OTC Alpha and Numerical References (Alpha sorted by Symbol

OTC Alpha and Numerical References (Alpha sorted by Symbol; Numerical sorted by NSCC Clearing Participant then Executing Broker)

November 2014

1

MPID Name Clearing No.

AACC ABN AMRO Clearing Chicago LLC/Institutional 0541 ABAI Abacus Investments, Inc. 0309 ABGS ABG Sundal Collier, Inc. 0103 ABLE Natixis Securities Americas LLC 0031 ABNA ABN AMRO Securities (USA) LLC 0349 ABND ABN AMRO Clearing Chicago LLC/Bonds 0575 ACAD Academy Securities, Inc. 0352 ACAP ACAP Financial, Inc. 8072 ACBD American Century Brokerage, Inc. 0443 ACCP Aegis Capital Corp. 0158 ACCU AltaCorp Capital (USA) Inc. 0158 ACGP Andes Capital Group, LLC 0235 ACII ARCA Capital Investments, Inc. 0158 ACLP Alexander Capital, L.P. 0235 ACPL American Capital Partners 0235 ACRA Archipelago Securities, LLC 0436 ACRN Acorns Securities, LLC 0235 ADAK Adirondack Trading Group, LLC 0052 ADAM Canaccord Genuity Inc. 0352 ADFG American Diversified Financial Group, LLC 0235 ADKT Adirondack Trading Group LLC 0309 ADRD G-Trade Services LLC 0161 ADVA Advanced Equities, Inc. 0052 AEGC Aegis Capital Corp. 0512 AEGS Aegis Investments, Inc. 0750 AESX Credit Suisse Securities (USA) LLC 0355 AEXG Alternative Execution Group 0052 AFCO Fried (Albert) & Company, LLC 0284 AFGI Access Financial Group, Inc. 0352 AFGL Atlas One Financial Group, LLC 0161 AFGR Avenir Financial Group, Inc. 0052 AFGT Ambassador Financial Group, Inc. 0279 AFSM Atlantic Financial Services of Maine, Inc. 0750 AFSS Four Points Capital Partners LLC 0750 AGBD AG BD, LLC 0352 AGCO Auerbach Grayson & Co. Inc. 0443 AGCP Aegis Capital Corp. 0235 AGIS Aegis Capital Corp. 0235 AHBI Abner, Herrman & Brock, Inc. 0352 AICB Ameritas Investment Corp. 0235 AICO Arcadia Investment Corp. 0352 AIGF Sagepoint Financial, Inc. 0443 AIRS Hand Securities, Inc. 0309 AISG American Independent Securities Group, LLC 0235 AJAY Pace (A.J.) & Co., Inc. 0352 AKGS Alliance Financial Group, Inc. 0141 ALAC Alamo Capital 0309 ALFA Alforma Capital Markets, Inc. 0443 ALGF Algo Engineering Execution Services LLC 0541 ALGO Stock USA Execution Services, Inc 0873 ALGR Fred Alger & Company, Incorporated 0158 ALIS Alexander Investment Services Co. 0235 ALLC Archipelago Securities, LLC 0436 ALLN Allen & Company LLC 0443

ALLU Alluvion Securities, LLC 0750 ALLX ABN AMRO Clearing Chicago LLC 0695 ALPS Alpine Securities Corporation 8072 ALTN Allston Trading, LLC 0695 ALTR Allston Trading, LLC 0695 ALTX AlterNet Securities Inc. 0099 AMUR AMUR Advisors, LLC 0309 ANDG Garrett (Andrew) Inc. 0235

ANDZ SunGard Brokerage & Securities Services, LLC 0050

ANOS Abel/Noser Corp. 0100 ANOV Anovest Financial Services, Inc. 0750 AOSD Trading Block 0158 APBI APB Financial Group, LLC 0103 APCC Apex Clearing Corporation 0158

APMA ABN AMRO Clearing Chicago LLC/Portfolio Margining 0396

APOG Citadel Securities LLC 0395 APTO Apto Partners, LLC 0103 AQUA Cantor Fitzgerald & Co./Aqua Securities, L.P. 7310 ARBI Aufhauser Securities, Inc. 0443 ARCA Archipelago Trading Services, Inc. 0436 ARCD Arcadia Securities, LLC 0443 ARCH Investacorp, Inc. 0226 ARDR Ardour Capital Investments, LLC 0103 ARGA Auriga USA, Inc. 0443 ARIV Arive Capital Markets LLC 0309 ARRB Archipelago Securities, LLC 0436 ARTI Arbor Research & Trading, LLC. 0388 ARUS Autonomous Research US, LP 2154 ARVS Arvest Investments, Inc. 0141 ASCM Ascendiant Capital Markets, LLC 0158 ASCR Ascendiant Capital Markets, LLC 0595 ASEL Tradition Asiel Securities, Inc. 0370 ASGI Alton Securities Group Inc. 0235 ASLB Tradition Asiel Securities, Inc. 0370 ASPN Aspen Equity Partners, LLC 0309

ASSD SunGard Brokerage & Securities Services, LLC 0050

ASSO Associated Securities Corporation 0075

ATDF Automated Trading Desk Financial Services, LLC 0505

ATGP Agency Trading Group, Inc. 0226 ATGX ABN AMRO Clearing Chicago LLC 0396 ATIX ABN AMRO Clearing Chicago LLC 0695 ATMC ATM Execution LLC 0161 ATPA Concept Capital Markets, LLC 0161 ATRM Atrium Trading, Inc. 0017 ATRU Altrushare Securities LLC 0100 ATTR Atlantic Trading Partners Incorporated 0235 AURA Aura Financial Services, Inc. 0750 AURC Aurora Capital LLC 0052

AUTO Automated Trading Desk Financial Services, LLC 0505

AUTX Reuters Transaction Services LLC 0100 AVIL Avila Capital Markets, Inc. 0226 AVML AVM, L.P. 0443


November 2014

2

AVON Avondale Partners, LLC 0226 AVUS Aviate Global LP 2154 AXCB Access Securities, Inc. 0443 AXCS Access Securities, Inc. 0443 AXGP Access Securities, Inc. 0501 AXIO Axiom Capital Management, Inc. 0352 AYME Martinez-Ayme Securities 0052 AZAD Alzaid Financial Services, Inc. 0750 BAIN Bankers & Investors Co. 0279 BALE M&T Securities, Inc. 0443 BAND Broadband Capital Management, LLC 0103 BANF Banif Securities Inc. 0443 BANK Cetera Investment Services LLC 0701 BAQP Burke & Quick Partners LLC 0443 BARD Baird (Robert W.) & Co., Incorporated 0547 BARR Barrett & Company 0226 BATM BATS Trading, Inc. 0050 BATS BATS Trading, Inc. 0103 BAUM Baum (George K.) & Co. 0129 BAYC Bay Crest Partners, LLC 0161 BAYS Bayes Capital LLC 0824 BAYT BTIG, LLC 0501 BAYZ Bayes Capital Markets LLC 0873 BBAY Blue Bay Capital Ltd. 0750 BBCC BankersBanc Capital Corporation 0750 BBGC Graham (B.B.) & Company 0235 BBHC Brown Brothers Harriman & Co. 0010 BBII Sierra Equity Group Ltd. 0235 BBNT BB&T Securities, LLC 0702 BBOX Blinkbox, Ltd. 0873 BBTT BB&T Investment Services, Inc. 0702 BCAP Barclays Capital, Inc. 5101 BCDX Barclays Captial Inc. 0229 BCEP Merrill Lynch, Pierce, Fenner & Smith, Inc. 0551 BCEX Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 BCHY Barclays Capital, Inc. 5101 BCLT Riviere Securities Inc. 0309 BCMI Blackwall Capital Markets, Inc. 0235 BCOM Baker & Co., Incorporated 0235 BCPI GVC Capital LLC 0309 BCPL Britannica Capital Partners, LLC 0750 BCPP Barclays Capital, Inc. 5101 BCRK Bear Creek Securities, LLC 0309 BCSB Blue Capital Securities, Inc. 0352 BCZC Ziegler (B.C.) & Company 0443 BDIR Jefferies & Co., Inc. 0352 BDON Bond One, LLC 0750 BDSE Best Direct Securities, LLC 0750 BEAF Beaconsfield Financial Services, Inc. 0235 BEAG Beacon Gate LLC 0501 BEAR J.P. Morgan Securities, Inc. 0352 BECM Beta Capital Management 0352 BEGK Benjamin & Jerold Brokerage I, LLC 0100 BEJB Benjamin & Jerold Brokerage I, LLC 0873 BEJJ Benjamin & Jerold Brokerage, Inc. 0052 BELO Beloyan Investment Securities, Inc. 0052

BELS Bel Air Securities LLC 0352 BELV Belvedere Trading LLC 0501 BELZ Dash Financial LLC 0627 BENS Benjamin Securities Investment Co., Inc. 0279 BERN Bernstein (Sanford C.) & Co., Inc. 0013 BEST J.P. Morgan Securities, Inc. 0352 BETC Bayes Capital LLC 0873 BFEC Benjamin F. Edwards & Co. 0443

BFFI Berthel, Fisher & Company Financial Services, Inc. 0226

BFSA Berwyn Financial Services 0226 BFSL Briggs-Ficks Securities, LLC 0235 BGCE BGC Financial, Inc. 0161 BGCF BGC Financial, L.P. 0537 BGCM BGB Securities Inc. 0103 BGIA Biondo Asset Management LLC 0226 BGIS BlackRock Execution Services 0352 BGSG CBIZ Financial Solutions, Inc. 0226 BHSE The Bond House 0309 BIAD Sagetrader, LLC 0551 BIDS BIDS Trading L.P. 0161 BIGG Brownstone Investment Group 0501 BIGP Brownstone Investment Group, LLC 0443 BIGS PCBB Capital Markets, LLC 0352 BIGZ Brownstone Investment Group, LLC 0443 BIMI Banca IMI Securities Corp. 0136 BIRM Sanford C. Bernstein & Co., LLC 0013 BISH Bishop, Rosen & Co., Inc. 0226 BISI Banorte-Ixe Securities International, LTD 0309 BJCM Essex Securities LLC 0750 BJRC Cascade Investment Group, Inc. 0235 BKCM BNY Capital Markets Inc. 0443 BKKY Block Kelly Company 0750 BKMM BNY Mellon Capital Markets LLC 0443 BKRT Buckman, Buckman & Reid, Inc. 0235 BLAV Sanford C. Bernstein & Co., LLC 0013 BLAY Bley Investments Group, Inc. 0443 BLCK Black (James I.) & Co. 7031 BLNS Braymen, Lambert and Noel Securities, Ltd. 0309 BLOC Trading Block 0158 BLTK Bulltick, LLC 0443 BLTN Bolton Securities Corporation 0235 BLVS Blue Vase Securities, LLC 0161 BMAC BMA Securities 0052 BMAK BMA Securities 0824 BMIC Biltmore International Corporation 0824 BMKS Benchmark Securities LLC 0309 BMOC BMO Capital Markets Corp. 0045 BMRK Benchmark Investments, Inc. 0235 BMSS BMA Securities 0512 BMUR Brean Capital, LLC 0443 BNBB Bellamah, Neuhauser & Barrett, Inc. 0750 BNCH Benchmark Company, LLC (The) 0352 BNJM Benjamin Securities, Inc. 0235 BNKS FIG Partners, LLC 0141 BNPB BNP Paribas Securities Corp. 2154


November 2014

3

BNPS BNP Paribas Securities Corp. 2154 BNPX BNP Paribas Securities Corp. 2154 BNYN Banyan Securities, LLC 0226 BOBO Penates Group Inc. 0235 BOIN Boursa Investments 0873 BOKI BOSC, Inc. 0443 BOLL Bodell Overcash Anderson & Co. 0309 BOOK Bloomberg Tradebook LLC 7001 BOSC Boenning & Scattergood, Inc. 0141 BOSE Boe Securities Inc. 0099 BOTZ Botzum (C.A.) & Company 0052 BPBI BNP Paribas Prime Brokerage, Inc. 2154 BRBR Brown & Brown Securities, Inc. 0279 BRCY BCP Securities, LLC 0443 BRGE Newbridge Securities Corporation 0052 BRGI Advanced Asset Trading, Inc. 0235 BRIL Brill Securities, Inc. 0352 BRIX ABN AMRO Clearing Chicago LLC 0396 BRMF First Bermuda Securities (BVI), Ltd. 0158 BRMS Biremis Corporation 0100 BRNM Burnham Securities Inc. 0352 BRNT Brent (H.D.) & Company, Inc. 0235 BROC Pavilion Global Markets Ltd 0443 BRPR Brasil Plural Securities LLC 0443 BRRR Barrington Research Associates, Inc. 0352 BRSA Boursa Investments 0103 BRSE Bradesco Securities, Inc. 0226 BRUT NASDAQ Execution Services, LLC 0568 BRVL Blaylock Robert Van, LLC 0443 BSCO Brookshire Securities Corporation 0750 BSSC J.P. Morgan Clearing Corp. 0352 BTBK Bloomberg Tradebook LLC 7001 BTGG Goldman Sachs Execution & Clearing, L.P. 0501 BTIG BTIG, LLC 0501 BTIS BTIG, LLC 0443 BTIX BTIG, LLC 0352 BTSI B&T Securities, Inc. 0595

BUCK Buckingham Research Group Incorporated (The) 0226

BUEL Buell Securities Corp. 0443 BUNT UBS Securities Canada Inc./CDS 5017 BVCM Unicredit Capital Markets, Inc. 0443 BVIS BestVest Investments, Ltd. 0235 BWEL Barclays Capital, Inc. 0443 BWEX Birchwood Securities Corp. 0595 BWNA Brown Associates, Inc. 0235 BYXM BATS Trading, Inc. 0050 BYXX BATS Trading, Inc. 0103 BZWV Goldman Sachs Execution & Clearing, L.P. 0501 BZWW Goldman Sachs Execution & Clearing, L.P. 0501 BZWX Goldman Sachs Execution & Clearing, L.P. 0501 BZXL Volant Liquidity, LLC 0695 BZYD Goldman Sachs Execution & Clearing, L.P. 0501 BZYE Goldman Sachs Execution & Clearing, L.P. 0501 BZYF Goldman Sachs Execution & Clearing, L.P. 0501 BZYG Goldman Sachs Execution & Clearing, L.P. 0501

BZYH Goldman Sachs Execution & Clearing, L.P. 0501 BZYJ Goldman Sachs Execution & Clearing, L.P. 0501 BZZH Goldman Sachs Execution & Clearing 0501 BZZK Goldman Sachs Execution & Clearing, L.P. 0501 BZZN Goldman Sachs Execution & Clearing, L.P. 0501 CAAA Akar Capital Management, Inc. 0750 CABA Cabrera Capital Markets, Inc. 0161 CABR Cabrera Capital Markets, Inc. 0443 CACX ABN AMRO Clearing Chicago LLC 0396 CADG Saxis Group, Inc. 0501 CADP Cadwyn Point Partners LLC 0100 CAES NASDAQ Stock Market, LLC. (The) 0734 CAGI Crescent Securities Group, Inc. 0279 CALD Caldwell Securities, Incorporated 0103 CALE Cales Investments, Inc. 0750 CALL Callaway Financial Services, Inc. 0309 CALT Calton & Associates, Inc. 0279 CAMC Cambria Capital, LLC 0052 CANA Canaccord Genuity Inc. 0443 CANR Cantone Research, Inc. 0103 CANT Cantor Fitzgerald & Co. 0696 CAPB Capital Investment Brokerage Inc. 0750 CAPE Cape Securities, Inc. 0279 CAPF Capital Financial Services, Inc. 0235 CAPG Capital Investment Group, Inc. 0750 CARC Carolina Capital Markets, Inc. 0702 CASH Planner Securities LLC 0158 CATC Chicago Analytic Trading Company, LLC 0017 CATE Carter, Terry & Company, Inc. 0235 CATH Cathay Securities, Inc. 0309 CATS Citadel Securities LLC 0395 CBFG CBG Financial Group, Inc. 0750 CBOL Mutual Securities, Inc. 0226 CBRA Cobra Trading, Inc. 0103 CBTD Synovus Securities Inc. 0226 CCAI Canaccord Capital Corporation/CDS 5046 CCAL Collins Capital Advisors, LLC 0750 CCAT Citigroup Global Markets Inc. 0418 CCCM Concept Capital Markets, LLC 0352 CCCO Carnes Capital Corp. 0352 CCMB Concept Capital Markets, LLC 0443 CCML Concept Capital Markets, LLC 0551 CCMX Citadel Securities LLC 0395 CDEL Citadel Securities LLC 0161 CDFS CD Funding Securities, LLC 0052 CDGO Citadel Securities LLC 0551 CDRG Citadel Securities LLC 0395 CDSO Cert Direct Securities Inc. 0750 CEDL Citadel Securities LLC 0395 CEFG Cowen Equity Finance LP 0580 CEMM Citadel Securities LLC 0395 CENT Central Securities, LLC 0750 CEON Rice, Voelker LLC 0512 CERS Ceros Financial Services, Inc. 0226 CFCD Cantor Fitzgerald & Co. 0501 CFCO Cantor Fitzgerald & Co./Debt Capital Markets 7311


November 2014

4

CFCS Cantor Fitzgerald & Co. 0501 CFDI CFD Investments 0235 CFGM Trustmont Financial Group, Inc. 0235 CFGN Celadon Financial Group LLC 0824 CFGT CF Global Trading, LLC 0161 CFII Consolidated Financial Investments, Inc. 0352 CFIN Chelsea Financial Services 0309 CFPT Cantor Fitzgerald & Co. 0197 CFSC Citicorp Financial Services Corporation 0418 CGAT Cadaret, Grant & Co., Inc. 0443 CGDN Capital Guardian, LLC 0443

CGMI Citigroup Global Markets Inc./Correspondent Clearing 0505

CGQT Citigroup Global Markets Inc. 0418 CGWM Citigroup Global Markets Inc. 0443 CHAS Charles Schwab & Co., Inc. 0164 CHBC Cheevers & Company Inc 0161 CHCH Churchill Financial LLC 0352 CHCK Chickasaw Securities, LLC 0352 CHDN Chardan Capital Markets LLC 0824 CHIL Chilian Partners L.P. 0352 CHLC Churchill Capital USA, Inc. 0443 CHLM Craig-Hallum Capital Group, LLC 0161 CHNR Chauner Securities, Inc. 0235 CHPP Tullett Prebon Financial Services LLC 0624 CHPR Chopper Securities LLC 0695 CHTS Chatsworth Securities LLC 0279 CHVX ABN AMRO Clearing Chicago LLC 0695 CICC CICC US Securities, Inc. 0443 CICF Canaccord Genuity Corp.CDS 5046 CIIV Corporate Investments Group Inc. 0052 CIMS CIM SECURITIES, LLC 0279 CIRI Cambridge Investment Research, Inc. 0443 CISC Caldwell International Securities Corporation 0279 CISI Chase Investment Services Corp. 0352 CIST Capital Institutional Services, Inc. 0161 CITA Citation Financial Group, L.P. 0443 CJSC CJS Securities, Inc. 0443 CLAN Clancy Financial Services, Inc 0284 CLCI Clayton, Lowell & Conger Inc. 0052 CLDN Celadon Financial Group LLC 0551 CLDS Coldwater Securities Incorporated 0352 CLGL CLG Investment Company, Inc 0443 CLKS Clarkson Capital Markets 0100 CLRK Clark Dodge & Co., Inc. 0235 CLSA CLSA Americas, LLC 0651 CLSC Cabot Lodge Securities LLC 0235 CLSI Caprock Securities, Inc. 0279 CLSS Cabot Lodge Securities LLC 0235 CLVU Clearview Trading Advisors Inc. 0501 CMCA Comerica Securities 0443 CMCE Commerce Brokerage Services 0226 CMDN Camden Financial Services 0052 CMGT Country Capital Inc. 0235 CMKT Concept Capital Markets, LLC 0824 CMMW Commonwealth Financial Network 0226

CMPT Compass Point Research & Trading, LLC 0443 CMSI Capital Management Securities, Inc. 0279 CMTT CMT Trading LLC 0695 CNBS CNBS, LLC 0309 CNCD Concorde Investment Services, LLC 0235 CNFR Conifer Securities, LLC 0443 CNFX Conifer Securities LLC 0100 CNTR Precision Securities, LLC 0103 COAK CastleOak Securities, L.P 0197 COFS Colorado Financial Service Corporation 0309 COGX ABN AMRO Clearing Chicago LLC 0695 COHI High Point Capital Group, Inc. 0873 COHN Cohen Bros. & Company 0235 COKE Coker & Palmer, Inc. 0235 COLL Collins & Co. 0235 CONF Conservative Financial Services, Inc. 0235 CONR Conners & Co., Inc. 0235 CORR COR Clearing LLC 0052 COSE Cosse International Securities Inc. 8153 COWN Cowen & Company, LLC 0226 COWP Cowen & Company, LLC 0226 COWR Cowen and Company, LLC 0443 COWX Cowen and Company, LLC 0161 COYL Coyle Securities LLC 0235 CPBC Baker (C.P.) Securities Incorporated 0750 CPCS CP Capital Securities 0052 CPES ConvergEx Execution Solutions LLC 0100 CPET Clearpool Execution Services, LLC 0873 CPEX Clearpool Execution Services, LLC 0824 CPLC Cova Capital Partners LLC 0235 CPMI Capital Portfolio Management Inc. 0352 CPSE Capstone Investments 0873 CPSI Casey Professional Services, LLC 0501 CPSL Charter Pacific Securities, LLC 0750 CRAG Credit Agricole Cheuvreux North America, Inc. 0651 CRDL Cardinal Investments Inc. 0235 CRFN Robinhood Financial, LLC. 0158 CROS Credit Suisse Securities (USA) LLC 0355 CRTC CRT Capital Group, LLC 0443 CRTS CertusSecurities, Inc. 0226 CRUS China Renaissance Securities (US) Inc. 0824 CSCP Craig Scott Capital, LLC 0052 CSCV Capitol Securities Management, Inc. 0702

CSGI Charles Schwab & Co., Inc./Schwab Global Investing Account 7587

CSIN Capital Select Investment 0235 CSIS Citic Securities International USA, LLC 0824 CSIU Citic Securities International USA, LLC 0501 CSMI Capitol Securities Management, Inc. 0443 CSMS Cornerstone Macro LLC 0161 CSNT Crescent Securities Group, Inc. 0309

CSPD Cantor Fitzgerald & Co. - Cantor Clearing Services 0197

CSPI Capital Synergy Partners 0235 CSSX ABN AMRO Clearing Chicago LLC 0695 CSTI Canaccord Genuity Securities LLC 0352


