one for securities listed on the New York Stock Exchange (“NYSE Orders”); one for securities listed on the NASDAQ Stock Market (“NASDAQ Orders”); one for securities listed on the NYSE MKT or regional exchanges (“NYSE MKT Orders”); and one for exchange-listed options (“Options Orders”). For each section, this report identifies the venues most often selected by us, shows the percentage of various types of orders routed to the venues, and discusses the material aspects of our relationship with the venues.

Section I: NYSE Orders

  Total Market Orders Limit Orders Other Orders
Directed Orders 0% 0% 0% 0%
Non-directed Orders 100% 99.94% 0.05% 0.01%
Order Type KCG Americas, LLC Citadel Execution Services Automated Trading Desk, LLC BTIG, LLC ConvergEx Execution Solutions, LLC SG Americas Securities, LLC
Market 53.46% 41.46% 1.07% 2.38% 1.63% 0%
Limit 99.96% 0.04% 0% 0% 0% 0%
Other 99.90% 0% 0% 0.10% 0% 0%

Section II: NASDAQ Orders

  Total Market Orders Limit Orders Other Orders
Directed Orders 0% 0% 0% 0%
Non-directed Orders 100% 99.91% 0.08% 0.01%
Order Type KCG Americas, LLC Citadel Execution Services Automated Trading Desk, LLC BTIG, LLC ConvergEx Execution Solutions, LLC SG Americas Securities, LLC
Market 41.32% 50.25% 1.56% 6.87% 0% 0%
Limit 100% 0% 0% 0% 0% 0%
Other 100% 0% 0% 0% 0% 0%

Section III: NYSE MKT Orders

  Total Market Orders Limit Orders Other Orders
Directed Orders 0% 0% 0% 0%
Non-directed Orders 100% 99.81% 0.17% 0.02%
Order Type KCG Americas, LLC Citadel Execution Services Automated Trading Desk, LLC BTIG, LLC SG Americas Securities, LLC
Market 55.74% 37.70% 0.39% 6.17% 0%
Limit 98.31% 0% 0% 1.69% 0%
Other 100% 0% 0% 0% 0%

Section IV: Options Orders

Not applicable at this time.

Section V: Material Aspects of Relationship with Venues

When we route orders, we may receive payment for order flow, a standard industry practice where brokerage firms receive a small per-share rebate when an order is executed or a share of the market makers or market centers revenue for processing those orders. In addition, we may also receive compensation that is not directly related to specific per-share amounts from market centers but based instead on the overall quantity and/or type of order flow presented to the market center. We monitor executions regularly to ensure that all orders are executed at prices equal to or better than the displayed applicable national best bid/offer price.

KCG Americas, LLC

FOLIOfn Investments, Inc. receives payment from KCG Americas for directing order flow to KCG Americas. Payment is variable based on the size and spread in the security at the time of order execution. Payment is reduced or eliminated on price improved orders. Payments received from KCG Americas averaged less than $0.002 per share for the second quarter of 2016.

Citadel Execution Services

FOLIOfn Investments, Inc. receives payment from Citadel Execution Services for directing order flow to Citadel Execution Services. Payment is variable based on the execution price of the security at the time of order execution. Payments received from Citadel Execution Services averaged less than $0.002 per share for the second quarter of 2016.

Automated Trading Desk, LLC

FOLIOfn Investments, Inc. did not receive payment from Automated Trading Desk, LLC for order flow for the second quarter of 2016.

BTIG, LLC

FOLIOfn Investments, Inc. did not receive payment from BTIG, LLC for order flow for the second quarter of 2016.

ConvergEx Execution Solutions, LLC

FOLIOfn Investments, Inc. did not receive payment from ConvergEx Execution Solutions, LLC for order flow for the second quarter of 2016.

SG Americas Securities, LLC

FOLIOfn Investments, Inc. did not receive payment from SG Americas Securities, LLC for order flow for the second quarter of 2016.