November 2014

5

CTAS Infinex Investments, Inc. 0443 CTCO Citco Securities, Inc 0017 CTDL Citadel Securities LLC 0395 CTLA Cantella & Co., Inc. 0443 CTRD Choice Trade 0595 CTSC Creditex Securities Corporation 0443 CUFT Frost Brokerage Services, Inc. 0226 CUGS Cuttone & Co., Inc. 0050 CUPS Cuttone & Co., Inc. 0443 CURN Curian Clearing, LLC 0300 CURR Curren & Company 0352 CUTT Cutter & Company Brokerage, Inc. 0141 CUTW Cutter & Company, Inc. 0702 CVBR CV Brokerage Inc. 0824 CWMC CIBC World Markets Corp. 0438 CWMK CIBC World Markets Corp. 0438 CXCX Citigroup Global Markets Inc. 0505 CXPS ConvergEx Prime Services LLC 0017 DADA Davidson (D.A.) & Co. Inc. 0361 DAII Alexander (Don) Investments, Inc. 0235 DAIN RBC Capital Markets Corporation 0235 DAKO Dakota Securities International, Inc. 0052 DALE America Northcoast Securities, Inc. 0443 DARA Darwood Associates, Inc. 0235 DARQ NASDAQ Execution Services, LLC 0568 DART Dart Executions, LLC 0501 DAVA Davenport & Company LLC 0715 DAVE Diamant Investment Corp. 0344 DAVS Davis Securities LLC 0103 DAWA Daiwa Capital Markets America Inc. 0647 DBAB Deutsche Bank Securities Inc. 0573 DBAE Deutsche Bank Securities Inc. 0573 DBAT Deutsche Bank Securities Inc. 0573 DBAX Deutsche Bank Securities Inc. 0573 DBIB Deutsche Bank Securities Inc. 0573 DBLV Deutsche Bank Securities Inc. 0573 DBMS Deutsche Bank Securities Inc. 0573 DBPC Deutsche Bank Securities Inc. 0443 DBPR Deutsche Bank Securities Inc. 0573 DBPT Deutsche Bank Securities Inc. 0573 DBQT Deutsche Bank Securities Inc. 0573 DBRC Deutsche Bank Securities Inc. 0573 DBRT Deutsche Bank Securities Inc. 0573 DBST Deutsche Bank Securities Inc. 0573 DBUL Deutsche Bank Securities Inc. 0573 DCAF Scotia Capital Inc./Hollis Wealth/CDS 5039 DCHF Dart Executions, LLC 0695 DCPI Dynasty Capital Partners, Inc 0279 DCRN Discern Securities, Inc. 0100 DCSD Dain Correspondent Services 0235 DCUS Dubeau Capital USA, Inc. 0052 DCVL Dart Executions, LLC 0501 DEAN Morgan Stanley Smith Barney LLC 0015 DECK Decker & Co, LLC 0161 DEFA Jefferies LLC 0443 DEGS Dart Executions, LLC 0501

DEMA DeMatteo Moness, LLC 0501 DEMP E*Trade Capital Markets/DEMP 0100 DENI H.C. Denison Co. 0279 DESJ Desjardins Securities Inc./CDS 5028 DETF Dart Executions, LLC 0501 DFIN Electronic Brokerage Systems, LLC 0161 DHCO David Harris & Co., Inc. 0235 DHLN Equinox Group Distributors, LLC 0235 DIRA Title Securities, Inc. 0103 DIRL Title Securities, Inc. 0103 DIRW Direct Access Brokerage Services, Inc. 0103 DITO Ditto Trade, Inc. 0158 DIVA Divine Capital Markets, LLC 0103 DJSA Dawson James Securities, Inc. 0750 DJST D.J. St Germain Co., Inc. 0443 DLAE Lerner (David) Associates, Inc. 5144 DLNY Delaney Equity Group LLC 0052 DLSC DLS Capital Partners, Inc. 0309 DLTA Dealerweb Inc. 0161 DLWB Dealerweb Inc. 0161 DMKC Kelley (D.M.) & Co. 0141 DNID E*Trade Capital Markets, LLC 0100 DNOR DNB Nor Markets, Inc. 0501 DNSR Dinosaur Securities, L.L.C. 0017 DNWL Duncan & Williams, Inc. 0443 DOFT Doft & Co., Inc. 0443 DOMI Dominion Investor Services Inc. 0309 DOMK Dominick & Dominick, Inc./CDS 0443 DORN Dorn & Co., Inc. 0235 DORS Dorsey & Co. Inc. 0141 DOTC Dougherty & Company LLC 0352 DOWL Dowling & Partners Securities LLC 0443 DPAA Palmieri (Angnardo) & Co., Inc. 0235 DPFH Donnelly Penman & Partners Inc. 0750 DRAT Dratel Group, Inc. (The) 0571 DREX Drexel Hamilton, LLC 0501 DRKW Commerz Markets LLC 0126 DRTG Dart Executions, LLC 0501 DRTL Dart Executions, LLC 0396 DRTM DART Executions, LLC 0551 DRTR Dart Executions, LLC 0501 DRVW DriveWealth, LLC 0824 DRXL Drexel Hamilton, LLC 0443 DSCS Dundee Securities Corporation 5039 DSTC DST Market Services, LLC 0626 DTRC Dart Executions, LLC 2154 DTTX Knight Execution & Clearing Services LLC 0295 DXSI Omega Research Corporation 0279 EADA Electronic Access Direct, Inc. 0750 EAMC Empire Asset Management Company 0352 EBKR BGC Financial, Inc. 0537 EBRD Earlybird Capital, Inc. 0103 EBXL EBX LLC 0161 ECUT ConvergEx Execution Solutions LLC 0100 EDGA Direct Edge ECN LLC 0161 EDGX Direct Edge ECN LLC 0161


November 2014

6

EDIR EDI Financial, Inc. 0235 EDJC Edward Jones / CDS 5012 EDJO Jones (Edward D.) & Co. 0057 EFGC EFG Capital International 0352 EGAM BATS Trading, Inc. 0050 EGAW BATS Trading, Inc. 0103 EGRO Emerging Growth Equities, Ltd. 0100 EGXM BATS Trading, Inc. 0050 EGXW BATS Trading, Inc. 0103 EHSC Smith (E.H.) Jacobs & Co., Inc. 0161 ELEV Elevation, LLC 0161 ELSH Elish & Elish Brokerage and Research 0052 ELTD Elevation LLC 0161 EMOC Magnus (E.) Oppenheim & Co., Inc. 0750 EMPR Selkirk Investments, Inc. 0279 EMRP Empirical Research Partners LLC 0161 ENCL Enclave Capital LLC 0100 EQNX Equinox Securities, Inc. 0052 ERCO Essex-Radez LLC 0613 EROM Eroom Securities L.L.C. 0551 EROP Eroom Securities LLC 0158 ERPO Europa Securities, LLC 0750 ESFS E.S. Financial Services, Inc. 0443 ESNA ESN North America, Inc. 2154 ESPD Cantor Fitzgerald & Co. 0696 ESPO Esposito Securities, LLC 0501 ESTR Estrada Hinojosa & Co. 0309 ETAA Electronic Transaction Clearing, Inc. 0873 ETAB Electronic Transaction Clearing, Inc. 0873 ETAC Electronic Transaction Clearing, Inc. 0873 ETAD Electronic Transaction Clearing, Inc. 0873 ETAE Electronic Transaction Clearing, Inc. 0873 ETAF Electronic Transaction Clearing, Inc. 0873 ETAG Electronic Transaction Clearing, Inc. 0873 ETAH Electronic Transaction Clearing, Inc. 0873 ETAI Quantlab Securities LP 0873 ETAJ Electronic Transaction Clearing, Inc. 0873 ETAK Electronic Transaction Clearing, Inc. 0873 ETAL Electronic Transaction Clearing, Inc. 0873 ETAM Electronic Transaction Clearing, Inc. 0873 ETAN Electronic Transaction Clearing, Inc. 0873 ETAO Electronic Transaction Clearing, Inc. 0873 ETAP Electronic Transaction Clearing, Inc. 0873 ETAQ Electronic Transaction Clearing, Inc. 0873 ETAR Electronic Transaction Clearing, Inc. 0873 ETAS Electronic Transaction Clearing, Inc. 0873 ETAT Electronic Transaction Clearing, Inc. 0873 ETAU Electronic Transaction Clearing, Inc. 0873 ETAV Electronic Transaction Clearing, Inc. 0873 ETAW Electronic Transaction Clearing, Inc. 0873 ETAX Electronic Transaction Clearing, Inc. 0873 ETAY Electronic Transaction Clearing, Inc. 0873 ETAZ Electronic Transaction Clearing, Inc. 0873 ETBA Electronic Transaction Clearing, Inc. 0873 ETBB Electronic Transaction Clearing, Inc. 0873 ETBC Electronic Transaction Clearing, Inc. 0873

ETBD Electronic Transaction Clearing, Inc. 0873 ETBE Electronic Transaction Clearing, Inc. 0873 ETBF Electronic Transaction Clearing, Inc. 0873 ETBG Electronic Transaction Clearing, Inc. 0873 ETBH Electronic Transaction Clearing, Inc. 0873 ETBI Electronic Transaction Clearing, Inc. 0873 ETBJ Electronic Transaction Clearing, Inc. 0873 ETBK Electronic Transaction Clearing, Inc. 0873 ETBL Electronic Transaction Clearing, Inc. 0873 ETBN Electronic Transaction Clearing, Inc. 0873 ETBO Electronic Transaction Clearing, Inc. 0873 ETBP Electronic Transaction Clearing, Inc. 0873 ETBQ Electronic Transaction Clearing, Inc. 0873 ETBR Electronic Transaction Clearing, Inc. 0873 ETBS Electronic Transaction Clearing, Inc. 0873 ETBT Electronic Transaction Clearing, Inc. 0873 ETBU Electronic Transaction Clearing, Inc. 0873 ETBW Electronic Transaction Clearing, Inc. 0873 ETBX Electronic Transaction Clearing, Inc. 0873 ETBZ Electronic Transaction Clearing, Inc. 0873 ETCB ETC Brokerage Services, LLC 0052 ETCC Electronic Transaction Clearing, Inc. 0873 ETCD Electronic Transaction Clearing, Inc. 0873 ETCE Electronic Transaction Clearing, Inc. 0873 ETCG Electronic Transaction Clearing, Inc. 0873 ETCH Electronic Transaction Clearing, Inc. 0873 ETCI Electronic Transaction Clearing, Inc. 0873 ETCJ Electronic Transaction Clearing, Inc. 0873 ETCK Electronic Transaction Clearing, Inc. 0873 ETCL E*Trade Clearing, LLC 0385 ETCN Electronic Transaction Clearing, Inc. 0873 ETCO Electronic Transaction Clearing, Inc. 0873 ETCP Electronic Transaction Clearing, Inc. 0873 ETCQ Electronic Transaction Clearing, Inc. 0873 ETCR Electronic Transaction Clearing, Inc. 0873 ETCS Electronic Transaction Clearing, Inc. 0873 ETCT Electronic Transaction Clearing, Inc. 0873 ETCU Electronic Transaction Clearing, Inc. 0873 ETCV Electronic Transaction Clearing, Inc. 0873 ETCW Electronic Transaction Clearing, Inc. 0873 ETCX Electronic Transaction Clearing, Inc. 0873 ETCY Electronic Transaction Clearing, Inc. 0873 ETCZ Electronic Transaction Clearing, Inc. 0873 ETDA Electronic Transaction Clearing, Inc. 0873 ETDB Electronic Transaction Clearing, Inc. 0873 ETDC Electronic Transaction Clearing, Inc. 0873 ETDD Electronic Transaction Clearing, Inc. 0873 ETDE Electronic Transaction Clearing, Inc. 0873 ETDF Electronic Transaction Clearing, Inc. 0873 ETDH Electronic Transaction Clearing, Inc. 0873 ETDI Electronic Transaction Clearing, Inc. 0873 ETLS E*Trade Capital Markets, LLC 0100 ETMM E*Trade Cap MKTS/CHXL Trading 0100 ETNF Electronic Transaction Clearing, Inc. 0873 ETNY E*Trade Capital Markets, LLC 0100 ETRD E*Trade Capital Markets, LLC 0100


November 2014

7

ETRF G1 Execution Services, LLC 0161 ETRS E*Trade Securities, LLC 0385 EURP Euro Pacific Capital, Inc. 0226 EVRC Evercore Group LLC 0443 EVRS E1 Asset Management, Inc. 0052 EWTT Virtu Financial Capital Markets LLC 0749 EWTV EWT, LLC 0749 EXAN Exane, Inc. 0443 EXCU XCU Capital Corp. 0443 EXTF Wynston Hill Capital, LLC 0235 EZOP Optionshouse Corporation 0158 FALC Falcon Square Capital, LLC 0103 FALK Steven L. Falk & Associates 0235 FAMS First American Securities 0279 FANA First Analysis Securities Corporation 0161 FANC Finance 500, Inc. 0052 FARA Farina & Associates, Inc. 0103 FAST First Allied Securities Inc. 0352 FATS First Brokers Securities LLC 0443 FBCO Credit Suisse Securities (USA) LLC 0355 FBLC Freimark Blair & Co., Inc. 0161 FBLT First Ballantyne, LLC 0750 FBNW Floor Broker Network Inc. 0443 FBPC Credit Suisse Securities (USA) LLC 0443 FBRC Friedman, Billings, Ramsey & Co., Inc. 0352 FBSB U.S. Bancorp Investments Inc. 0280 FCAP Fairbridge Capital Markets 0235 FCCP First Clearing LLC 0141 FCCU Fidelity Clearing Canada ULC/CDS 5059 FCGA FCG Advisors LLC 0226 FCML FNBB Capital Markets, LLC 0279 FCST Intl FC Stone Securities Inc. 0443 FDMI Freedom Investments, Inc. 0571 FDSC 1st Discount Brokerage, Inc. 0158 FDSI First Dallas Securities, Inc. 0141 FEDR Federated Securities Inc. 0235 FESI First Empire Securities, Inc. 0443 FFCB Forefront Capital Markets LLC 0235 FFCM Forefront Capital Markets LLC 0235 FFEC First Financial Equity Corp. 0279 FFSI Firstrade Securities Inc. 0158 FGCC 1st Global Capital Corp. 0226 FGCS FGC Securities, LLC 0595 FGIC Financorp Group International Corp. 0226 FGIS Sterne Agee Capital Markets, Inc. 0750 FHON First Honolulu Securities Inc. 0235 FIBS Fidelity Brokerage Services LLC 0226 FIDT Fidelity Clearing Canada ULC 5040 FIFS First Independent Financial 0309 FIGG The Fig Group, LLC 0750 FILL Tradestation Securities, Inc. 0352 FIMU Newedge USA, LLC 0608 FINA Valores Finamax International, Inc. 0352 FINC AWM Securities, Inc. 0279 FINF Finance 500, Inc. 0235 FINT Fintegra, LLC 0443

FINW Financial West Group 0226 FINX Fintech Securities 0161 FIPC Family Income Planning, Inc 0750 FIRE BlueFire Capital, LLC 0695 FIRF First Research Finance Inc. 0279 FISA Advisors Asset Management, Inc. 0443 FISH Fisher (L.B.) & Company 0235 FKSC First Kentucky Securities Corporation 0235 FLAT Florida Atlantic Securities Corp. 0226 FLIB First Liberties Financial 0235 FLOW LavaFlow, Inc. 0641 FLSC First London Securities Corporation 0309 FLTG ABN AMRO Clearing Chicago LLC/CPM 0330 FLTL Feltl and Company 0226 FMAF NBCN, Inc./CDS 5008 FMAT Newedge USA LLC 0608 FMCO First Manhattan Co. 0443 FMGF ABN AMRO Clearing Chicago LLC 0695 FNBS Alerus Securities Corporation 0235 FNET Wachovia Securities Financial Network, LLC 0141 FNIC Financial Network Investment Corporation 0443 FNSJ Financial Northeastern Securities Inc. 0352 FNXI Fenix Securities, LLC 0824 FNYG First New York Securities, LLC. 0501 FOGS FOG Equities LLC 0103 FOMA TD Ameritrade Clearing, Inc. 0188 FORD Fordham Financial Management, Inc. 0052 FORE Forest Securities, Inc. 0235 FOXN Fox Run Alpha Fund, L.P. 0352 FPCI Financial Planning Consultants Inc. 0235 FQLB Quantlab Securities LP 0396 FQLS Quantlab Securities LP 0396

FRET SunGard Brokerage & Securities Services, LLC 0501

FREX SunGard Brokerage & Securities Services, LLC 0050

FRGP Forge Financial Group Inc. 0750 FRIC Freedom Investors Corp. 0279 FRIS J.D. Nicholas & Associates, Inc. 0052 FRST First Southern Securities LLC 0309 FRWY Pinnacle Capital Markets, LLC 0017 FSCS FSC Securities Inc. 0443 FSFS ING Investment Management Services LLC 0352 FSII Forsyth Securities 0235 FSRP First Republic Securities Co. 0443 FSSO First State Securities, Inc. 0279 FSTN Fieldstone Services Corp. 0052 FSWC First Southwest Company 0309 FTBR FOLIOfn Investments, Inc 0728 FTEN FTB Advisors, Inc. 0226 FTLP First Trust Portfolios, L.P. 8244 FTSC FTN Financial Services Corp. 0202 FUND Wunderlich Securities, Inc. 0226 FWBA ABN AMRO Clearing Chicago LLC 0396 FWIL First Wilshire Securities Management, Inc. 0103 GABE G.Research, Inc. 0443


November 2014

8

GAFI Gardner Financial Services Inc. 0235 GAGN Gagnon Securities LLC 0352 GARB ICAP Corporates LLC 0148 GARC ICAP Corporates LLC 0501 GARL ICAP Corporates, LLC 0501 GARQ ICAP Corporates, LLC 0501 GARR Garrett Nagle & Company, Inc. 0226 GARW Gar Wood Securities, LLC 0824 GATE Citigroup Global Markets Inc. 0418 GATS Gates Capital Corporation 0443 GBMS GBM International, Inc. 0158 GBMT GBM International, Inc. 0443 GBSI Greentree Brokerage Services, Inc. 0103 GDEQ Global Direct Equities, LLC 0103 GDNR Gardner Rich, LLC 0100 GELB Gelber Securities, LLC 0695 GELP RBC Capital Markets, LLC 0235 GENS General Securities Corp. 0279 GETS GETCO Securities, LLC 0103 GFGH Grace Financial Group, LLC 0501 GFGO Grace Financial Group LLC 0501 GFIS GFI Securities, LLC 0501 GFLO Knight Capital Americas LLC 0295 GFMS Grace Financial Group LLC 0050 GFSI Global Financial Services, Inc. 0352 GHAS Gordon Hasket & Co. 0226 GHCC Gordon, Haskett Capital Corporation 0226 GILG Gilder, Gagnon, Howe & Co., LLC 0352 GIRL Girard Securities, Inc. 0226 GISJ Global Investor Services, L.C. 0352 GJEF Jefferies LLC 0501 GJSS Schwartz, Gregory J. & Co. Inc. 0235 GLBY Gelber Securities, LLC 0551 GLED Glendale Securities, Inc. 0595 GLEE Glendale Securities, Inc. 0873 GLII TD Waterhouse Canada Inc. #2/CDS 5005 GLIP TD Waterhouse Canada Inc. #6/ATP 5062 GLIR TD Waterhouse Canada Inc. #5/CDS 5021 GLIS TD Waterhouse Canada Inc./CDS 5036 GLLL Gill Capital Partners 0309 GLPS Essex Radez LLC 0613 GLYN Glynn (J.A.) & Co. 0443 GMAX Global Maxfin Capital Inc./CDS 5026 GMCI Gardnyr Michael Capital, Inc. 0750 GMCK McKelvey (George) Co., Inc. 0226 GMOR Lightspeed Trading, LLC 0551 GMPS GMP Securities L.P./CDS 5016 GMSG GMS Group (The), LLC 0443 GNAV Green Street Advisors, Inc. 0352 GNLP G&L Partners, Inc. 0103 GNTS Great Nation Investment Group 0309 GOAL Bannockburn Partners, LLC 0750 GOLA Gotham Lawrence Corporation 0750 GOTO LavaFlow, Inc. 0641 GPNI GP Nurmenkari, Inc. 0284 GPSS Great Pacific Securities 0161

GPTG Greenwich Prime Trading Group, LLC 0161 GPTX ABN AMRO Clearing Chicago LLC 0695 GRAD Gradient Securities, LLC 0235 GRBF GRB Financial LLC 0750 GRCP Fifth Street Capital, LLC 0750 GRDK SecondMarket, Inc. 0443 GRFC GRF Capital Investors Inc. 0235 GRFN Griffin Financial Group, LLC 0103 GRIL Global Resource Investments, Ltd. 0235 GRST Garden State Securities Inc. 0235 GSAA Goldman Sachs Execution & Clearing, L.P. 0501 GSBB Goldman Sachs Execution & Clearing, L.P. 0501 GSBI Global Brokerage Services, Inc. 0279 GSCC Goldman Sachs Execution & Clearing, L.P. 0501 GSCF Global Securities Corporation/CDS 5069 GSCL Obsidian Financial Group LLC 0750 GSCO Goldman, Sachs & Co. 0005 GSCS Goldman, Sachs & Co. 0005 GSDD Goldman Sachs Execution & Clearing, L.P. 0501 GSEC Griffin Securities, Inc. 0100 GSEE Goldman Sachs Execution & Clearing, L.P. 0501 GSFF Goldman Sachs Execution & Clearing 0501 GSGG Goldman Sachs Execution & Clearing 0501 GSIC Global Strategic Investments, LLC 0052 GSII Goldman Sachs Execution & Clearing 0501 GSIL Global Strategic Investments, LLC 0158 GSLL Goldman Sachs Execution & Clearing 0501 GSMM Goldman Sachs Execution & Clearing 0501 GSPP Goldman Sachs Execution & Clearing 0501 GSQQ Goldman Sachs Execution & Clearing 0501 GSRR Goldman Sachs Execution & Clearing 0501 GSSC Georgeson Shareholder Securities Corp. 0161 GSTT Goldman Sachs Execution & Clearing 0501 GSUU Goldman Sachs Execution & Clearing 0501 GSVV Goldman Sachs Execution & Clearing 0501 GSWW Goldman Sachs Execution & Clearing 0501 GSXX Goldman Sachs Execution & Clearing 0501 GSYY Goldman Sachs Execution & Clearing 0501 GSZZ Goldman Sachs Execution & Clearing 0501 GTSX GTS Securities, LLC 0103 GTSY GTS Securities, LLC 0161 GTSZ GTS Securities, LLC 0501 GTTX ABN AMRO Clearing Chicago LLC 0695 GUGG Guggenheim Securities, LLC 0352 GUGI Guggenheim Funds Distributors, LLC 0526 GUGS Guggenheim Securities, LLC 0443 GVSA E*Trade Cap Mkts/Special Account 0100 GWDS Gar Wood Securities, LLC 0017 GWEP Grey Wolf Execution Partners, Inc. 0103 GWLP Grant Williams, L.P. 0309 GZML Guzman & Company 0161 HACA Harvest Capital LLC 0701 HACL Halen Capital Management, Inc 0235 HAFS Hantz Financial Services, Inc. 0279 HAMR W.R. Hambrecht + Co., LLC 0235 HARS Harvestons Securities, Inc. 0226


November 2014

9

HASF Haywood Securities Inc. 5058 HAYV Haywood Securities (USA) Inc. 0279 HAZL Hazlett, Burt & Watson, Inc. 0226 HBCO Global Investor Services, LLC 0443 HBIF RGM Securities, LLC 0695 HBIQ Wedbush Morgan Securities, Inc. 0103 HCBD Halcyon Cabot Partners, Ltd. 0052 HCPL Halen Capital, Inc. 0052 HCTA Hardcastle Trading USA, LLC 0501 HDLY J.J.B. Hilliard, W.L. Lyons, LLC 0768 HEDX ABN AMRO Clearing Chicago LLC 0396 HEFR Hefren-Tillotson, Inc. 0443 HENN Hennig (Carl M.) Inc. 0235 HENY Henley & Company LLC 0443 HERO Herold (Bernard) & Co. 0443 HFLD Hartfield, Titus & Donnelly, LLC 0443 HFSB Heritage Financial Systems, Inc. 0235 HIGG Higgins Capital Management, Inc. 0235 HITS Height Securities, LLC 0443 HLIX Lucia Securities, LLC 0235 HLLC Hollencrest Securities, LLC 0352 HMPT Hampton Securities (USA), Inc. 0235 HMRK Hallmark Investments, Inc. 0052 HNCA ABN AMRO Clearing Chicago LLC 0396 HNTR Hunter Associates Inc. 0443 HORW Horwitz & Associates, Inc. 0352 HOVD Hovde Group, LLC 0103 HPPO Potamus Trading, LLC 0161 HPWD Piper Jaffray & Co. 0311 HRBF American Enterprise Investment Services Inc. 0756 HRGR Harger and Company, Inc. 0235 HSBC HSBC Securities (USA), Inc./Stock Loan 0816 HSBK HSBC Securities (USA) Inc. 0816 HTJP Hightower Securities, LLC 0352 HUCO Huntington Investment Company 0226 HVST Harvest Financial Corporation 0235 HWJC HWJ Capital Partners II, LLC 0052 HWLS Howells (M.S.) & Co. 0443 IAAK Isaak Bond Investment, Inc. 0279 IAEC Israel A. Englander & Co., LLC 0551 IBER IBERIA Capital Partners L.L.C. 0226

IBFS Industrial and Commerical Bank of China Financial Services LLC/Equity Clearance 0824

IBKR Interactive Brokers LLC 0017 IBKW Wedbush Morgan Securities, Inc. 0017 IBSH Integrity Brokerage Services, Inc. 0595 IBSJ Integrity Brokerage Services, Inc. 0595

ICBK Industrial and Commerical Bank of China Financial Services LLC 0388

ICBX Instinet, LLC 0067 ICCP Investors Capital Corporation 0443 ICDS ICD Securities 0750 ICEN Investment Center, Inc. (The) 0443 ICMH Institutional Capital Management, Inc. 0235 ICRD Citadel Securities LLC 0395 ICTI International Correspondent Trading, Inc. 0226

IELP Citadel Securities LLC 0395 IESI Itau Europa Securities Inc. 0443 IEXG IEX Services, LLC 0161 IFSG IFS Securities, Inc. 0100 ILND NASDAQ Execution Services, LLC 0520

IMBB Indiana Merchant Banking & Brokerage Co., Inc. 0279

IMCX ABN AMRO Clearing Chicago LLC 0396 IMMX ABN AMRO Clearing Chicago LLC 0695 IMPC Imperial Capital, LLC 0443 IMSS IMS Securities Inc. 0279 INAR Instinet, LLC 0436 INAT Instinet, LLC 0067 INBA Instinet, LLC 0067 INCA Instinet, LLC 0067 INCP Incapital, LLC 0235 INDE Independent Brokers LLC 0309 INDX Fusion Analytics Securities LLC 0103 INET NASDAQ Execution Services, LLC 0568 INFI Integral Financial, LLC 0279 INGF ING Financial Markets, LLC 0270 INGG ING Financial Markets LLC 0270 INGS Ingalls & Snyder, LLC 0124 INHC Instinet, LLC 0067 INII Integrated Trading and Investments, Inc. 0017 INJX Instinet, LLC 0536 INMB Instinet, LLC 0067 INML Instinet, LLC 0067 INMP Instinet, LLC 0067 INMU Instinet, LLC 0067 INPI Investment Planners Inc. 0235 INPR Investment Professionals, Inc. 0443 INST Arca Capital Investments, Inc. 2154 INTG Lightspeed Trading, LLC 0158 INTL INTL Trading, Inc. 0161 INTU Instinet, LLC 0067 INTW Instinet, LLC 0067 INVE Investacorp, Inc. 0352 INVM Invemed Associates, LLC 0352 IOIX Bloomberg Tradebook LLC 0651 IPAC Interpacific Investors Services, Inc. 0226 IPOC IPO Capital 5039 IPRV DPEC Capital, Inc. 0750 ISCN Institutional Securities Corporation 0279 ISIG International Strategy & Investment Group, Inc. 0352 ISIL ISI Capital, LLC 0103 ITAU Itau BBA USA Securities Inc. 0443 ITBS ITB Securities, LLC 0750 ITCC Sterne Agee Financial Services, Inc. 0750 ITDC ITradedirect.com Corp. 0750 ITEC Hapoalim Securities USA, Inc. 0443 ITGC ITG Canada 5059 ITGI ITG, Inc. 0099 ITLC InTrade, LLC 0238 ITUS InterTrading USA Securities, Inc. 0309 IVEX Invex, Inc. 0352


November 2014

10

IVNT Investment Network, Inc. 0235 IVOL Union Capital Company 0235 IVYS IVY Securities, Inc. 0100 JANE Jane Street Markets, LLC 0352 JANS Jane Street Markets, LLC 0352 JANY Janney Montgomery Scott LLC 0374 JDCO Cummins Financial Corporation 0235 JEFF Jefferies LLC 0019 JEFM Jeffrey Matthews Financial Group, LLC 0235 JEFX Jefferies Execution Services, Inc. 0536 JEVO Atis, Inc. 0235 JEXF ABN AMRO Clearing Chicago LLC 0536 JGRC Joseph Grace 0103 JGUN Gunnar (Joseph) & Co., LLC 0226 JHDR JH Darbie & Co. Inc. 0052 JHYT Jeffries Partner Opportunity Fund II, LLC 0019 JINS Archey & Co. LLC 0052 JJKE Dealerweb Inc. 0161 JJKS Rafferty Capital Markets, LLC 0161 JKFS J.K. Financial Services, Inc. 0279 JMAT Matthews (Joseph) & Co. 0750 JMSI Janney Montgomery Scott LLC 0374 JNGF Jones Gable & Company LTD./CDS 5070 JNKK JNK Securities Corp. 0161 JOHN Scottsdale Capital Advisors 8072 JOLE Johnston, Lemon & Co. Incorporated 0443 JONE JonesTrading 0161 JPII Jaypee International, Inc. 0017 JPME J.P. Morgan Securities, Inc. 0352 JPMG J.P. Morgan Securities, Inc. 0352 JPMP J.P. Morgan Securities, Inc. 0352 JPMS J.P. Morgan Securities, Inc. 0352 JPMT J.P. Morgan Securities LLC 0352 JPMX J.P. Morgan Securities LLC 0352 JPTC Turner (J.P.) & Co. LLC 0158 JPTR Jackson Partners & Associates Inc. 0100 JPTS Turner (J.P.) & Company, LLC 0158 JRCO Johnson, Rice & Company LLC 0352 JRLC JRL Capital Corporation 0279 JSCL Joseph Stone Capital L.L.C. 0052 JSES Jane Street Execution Services, LLC 0352 JSOP Jane Street Markets, LLC 0551 JSPT Jane Street Markets, LLC 0352 JSSF JMP Securities, LLC 0352 JVBF Jack V. Butterfield Investments Company 0235 JVBG J.V.B. Financial Group LLC 0443 JWML Millegan (J.W.), Inc. 0235 JXLI Lime Brokerage LLC 0536 KACI First Integrity Capital Partners Corp 0279 KALA K.A. Associates Inc. 0352 KAPE Cape Securities, Inc. 0279 KAPG Kapitall Generation, LLC 0158 KART Revere Securities Corp. 0750 KASH Kashner Davidson Securities Corporation 0750 KBCO Kahn Brothers & Co., Inc. 0443 KBKF Kabrik Trading 0695

KBWI Keefe, Bruyette & Woods, Inc. 0793 KCAP Kildare Capital, Inc. 0103 KCBC Wealthfront Brokerage Corporation 0017 KCGM KCG Americas LLC 0295 KCIM Investment Management Corporation 0235 KCIX Kiley Partners, Inc. 0309 KCMP Knight Capital Markets, LLC 0295 KCWF Ward (K.C.) Financial 0052 KEDM Kedem Capital Corp. 0352 KEEL Keeley Investment Corp. 0226 KEEN St Bernard Financial Services, Inc 0309 KELG Knight Capital Americas, L.P. 0295 KELL Knight Capital Americas, L.P. 0295 KENS Kensington Capital Corp. 0309 KERC Kercheville & Company 0443 KEYB KeyBanc Capital Markets Inc. 0443 KEYW Key West Investments, LLC 0017 KIML Kimelman & Baird, LLC 0352 KING King (C.L.) & Associates, Inc. 0743 KJER Kenneth, Jerome & Co., Inc. 0052 KLDC Kun-Lun Development Corporation 0279 KLRG KLR Group, LLC 0100 KOSE Koonce Securities Inc. 0712 KOVP Kovack Securities Inc. 0443 KOVS Kovack Securities, Inc. 0226 KRCO K.R. Securities LLC 0352 KRSH Kershner Securities, LLC 0501 KRTH Korth (J.W.) & Company, Inc. 0235 KUYK Kuykendall & Schneider, Inc. 0309 KWIL Key West Investments, LLC 0052 KWSC KW Securities Corporation 0235 KYSN Kyson & Co 0103 LAFB Lafferty (R.F.) & Co., Inc. 0235 LAFC R.F. Lafferty & Co., Inc. 0443 LAFF R.F. Lafferty & Co., Inc. 0443 LAKE Lake Forest Securities, LLC 0235 LAMA Lara, Shull & May, Ltd. 0235 LAMP Lampost Capital, L.C. 0512 LANP Lancaster Pollard & Co. 0309 LARC Larimer Capital Corporation 0235 LARK Larkin (Emmett A.) Co., Inc. 0750 LARX ABN AMRO Clearing Chicago LLC 0695 LASE Legacy Asset Securities Inc. 0235 LASS LaSalle Street Securities, Inc. 0226 LATM LATAM Securities LLC 0501 LATS Barclays Capital, Inc./LE 0229 LAVA Lavaflow, Inc. 0501 LAZA Lazard Capital Markets LLC 0443 LAZF Lazard Freres & Co. LLC 0443 LBCO Lebanthal & Co., LLC 0443 LBKI Libucki & Co., LLC 0100 LBKX ABN AMRO Clearing Chicago LLC 0695 LBNN Lime Brokerage LLC 0161 LBOW Longbow Securities, LLC 0443 LBWA Lebenthal & Co., LLC. 0235 LCHX Lek Securities Corporation 0512


November 2014

11

LCSS LCS Securities, LLC 0352 LDLW Laidlaw & Company (UK) Ltd. 0750 LEAF Silver Leaf Partners, LLC 0443 LEBO Baldwin (Leigh) & Co., LLC 0226 LEDE Leede Financial Markets Inc./CDS 5071 LEER Leerink Swann & Company 0443 LEGD Legend Securities, Inc. 0052 LEHB Barclays Capital, Inc./LE 0229 LEHM Barclays Capital, Inc./LE 0229 LEHP Barclays Capital, Inc./LE 0229 LEON Leonard Securities, Inc. 0235 LESW Leerink Swann & Company 0443 LEVY Levy, Harkins & Co., Inc. 0352 LEXI Lexington Investment Co. Inc. 0352 LEYA Lemley, Yarling & Co. 0235 LFRO LF Rothschild, LLC 0235 LGNT COR Clearing LLC 0052 LGSA Woori Investment & Securities America, Inc. 0158 LHMA Barclays Capital, Inc./LE 0229 LHMB Barclays Capital, Inc./LE 0229 LHMS Barclays Capital, Inc./LE 0229 LHSB Barclays Capital, Inc./LE 0229 LIBE KCG Americas LLC 0443 LIFG Long Island Financial Group, Inc 0309 LIFW Wedbush Morgan Securities, Inc. 0695 LIJP Lime Brokerage LLC 0352 LIMA Lime Brokerage LLC 0436 LINC Liberum Capital Inc. 0352 LITB Lime Brokerage LLC 0100 LITE Lime Brokerage LLC 0103 LIWE Lime Brokerage LLC 0103 LLSI Inlet Securities, LLC 0750 LMFI Lauren & Merlin Inc. 0235 LMGP Lime Brokerage LLC 0103 LMGT Lime Brokerage LLC 0103 LMKO Kohn (L.M.) & Company 0235 LMSE LAM Securities 0750 LNCL Lincoln Investment 0443 LNRT L&R Trading L.L.C. 0501 LOBR Loeb Partners Corporation/Retail 0352 LOMB Lombard Securities Incorporated 0279 LOMU Loewen, Ondaatje, McCutcheon USA Limited 0235 LOOP Loop Capital Markets, LLC 0443 LOUI Louis Capital Markets, L.P. 0501 LOWL Lowell & Company 0309 LPCM Lampert Capital Markets Inc. 0103 LPFS Liberty Partners Financial Services, Inc. 0235 LPSP LPS Partners Inc. 0501 LQFI Citigroup Global Markets Inc. 0418 LQNA Liquidnet, Inc. 0352 LQNB Liquidnet, Inc. 0352 LQNT Liquidnet, Inc. 0352 LSAH Barclays Capital, Inc./LE 0229 LSCI LEK Securities Corporation 0512 LSCM Lake Street Capital Markets, LLC 0103 LSPS Lightspeed Trading, LLC 0158

LSSI EJ Sterling Inc. 0750 LSTE Lightspeed Trading, LLC 0873 LSTR Lodestar Securities Corp. 0824 LTCO Ladenburg, Thalmann & Co. Inc. 0226 LTPL Credit Suisse Securities (USA) LLC 0355 LVLX Livevol Securities, Inc. 0017 LVMR Livermore Trading Group, Inc. 0100 LWFL Lawson Financial Corporation 0443 LXMG LXM Group 0824 LYON Credit Agricole Securities (USA) Inc. 0651 MACC Mid Atlantic Capital Corp. 0226 MACM Madison Capital Markets, Inc. 0161 MACQ Macquarie Capital (USA) Inc. 0114 MAIA Maia Securities, Inc. 0235 MAMA Securevest Financial Group 0352 MANI Manning (V.M.) & Co., Inc. 0750 MAPL Maple Securities USA, Inc. 0269 MASU Mirae Asset Securities(USA) Inc. 0279 MAVB Great Point Capital LLC 0103 MAVS Madison Avenue Securities 0443 MAWI Montecito Advisors, Inc. 0103 MAXC BGC Financial Inc. 0537 MAXM Maxim Group, LLC 0443 MAXN BGC Financial, Inc. 0537 MBAY Monarch Bay Associates, LLC 0052 MBSC MBSC Securities Corporation 0161

MBTS Manhattan Beach Trading Financial Services, Inc. 0158

MCBT Moors & Cabot, Inc. 0141 MCCL McClurg Capital Corporation 0443 MCIN Moors & Cabot, Inc. 0161 MCME McMillion Securities, Inc. 0702 MCMF Raymond James Ltd./CDS 5076 MCMG Municipal Capital Market Group 0309 MCTY McCourtney-Breckenridge & Company 0235 MDBC MDB Capital Group, LLC 0226 MDGS Middlegate Securities Ltd. 0226 MDWD Wellington Shields & Co., LLC 0750 MEAL M. E. Allison & Co., Inc. 0226 MEAT J&C Global Securities, LLC 0052 MEBO MEB Options, LLC 0695 MEFG Meritus Financial Group, Inc. 0750 MERC Mercadien Securities 0235 MERI Merriman Curhan Ford & Company 0443 MERL Merlin Securities, LLC 0352 MERP Meridian Equity Partners Inc. 0824 MERQ Mercator Associates, LLC 0052 MERS Merrion Securities, LLC 0352 MERX Merrimac Corporate Securities, Inc. 0052 MESF Mesirow Financial, Inc. 0443 MEXD Dynamex Trading, LLC 0551 MFPC Manna Capital Management 0750 MFSI Midamerica Financial Services, Inc. 0052 MGIS Industrial Alliance Securities Inc. 5008 MHAF MHA Financial Corp 0750 MICA Spartan Securities Group, Ltd. 0052


November 2014

12

MILE I-Bankers Securities, Inc. 0052 MINP Ministry Partners Securities, LLC 0235 MINT BGC Financial Inc. 0537 MINV Mack Investments Securities, Inc. 0235 MISL Mischler Financial Group, Inc. 0161 MITC CapNet Securities Corporation 0279 MITR GMP Securities, LLC 0352 MJWH Whitman (M.J.) & Co., Inc. 0352 MKMP MKM Partners LLC 0161 MKVA Loyal3 Securities Inc. 0472

MLBB Merrill Lynch, Pierce, Fenner & Smith Incorporated 0651

MLBC Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLCA Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCB Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCC Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCD Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCG Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCO Merrill Lynch, Pierce, Fenner & Smith Inc. 0161 MLEL Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLEX Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161

MLMA Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLPK Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLPL Mutual Service Corporation 0075

MLRM Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLSE Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLSK Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLSL Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTA Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTC Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTE Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTI Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTJ Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTK Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTL Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLTQ Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLTV Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLTX Merrill Lynch, Pierce, Fenner & Smith Inc. 0161

MLUA Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLUB Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLUC Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

MLVM McNicoll, Lewis & Vlak LLC 0161 MNCO Nelson (Martin) & Co., Inc. 0279 MNDX TJM Investments, LLC 0161 MNRC Monarch Capital Group LLC 0443 MNTX ABN AMRO Clearing Chicago LLC 0396 MOFO Mid Florida Equities, Inc. 0750 MOKO Mocho Trading LLC 0695 MOLO Moloney Securities 0235 MOMY Ashton Young, Inc. 0279 MONR Monroe Securities Inc. 0352 MORA Mora WM Securities 0352 MORE Mitchell Securities Corporation of Oregon 0361 MORG Morgenthau & Associates, Inc. 0750 MOTF Motif Investing, Inc. 0158 MPLM Momentum Trading Partners, LLC 0651 MPLW Maplewood Investment Advisors, Inc. 0226 MPSC Marco Polo Securities Inc. 0873 MPSG E D & F Man Capital Markets Inc. 0161 MPWA PWMCO, LLC 0467 MQRX ABN AMRO Clearing Chicago LLC 0396 MRAD Macro Risk Advisors, LLC 0501 MREC Mackie Research Capital Corporation/CDS 5029 MRKS Ramsey (M.) King Securities, Inc. 0443 MRSC Marsco Investment Corporation 0287 MRSW Mesirow Financial, Inc. 0727 MSCB Maine Securities Corporation 0279 MSCO Morgan Stanley & Co. LLC 0050 MSEA Morgan Stanley & Co. Incorporated 0050 MSEB Morgan Stanley & Co. Incorporated 0050 MSEC Mission Securities Corporation 0750 MSED Morgan Stanley & Co. Inc. 0050 MSEK Morgan Stanley & Co. Inc. 0050 MSEL Morgan Stanley & Co. LLC 0050 MSEM Morgan Stanley & Co. LLC 0050 MSET Morgan Stanley & Co. LLC 0050 MSFS Mystockfund Securities, Inc. 0052 MSHI M. S. Howells & Co. 0824 MSII Metlife Securities, Inc. 0443 MSIT Montrose Securities International 0161 MSLC Mercor Securiteis LLC 0017 MSML Morgan Stanley & Co. LLC 0050 MSMP Morgan Stanley & Co. LLC 0050 MSNY Morgan Stanley & Co., Inc. 0015 MSOT Morgan Stanley & Co., Inc. 0050 MSPD Morgan Stanley & Co. LLC 0050 MSPL Morgan Stanley & Co. LLC 0050 MSPW Morgan Stanley Smith Barney LLC 0050 MSRO Mesirow Financial, Inc. 0226 MSRP Morgan Stanley & Co. LLC 0050 MSTW Morgan Stanley & Co., Inc. 0050 MSTX Morgan Stanley & Co. LLC 0050 MSUS Macquarie Capital (USA) Inc. 0114 MTCA Mutual Trust Co. of America Securities 0279 MTDB M&T Securities, Inc. 0443


November 2014

13

MTGO MTG, LLC 0158 MTLE MTL Equity Products, Inc. 0235 MTON Millington Securities, Inc. 0443 MUFG Mitsubishi UFJ Securities (USA), Inc. 0076 MULA Mundial Financial Group, LLC 0873 MURF Murphy & Durieu 0443 MURG Murphy & Durieu 0103 MVPF Grace Financial Group, LLC 0501 MVSC Mountainview Securities, LLC 0443 MVSG MV Securities Group, Inc. 0226 MWCC Monness, Crespi, Hardt & Co., Inc. 0501 MWIL Morgan Wilshire Securities, Inc. 0235 MXSI Maxwell Simon Inc. 0309 MYDM MYD Market, Inc 0595 MYLG Meyers Associates, L.P. 0052 MYRS Meyers Associates, L.P. 0750 MZHO Mizuho Securities USA Inc. 0892 NACL National Alliance Securities Corporation 0309 NACM Nab Securities, LLC 0443 NADL Warren D. Nadel & Company 0235 NAFA NAFA Capital Markets, LLC 0309 NAMB Nunami Services, LLC 0330 NAMI Nunami Services, LLC 0695 NAPK National Securities Corporation 0052 NASC National Alliance Securities Corporation 0100 NASJ Jane Street Markets, LLC 0352 NATL National Securities Corporation 0226 NAVP Range Global LLC 0443 NBFI NBF Securities (USA) Corp. 5008 NBKT National Banc Financial Inc. 5008 NBLB Neuberger Berman, LLC 0352 NBSL BMO Nesbitt Burns Securities, Ltd. 0352 NCFS New Castle Financial Group, Inc 0052 NCIS Newport Coast Securities 0052 NCSI Newport Coast Securities 0103 NDCM Nanes Delorme Capital Management, LLC 0352 NEAT Newedge USA, LLC 0608 NEED Needham & Company, LLC 0352 NEFO Newedge USA, LLC 0608 NEGB Newedge USA, LLC 0608 NEHL Greenberg Financial Group 0235 NELD Newedge USA, LLC 0608 NELS Nelson Securities, Inc. 0235 NENB Newedge USA, LLC 0608 NESC Northeast Securities, Inc. 0443 NESP Newedge USA, LLC 0608 NESS New England Securities Corporation 0443 NEXC Nexcore Capital, Inc. 0750 NFGI Northeastern Financial Group Inc. 0017 NFSC National Financial Services Corporation 0226 NFTY Infinity Financial Services 0235 NIKH Nikoh Securities Corporation 0750 NITC KCG Americas LLC 0295 NITD Knight Execution & Clearing Services LLC 0295 NITE Knight Equity Markets, L.P. 0295 NITP Knight Equity Markets, L.P. 0295

NITX Knight Capital Americas LLC 0295 NMRA Nomura Securities International, Inc. 0180 NMRB Nomura Securities International, Inc. 0180 NOBL Noble Financial Capital Markets 0100 NOPO ConvergEx Prime Services LLC 0352 NORC Northern Capital Sec. Corp. 0235 NORP Pareto Securities Inc 0443 NORT Northland Securities, Inc. 0443 NORW Wells Fargo Brokerage Services, LLC 0250 NOSO North South Capital LLC 0443 NPNT Convergex Execution Solutions LLC 0501 NPTP Convergex Prime Services LLC 0443 NQBX NASDAQ OMX BX, INC 0163 NQMR NASDAQ Execution Services, LLC 0050 NQOP NASDAQ Execution Services, LLC/Options 0520 NQPX NASDAQ OMX PHLX LLC 0237 NQRB NASDAQ Execution Services, LLC 0568 NRAM Canaccord Wealth Management (USA) Inc. 0443 NSCB Newbury Street Capital Limited Partnership 0443 NSDQ NASDAQ Stock Market LLC/Omnibus Account 0759 NSFP Northstar Financial Partners 0235 NSIF TD Waterhouse - Norstar Securities/CDS 5061 NSMS NSM Securities, Inc. 0750 NSRD Nestlerode & Co., Inc. 0235 NTBC Neidiger, Tucker, Bruner, Inc. 0279 NTBF BMO Nesbitt Burns Inc./CDS 5043 NTCP Marv Capital Inc. 0309 NTFN Network 1 Financial Securities Inc. 0052 NTMG Fieldpoint Private Services, LLC 0443 NTRC Northern Trust Securities, Inc. 0226 NVEN Nuveen Securities, LLC 0448 NVGT Navigate Advisors LLC 0388 NWCM NW Capital Markets Inc. 0279 NWCT Newcourt Securities, Ltd. 0309 NYFT BNY Convergex Execution Solutions, LLC 0100 NYFX BNY Convergex Execution Solutions, LLC 0100 NYPP NYPPEX, LLC 0235 OAKR The Oak Ridge Financial Services Group, Inc. 0235 OBDS OBD Securities LLC 0695 OBDX ABN AMRO Clearing Chicago LLC 0695 OBEX Obex Securities LLC 0017 OBSH O'Brien & Shepard, Inc. 0279 OBWS Oberweis Securites, Inc. 0226 OCAC Olson, Cross & Alamo LLC 0235 OCEA Ocean Financial Services, LLC 0052 OCTG OCTEG LLC 0295 ODNC Odeon Capital Group LLC 0443 OFGF OFG Financial Services Inc. 0235 OFKS Fulcrum Securities, Inc. 0235 OFSX ABN AMRO Clearing Chicago LLC 0695 OGRU Oscar Gruss & Son, Incorporated 0161 OHIO Fifth Third Securities, Inc. 0226 OLDM Old Mission Capital, LLC 0501 OLMM Olmsted & Mulhall, Inc. 0750 OLMP Olympus Securities, LLC 0052 OMSL OM Securities, LLC 0158


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ONEL O'Neil (William) & Co. Inc. 0161 OPCO Oppenheimer & Co., Inc. 0571 OPTU Optiver US, LLC 0695 OREO Orion Trading, LLC 0052 OTAA OTA Limited Partnership 0551 OTAM OTA, LLC 0050 OTAS OTA, LLC 0551 OTFX ABN AMRO Clearing Chicago LLC 0396 OTGN Octagon Capital Corp./CDS 5042 OTKR Otkritie Inc. 0352 OTRT OTR Global Trading LLC 0551 OTUS Olivetree USA, LLC 0443 OXPS OptionsXpress, Inc. 0338 PAAI Portfolio Advisors A 0235 PACS Pacific Crest Securities 0226 PACT BTG Pactual US Capital LLC 0443 PAPA Papamarkou Wellner & Co. 0352 PARI BNP Paribas Securities Corp. 2154 PASL Pershing Advisor Solutions, LLC 0443 PATH Capital Path Securities, LLC 0052 PATR Tullett Liberty Securities Inc. 0624 PAUL Paulson Investment Company, Inc. 0235 PBON Prebon Financial Products Inc. 0501 PBSI Portfolio Brokerage Services Inc. 8052 PCAP Newedge USA LLC 0608 PCCM Porter Christie Partners, L.P. 0352 PCFF PI Financial Corp./CDS 5075 PCMC Pacific Commonwealth Corporation 0750 PCMT Pinnacle Capital Markets, LLC 0052 PDQM PDQ ATS 0161 PDQX PDQ ATS, Inc. 0161 PEAR Penson Financial Services, Inc. 0436 PECA Peraza Capital and Investment, LLC 0279 PEMA Victor Securities, Inc. 0551 PENA Pennaluna & Company Inc. 0226 PENC Penrod Financial Group 0052 PEOP People's Securities, Inc. 0220 PERB Pershing LLC 0443 PERC Percival Financial Partners, Ltd. 0279 PERD Perdiue Securities, LLC 0100 PERK Perkins, Smart & Boyd, Inc. 0309 PERS Pershing LLC 0443 PERT Pershing LLC, Principal Trading 0443 PERX Pershing LLC 0443 PFAI Pacific Financial Associates, Inc. 0750 PFAR Penson Financial Services, Inc. 0099 PFCG Preferred Client Group, Inc. 0279 PFCL Apex Clearing Corporation 0158 PFCM Penson Financial Services, Inc. 0158 PFFR M.M. Dillon & Co. LLC 0750 PFIS Professional Investments Services, Inc. 0279 PFPI Prebon Financial Products Inc. 0161 PFSM Princor Financial Securities, Inc. 0188 PHCO Phillips & Company Securities, Inc. 0443 PHLY NASDAQ Execution Services, LLC 0520 PHRS Navaid Financial Services 0309

PIAC Protected Investors of America 0226 PICC Planned Investment Co., Inc. 0235 PICF Pictet Canada L.P./CDS 5027 PICI Polar Investment Counsel, Inc. 0279 PICK Pickering Energy Partners, Inc. 0161 PICT Pictet Overseas, Inc. 5027 PINO Advantage GFC LLC 0750 PINT Precision Securities, LLC 0873 PIPR Piper Jaffray & Co. 0311 PIPS Piper Jaffray & Co. 0311 PIPX Piper Jaffray & Co. 0311 PISC Pacific Investment Securities Corp. 0750 PISX ABN AMRO Clearing Chicago LLC 0695 PITG Penson Financial Services, Inc. 0099 PITX ABN AMRO Clearing Chicago LLC 0541 PJEF Jefferies LLC 0443 PLAT RS Platou Markets, Inc. 0443 PLCP Hunter Scott Financial, LLC 0750 PLMA Paloma Securities 0352 PMAC Permac Securities 0158 PMFS Portsmouth Financial Services 0443 PMLC Prager, Sealy & Co., LLC 0443 PMRY Primary Capital, LLC 8072 PNCC PNC Investments 0226 PNCI PNC Investments 0768 PNSA Penserra Securities, LLC 0161 PNSR Penserra Securities, LLC 0161 PODE Podesta & Co. 0235 POLI Hapoalim Securities USA, Inc. 0443 POWL Powell (Elmer E.) Company 0443 PPSI Pension Planners Securities, Inc. 0235 PPSL Amherst Pierpont Securities LLC 0443 PRAG Pragma Securities LLC 0161 PRBC Pointe Capital, LLC 0235 PRDG Citadel Securities LLC 0395 PREB Prebon Financial Products Inc. 0501 PREC Precision Securities LLC 0100 PRGA Gilboy (P.R.) & Associates, Inc. 0279 PROE ProEquities 0443 PROS Pro Securities, L.L.C. 0873 PRPX ABN AMRO Clearing Chicago LLC 0541 PRRX River Cross Securities, LLLP 0100 PRSG Princeton Securities Group, LLC 0824 PRST Merrill Lynch Professional Clearing Corp. 0551 PSGX PSG Executions, Inc. 0501 PTCM CAVU Securities LLC. 0443 PTFI UBS Financial Services Inc. 0221 PTIS PTI Securities & Futures L.P. 0235 PTIX PTI Securities & Futures L.P. 0017 PTLV National Bank Financial of Canada Inc. 0443 PULX State Street Global Markets, LLC 0189 PUMA Puma Capital, LLC 0158 PUPL Puplava Securities, Inc. 0226 PURP Liberty Capital Investment Corp. 0309 PWJC UBS Financial Services Inc. 0221


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15

PXCJ Merrill Lynch, Pierce, Fenner & Smith Incorporated 0161

QBSI CFT Securities LLC 0352 QEDA Quantum Edge Derivatives Trading LLC 0695 QEDX ABN AMRO Clearing Chicago LLC 0695 QETC Quantlab Securities LP 0873 QLBX ABN AMRO Clearing Chicago LLC 0396 QLTX ABN AMRO Clearing Chicago LLC 0695 QMSR Quattro M Securities Inc. 0100 QNTX Quantex Clearing, LLC 0294 QRQR QuantRiver Financial, LLC 0017 QSEC Quad Securities LLC 0551 QUET Quest Capital Strategies, Inc. 0235 QUOI Quoin Capital LLC 0309 RABO Rabo Securities USA, Inc. 0443 RACO Shearman, Ralston, Inc. 0158 RACX Raven Securities Corp. 0100 RAFF Rafferty Capital Markets, LLC 0161 RAFI RSG Capital Corp. 0750 RAJA Raymond James & Associates, Inc. 0725 RAYF Raymond C. Forbes & Co., Inc. 0161 RAYG Bolton Global Capital 0443 RBAC Robert B. Ausdal & Co., Inc. 0235 RBCD RBC Capital Markets Corporation 0235 RBCF RBC Dominion Securities Inc./CDS 5002 RBCM RBC Capital Markets Corporation 0235 RBCX RBC Capital Markets Corporation 0235 RBLT Rosenblatt Securities Inc. 0501 RBSG RBS Securities Inc./Equities 0425 RCKF Rockfleet Financial Services, Inc. 0309 RCLF Olympia Asset Management, Ltd. 0235 RCMA RBC Captial Markets Arbitrage, S.A. 0235 RCMI Dealerweb Inc. 0608 RCML Dealerweb Inc. 0161 RCRS Roosevelt & Cross, Incorporated 0352 RCSK Ruane, Cunniff & Goldbarb LLC 0443 RCSL River Cross Securities, LLLP 0100 RDBN Redburn Partners (USA) LP 2154 RDNK Woodstock Financial Group Inc. 0279 REAV W.H. Reaves & Co., Inc 0443 RECA Mackie Research Capital Corporation/CDS 5029 REDG Redsky Financial, LLC 0099 RENC Rencap Securities, Inc. 0352 REVR Revere Securities Corp. 0100 REYN Thomas P. Reynolds Securities Ltd 0352 RFRC The Rockwell Financial Group, Inc. 0309 RGEL Regal Securities, Inc. 0309 RGIL Gilford Securities Incorporated 0750 RGLS Regal Securities, Inc. 0235 RHCO SunTrust Capital Markets, Inc. 0226 RHIC R H Investment Corporation 0279 RIED Riedl, First Securities Company of Kansas 0235 RILY Riley (B.) & Co., Inc. 0226 RINO Rhino Trading Partners, LLC 0443 RJFI Raymond James & Associates, Inc./Fl 0390 RJJZ RJJ Pasadena Securities, Inc. 0443

RJLB RJL Capital Group, LLC 0161 RJLC RJL Capital Group, LLC 0824 RKWS Rockwell Securities LLC 0235 RLCC GWM Group, Inc. 0443 RLIN Merlin Securities, LLC 0501 RLUK Robinson & Lukens, Inc. 7607 RMAC Renaissance Macro Securities, LLC. 0161 RMAT Ramat Securities Ltd. 0352 RMST Stark (R.M.) & Co., Inc. 0443 RNSI Rivernorth Securities, LLC 0017 ROAR Dinosaur Securities, L.L.C. 0103 ROBI Robinson & Robinson, Inc. 0235 ROBO Rodgers Brothers, Inc. 0235 ROBT Robotti & Company, LLC 0443 ROCK Rockwell Global Capital, LLC 0235 ROCM RIM Securities LLC 0443 ROGO Rogo Capital LLC 0750 RONB Financial Designs Corporation 0750 ROND McKim Capital, Inc. 0750 RONI Ronin Capital, LLC 0501 ROSN Rosenblatt Securities Inc. 0501 ROTH Roth Capital Partners, LLC 0161 ROYL Royal Alliance Associates, Inc. 0443 RPEX Repex & Co., Inc. 0352 RPTR Dinosaur Securities, L.L.C. 0235 RREZ Samuel A. Ramirez & Company, Inc. 0352 RRIC Retirement Resources Investment Corp. 0235 RRTC Radnor Research & Trading Company, LLC 0052 RRUD Reid & Rudiger, LLC 0235 RSAI Ross Sinclaire & Associates, LLC 0443 RSFO Redsky Financial, LLC 0695 RSKY RedSky Financial, LLC 0279

RSSE Russell Implementation Srvs., Inc. Pt of Russell Inv. 0443

RTHS Rothschild Investment Corporation 0443 RWCI Ridgeway & Conger, Inc. 0052 RWPC R.W. Pressprich & Co, Inc 0443 RWPS Pressprich (R.W.) & Company Inc. 0352 RWSM Smith (R.W.) & Associates, Inc. 0279 RWWI Reliance Worldwide Investments, LLC 0279 RYAL Royal Securities Company 0235 RYDS RBC Dominion Securities Corporation 0235 SABS Sabadell Securities USA, Inc. 0443 SACM Sterne Agee Capital Markets, Inc. 0750 SAFS Sterne Agee Financial Services 0750 SAGW SageTrader, LLC 0103 SAIN Securities America, Inc. 0226 SALC Sterne Agee & Leach, Inc 0443 SALI Sterne, Agee & Leach, Inc. 0750 SALT Watkins Financial Services, Inc. 0750 SAMI Spectrum Asset Management Inc. 0352 SAMU Samurai Trading, LLC 0103 SANT Santander Investment Securities Inc. 0443 SAVY Savoy Capital Management, Inc. 0235 SBER Bernstein (Sanford C.) & Co., LLC 0013 SBLT SunAmerica Capital Services, Inc./Valic 0226


November 2014

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SBRT Siebert (Muriel) & Co., Inc. 0226 SBSC Siebert Brandford Shank & Co., LLC 0226 SBSH Citigroup Global Markets Inc. 0418 SCAR Scarsdale Equities, LLC 0443 SCBO Sanford C. Bernstein & Co., LLC 0013

SCBS Standard Chartered Securities (North America) Inc. 0443

SCIL Strategic Capital Investments, LLC 0052 SCMC Scotia Capital (USA) Inc. 0096 SCMF Scotia Capital Inc./CDS 5011 SCRI Gramercy Securities, Inc. 0750 SCSI Standard Credit Securities 0370 SCSS Stonecastle Securities, LLC 0161 SCTO Scottrade, Inc. 0158 SDIC Sauer Dazey Investments Co. 0235 SDLR Sandler, O'Neill & Partners, L.P. 0352 SEAB Seaboard Securities, Inc. 0052 SEAI Seaboard Securities, Inc. 0100 SEAP Seaport Securities Corp. 0352 SEBR Sentinel Brokers Company 0279 SEDS Spencer Edwards, Inc. 0052 SEGI Sterling Enterprise Group, Inc. 0750 SEIB Seibert (J.D.) & Company, Inc. 0158 SEIC SEI Investments Distribution 0352 SEID Seidel & Shaw LLC 0388 SEII Spencer Edwards, Inc. 8072 SEMT Mint Brokers 0197 SEND Sendero Securities, LLC 0352 SEQU Sequoia Investments, Inc. 0309 SERL Searle & Co. 0443 SESL Seslia Securities 0099 SETX ABN AMRO Clearing Chicago LLC 0695 SEVP Seven Points Capital, LLC 0158 SFGB Susquehanna Financial Group, LLP 0161 SFPS S.F. Investments, Inc. 0443 SFSI Superior Financial Services, Inc. 0235 SFSS SF Sentry Securities, Inc. 0352 SGAS SG Americas Securities, LLC 0286 SGCM S. Goldman Capital LLC 0161 SGLC Long (S.G.) & Company 0235 SGMA Goldman Sachs Execution & Clearing, L.P. 0501 SGNL Signal Securities, Inc. 0279 SGOV SG Americas Securities, LLC 0286 SHAY Shay Financial Services, Inc. 0443 SHFS Smith Hayes Financial Services Corporation 0226 SHMR ABN AMRO Clearing Chicago LLC 0695 SHOT Schottenfeld Group LLC 0501 SHRE Shufro, Rose & Company, LLC 0352 SIBO Prime Executions, Inc. 0100 SIDC Sidoti & Company, LLC 0100 SIGI Simmons First Investment Group, Inc. 0309 SILK Goldman Sachs Execution & Clearing, L.P. 0501 SILK LPS Partners Inc. 0501 SIMA ABN AMRO Clearing Chicago LLC 0330 SIMM Simmons & Company International 0443 SJLS Levinson (S.J.) & Sons LLC 0501

SKTR Stock Traders 0279 SKYC Sky Capital LLC 0750 SLAK Southlake Capital LLC 0279 SLHC SL Hare Capital, Inc. 0103 SLRD Reed (S.L.) & Company 0352 SLTX ABN AMRO Clearing Chicago LLC 0695 SLWY Solowey & Co. 0226 SMCO Smith, Moore & Co. 0235 SMHI Sanders Morris Harris Inc. 0443 SMRD Sumridge Partners, LLC 0352 SMRI Securities Management & Research, Inc. 0226 SNCC SNC Capital Management Corp. 0017 SOCO Capital One Securities, Inc. 0443 SOGO Wang Investment Associates, Inc. 0158 SOHO Two Sigma Securities, LLC 0161 SOLM Solium Financial Services LLC 0352 SOLO Solowey & Co. 8006 SORE Source Capital Group, Inc. 0750 SORS Sorsby Financial Corp. 0235 SOUZ Souza Barros Securities, Inc. 0443 SPAC Sierra Pacific Securities, LLC 0309 SPDR ISERoute, LLC 0100 SPGS Seaport Global Securities LLC 0161 SPHN Stephens, Inc. 0419 SPIN Spencer Edwards, Inc. 0750 SPLN Celadon Financial Group, LLC 0443 SPNT Seven Points Capital, LLC 0100 SPOT Spot Trading 0501 SPTC Seven Points Capital, LLC 0052 SPTD Stock USA Execution Services, Inc. 0052 SPTS Seven Points Capital, LLC 2154 SPWI Spencer Winston Securities Corporation 0279 SQTF SQT Trading, LLC 0695 SRES Security Research Associates Inc. 0103 SREX SpiderRock EXS LLC 0100 SRFL Securities Research, Inc. 0443 SSBS State Street Global Markets, LLC 0189 SSCO Safra Securities Corp. 0443 SSFG Sethi Financial Investments 0750 SSGC Signature Securities 0226 SSGI Seton Securiteis Group, Inc. 0052 SSGM State Street Global Markets, LLC 0226 SSGR Shareholders Services Group Inc. 0443 SSGT Steward Securities Group LLC 0309 SSIC Scottrade, Inc. 0705 SSIN SunTrust Investment Services, Inc. 0226 SSLC Sanderlin Securities, LLC 0309 SSLL State Street Global Markets, LLC 0189 SSNG Sisung Securities Corp. 0443 SSNI Securities Service Network, Inc. 0226 SSNY Samsung Securities Services, Inc. 0651

STCS First American Capital and Trading Corporation 0158

STEP Ferretti Group, Inc. 0100 STEW Collins Stewart, Inc. 0352 STFC Stuart Frankel & Co., Inc. 0443


November 2014

17

STFL Stifel, Nicolaus & Company Incorporated 0793 STGC Sterling Grace Municipal Securities Co. 0279 STHL Sterling Trader Execution Services, Inc. 0873 STHR StormHarbour Securities LP 0352 STJT Success Trade Securities, Inc 0052 STKP Stockpile Investments, Inc. 0158 STLR Prime Solutions Securities, Inc. 0235 STLZ Bedrok Securities, LLC 0443 STND First Standard Financial Company LLC 0309 STOS Stockcross Financial Services, Inc. 0226 STOV Stoever,Glass & Company Inc. 0443 STOX Stockcross Financial Services, Inc. 0445 STRL Sterling Trader Execution Services, Inc. 0873 STRS Strategas Research Partners, LLC 0161 STSE Southern Trust Securities, Inc. 0052 STSI Spencer Trask Ventures, Inc. 0235 STSS Success Trade Securities, Inc. 0052 STTT StateTrust Investments Inc. 0052 STUR Sturdivant & Co 0100 STVT Standard Investment Chartered, Inc. 0103 STXG Stockcross Financial Services, Inc. 0445 SUBR Sunrise Brokers LLC 0100 SUFI Susquehanna Financial Group, LLC 0551 SUMI SMBC Nikko Securities America, Inc. 0443 SUMM Summer Street Research Partners 0443 SUMT Summit Brokerage Services, Inc. 0141

SUNB SunGard Brokerage & Securities Services, LLC 0501

SUNF Sun Trading, LLC 0695 SUNI Sun Trading, LLC 0396 SUNX ABN AMRO Clearing Chicago LLC 0695 SURG Surge Trading Inc. 0100 SUSQ Susquehanna Capital Group 0551 SUST Sunstreet Securities, LLC 0235 SUTT Sutter Securities Incorporated 0443

SVBS SVB Securities, Inc./A Non-Bank Affiliate of Silicon Valley Bank 0158

SWDX ABN AMRO Clearing Chicago LLC 0541 SWEN Sweney, Cartwright & Company 7027 SWFS Swedbank First Securities, LLC 0443 SWIM TD Ameritrade, Inc. 0158 SWST Southwest Securities, Inc. 0279 SYCA Syndicated Capital, Inc. 0443 TAGC Telsey Advisory Group LLC 0161 TAGS Taglich Brothers, Inc. 0443 TAIG Geoffrey Richards Securities Corp. 0235 TANA Portales Partners, LLC 0443 TBIS Tradier Brokerage, Inc. 0309 TBRO Tuohy Brothers Investment Research, Inc. 0103 TCFF Take Charge Financial 0750 TCPX Toussaint Capital Partners, LLC 0443 TCTD TCT Securities & Derivatives, LLC 0750 TDAR TD Ameritrade, Inc. 0188 TDCO Thompson Davis & Co., Inc. 0443 TDFS Traderfield Securities Inc. 0052 TDNY TD Securities (USA) LLC 0551

TDSC Track Data Securities Corporation 0158 TDSI TD Securities (USA) LLC 0352 TEJS Tejas Securities Group, Inc. 0158 TFAS Tradition Aisel 0443 TFSC Twenty-First Securities Corporation 0235 TFSL Teckmeyer Financial Services 0235 TFSV TFS Derivatives Corporation 0595 TGEQ TriPoint Global Equities, LLC 0052 TGUL Cleary Gull Inc. 0235 THEM Themis Trading LLC 0161 TIAB Triad Securities Corp 2154 TIAN Triad Securities Corp 0226 TIGC Nelsonreid, Inc. 0235 TJMI TJM Investments, LLC 0551 TKNG Tradeking 0158 TMBI Thurston, Springer, Miller, Herd & Titak, Inc. 0235 TMBR Timber Hill LLC 0549 TOCQ Tocqueville Securities, L.P. 0443 TOPK Topeka Capital Markets, Inc. 0161 TORA Torc Investments and Research LLC 0695 TORO Valdes & Moreno, Inc. 0309 TORQ Torc Investments and Research LLC 0695 TORR Tora Trading Services 0501 TORX Torc Investments and Research LLC 0284 TOUR Tourmaline Partners, LLC 0501 TOVC TOV Capital Markets, Inc. 0235 TOWT R.W. Towt & Associates 0750 TRAD TradeStation Securities, Inc. 0271 TRAS Tradition Asiel Securities, Inc. 0443 TRBT Tradebot Systems, Inc. 0083 TRCO Tryco Securities, Inc. 0279 TREA Treasure Financial Corp. 0279 TREX Dinosaur Securities, L.L.C. 0226 TRIM Knight Capital Markets, LLC 0295 TRIP Trident Partners Ltd. 0235 TRKA Troika Dialog USA, Inc. 0443 TRLN Tradelink Securities, LLC 0551 TRNP CCM Securities, LLC 0551

TRNS Lombard Odier Transatlantic, Limited Partnership 0408

TRSC Transcend Capital, LP 0052 TRSH Thrasher & Company 0309 TRSQ Tower Square Securities, Inc. 0443 TRUN Triune Capital Advisors, LLC 0750 TRWN T.R. Winston & Company, LLC 0443 TSCD Sturges Company (The) 0235 TSGI Tejas Securities Group, Inc. 0158 TSIB The Street, Inc. 0750 TSII TradeStar Investments, Inc. 0226 TTAL Tibra Trading America LLC 0695 TTTX ABN AMRO Clearing Chicago LLC 0695 TUNA Bluefin Research Partners, Inc. 0443 TURN CCM Securities, LLC 0161 TWPL Stifel, Nicolaus & Company, Incorporated 0161 UBII UBS International, Inc. 0221 UBSB UBS Securities LLC 0642


November 2014

18

UBSC UBS Securities, LLC 0642 UBSG UBS Securities, LLC 0642 UBSS UBS Securities, LLC 0642 UBST UBS Securities, LLC 0642 UBSW UBS Securities LLC 0642 UBSX UBS Securities, LLC 0642 UCCM CU Investment Solutions, Inc. 0279 UCMI United Capital Markets, Inc. 0443 UCML United Capital Markets, Inc. 0052 UFPA United First Partners, LLC 0501 UFSM Nelnet Capital LLC 0750 UGAM Union Gaming Advisors, LLC 0443 UHLM Uhlmann Price Securities, LLC 0235 UMBF UMB Financial Services, Inc. 0226 UPLN United Planners Financial Services of America 0443 USAA USAA Investment Management Company 0226 USCA U.S. CA Securities LLC 0226 USCO Underhill Securities Corp 0052 USDB U.S. Brokerage, Inc. 0279 USFB U.S. Financial Investments, Inc 0595 USLF PI Financial Corp. 5075 USSI U.S. Sterling Securities, Inc. 0309 VALM Valmark Securities, Inc. 0235 VARI Variant Research Corporation 0352 VASL Vasiliou & Company Inc. 0352 VBSL Vision Brokerage Services, LLC 0595 VCAP Vanguard Capital 0443 VCAS VCA Securities, LP 0352 VCLM Van Clemens & Co., Inc. 0279 VERN Success Trade Securities, Inc. 0052 VERT Vertical Trading Group, LLC (The) 2154 VFGS VFG Securities, LLC 0750 VFIN vFinance Investments, Inc. 0226 VGRD Vanguard Marketing Corporation 0062 VGRP The Vertical Trading Group, LLC 8072 VIEW Viewtrade Securities, Inc. 0595 VIRT Virtu Financial BD LLC 0063 VKMI Invesco Capital Markets, Inc. 0692 VMDI Desjardins Securities International, Inc. 0443 VMEX Vectormex WMG, Inc. 0352 VNDM Vandham Securities Corp. 0161 VNDS Vandham Securities Corp. 0161 VOTO Banco Votorantim Securities, Inc. 0443 VPEW VPE Wertpapierhandelsbank AG 0158 VRTS Veritas Securities Corp. 0100 VRTU Virtu Financial BD LLC 0063 VRTX ConvergEx Execution Solutions LLC 0100 VSIN Vision Financial Markets LLC 0595 VSRF VSR Financial Services, Inc. 0141 VSTS Vista Securities, Inc. 0279 VTBI VTB Capital Inc. 0443 VTDT ViewTrade Securities, Inc. 0158 VTMW Emergent Financial Group, Inc. 0235 VTSB ViewTrade Securities, Inc. 2154 WABN Wedbush Securities Inc. 0396 WABR Wall Street Access 0443

WACL Wachtel & Co., Inc. 0709 WACX Commonwealth Funding, Inc. 0750 WAIN H.C. Wainwright & Co., Inc. 0103 WAMC Wall Street Money Center Corp. 0750 WANG Wang Investment Associates, Inc. 0279 WAYN Wayne Hummer Investments LLC 0141 WBBC WBB Securities, LLC 0226 WBCO Blue Trading, Inc. 0501 WBET Wallach Beth Capital LLC 0161 WBJB Wedbush Securities Inc. 0103 WBLL Wedbush Securities Inc. 0103 WBLR Blair (William) & Company, LLC 0771 WBRO Wiley Bros.-Aintree Capital, LLC 0443 WCHV Wells Fargo Securities, LLC 0250 WCIG Willow Cove Investment Group, Inc. 0750 WCMS Westport Capital Markets, LLC 0352 WCSC Wilmington Capital Securities, LLC 0235 WCSO World Choice Securities, Inc. 0052 WDAC Wilson-Davis & Company, Inc. 0279 WDCO Wilson-Davis & Co., Inc. 0283 WDLF W.D. Latimer Company LTD./CDS 5078

WDSB Jefferies LLC/Jefferies Execution Services, Inc./Service Bureau 0536

WEBX ABN AMRO Clearing Chicago LLC 0396 WECK Weckstein (D.) & Co., Inc. 0595 WEDB Wedbush Securities Inc. 0103 WEDE Wedbush Morgan Securities, Inc. 0355 WEDP Wedbush Morgan Securities, Inc. 0103 WEED Weeden & Co. L.P. 0161 WEFI Western Financial Corporation 0103 WEGE World Equity Group, Inc. 0443 WEGI World Equity Group Inc. 0235 WEGP Western Equity Group, Inc. 0235 WELC H. G. Wellington & Co., Inc. 0702 WELD White, Weld & Co. Securities, LLC 0443 WELL Wells Nelson & Associates, LLC 0309 WELX Wells Fargo Securities, LLC 0250 WEMM Wells Fargo Securities, LLC 0250 WEPA Western Pacific Securities, Inc. 0750 WESC Wellington Shields & Co., LLC 0141 WETF Wedbush Securities Inc. 0103 WEXA Wolverine Execution Services, LLC 0695 WEXI Wolverine Execution Services LLC 0501 WEXL Wolverine Execution Services, LLC 0501 WEXM Wolverine Execution Services LLC 0161 WEXX Wolverine Execution Services LLC 0501 WFBC Wealthfront Brokerage Corporation 0158 WFGO Wells Fargo Securities, LLC 0352 WFGP Waterstone Financial Group, Inc 0075 WFIS Wells Fargo Institutional Securities, LLC 0250 WFPB Wells Fargo Prime Services, LLC 0250 WFSI Windham Financial Services Inc. 0352 WGIF CIBC World Markets, Inc. 5030 WHBB BGC Financial, L.P. 0537 WHCG Whitaker Securities, LLC 0443 WHOT Whotrades, Inc. 0595


November 2014

19

WICK Bonwick Capital Partners, LLC 0309 WIDS Wisconsin Discount Securities Corp. 0279 WILB Wilbanks Securities, Inc. 0235 WISC Windsor, Sheffield & Company, Inc. 0235 WISI Western International Securities, Inc. 0352 WISW Western International Securities, Inc. 0103 WLMS Williams Capital Group, L.P. (The) 0443 WLSC Wedbush Securities Inc. 0396 WMBU WFG Investments, Inc. 0226 WMCL White Mountain Capital, LLC 0352 WMEI Meeschaert Capital Markets, Inc. 0279 WMEU Wedbush Securities Inc. 0103 WMGT Wedbush Morgan Securities, Inc. 0103 WMIT Wedbush Securities Inc. 0099 WMLF Wedbush Morgan Securities, Inc. 0330 WMLK Wedbush Securities Inc. 0512 WMLL Watermill Institutional Trading, LLC 0501 WMLP Wedbush Securities Inc. 0103 WMLT Wedbush Securities Inc. 0158 WMMO Wedbush Morgan Securities, Inc. 0103 WMPB Hahn Securities, Inc. 0750 WMRA Wedbush Morgan Securities, Inc. 0103 WMSF Wedbush Securities Inc. 0103 WMSR Wedbush Morgan Securities, Inc. 0103 WMSS Wedbush Morgan Securities, Inc. 0695 WNDR Wunderlich Securities, Inc. 0161 WNJC WNJ Capital, Inc 0309 WNUT Walnut Street Securities, Inc. 0443 WOLF Wolfe Research Securities 0100 WORD Worden Capital Management, LLC 0052 WORL World Trade Financial Corporation 0052 WORX World Trade Financial Corporation 0052 WPCC Westpark Capital, Inc. 0052 WPSX Weeden Prime Services, LLC. 0824 WRDN Wordentrade, Inc. 0017 WRET Wells Fargo Advisors, LLC 0141 WRGR Warner Group Inc. (The) 0235 WRIS Westport Resources Investment Services, Inc. 0443 WRPI WRP Investments, Inc. 0750 WRRF WR Rice Financial Services, Inc. 0750 WRTC W.R. Taylor & Company, LLC 0750 WSAG Wall Street Access 0824 WSCC Washington Securities Corporation 0235 WSCX Workman Securities Corp. 0235 WSGD Wedbush Securities Inc./P3 8199 WSLT Wedbush Securities Inc. 0695 WSRK Westrock Capital Management, Inc. 0750 WSSS WM Smith & Co. 0443 WTCO Williams Trading, LLC 0501 WTKR Whitaker Securities, LLC 0443 WTOF Wolverton Securities Ltd./CDS 5079 WTOU Wolverton Securities (USA), Ltd. 0052 WTRI Waterford Investors Services, Inc. 0235 WUND Wunderlich Securities, Inc. 0141 WUSA West America Securities Corp. 0750 WVBD Merrill Lynch Pierce Fenner & Smith 0161

Incorporated WWLD Whiteweld Trading, LLC 0647 WWTH Wentworth Securities, Inc. 0750 WYNS Winslow, Evans & Crocker Inc. 0443 XBLA Xambala Capital, LLC 0103 XGWD Latour Trading LLC 0695 XGWX Latour Trading LLC 0695 XIST Instinet, LLC 0067 XPUS XP Securities, LLC 0443 XSTM National Financial Services LLC 0226 XXEW Wolverine Execution Services, LLC 0501 YAMN Trade Manage Capital, Inc. 0443 YKTN Macquarie Private Wealth/CDS 5016 YLPL LPL Financial Corporation 0075 YOST Young Stovall & Company 0235 ZACK Zacks & Company 0352 ZEDD Van Kampen Funds, Inc. 0099 ZENA ABN AMRO Clearing Chicago LLC 0396 ZEUS Zeus Securities, Inc 0309 ZIVI ZIV Investment Co. 8082 ZOUL Zoullas (N.B.) Securities, Inc. 0352


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Clearing No. MPID Name 0005 GSCO Goldman, Sachs & Co. 0005 GSCS Goldman, Sachs & Co. 0010 BBHC Brown Brothers Harriman & Co. 0013 BERN Bernstein (Sanford C.) & Co., Inc. 0013 BIRM Sanford C. Bernstein & Co., LLC 0013 BLAV Sanford C. Bernstein & Co., LLC 0013 SBER Bernstein (Sanford C.) & Co., LLC 0013 SCBO Sanford C. Bernstein & Co., LLC 0015 DEAN Morgan Stanley Smith Barney LLC 0015 MSNY Morgan Stanley & Co., Inc. 0017 IBKR Interactive Brokers LLC 0017 ATRM Atrium Trading, Inc. 0017 CATC Chicago Analytic Trading Company, LLC 0017 CTCO Citco Securities, Inc 0017 CXPS ConvergEx Prime Services LLC 0017 DNSR Dinosaur Securities, L.L.C. 0017 FRWY Pinnacle Capital Markets, LLC 0017 GWDS Gar Wood Securities, LLC 0017 IBKW Wedbush Morgan Securities, Inc. 0017 INII Integrated Trading and Investments, Inc. 0017 JPII Jaypee International, Inc. 0017 KCBC Wealthfront Brokerage Corporation 0017 KEYW Key West Investments, LLC 0017 LVLX Livevol Securities, Inc. 0017 MSLC Mercor Securiteis LLC 0017 NFGI Northeastern Financial Group Inc. 0017 OBEX Obex Securities LLC 0017 PTIX PTI Securities & Futures L.P. 0017 QRQR QuantRiver Financial, LLC 0017 RNSI Rivernorth Securities, LLC 0017 SNCC SNC Capital Management Corp. 0017 WRDN Wordentrade, Inc. 0019 JEFF Jefferies LLC 0019 JHYT Jeffries Partner Opportunity Fund II, LLC 0031 ABLE Natixis Securities Americas LLC 0045 BMOC BMO Capital Markets Corp. 0050 MSCO Morgan Stanley & Co. LLC

0050 ANDZ SunGard Brokerage & Securities Services, LLC

0050 ASSD SunGard Brokerage & Securities Services, LLC

0050 BATM BATS Trading, Inc. 0050 BYXM BATS Trading, Inc. 0050 CUGS Cuttone & Co., Inc. 0050 EGAM BATS Trading, Inc. 0050 EGXM BATS Trading, Inc.

0050 FREX SunGard Brokerage & Securities Services, LLC

0050 GFMS Grace Financial Group LLC 0050 MSEA Morgan Stanley & Co. Incorporated 0050 MSEB Morgan Stanley & Co. Incorporated 0050 MSED Morgan Stanley & Co. Inc. 0050 MSEK Morgan Stanley & Co. Inc. 0050 MSEL Morgan Stanley & Co. LLC 0050 MSEM Morgan Stanley & Co. LLC

0050 MSET Morgan Stanley & Co. LLC 0050 MSML Morgan Stanley & Co. LLC 0050 MSMP Morgan Stanley & Co. LLC 0050 MSOT Morgan Stanley & Co., Inc. 0050 MSPD Morgan Stanley & Co. LLC 0050 MSPL Morgan Stanley & Co. LLC 0050 MSPW Morgan Stanley Smith Barney LLC 0050 MSRP Morgan Stanley & Co. LLC 0050 MSTW Morgan Stanley & Co., Inc. 0050 MSTX Morgan Stanley & Co. LLC 0050 NQMR NASDAQ Execution Services, LLC 0050 OTAM OTA, LLC 0052 LGNT COR Clearing LLC 0052 ADAK Adirondack Trading Group, LLC 0052 ADVA Advanced Equities, Inc. 0052 AEXG Alternative Execution Group 0052 AFGR Avenir Financial Group, Inc. 0052 AURC Aurora Capital LLC 0052 AYME Martinez-Ayme Securities 0052 BEJJ Benjamin & Jerold Brokerage, Inc. 0052 BELO Beloyan Investment Securities, Inc. 0052 BMAC BMA Securities 0052 BOTZ Botzum (C.A.) & Company 0052 BRGE Newbridge Securities Corporation 0052 CAMC Cambria Capital, LLC 0052 CDFS CD Funding Securities, LLC 0052 CIIV Corporate Investments Group Inc. 0052 CLCI Clayton, Lowell & Conger Inc. 0052 CMDN Camden Financial Services 0052 CORR COR Clearing LLC 0052 CPCS CP Capital Securities 0052 CSCP Craig Scott Capital, LLC 0052 DAKO Dakota Securities International, Inc. 0052 DCUS Dubeau Capital USA, Inc. 0052 DLNY Delaney Equity Group LLC 0052 ELSH Elish & Elish Brokerage and Research 0052 EQNX Equinox Securities, Inc. 0052 ETCB ETC Brokerage Services, LLC 0052 EVRS E1 Asset Management, Inc. 0052 FANC Finance 500, Inc. 0052 FORD Fordham Financial Management, Inc. 0052 FRIS J.D. Nicholas & Associates, Inc. 0052 FSTN Fieldstone Services Corp. 0052 GSIC Global Strategic Investments, LLC 0052 HCBD Halcyon Cabot Partners, Ltd. 0052 HCPL Halen Capital, Inc. 0052 HMRK Hallmark Investments, Inc. 0052 HWJC HWJ Capital Partners II, LLC 0052 JHDR JH Darbie & Co. Inc. 0052 JINS Archey & Co. LLC 0052 JSCL Joseph Stone Capital L.L.C. 0052 KCWF Ward (K.C.) Financial 0052 KJER Kenneth, Jerome & Co., Inc. 0052 KWIL Key West Investments, LLC 0052 LEGD Legend Securities, Inc. 0052 MBAY Monarch Bay Associates, LLC


November 2014

21

0052 MEAT J&C Global Securities, LLC 0052 MERQ Mercator Associates, LLC 0052 MERX Merrimac Corporate Securities, Inc. 0052 MFSI Midamerica Financial Services, Inc. 0052 MICA Spartan Securities Group, Ltd. 0052 MILE I-Bankers Securities, Inc. 0052 MSFS Mystockfund Securities, Inc. 0052 MYLG Meyers Associates, L.P. 0052 NAPK National Securities Corporation 0052 NCFS New Castle Financial Group, Inc 0052 NCIS Newport Coast Securities 0052 NTFN Network 1 Financial Securities Inc. 0052 OCEA Ocean Financial Services, LLC 0052 OLMP Olympus Securities, LLC 0052 OREO Orion Trading, LLC 0052 PATH Capital Path Securities, LLC 0052 PCMT Pinnacle Capital Markets, LLC 0052 PENC Penrod Financial Group 0052 RRTC Radnor Research & Trading Company, LLC 0052 RWCI Ridgeway & Conger, Inc. 0052 SCIL Strategic Capital Investments, LLC 0052 SEAB Seaboard Securities, Inc. 0052 SEDS Spencer Edwards, Inc. 0052 SPTC Seven Points Capital, LLC 0052 SPTD Stock USA Execution Services, Inc. 0052 SSGI Seton Securiteis Group, Inc. 0052 STJT Success Trade Securities, Inc 0052 STSE Southern Trust Securities, Inc. 0052 STSS Success Trade Securities, Inc. 0052 STTT StateTrust Investments Inc. 0052 TDFS Traderfield Securities Inc. 0052 TGEQ TriPoint Global Equities, LLC 0052 TRSC Transcend Capital, LP 0052 UCML United Capital Markets, Inc. 0052 USCO Underhill Securities Corp 0052 VERN Success Trade Securities, Inc. 0052 WCSO World Choice Securities, Inc. 0052 WORD Worden Capital Management, LLC 0052 WORL World Trade Financial Corporation 0052 WORX World Trade Financial Corporation 0052 WPCC Westpark Capital, Inc. 0052 WTOU Wolverton Securities (USA), Ltd. 0057 EDJO Jones (Edward D.) & Co. 0062 VGRD Vanguard Marketing Corporation 0063 VRTU Virtu Financial BD LLC 0063 VIRT Virtu Financial BD LLC 0067 INCA Instinet, LLC 0067 ICBX Instinet, LLC 0067 INAT Instinet, LLC 0067 INBA Instinet, LLC 0067 INHC Instinet, LLC 0067 INMB Instinet, LLC 0067 INML Instinet, LLC 0067 INMP Instinet, LLC 0067 INMU Instinet, LLC 0067 INTU Instinet, LLC

0067 INTW Instinet, LLC 0067 XIST Instinet, LLC 0075 YLPL LPL Financial Corporation 0075 ASSO Associated Securities Corporation 0075 MLPL Mutual Service Corporation 0075 WFGP Waterstone Financial Group, Inc 0076 MUFG Mitsubishi UFJ Securities (USA), Inc. 0083 TRBT Tradebot Systems, Inc. 0096 SCMC Scotia Capital (USA) Inc. 0099 ITGI ITG, Inc. 0099 ALTX AlterNet Securities Inc. 0099 BOSE Boe Securities Inc. 0099 PFAR Penson Financial Services, Inc. 0099 PITG Penson Financial Services, Inc. 0099 REDG Redsky Financial, LLC 0099 SESL Seslia Securities 0099 WMIT Wedbush Securities Inc. 0099 ZEDD Van Kampen Funds, Inc. 0100 ECUT ConvergEx Execution Solutions LLC 0100 ANOS Abel/Noser Corp. 0100 ATRU Altrushare Securities LLC 0100 AUTX Reuters Transaction Services LLC 0100 BEGK Benjamin & Jerold Brokerage I, LLC 0100 BRMS Biremis Corporation 0100 CADP Cadwyn Point Partners LLC 0100 CLKS Clarkson Capital Markets 0100 CNFX Conifer Securities LLC 0100 CPES ConvergEx Execution Solutions LLC 0100 DCRN Discern Securities, Inc. 0100 DEMP E*Trade Capital Markets/DEMP 0100 DNID E*Trade Capital Markets, LLC 0100 EGRO Emerging Growth Equities, Ltd. 0100 ENCL Enclave Capital LLC 0100 ETLS E*Trade Capital Markets, LLC 0100 ETMM E*Trade Cap MKTS/CHXL Trading 0100 ETNY E*Trade Capital Markets, LLC 0100 ETRD E*Trade Capital Markets, LLC 0100 GDNR Gardner Rich, LLC 0100 GSEC Griffin Securities, Inc. 0100 GVSA E*Trade Cap Mkts/Special Account 0100 IFSG IFS Securities, Inc. 0100 IVYS IVY Securities, Inc. 0100 JPTR Jackson Partners & Associates Inc. 0100 KLRG KLR Group, LLC 0100 LBKI Libucki & Co., LLC 0100 LITB Lime Brokerage LLC 0100 LVMR Livermore Trading Group, Inc. 0100 NASC National Alliance Securities Corporation 0100 NOBL Noble Financial Capital Markets 0100 NYFT BNY Convergex Execution Solutions, LLC 0100 NYFX BNY Convergex Execution Solutions, LLC 0100 PERD Perdiue Securities, LLC 0100 PREC Precision Securities LLC 0100 PRRX River Cross Securities, LLLP 0100 QMSR Quattro M Securities Inc. 0100 RACX Raven Securities Corp.


November 2014

22

0100 RCSL River Cross Securities, LLLP 0100 REVR Revere Securities Corp. 0100 SEAI Seaboard Securities, Inc. 0100 SIBO Prime Executions, Inc. 0100 SIDC Sidoti & Company, LLC 0100 SPDR ISERoute, LLC 0100 SPNT Seven Points Capital, LLC 0100 SREX SpiderRock EXS LLC 0100 STEP Ferretti Group, Inc. 0100 STUR Sturdivant & Co 0100 SUBR Sunrise Brokers LLC 0100 SURG Surge Trading Inc. 0100 VRTS Veritas Securities Corp. 0100 VRTX ConvergEx Execution Solutions LLC 0100 WOLF Wolfe Research Securities 0103 WEDB Wedbush Securities Inc. 0103 ABGS ABG Sundal Collier, Inc. 0103 APBI APB Financial Group, LLC 0103 APTO Apto Partners, LLC 0103 ARDR Ardour Capital Investments, LLC 0103 BAND Broadband Capital Management, LLC 0103 BATS BATS Trading, Inc. 0103 BGCM BGB Securities Inc. 0103 BRSA Boursa Investments 0103 BYXX BATS Trading, Inc. 0103 CALD Caldwell Securities, Incorporated 0103 CANR Cantone Research, Inc. 0103 CBRA Cobra Trading, Inc. 0103 CNTR Precision Securities, LLC 0103 DAVS Davis Securities LLC 0103 DIRA Title Securities, Inc. 0103 DIRL Title Securities, Inc. 0103 DIRW Direct Access Brokerage Services, Inc. 0103 DIVA Divine Capital Markets, LLC 0103 EBRD Earlybird Capital, Inc. 0103 EGAW BATS Trading, Inc. 0103 EGXW BATS Trading, Inc. 0103 FALC Falcon Square Capital, LLC 0103 FARA Farina & Associates, Inc. 0103 FOGS FOG Equities LLC 0103 FWIL First Wilshire Securities Management, Inc. 0103 GBSI Greentree Brokerage Services, Inc. 0103 GDEQ Global Direct Equities, LLC 0103 GETS GETCO Securities, LLC 0103 GNLP G&L Partners, Inc. 0103 GRFN Griffin Financial Group, LLC 0103 GTSX GTS Securities, LLC 0103 GWEP Grey Wolf Execution Partners, Inc. 0103 HBIQ Wedbush Morgan Securities, Inc. 0103 HOVD Hovde Group, LLC 0103 INDX Fusion Analytics Securities LLC 0103 ISIL ISI Capital, LLC 0103 JGRC Joseph Grace 0103 KCAP Kildare Capital, Inc. 0103 KYSN Kyson & Co 0103 LITE Lime Brokerage LLC

0103 LIWE Lime Brokerage LLC 0103 LMGP Lime Brokerage LLC 0103 LMGT Lime Brokerage LLC 0103 LPCM Lampert Capital Markets Inc. 0103 LSCM Lake Street Capital Markets, LLC 0103 MAVB Great Point Capital LLC 0103 MAWI Montecito Advisors, Inc. 0103 MURG Murphy & Durieu 0103 NCSI Newport Coast Securities 0103 ROAR Dinosaur Securities, L.L.C. 0103 SAGW SageTrader, LLC 0103 SAMU Samurai Trading, LLC 0103 SLHC SL Hare Capital, Inc. 0103 SRES Security Research Associates Inc. 0103 STVT Standard Investment Chartered, Inc. 0103 TBRO Tuohy Brothers Investment Research, Inc. 0103 WAIN H.C. Wainwright & Co., Inc. 0103 WBJB Wedbush Securities Inc. 0103 WBLL Wedbush Securities Inc. 0103 WEDP Wedbush Morgan Securities, Inc. 0103 WEFI Western Financial Corporation 0103 WETF Wedbush Securities Inc. 0103 WISW Western International Securities, Inc. 0103 WMEU Wedbush Securities Inc. 0103 WMGT Wedbush Morgan Securities, Inc. 0103 WMLP Wedbush Securities Inc. 0103 WMMO Wedbush Morgan Securities, Inc. 0103 WMRA Wedbush Morgan Securities, Inc. 0103 WMSF Wedbush Securities Inc. 0103 WMSR Wedbush Morgan Securities, Inc. 0103 XBLA Xambala Capital, LLC 0114 MSUS Macquarie Capital (USA) Inc. 0114 MACQ Macquarie Capital (USA) Inc. 0124 INGS Ingalls & Snyder, LLC 0126 DRKW Commerz Markets LLC 0129 BAUM Baum (George K.) & Co. 0136 BIMI Banca IMI Securities Corp. 0141 FCCP First Clearing LLC 0141 AKGS Alliance Financial Group, Inc. 0141 ARVS Arvest Investments, Inc. 0141 BNKS FIG Partners, LLC 0141 BOSC Boenning & Scattergood, Inc. 0141 CUTT Cutter & Company Brokerage, Inc. 0141 DMKC Kelley (D.M.) & Co. 0141 DORS Dorsey & Co. Inc. 0141 FDSI First Dallas Securities, Inc. 0141 FNET Wachovia Securities Financial Network, LLC 0141 MCBT Moors & Cabot, Inc. 0141 SUMT Summit Brokerage Services, Inc. 0141 VSRF VSR Financial Services, Inc. 0141 WAYN Wayne Hummer Investments LLC 0141 WESC Wellington Shields & Co., LLC 0141 WRET Wells Fargo Advisors, LLC 0141 WUND Wunderlich Securities, Inc. 0148 GARB ICAP Corporates LLC 0158 PFCL Apex Clearing Corporation


November 2014

23

0158 ACCP Aegis Capital Corp. 0158 ACCU AltaCorp Capital (USA) Inc. 0158 ACII ARCA Capital Investments, Inc. 0158 ALGR Fred Alger & Company, Incorporated 0158 AOSD Trading Block 0158 APCC Apex Clearing Corporation 0158 ASCM Ascendiant Capital Markets, LLC 0158 BLOC Trading Block 0158 BRMF First Bermuda Securities (BVI), Ltd. 0158 CASH Planner Securities LLC 0158 CRFN Robinhood Financial, LLC. 0158 DITO Ditto Trade, Inc. 0158 EROP Eroom Securities LLC 0158 EZOP Optionshouse Corporation 0158 FDSC 1st Discount Brokerage, Inc. 0158 FFSI Firstrade Securities Inc. 0158 GBMS GBM International, Inc. 0158 GSIL Global Strategic Investments, LLC 0158 INTG Lightspeed Trading, LLC 0158 JPTC Turner (J.P.) & Co. LLC 0158 JPTS Turner (J.P.) & Company, LLC 0158 KAPG Kapitall Generation, LLC 0158 LGSA Woori Investment & Securities America, Inc. 0158 LSPS Lightspeed Trading, LLC

0158 MBTS Manhattan Beach Trading Financial Services, Inc.

0158 MOTF Motif Investing, Inc. 0158 MTGO MTG, LLC 0158 OMSL OM Securities, LLC 0158 PFCM Penson Financial Services, Inc. 0158 PMAC Permac Securities 0158 PUMA Puma Capital, LLC 0158 RACO Shearman, Ralston, Inc. 0158 SCTO Scottrade, Inc. 0158 SEIB Seibert (J.D.) & Company, Inc. 0158 SEVP Seven Points Capital, LLC 0158 SOGO Wang Investment Associates, Inc.

0158 STCS First American Capital and Trading Corporation

0158 STKP Stockpile Investments, Inc.

0158 SVBS SVB Securities, Inc./A Non-Bank Affiliate of Silicon Valley Bank

0158 SWIM TD Ameritrade, Inc. 0158 TDSC Track Data Securities Corporation 0158 TEJS Tejas Securities Group, Inc. 0158 TKNG Tradeking 0158 TSGI Tejas Securities Group, Inc. 0158 VPEW VPE Wertpapierhandelsbank AG 0158 VTDT ViewTrade Securities, Inc. 0158 WFBC Wealthfront Brokerage Corporation 0158 WMLT Wedbush Securities Inc. 0161 MLCO Merrill Lynch, Pierce, Fenner & Smith Inc. 0161 ADRD G-Trade Services LLC 0161 AFGL Atlas One Financial Group, LLC 0161 ATMC ATM Execution LLC 0161 ATPA Concept Capital Markets, LLC

0161 BAYC Bay Crest Partners, LLC 0161 BCEX Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 BGCE BGC Financial, Inc. 0161 BIDS BIDS Trading L.P. 0161 BLVS Blue Vase Securities, LLC 0161 CABA Cabrera Capital Markets, Inc. 0161 CDEL Citadel Securities LLC 0161 CFGT CF Global Trading, LLC 0161 CHBC Cheevers & Company Inc 0161 CHLM Craig-Hallum Capital Group, LLC 0161 CIST Capital Institutional Services, Inc. 0161 COWX Cowen and Company, LLC 0161 CSMS Cornerstone Macro LLC 0161 DECK Decker & Co, LLC 0161 DFIN Electronic Brokerage Systems, LLC 0161 DLTA Dealerweb Inc. 0161 DLWB Dealerweb Inc. 0161 EBXL EBX LLC 0161 EDGA Direct Edge ECN LLC 0161 EDGX Direct Edge ECN LLC 0161 EHSC Smith (E.H.) Jacobs & Co., Inc. 0161 ELEV Elevation, LLC 0161 ELTD Elevation LLC 0161 EMRP Empirical Research Partners LLC 0161 ETRF G1 Execution Services, LLC 0161 FANA First Analysis Securities Corporation 0161 FBLC Freimark Blair & Co., Inc. 0161 FINX Fintech Securities 0161 GPSS Great Pacific Securities 0161 GPTG Greenwich Prime Trading Group, LLC 0161 GSSC Georgeson Shareholder Securities Corp. 0161 GTSY GTS Securities, LLC 0161 GZML Guzman & Company 0161 HPPO Potamus Trading, LLC 0161 IEXG IEX Services, LLC 0161 INTL INTL Trading, Inc. 0161 JJKE Dealerweb Inc. 0161 JJKS Rafferty Capital Markets, LLC 0161 JNKK JNK Securities Corp. 0161 JONE JonesTrading 0161 LBNN Lime Brokerage LLC 0161 MACM Madison Capital Markets, Inc. 0161 MBSC MBSC Securities Corporation 0161 MCIN Moors & Cabot, Inc. 0161 MISL Mischler Financial Group, Inc. 0161 MKMP MKM Partners LLC

0161 MLBC Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLCA Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCB Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCC Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCD Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLCG Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLEL Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLEX Merrill Lynch, Pierce, Fenner & Smith, Inc.


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0161 MLMA Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLPK Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLRM Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLSE Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLSK Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLSL Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTA Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTC Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTE Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTI Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTJ Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTK Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTL Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLTQ Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLTV Merrill Lynch, Pierce, Fenner & Smith, Inc. 0161 MLTX Merrill Lynch, Pierce, Fenner & Smith Inc.

0161 MLUA Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLUB Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLUC Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 MLVM McNicoll, Lewis & Vlak LLC 0161 MNDX TJM Investments, LLC 0161 MPSG E D & F Man Capital Markets Inc. 0161 MSIT Montrose Securities International 0161 OGRU Oscar Gruss & Son, Incorporated 0161 ONEL O'Neil (William) & Co. Inc. 0161 PDQM PDQ ATS 0161 PDQX PDQ ATS, Inc. 0161 PFPI Prebon Financial Products Inc. 0161 PICK Pickering Energy Partners, Inc. 0161 PNSA Penserra Securities, LLC 0161 PNSR Penserra Securities, LLC 0161 PRAG Pragma Securities LLC

0161 PXCJ Merrill Lynch, Pierce, Fenner & Smith Incorporated

0161 RAFF Rafferty Capital Markets, LLC 0161 RAYF Raymond C. Forbes & Co., Inc. 0161 RCML Dealerweb Inc. 0161 RJLB RJL Capital Group, LLC 0161 RMAC Renaissance Macro Securities, LLC. 0161 ROTH Roth Capital Partners, LLC

0161 SCSS Stonecastle Securities, LLC 0161 SFGB Susquehanna Financial Group, LLP 0161 SGCM S. Goldman Capital LLC 0161 SOHO Two Sigma Securities, LLC 0161 SPGS Seaport Global Securities LLC 0161 STRS Strategas Research Partners, LLC 0161 TAGC Telsey Advisory Group LLC 0161 THEM Themis Trading LLC 0161 TOPK Topeka Capital Markets, Inc. 0161 TURN CCM Securities, LLC 0161 TWPL Stifel, Nicolaus & Company, Incorporated 0161 VNDM Vandham Securities Corp. 0161 VNDS Vandham Securities Corp. 0161 WBET Wallach Beth Capital LLC 0161 WEED Weeden & Co. L.P. 0161 WEXM Wolverine Execution Services LLC 0161 WNDR Wunderlich Securities, Inc.

0161 WVBD Merrill Lynch Pierce Fenner & Smith Incorporated

0163 NQBX NASDAQ OMX BX, INC 0164 CHAS Charles Schwab & Co., Inc. 0180 NMRA Nomura Securities International, Inc. 0180 NMRB Nomura Securities International, Inc. 0188 FOMA TD Ameritrade Clearing, Inc. 0188 PFSM Princor Financial Securities, Inc. 0188 TDAR TD Ameritrade, Inc. 0189 SSBS State Street Global Markets, LLC 0189 PULX State Street Global Markets, LLC 0189 SSLL State Street Global Markets, LLC

0197 CSPD Cantor Fitzgerald & Co. - Cantor Clearing Services

0197 CFPT Cantor Fitzgerald & Co. 0197 COAK CastleOak Securities, L.P 0197 SEMT Mint Brokers 0202 FTSC FTN Financial Services Corp. 0220 PEOP People's Securities, Inc. 0221 PWJC UBS Financial Services Inc. 0221 PTFI UBS Financial Services Inc. 0221 UBII UBS International, Inc. 0226 NFSC National Financial Services Corporation 0226 ARCH Investacorp, Inc. 0226 ATGP Agency Trading Group, Inc. 0226 AVIL Avila Capital Markets, Inc. 0226 AVON Avondale Partners, LLC 0226 BARR Barrett & Company

0226 BFFI Berthel, Fisher & Company Financial Services, Inc.

0226 BFSA Berwyn Financial Services 0226 BGIA Biondo Asset Management LLC 0226 BGSG CBIZ Financial Solutions, Inc. 0226 BISH Bishop, Rosen & Co., Inc. 0226 BNYN Banyan Securities, LLC 0226 BRSE Bradesco Securities, Inc.

0226 BUCK Buckingham Research Group Incorporated (The)

0226 CBOL Mutual Securities, Inc.


November 2014

25

0226 CBTD Synovus Securities Inc. 0226 CERS Ceros Financial Services, Inc. 0226 CMCE Commerce Brokerage Services 0226 CMMW Commonwealth Financial Network 0226 COWN Cowen & Company, LLC 0226 COWP Cowen & Company, LLC 0226 CRTS CertusSecurities, Inc. 0226 CUFT Frost Brokerage Services, Inc. 0226 EURP Euro Pacific Capital, Inc. 0226 FCGA FCG Advisors LLC 0226 FGCC 1st Global Capital Corp. 0226 FGIC Financorp Group International Corp. 0226 FIBS Fidelity Brokerage Services LLC 0226 FINW Financial West Group 0226 FLAT Florida Atlantic Securities Corp. 0226 FLTL Feltl and Company 0226 FTEN FTB Advisors, Inc. 0226 FUND Wunderlich Securities, Inc. 0226 GARR Garrett Nagle & Company, Inc. 0226 GHAS Gordon Hasket & Co. 0226 GHCC Gordon, Haskett Capital Corporation 0226 GIRL Girard Securities, Inc. 0226 GMCK McKelvey (George) Co., Inc. 0226 HARS Harvestons Securities, Inc. 0226 HAZL Hazlett, Burt & Watson, Inc. 0226 HUCO Huntington Investment Company 0226 IBER IBERIA Capital Partners L.L.C. 0226 ICTI International Correspondent Trading, Inc. 0226 IPAC Interpacific Investors Services, Inc. 0226 JGUN Gunnar (Joseph) & Co., LLC 0226 KEEL Keeley Investment Corp. 0226 KOVS Kovack Securities, Inc. 0226 LASS LaSalle Street Securities, Inc. 0226 LEBO Baldwin (Leigh) & Co., LLC 0226 LTCO Ladenburg, Thalmann & Co. Inc. 0226 MACC Mid Atlantic Capital Corp. 0226 MDBC MDB Capital Group, LLC 0226 MDGS Middlegate Securities Ltd. 0226 MEAL M. E. Allison & Co., Inc. 0226 MPLW Maplewood Investment Advisors, Inc. 0226 MSRO Mesirow Financial, Inc. 0226 MVSG MV Securities Group, Inc. 0226 NATL National Securities Corporation 0226 NTRC Northern Trust Securities, Inc. 0226 OBWS Oberweis Securites, Inc. 0226 OHIO Fifth Third Securities, Inc. 0226 PACS Pacific Crest Securities 0226 PENA Pennaluna & Company Inc. 0226 PIAC Protected Investors of America 0226 PNCC PNC Investments 0226 PUPL Puplava Securities, Inc. 0226 RHCO SunTrust Capital Markets, Inc. 0226 RILY Riley (B.) & Co., Inc. 0226 SAIN Securities America, Inc. 0226 SBLT SunAmerica Capital Services, Inc./Valic 0226 SBRT Siebert (Muriel) & Co., Inc.

0226 SBSC Siebert Brandford Shank & Co., LLC 0226 SHFS Smith Hayes Financial Services Corporation 0226 SLWY Solowey & Co. 0226 SMRI Securities Management & Research, Inc. 0226 SSGC Signature Securities 0226 SSGM State Street Global Markets, LLC 0226 SSIN SunTrust Investment Services, Inc. 0226 SSNI Securities Service Network, Inc. 0226 STOS Stockcross Financial Services, Inc. 0226 TIAN Triad Securities Corp 0226 TREX Dinosaur Securities, L.L.C. 0226 TSII TradeStar Investments, Inc. 0226 UMBF UMB Financial Services, Inc. 0226 USAA USAA Investment Management Company 0226 USCA U.S. CA Securities LLC 0226 VFIN vFinance Investments, Inc. 0226 WBBC WBB Securities, LLC 0226 WMBU WFG Investments, Inc. 0226 XSTM National Financial Services LLC 0229 LEHM Barclays Capital, Inc./LE 0229 BCDX Barclays Captial Inc. 0229 LATS Barclays Capital, Inc./LE 0229 LEHB Barclays Capital, Inc./LE 0229 LEHP Barclays Capital, Inc./LE 0229 LHMA Barclays Capital, Inc./LE 0229 LHMB Barclays Capital, Inc./LE 0229 LHMS Barclays Capital, Inc./LE 0229 LHSB Barclays Capital, Inc./LE 0229 LSAH Barclays Capital, Inc./LE 0235 DAIN RBC Capital Markets Corporation 0235 ACGP Andes Capital Group, LLC 0235 ACLP Alexander Capital, L.P. 0235 ACPL American Capital Partners 0235 ACRN Acorns Securities, LLC 0235 ADFG American Diversified Financial Group, LLC 0235 AGCP Aegis Capital Corp. 0235 AGIS Aegis Capital Corp. 0235 AICB Ameritas Investment Corp. 0235 AISG American Independent Securities Group, LLC 0235 ALIS Alexander Investment Services Co. 0235 ANDG Garrett (Andrew) Inc. 0235 ASGI Alton Securities Group Inc. 0235 ATTR Atlantic Trading Partners Incorporated 0235 BBGC Graham (B.B.) & Company 0235 BBII Sierra Equity Group Ltd. 0235 BCMI Blackwall Capital Markets, Inc. 0235 BCOM Baker & Co., Incorporated 0235 BEAF Beaconsfield Financial Services, Inc. 0235 BFSL Briggs-Ficks Securities, LLC 0235 BJRC Cascade Investment Group, Inc. 0235 BKRT Buckman, Buckman & Reid, Inc. 0235 BLTN Bolton Securities Corporation 0235 BMRK Benchmark Investments, Inc. 0235 BNJM Benjamin Securities, Inc. 0235 BOBO Penates Group Inc. 0235 BRGI Advanced Asset Trading, Inc.


November 2014

26

0235 BRNT Brent (H.D.) & Company, Inc. 0235 BVIS BestVest Investments, Ltd. 0235 BWNA Brown Associates, Inc. 0235 CAPF Capital Financial Services, Inc. 0235 CATE Carter, Terry & Company, Inc. 0235 CFDI CFD Investments 0235 CFGM Trustmont Financial Group, Inc. 0235 CHNR Chauner Securities, Inc. 0235 CLRK Clark Dodge & Co., Inc. 0235 CLSC Cabot Lodge Securities LLC 0235 CLSS Cabot Lodge Securities LLC 0235 CMGT Country Capital Inc. 0235 CNCD Concorde Investment Services, LLC 0235 COHN Cohen Bros. & Company 0235 COKE Coker & Palmer, Inc. 0235 COLL Collins & Co. 0235 CONF Conservative Financial Services, Inc. 0235 CONR Conners & Co., Inc. 0235 COYL Coyle Securities LLC 0235 CPLC Cova Capital Partners LLC 0235 CRDL Cardinal Investments Inc. 0235 CSIN Capital Select Investment 0235 CSPI Capital Synergy Partners 0235 DAII Alexander (Don) Investments, Inc. 0235 DARA Darwood Associates, Inc. 0235 DCSD Dain Correspondent Services 0235 DHCO David Harris & Co., Inc. 0235 DHLN Equinox Group Distributors, LLC 0235 DORN Dorn & Co., Inc. 0235 DPAA Palmieri (Angnardo) & Co., Inc. 0235 EDIR EDI Financial, Inc. 0235 EXTF Wynston Hill Capital, LLC 0235 FALK Steven L. Falk & Associates 0235 FCAP Fairbridge Capital Markets 0235 FEDR Federated Securities Inc. 0235 FFCB Forefront Capital Markets LLC 0235 FFCM Forefront Capital Markets LLC 0235 FHON First Honolulu Securities Inc. 0235 FINF Finance 500, Inc. 0235 FISH Fisher (L.B.) & Company 0235 FKSC First Kentucky Securities Corporation 0235 FLIB First Liberties Financial 0235 FNBS Alerus Securities Corporation 0235 FORE Forest Securities, Inc. 0235 FPCI Financial Planning Consultants Inc. 0235 FSII Forsyth Securities 0235 GAFI Gardner Financial Services Inc. 0235 GELP RBC Capital Markets, LLC 0235 GJSS Schwartz, Gregory J. & Co. Inc. 0235 GRAD Gradient Securities, LLC 0235 GRFC GRF Capital Investors Inc. 0235 GRIL Global Resource Investments, Ltd. 0235 GRST Garden State Securities Inc. 0235 HACL Halen Capital Management, Inc 0235 HAMR W.R. Hambrecht + Co., LLC 0235 HENN Hennig (Carl M.) Inc.

0235 HFSB Heritage Financial Systems, Inc. 0235 HIGG Higgins Capital Management, Inc. 0235 HLIX Lucia Securities, LLC 0235 HMPT Hampton Securities (USA), Inc. 0235 HRGR Harger and Company, Inc. 0235 HVST Harvest Financial Corporation 0235 ICMH Institutional Capital Management, Inc. 0235 INCP Incapital, LLC 0235 INPI Investment Planners Inc. 0235 IVNT Investment Network, Inc. 0235 IVOL Union Capital Company 0235 JDCO Cummins Financial Corporation 0235 JEFM Jeffrey Matthews Financial Group, LLC 0235 JEVO Atis, Inc. 0235 JVBF Jack V. Butterfield Investments Company 0235 JWML Millegan (J.W.), Inc. 0235 KCIM Investment Management Corporation 0235 KRTH Korth (J.W.) & Company, Inc. 0235 KWSC KW Securities Corporation 0235 LAFB Lafferty (R.F.) & Co., Inc. 0235 LAKE Lake Forest Securities, LLC 0235 LAMA Lara, Shull & May, Ltd. 0235 LARC Larimer Capital Corporation 0235 LASE Legacy Asset Securities Inc. 0235 LBWA Lebenthal & Co., LLC. 0235 LEON Leonard Securities, Inc. 0235 LEYA Lemley, Yarling & Co. 0235 LFRO LF Rothschild, LLC 0235 LMFI Lauren & Merlin Inc. 0235 LMKO Kohn (L.M.) & Company 0235 LOMU Loewen, Ondaatje, McCutcheon USA Limited 0235 LPFS Liberty Partners Financial Services, Inc. 0235 MAIA Maia Securities, Inc. 0235 MCTY McCourtney-Breckenridge & Company 0235 MERC Mercadien Securities 0235 MINP Ministry Partners Securities, LLC 0235 MINV Mack Investments Securities, Inc. 0235 MOLO Moloney Securities 0235 MTLE MTL Equity Products, Inc. 0235 MWIL Morgan Wilshire Securities, Inc. 0235 NADL Warren D. Nadel & Company 0235 NEHL Greenberg Financial Group 0235 NELS Nelson Securities, Inc. 0235 NFTY Infinity Financial Services 0235 NORC Northern Capital Sec. Corp. 0235 NSFP Northstar Financial Partners 0235 NSRD Nestlerode & Co., Inc. 0235 NYPP NYPPEX, LLC 0235 OAKR The Oak Ridge Financial Services Group, Inc. 0235 OCAC Olson, Cross & Alamo LLC 0235 OFGF OFG Financial Services Inc. 0235 OFKS Fulcrum Securities, Inc. 0235 PAAI Portfolio Advisors A 0235 PAUL Paulson Investment Company, Inc. 0235 PICC Planned Investment Co., Inc. 0235 PODE Podesta & Co.


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0235 PPSI Pension Planners Securities, Inc. 0235 PRBC Pointe Capital, LLC 0235 PTIS PTI Securities & Futures L.P. 0235 QUET Quest Capital Strategies, Inc. 0235 RBAC Robert B. Ausdal & Co., Inc. 0235 RBCD RBC Capital Markets Corporation 0235 RBCM RBC Capital Markets Corporation 0235 RBCX RBC Capital Markets Corporation 0235 RCLF Olympia Asset Management, Ltd. 0235 RCMA RBC Captial Markets Arbitrage, S.A. 0235 RGLS Regal Securities, Inc. 0235 RIED Riedl, First Securities Company of Kansas 0235 RKWS Rockwell Securities LLC 0235 ROBI Robinson & Robinson, Inc. 0235 ROBO Rodgers Brothers, Inc. 0235 ROCK Rockwell Global Capital, LLC 0235 RPTR Dinosaur Securities, L.L.C. 0235 RRIC Retirement Resources Investment Corp. 0235 RRUD Reid & Rudiger, LLC 0235 RYAL Royal Securities Company 0235 RYDS RBC Dominion Securities Corporation 0235 SAVY Savoy Capital Management, Inc. 0235 SDIC Sauer Dazey Investments Co. 0235 SFSI Superior Financial Services, Inc. 0235 SGLC Long (S.G.) & Company 0235 SMCO Smith, Moore & Co. 0235 SORS Sorsby Financial Corp. 0235 STLR Prime Solutions Securities, Inc. 0235 STSI Spencer Trask Ventures, Inc. 0235 SUST Sunstreet Securities, LLC 0235 TAIG Geoffrey Richards Securities Corp. 0235 TFSC Twenty-First Securities Corporation 0235 TFSL Teckmeyer Financial Services 0235 TGUL Cleary Gull Inc. 0235 TIGC Nelsonreid, Inc. 0235 TMBI Thurston, Springer, Miller, Herd & Titak, Inc. 0235 TOVC TOV Capital Markets, Inc. 0235 TRIP Trident Partners Ltd. 0235 TSCD Sturges Company (The) 0235 UHLM Uhlmann Price Securities, LLC 0235 VALM Valmark Securities, Inc. 0235 VTMW Emergent Financial Group, Inc. 0235 WCSC Wilmington Capital Securities, LLC 0235 WEGI World Equity Group Inc. 0235 WEGP Western Equity Group, Inc. 0235 WILB Wilbanks Securities, Inc. 0235 WISC Windsor, Sheffield & Company, Inc. 0235 WRGR Warner Group Inc. (The) 0235 WSCC Washington Securities Corporation 0235 WSCX Workman Securities Corp. 0235 WTRI Waterford Investors Services, Inc. 0235 YOST Young Stovall & Company 0237 NQPX NASDAQ OMX PHLX LLC 0238 ITLC InTrade, LLC 0250 WCHV Wells Fargo Securities, LLC 0250 NORW Wells Fargo Brokerage Services, LLC

0250 WELX Wells Fargo Securities, LLC 0250 WEMM Wells Fargo Securities, LLC 0250 WFIS Wells Fargo Institutional Securities, LLC 0250 WFPB Wells Fargo Prime Services, LLC 0269 MAPL Maple Securities USA, Inc. 0270 INGF ING Financial Markets, LLC 0270 INGG ING Financial Markets LLC 0271 TRAD TradeStation Securities, Inc. 0279 SWST Southwest Securities, Inc. 0279 AFGT Ambassador Financial Group, Inc. 0279 BAIN Bankers & Investors Co. 0279 BENS Benjamin Securities Investment Co., Inc. 0279 BRBR Brown & Brown Securities, Inc. 0279 CAGI Crescent Securities Group, Inc. 0279 CALT Calton & Associates, Inc. 0279 CAPE Cape Securities, Inc. 0279 CHTS Chatsworth Securities LLC 0279 CIMS CIM SECURITIES, LLC 0279 CISC Caldwell International Securities Corporation 0279 CLSI Caprock Securities, Inc. 0279 CMSI Capital Management Securities, Inc. 0279 DCPI Dynasty Capital Partners, Inc 0279 DENI H.C. Denison Co. 0279 DXSI Omega Research Corporation 0279 EMPR Selkirk Investments, Inc. 0279 FAMS First American Securities 0279 FCML FNBB Capital Markets, LLC 0279 FFEC First Financial Equity Corp. 0279 FINC AWM Securities, Inc. 0279 FIRF First Research Finance Inc. 0279 FRIC Freedom Investors Corp. 0279 FSSO First State Securities, Inc. 0279 GENS General Securities Corp. 0279 GSBI Global Brokerage Services, Inc. 0279 HAFS Hantz Financial Services, Inc. 0279 HAYV Haywood Securities (USA) Inc. 0279 IAAK Isaak Bond Investment, Inc.

0279 IMBB Indiana Merchant Banking & Brokerage Co., Inc.

0279 IMSS IMS Securities Inc. 0279 INFI Integral Financial, LLC 0279 ISCN Institutional Securities Corporation 0279 JKFS J.K. Financial Services, Inc. 0279 JRLC JRL Capital Corporation 0279 KACI First Integrity Capital Partners Corp 0279 KAPE Cape Securities, Inc. 0279 KLDC Kun-Lun Development Corporation 0279 LOMB Lombard Securities Incorporated 0279 MASU Mirae Asset Securities(USA) Inc. 0279 MITC CapNet Securities Corporation 0279 MNCO Nelson (Martin) & Co., Inc. 0279 MOMY Ashton Young, Inc. 0279 MSCB Maine Securities Corporation 0279 MTCA Mutual Trust Co. of America Securities 0279 NTBC Neidiger, Tucker, Bruner, Inc. 0279 NWCM NW Capital Markets Inc.


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0279 OBSH O'Brien & Shepard, Inc. 0279 PECA Peraza Capital and Investment, LLC 0279 PERC Percival Financial Partners, Ltd. 0279 PFCG Preferred Client Group, Inc. 0279 PFIS Professional Investments Services, Inc. 0279 PICI Polar Investment Counsel, Inc. 0279 PRGA Gilboy (P.R.) & Associates, Inc. 0279 RDNK Woodstock Financial Group Inc. 0279 RHIC R H Investment Corporation 0279 RSKY RedSky Financial, LLC 0279 RWSM Smith (R.W.) & Associates, Inc. 0279 RWWI Reliance Worldwide Investments, LLC 0279 SEBR Sentinel Brokers Company 0279 SGNL Signal Securities, Inc. 0279 SKTR Stock Traders 0279 SLAK Southlake Capital LLC 0279 SPWI Spencer Winston Securities Corporation 0279 STGC Sterling Grace Municipal Securities Co. 0279 TRCO Tryco Securities, Inc. 0279 TREA Treasure Financial Corp. 0279 UCCM CU Investment Solutions, Inc. 0279 USDB U.S. Brokerage, Inc. 0279 VCLM Van Clemens & Co., Inc. 0279 VSTS Vista Securities, Inc. 0279 WANG Wang Investment Associates, Inc. 0279 WDAC Wilson-Davis & Company, Inc. 0279 WIDS Wisconsin Discount Securities Corp. 0279 WMEI Meeschaert Capital Markets, Inc. 0280 FBSB U.S. Bancorp Investments Inc. 0283 WDCO Wilson-Davis & Co., Inc. 0284 AFCO Fried (Albert) & Company, LLC 0284 CLAN Clancy Financial Services, Inc 0284 GPNI GP Nurmenkari, Inc. 0284 TORX Torc Investments and Research LLC 0286 SGAS SG Americas Securities, LLC 0286 SGOV SG Americas Securities, LLC 0287 MRSC Marsco Investment Corporation 0294 QNTX Quantex Clearing, LLC 0295 NITC KCG Americas LLC 0295 DTTX Knight Execution & Clearing Services LLC 0295 GFLO Knight Capital Americas LLC 0295 KCGM KCG Americas LLC 0295 KCMP Knight Capital Markets, LLC 0295 KELG Knight Capital Americas, L.P. 0295 KELL Knight Capital Americas, L.P. 0295 NITD Knight Execution & Clearing Services LLC 0295 NITE Knight Equity Markets, L.P. 0295 NITP Knight Equity Markets, L.P. 0295 NITX Knight Capital Americas LLC 0295 OCTG OCTEG LLC 0295 TRIM Knight Capital Markets, LLC 0300 CURN Curian Clearing, LLC 0309 FSWC First Southwest Company 0309 ABAI Abacus Investments, Inc. 0309 ADKT Adirondack Trading Group LLC 0309 AIRS Hand Securities, Inc.

0309 ALAC Alamo Capital 0309 AMUR AMUR Advisors, LLC 0309 ARIV Arive Capital Markets LLC 0309 ASPN Aspen Equity Partners, LLC 0309 BCLT Riviere Securities Inc. 0309 BCPI GVC Capital LLC 0309 BCRK Bear Creek Securities, LLC 0309 BHSE The Bond House 0309 BISI Banorte-Ixe Securities International, LTD 0309 BLNS Braymen, Lambert and Noel Securities, Ltd. 0309 BMKS Benchmark Securities LLC 0309 BOLL Bodell Overcash Anderson & Co. 0309 CALL Callaway Financial Services, Inc. 0309 CATH Cathay Securities, Inc. 0309 CFIN Chelsea Financial Services 0309 CNBS CNBS, LLC 0309 COFS Colorado Financial Service Corporation 0309 CSNT Crescent Securities Group, Inc. 0309 DLSC DLS Capital Partners, Inc. 0309 DOMI Dominion Investor Services Inc. 0309 ESTR Estrada Hinojosa & Co. 0309 FIFS First Independent Financial 0309 FLSC First London Securities Corporation 0309 FRST First Southern Securities LLC 0309 GLLL Gill Capital Partners 0309 GNTS Great Nation Investment Group 0309 GWLP Grant Williams, L.P. 0309 INDE Independent Brokers LLC 0309 ITUS InterTrading USA Securities, Inc. 0309 KCIX Kiley Partners, Inc. 0309 KEEN St Bernard Financial Services, Inc 0309 KENS Kensington Capital Corp. 0309 KUYK Kuykendall & Schneider, Inc. 0309 LANP Lancaster Pollard & Co. 0309 LIFG Long Island Financial Group, Inc 0309 LOWL Lowell & Company 0309 MCMG Municipal Capital Market Group 0309 MXSI Maxwell Simon Inc. 0309 NACL National Alliance Securities Corporation 0309 NAFA NAFA Capital Markets, LLC 0309 NTCP Marv Capital Inc. 0309 NWCT Newcourt Securities, Ltd. 0309 PERK Perkins, Smart & Boyd, Inc. 0309 PHRS Navaid Financial Services 0309 PURP Liberty Capital Investment Corp. 0309 QUOI Quoin Capital LLC 0309 RCKF Rockfleet Financial Services, Inc. 0309 RFRC The Rockwell Financial Group, Inc. 0309 RGEL Regal Securities, Inc. 0309 SEQU Sequoia Investments, Inc. 0309 SIGI Simmons First Investment Group, Inc. 0309 SPAC Sierra Pacific Securities, LLC 0309 SSGT Steward Securities Group LLC 0309 SSLC Sanderlin Securities, LLC 0309 STND First Standard Financial Company LLC 0309 TBIS Tradier Brokerage, Inc.


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0309 TORO Valdes & Moreno, Inc. 0309 TRSH Thrasher & Company 0309 USSI U.S. Sterling Securities, Inc. 0309 WELL Wells Nelson & Associates, LLC 0309 WICK Bonwick Capital Partners, LLC 0309 WNJC WNJ Capital, Inc 0309 ZEUS Zeus Securities, Inc 0311 PIPR Piper Jaffray & Co. 0311 HPWD Piper Jaffray & Co. 0311 PIPS Piper Jaffray & Co. 0311 PIPX Piper Jaffray & Co. 0330 FLTG ABN AMRO Clearing Chicago LLC/CPM 0330 NAMB Nunami Services, LLC 0330 SIMA ABN AMRO Clearing Chicago LLC 0330 WMLF Wedbush Morgan Securities, Inc. 0338 OXPS OptionsXpress, Inc. 0344 DAVE Diamant Investment Corp. 0349 ABNA ABN AMRO Securities (USA) LLC 0352 BSSC J.P. Morgan Clearing Corp. 0352 ACAD Academy Securities, Inc. 0352 ADAM Canaccord Genuity Inc. 0352 AFGI Access Financial Group, Inc. 0352 AGBD AG BD, LLC 0352 AHBI Abner, Herrman & Brock, Inc. 0352 AICO Arcadia Investment Corp. 0352 AJAY Pace (A.J.) & Co., Inc. 0352 AXIO Axiom Capital Management, Inc. 0352 BCSB Blue Capital Securities, Inc. 0352 BDIR Jefferies & Co., Inc. 0352 BEAR J.P. Morgan Securities, Inc. 0352 BECM Beta Capital Management 0352 BELS Bel Air Securities LLC 0352 BEST J.P. Morgan Securities, Inc. 0352 BGIS BlackRock Execution Services 0352 BIGS PCBB Capital Markets, LLC 0352 BNCH Benchmark Company, LLC (The) 0352 BRIL Brill Securities, Inc. 0352 BRNM Burnham Securities Inc. 0352 BRRR Barrington Research Associates, Inc. 0352 BTIX BTIG, LLC 0352 CCCM Concept Capital Markets, LLC 0352 CCCO Carnes Capital Corp. 0352 CFII Consolidated Financial Investments, Inc. 0352 CHCH Churchill Financial LLC 0352 CHCK Chickasaw Securities, LLC 0352 CHIL Chilian Partners L.P. 0352 CISI Chase Investment Services Corp. 0352 CLDS Coldwater Securities Incorporated 0352 CPMI Capital Portfolio Management Inc. 0352 CSTI Canaccord Genuity Securities LLC 0352 CURR Curren & Company 0352 DOTC Dougherty & Company LLC 0352 EAMC Empire Asset Management Company 0352 EFGC EFG Capital International 0352 FAST First Allied Securities Inc. 0352 FBRC Friedman, Billings, Ramsey & Co., Inc.

0352 FILL Tradestation Securities, Inc. 0352 FINA Valores Finamax International, Inc. 0352 FNSJ Financial Northeastern Securities Inc. 0352 FOXN Fox Run Alpha Fund, L.P. 0352 FSFS ING Investment Management Services LLC 0352 GAGN Gagnon Securities LLC 0352 GFSI Global Financial Services, Inc. 0352 GILG Gilder, Gagnon, Howe & Co., LLC 0352 GISJ Global Investor Services, L.C. 0352 GNAV Green Street Advisors, Inc. 0352 GUGG Guggenheim Securities, LLC 0352 HLLC Hollencrest Securities, LLC 0352 HORW Horwitz & Associates, Inc. 0352 HTJP Hightower Securities, LLC 0352 INVE Investacorp, Inc. 0352 INVM Invemed Associates, LLC 0352 ISIG International Strategy & Investment Group, Inc. 0352 IVEX Invex, Inc. 0352 JANE Jane Street Markets, LLC 0352 JANS Jane Street Markets, LLC 0352 JPME J.P. Morgan Securities, Inc. 0352 JPMG J.P. Morgan Securities, Inc. 0352 JPMP J.P. Morgan Securities, Inc. 0352 JPMS J.P. Morgan Securities, Inc. 0352 JPMT J.P. Morgan Securities LLC 0352 JPMX J.P. Morgan Securities LLC 0352 JRCO Johnson, Rice & Company LLC 0352 JSES Jane Street Execution Services, LLC 0352 JSPT Jane Street Markets, LLC 0352 JSSF JMP Securities, LLC 0352 KALA K.A. Associates Inc. 0352 KEDM Kedem Capital Corp. 0352 KIML Kimelman & Baird, LLC 0352 KRCO K.R. Securities LLC 0352 LCSS LCS Securities, LLC 0352 LEVY Levy, Harkins & Co., Inc. 0352 LEXI Lexington Investment Co. Inc. 0352 LIJP Lime Brokerage LLC 0352 LINC Liberum Capital Inc. 0352 LOBR Loeb Partners Corporation/Retail 0352 LQNA Liquidnet, Inc. 0352 LQNB Liquidnet, Inc. 0352 LQNT Liquidnet, Inc. 0352 MAMA Securevest Financial Group 0352 MERL Merlin Securities, LLC 0352 MERS Merrion Securities, LLC 0352 MITR GMP Securities, LLC 0352 MJWH Whitman (M.J.) & Co., Inc. 0352 MONR Monroe Securities Inc. 0352 MORA Mora WM Securities 0352 NASJ Jane Street Markets, LLC 0352 NBLB Neuberger Berman, LLC 0352 NBSL BMO Nesbitt Burns Securities, Ltd. 0352 NDCM Nanes Delorme Capital Management, LLC 0352 NEED Needham & Company, LLC 0352 NOPO ConvergEx Prime Services LLC


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0352 OTKR Otkritie Inc. 0352 PAPA Papamarkou Wellner & Co. 0352 PCCM Porter Christie Partners, L.P. 0352 PLMA Paloma Securities 0352 QBSI CFT Securities LLC 0352 RCRS Roosevelt & Cross, Incorporated 0352 RENC Rencap Securities, Inc. 0352 REYN Thomas P. Reynolds Securities Ltd 0352 RMAT Ramat Securities Ltd. 0352 RPEX Repex & Co., Inc. 0352 RREZ Samuel A. Ramirez & Company, Inc. 0352 RWPS Pressprich (R.W.) & Company Inc. 0352 SAMI Spectrum Asset Management Inc. 0352 SDLR Sandler, O'Neill & Partners, L.P. 0352 SEAP Seaport Securities Corp. 0352 SEIC SEI Investments Distribution 0352 SEND Sendero Securities, LLC 0352 SFSS SF Sentry Securities, Inc. 0352 SHRE Shufro, Rose & Company, LLC 0352 SLRD Reed (S.L.) & Company 0352 SMRD Sumridge Partners, LLC 0352 SOLM Solium Financial Services LLC 0352 STEW Collins Stewart, Inc. 0352 STHR StormHarbour Securities LP 0352 TDSI TD Securities (USA) LLC 0352 VARI Variant Research Corporation 0352 VASL Vasiliou & Company Inc. 0352 VCAS VCA Securities, LP 0352 VMEX Vectormex WMG, Inc. 0352 WCMS Westport Capital Markets, LLC 0352 WFGO Wells Fargo Securities, LLC 0352 WFSI Windham Financial Services Inc. 0352 WISI Western International Securities, Inc. 0352 WMCL White Mountain Capital, LLC 0352 ZACK Zacks & Company 0352 ZOUL Zoullas (N.B.) Securities, Inc. 0355 FBCO Credit Suisse Securities (USA) LLC 0355 AESX Credit Suisse Securities (USA) LLC 0355 CROS Credit Suisse Securities (USA) LLC 0355 LTPL Credit Suisse Securities (USA) LLC 0355 WEDE Wedbush Morgan Securities, Inc. 0361 DADA Davidson (D.A.) & Co. Inc. 0361 MORE Mitchell Securities Corporation of Oregon 0370 ASEL Tradition Asiel Securities, Inc. 0370 ASLB Tradition Asiel Securities, Inc. 0370 SCSI Standard Credit Securities 0374 JANY Janney Montgomery Scott LLC 0374 JMSI Janney Montgomery Scott LLC 0385 ETCL E*Trade Clearing, LLC 0385 ETRS E*Trade Securities, LLC

0388 ICBK Industrial and Commerical Bank of China Financial Services LLC

0388 ARTI Arbor Research & Trading, LLC. 0388 NVGT Navigate Advisors LLC 0388 SEID Seidel & Shaw LLC 0390 RJFI Raymond James & Associates, Inc./Fl

0395 CDRG Citadel Securities LLC 0395 APOG Citadel Securities LLC 0395 CATS Citadel Securities LLC 0395 CCMX Citadel Securities LLC 0395 CEDL Citadel Securities LLC 0395 CEMM Citadel Securities LLC 0395 CTDL Citadel Securities LLC 0395 ICRD Citadel Securities LLC 0395 IELP Citadel Securities LLC 0395 PRDG Citadel Securities LLC

0396 APMA ABN AMRO Clearing Chicago LLC/Portfolio Margining

0396 ATGX ABN AMRO Clearing Chicago LLC 0396 BRIX ABN AMRO Clearing Chicago LLC 0396 CACX ABN AMRO Clearing Chicago LLC 0396 DRTL Dart Executions, LLC 0396 FQLB Quantlab Securities LP 0396 FQLS Quantlab Securities LP 0396 FWBA ABN AMRO Clearing Chicago LLC 0396 HEDX ABN AMRO Clearing Chicago LLC 0396 HNCA ABN AMRO Clearing Chicago LLC 0396 IMCX ABN AMRO Clearing Chicago LLC 0396 MNTX ABN AMRO Clearing Chicago LLC 0396 MQRX ABN AMRO Clearing Chicago LLC 0396 OTFX ABN AMRO Clearing Chicago LLC 0396 QLBX ABN AMRO Clearing Chicago LLC 0396 SUNI Sun Trading, LLC 0396 WABN Wedbush Securities Inc. 0396 WEBX ABN AMRO Clearing Chicago LLC 0396 WLSC Wedbush Securities Inc. 0396 ZENA ABN AMRO Clearing Chicago LLC

0408 TRNS Lombard Odier Transatlantic, Limited Partnership

0418 SBSH Citigroup Global Markets Inc. 0418 CCAT Citigroup Global Markets Inc. 0418 CFSC Citicorp Financial Services Corporation 0418 CGQT Citigroup Global Markets Inc. 0418 GATE Citigroup Global Markets Inc. 0418 LQFI Citigroup Global Markets Inc. 0419 SPHN Stephens, Inc. 0425 RBSG RBS Securities Inc./Equities 0436 ACRA Archipelago Securities, LLC 0436 ALLC Archipelago Securities, LLC 0436 ARCA Archipelago Trading Services, Inc. 0436 ARRB Archipelago Securities, LLC 0436 INAR Instinet, LLC 0436 LIMA Lime Brokerage LLC 0436 PEAR Penson Financial Services, Inc. 0438 CWMK CIBC World Markets Corp. 0438 CWMC CIBC World Markets Corp. 0443 PERS Pershing LLC 0443 ACBD American Century Brokerage, Inc. 0443 AGCO Auerbach Grayson & Co. Inc. 0443 AIGF Sagepoint Financial, Inc. 0443 ALFA Alforma Capital Markets, Inc. 0443 ALLN Allen & Company LLC


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0443 ARBI Aufhauser Securities, Inc. 0443 ARCD Arcadia Securities, LLC 0443 ARGA Auriga USA, Inc. 0443 AVML AVM, L.P. 0443 AXCB Access Securities, Inc. 0443 AXCS Access Securities, Inc. 0443 BALE M&T Securities, Inc. 0443 BANF Banif Securities Inc. 0443 BAQP Burke & Quick Partners LLC 0443 BCZC Ziegler (B.C.) & Company 0443 BFEC Benjamin F. Edwards & Co. 0443 BIGP Brownstone Investment Group, LLC 0443 BIGZ Brownstone Investment Group, LLC 0443 BKCM BNY Capital Markets Inc. 0443 BKMM BNY Mellon Capital Markets LLC 0443 BLAY Bley Investments Group, Inc. 0443 BLTK Bulltick, LLC 0443 BMUR Brean Capital, LLC 0443 BOKI BOSC, Inc. 0443 BRCY BCP Securities, LLC 0443 BROC Pavilion Global Markets Ltd 0443 BRPR Brasil Plural Securities LLC 0443 BRVL Blaylock Robert Van, LLC 0443 BTIS BTIG, LLC 0443 BUEL Buell Securities Corp. 0443 BVCM Unicredit Capital Markets, Inc. 0443 BWEL Barclays Capital, Inc. 0443 CABR Cabrera Capital Markets, Inc. 0443 CANA Canaccord Genuity Inc. 0443 CCMB Concept Capital Markets, LLC 0443 CGAT Cadaret, Grant & Co., Inc. 0443 CGDN Capital Guardian, LLC 0443 CGWM Citigroup Global Markets Inc. 0443 CHLC Churchill Capital USA, Inc. 0443 CICC CICC US Securities, Inc. 0443 CIRI Cambridge Investment Research, Inc. 0443 CITA Citation Financial Group, L.P. 0443 CJSC CJS Securities, Inc. 0443 CLGL CLG Investment Company, Inc 0443 CMCA Comerica Securities 0443 CMPT Compass Point Research & Trading, LLC 0443 CNFR Conifer Securities, LLC 0443 COWR Cowen and Company, LLC 0443 CRTC CRT Capital Group, LLC 0443 CSMI Capitol Securities Management, Inc. 0443 CTAS Infinex Investments, Inc. 0443 CTLA Cantella & Co., Inc. 0443 CTSC Creditex Securities Corporation 0443 CUPS Cuttone & Co., Inc. 0443 DALE America Northcoast Securities, Inc. 0443 DBPC Deutsche Bank Securities Inc. 0443 DEFA Jefferies LLC 0443 DJST D.J. St Germain Co., Inc. 0443 DNWL Duncan & Williams, Inc. 0443 DOFT Doft & Co., Inc. 0443 DOMK Dominick & Dominick, Inc./CDS

0443 DOWL Dowling & Partners Securities LLC 0443 DRXL Drexel Hamilton, LLC 0443 ESFS E.S. Financial Services, Inc. 0443 EVRC Evercore Group LLC 0443 EXAN Exane, Inc. 0443 EXCU XCU Capital Corp. 0443 FATS First Brokers Securities LLC 0443 FBNW Floor Broker Network Inc. 0443 FBPC Credit Suisse Securities (USA) LLC 0443 FCST Intl FC Stone Securities Inc. 0443 FESI First Empire Securities, Inc. 0443 FINT Fintegra, LLC 0443 FISA Advisors Asset Management, Inc. 0443 FMCO First Manhattan Co. 0443 FNIC Financial Network Investment Corporation 0443 FSCS FSC Securities Inc. 0443 FSRP First Republic Securities Co. 0443 GABE G.Research, Inc. 0443 GATS Gates Capital Corporation 0443 GBMT GBM International, Inc. 0443 GLYN Glynn (J.A.) & Co. 0443 GMSG GMS Group (The), LLC 0443 GRDK SecondMarket, Inc. 0443 GUGS Guggenheim Securities, LLC 0443 HBCO Global Investor Services, LLC 0443 HEFR Hefren-Tillotson, Inc. 0443 HENY Henley & Company LLC 0443 HERO Herold (Bernard) & Co. 0443 HFLD Hartfield, Titus & Donnelly, LLC 0443 HITS Height Securities, LLC 0443 HNTR Hunter Associates Inc. 0443 HWLS Howells (M.S.) & Co. 0443 ICCP Investors Capital Corporation 0443 ICEN Investment Center, Inc. (The) 0443 IESI Itau Europa Securities Inc. 0443 IMPC Imperial Capital, LLC 0443 INPR Investment Professionals, Inc. 0443 ITAU Itau BBA USA Securities Inc. 0443 ITEC Hapoalim Securities USA, Inc. 0443 JOLE Johnston, Lemon & Co. Incorporated 0443 JVBG J.V.B. Financial Group LLC 0443 KBCO Kahn Brothers & Co., Inc. 0443 KERC Kercheville & Company 0443 KEYB KeyBanc Capital Markets Inc. 0443 KOVP Kovack Securities Inc. 0443 LAFC R.F. Lafferty & Co., Inc. 0443 LAFF R.F. Lafferty & Co., Inc. 0443 LAZA Lazard Capital Markets LLC 0443 LAZF Lazard Freres & Co. LLC 0443 LBCO Lebanthal & Co., LLC 0443 LBOW Longbow Securities, LLC 0443 LEAF Silver Leaf Partners, LLC 0443 LEER Leerink Swann & Company 0443 LESW Leerink Swann & Company 0443 LIBE KCG Americas LLC 0443 LNCL Lincoln Investment


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0443 LOOP Loop Capital Markets, LLC 0443 LWFL Lawson Financial Corporation 0443 MAVS Madison Avenue Securities 0443 MAXM Maxim Group, LLC 0443 MCCL McClurg Capital Corporation 0443 MERI Merriman Curhan Ford & Company 0443 MESF Mesirow Financial, Inc. 0443 MNRC Monarch Capital Group LLC 0443 MRKS Ramsey (M.) King Securities, Inc. 0443 MSII Metlife Securities, Inc. 0443 MTDB M&T Securities, Inc. 0443 MTON Millington Securities, Inc. 0443 MURF Murphy & Durieu 0443 MVSC Mountainview Securities, LLC 0443 NACM Nab Securities, LLC 0443 NAVP Range Global LLC 0443 NESC Northeast Securities, Inc. 0443 NESS New England Securities Corporation 0443 NORP Pareto Securities Inc 0443 NORT Northland Securities, Inc. 0443 NOSO North South Capital LLC 0443 NPTP Convergex Prime Services LLC 0443 NRAM Canaccord Wealth Management (USA) Inc. 0443 NSCB Newbury Street Capital Limited Partnership 0443 NTMG Fieldpoint Private Services, LLC 0443 ODNC Odeon Capital Group LLC 0443 OTUS Olivetree USA, LLC 0443 PACT BTG Pactual US Capital LLC 0443 PASL Pershing Advisor Solutions, LLC 0443 PERB Pershing LLC 0443 PERT Pershing LLC, Principal Trading 0443 PERX Pershing LLC 0443 PHCO Phillips & Company Securities, Inc. 0443 PJEF Jefferies LLC 0443 PLAT RS Platou Markets, Inc. 0443 PMFS Portsmouth Financial Services 0443 PMLC Prager, Sealy & Co., LLC 0443 POLI Hapoalim Securities USA, Inc. 0443 POWL Powell (Elmer E.) Company 0443 PPSL Amherst Pierpont Securities LLC 0443 PROE ProEquities 0443 PTCM CAVU Securities LLC. 0443 PTLV National Bank Financial of Canada Inc. 0443 RABO Rabo Securities USA, Inc. 0443 RAYG Bolton Global Capital 0443 RCSK Ruane, Cunniff & Goldbarb LLC 0443 REAV W.H. Reaves & Co., Inc 0443 RINO Rhino Trading Partners, LLC 0443 RJJZ RJJ Pasadena Securities, Inc. 0443 RLCC GWM Group, Inc. 0443 RMST Stark (R.M.) & Co., Inc. 0443 ROBT Robotti & Company, LLC 0443 ROCM RIM Securities LLC 0443 ROYL Royal Alliance Associates, Inc. 0443 RSAI Ross Sinclaire & Associates, LLC

0443 RSSE Russell Implementation Srvs., Inc. Pt of Russell Inv.

0443 RTHS Rothschild Investment Corporation 0443 RWPC R.W. Pressprich & Co, Inc 0443 SABS Sabadell Securities USA, Inc. 0443 SALC Sterne Agee & Leach, Inc 0443 SANT Santander Investment Securities Inc. 0443 SCAR Scarsdale Equities, LLC

0443 SCBS Standard Chartered Securities (North America) Inc.

0443 SERL Searle & Co. 0443 SFPS S.F. Investments, Inc. 0443 SHAY Shay Financial Services, Inc. 0443 SIMM Simmons & Company International 0443 SMHI Sanders Morris Harris Inc. 0443 SOCO Capital One Securities, Inc. 0443 SOUZ Souza Barros Securities, Inc. 0443 SPLN Celadon Financial Group, LLC 0443 SRFL Securities Research, Inc. 0443 SSCO Safra Securities Corp. 0443 SSGR Shareholders Services Group Inc. 0443 SSNG Sisung Securities Corp. 0443 STFC Stuart Frankel & Co., Inc. 0443 STLZ Bedrok Securities, LLC 0443 STOV Stoever,Glass & Company Inc. 0443 SUMI SMBC Nikko Securities America, Inc. 0443 SUMM Summer Street Research Partners 0443 SUTT Sutter Securities Incorporated 0443 SWFS Swedbank First Securities, LLC 0443 SYCA Syndicated Capital, Inc. 0443 TAGS Taglich Brothers, Inc. 0443 TANA Portales Partners, LLC 0443 TCPX Toussaint Capital Partners, LLC 0443 TDCO Thompson Davis & Co., Inc. 0443 TFAS Tradition Aisel 0443 TOCQ Tocqueville Securities, L.P. 0443 TRAS Tradition Asiel Securities, Inc. 0443 TRKA Troika Dialog USA, Inc. 0443 TRSQ Tower Square Securities, Inc. 0443 TRWN T.R. Winston & Company, LLC 0443 TUNA Bluefin Research Partners, Inc. 0443 UCMI United Capital Markets, Inc. 0443 UGAM Union Gaming Advisors, LLC 0443 UPLN United Planners Financial Services of America 0443 VCAP Vanguard Capital 0443 VMDI Desjardins Securities International, Inc. 0443 VOTO Banco Votorantim Securities, Inc. 0443 VTBI VTB Capital Inc. 0443 WABR Wall Street Access 0443 WBRO Wiley Bros.-Aintree Capital, LLC 0443 WEGE World Equity Group, Inc. 0443 WELD White, Weld & Co. Securities, LLC 0443 WHCG Whitaker Securities, LLC 0443 WLMS Williams Capital Group, L.P. (The) 0443 WNUT Walnut Street Securities, Inc. 0443 WRIS Westport Resources Investment Services, Inc.


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0443 WSSS WM Smith & Co. 0443 WTKR Whitaker Securities, LLC 0443 WYNS Winslow, Evans & Crocker Inc. 0443 XPUS XP Securities, LLC 0443 YAMN Trade Manage Capital, Inc. 0445 STOX Stockcross Financial Services, Inc. 0445 STXG Stockcross Financial Services, Inc. 0448 NVEN Nuveen Securities, LLC 0467 MPWA PWMCO, LLC 0472 MKVA Loyal3 Securities Inc. 0501 SILK Goldman Sachs Execution & Clearing, L.P. 0501 AXGP Access Securities, Inc. 0501 BAYT BTIG, LLC 0501 BEAG Beacon Gate LLC 0501 BELV Belvedere Trading LLC 0501 BIGG Brownstone Investment Group 0501 BTGG Goldman Sachs Execution & Clearing, L.P. 0501 BTIG BTIG, LLC 0501 BZWV Goldman Sachs Execution & Clearing, L.P. 0501 BZWW Goldman Sachs Execution & Clearing, L.P. 0501 BZWX Goldman Sachs Execution & Clearing, L.P. 0501 BZYD Goldman Sachs Execution & Clearing, L.P. 0501 BZYE Goldman Sachs Execution & Clearing, L.P. 0501 BZYF Goldman Sachs Execution & Clearing, L.P. 0501 BZYG Goldman Sachs Execution & Clearing, L.P. 0501 BZYH Goldman Sachs Execution & Clearing, L.P. 0501 BZYJ Goldman Sachs Execution & Clearing, L.P. 0501 BZZH Goldman Sachs Execution & Clearing 0501 BZZK Goldman Sachs Execution & Clearing, L.P. 0501 BZZN Goldman Sachs Execution & Clearing, L.P. 0501 CADG Saxis Group, Inc. 0501 CFCD Cantor Fitzgerald & Co. 0501 CFCS Cantor Fitzgerald & Co. 0501 CLVU Clearview Trading Advisors Inc. 0501 CPSI Casey Professional Services, LLC 0501 CSIU Citic Securities International USA, LLC 0501 DART Dart Executions, LLC 0501 DCVL Dart Executions, LLC 0501 DEGS Dart Executions, LLC 0501 DEMA DeMatteo Moness, LLC 0501 DETF Dart Executions, LLC 0501 DNOR DNB Nor Markets, Inc. 0501 DREX Drexel Hamilton, LLC 0501 DRTG Dart Executions, LLC 0501 DRTR Dart Executions, LLC 0501 ESPO Esposito Securities, LLC 0501 FNYG First New York Securities, LLC.

0501 FRET SunGard Brokerage & Securities Services, LLC

0501 GARC ICAP Corporates LLC 0501 GARL ICAP Corporates, LLC 0501 GARQ ICAP Corporates, LLC 0501 GFGH Grace Financial Group, LLC 0501 GFGO Grace Financial Group LLC 0501 GFIS GFI Securities, LLC 0501 GJEF Jefferies LLC

0501 GSAA Goldman Sachs Execution & Clearing, L.P. 0501 GSBB Goldman Sachs Execution & Clearing, L.P. 0501 GSCC Goldman Sachs Execution & Clearing, L.P. 0501 GSDD Goldman Sachs Execution & Clearing, L.P. 0501 GSEE Goldman Sachs Execution & Clearing, L.P. 0501 GSFF Goldman Sachs Execution & Clearing 0501 GSGG Goldman Sachs Execution & Clearing 0501 GSII Goldman Sachs Execution & Clearing 0501 GSLL Goldman Sachs Execution & Clearing 0501 GSMM Goldman Sachs Execution & Clearing 0501 GSPP Goldman Sachs Execution & Clearing 0501 GSQQ Goldman Sachs Execution & Clearing 0501 GSRR Goldman Sachs Execution & Clearing 0501 GSTT Goldman Sachs Execution & Clearing 0501 GSUU Goldman Sachs Execution & Clearing 0501 GSVV Goldman Sachs Execution & Clearing 0501 GSWW Goldman Sachs Execution & Clearing 0501 GSXX Goldman Sachs Execution & Clearing 0501 GSYY Goldman Sachs Execution & Clearing 0501 GSZZ Goldman Sachs Execution & Clearing 0501 GTSZ GTS Securities, LLC 0501 HCTA Hardcastle Trading USA, LLC 0501 KRSH Kershner Securities, LLC 0501 LATM LATAM Securities LLC 0501 LAVA Lavaflow, Inc. 0501 LNRT L&R Trading L.L.C. 0501 LOUI Louis Capital Markets, L.P. 0501 LPSP LPS Partners Inc. 0501 MRAD Macro Risk Advisors, LLC 0501 MVPF Grace Financial Group, LLC 0501 MWCC Monness, Crespi, Hardt & Co., Inc. 0501 NPNT Convergex Execution Solutions LLC 0501 OLDM Old Mission Capital, LLC 0501 PBON Prebon Financial Products Inc. 0501 PREB Prebon Financial Products Inc. 0501 PSGX PSG Executions, Inc. 0501 RBLT Rosenblatt Securities Inc. 0501 RLIN Merlin Securities, LLC 0501 RONI Ronin Capital, LLC 0501 ROSN Rosenblatt Securities Inc. 0501 SGMA Goldman Sachs Execution & Clearing, L.P. 0501 SHOT Schottenfeld Group LLC 0501 SILK LPS Partners Inc. 0501 SJLS Levinson (S.J.) & Sons LLC 0501 SPOT Spot Trading

0501 SUNB SunGard Brokerage & Securities Services, LLC

0501 TORR Tora Trading Services 0501 TOUR Tourmaline Partners, LLC 0501 UFPA United First Partners, LLC 0501 WBCO Blue Trading, Inc. 0501 WEXI Wolverine Execution Services LLC 0501 WEXL Wolverine Execution Services, LLC 0501 WEXX Wolverine Execution Services LLC 0501 WMLL Watermill Institutional Trading, LLC 0501 WTCO Williams Trading, LLC


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0501 XXEW Wolverine Execution Services, LLC

0505 CGMI Citigroup Global Markets Inc./Correspondent Clearing

0505 ATDF Automated Trading Desk Financial Services, LLC

0505 AUTO Automated Trading Desk Financial Services, LLC

0505 CXCX Citigroup Global Markets Inc. 0512 LSCI LEK Securities Corporation 0512 AEGC Aegis Capital Corp. 0512 BMSS BMA Securities 0512 CEON Rice, Voelker LLC 0512 LAMP Lampost Capital, L.C. 0512 LCHX Lek Securities Corporation 0512 WMLK Wedbush Securities Inc. 0520 NQOP NASDAQ Execution Services, LLC/Options 0520 ILND NASDAQ Execution Services, LLC 0520 PHLY NASDAQ Execution Services, LLC 0526 GUGI Guggenheim Funds Distributors, LLC

0536 WDSB Jefferies LLC/Jefferies Execution Services, Inc./Service Bureau

0536 INJX Instinet, LLC 0536 JEFX Jefferies Execution Services, Inc. 0536 JEXF ABN AMRO Clearing Chicago LLC 0536 JXLI Lime Brokerage LLC 0537 BGCF BGC Financial, L.P. 0537 EBKR BGC Financial, Inc. 0537 MAXC BGC Financial Inc. 0537 MAXN BGC Financial, Inc. 0537 MINT BGC Financial Inc. 0537 WHBB BGC Financial, L.P.

0541 AACC ABN AMRO Clearing Chicago LLC/Institutional

0541 ALGF Algo Engineering Execution Services LLC 0541 PITX ABN AMRO Clearing Chicago LLC 0541 PRPX ABN AMRO Clearing Chicago LLC 0541 SWDX ABN AMRO Clearing Chicago LLC 0547 BARD Baird (Robert W.) & Co., Incorporated 0549 TMBR Timber Hill LLC 0551 PRST Merrill Lynch Professional Clearing Corp. 0551 BCEP Merrill Lynch, Pierce, Fenner & Smith, Inc. 0551 BIAD Sagetrader, LLC 0551 CCML Concept Capital Markets, LLC 0551 CDGO Citadel Securities LLC 0551 CLDN Celadon Financial Group LLC 0551 DRTM DART Executions, LLC 0551 EROM Eroom Securities L.L.C. 0551 GLBY Gelber Securities, LLC 0551 GMOR Lightspeed Trading, LLC 0551 IAEC Israel A. Englander & Co., LLC 0551 JSOP Jane Street Markets, LLC 0551 MEXD Dynamex Trading, LLC 0551 OTAA OTA Limited Partnership 0551 OTAS OTA, LLC 0551 OTRT OTR Global Trading LLC 0551 PEMA Victor Securities, Inc.

0551 QSEC Quad Securities LLC 0551 SUFI Susquehanna Financial Group, LLC 0551 SUSQ Susquehanna Capital Group 0551 TDNY TD Securities (USA) LLC 0551 TJMI TJM Investments, LLC 0551 TRLN Tradelink Securities, LLC 0551 TRNP CCM Securities, LLC 0568 BRUT NASDAQ Execution Services, LLC 0568 DARQ NASDAQ Execution Services, LLC 0568 INET NASDAQ Execution Services, LLC 0568 NQRB NASDAQ Execution Services, LLC 0571 OPCO Oppenheimer & Co., Inc. 0571 DRAT Dratel Group, Inc. (The) 0571 FDMI Freedom Investments, Inc. 0573 DBAB Deutsche Bank Securities Inc. 0573 DBAE Deutsche Bank Securities Inc. 0573 DBAT Deutsche Bank Securities Inc. 0573 DBAX Deutsche Bank Securities Inc. 0573 DBIB Deutsche Bank Securities Inc. 0573 DBLV Deutsche Bank Securities Inc. 0573 DBMS Deutsche Bank Securities Inc. 0573 DBPR Deutsche Bank Securities Inc. 0573 DBPT Deutsche Bank Securities Inc. 0573 DBQT Deutsche Bank Securities Inc. 0573 DBRC Deutsche Bank Securities Inc. 0573 DBRT Deutsche Bank Securities Inc. 0573 DBST Deutsche Bank Securities Inc. 0573 DBUL Deutsche Bank Securities Inc. 0575 ABND ABN AMRO Clearing Chicago LLC/Bonds 0580 CEFG Cowen Equity Finance LP 0595 VSIN Vision Financial Markets LLC 0595 ASCR Ascendiant Capital Markets, LLC 0595 BTSI B&T Securities, Inc. 0595 BWEX Birchwood Securities Corp. 0595 CTRD Choice Trade 0595 FGCS FGC Securities, LLC 0595 GLED Glendale Securities, Inc. 0595 IBSH Integrity Brokerage Services, Inc. 0595 IBSJ Integrity Brokerage Services, Inc. 0595 MYDM MYD Market, Inc 0595 TFSV TFS Derivatives Corporation 0595 USFB U.S. Financial Investments, Inc 0595 VBSL Vision Brokerage Services, LLC 0595 VIEW Viewtrade Securities, Inc. 0595 WECK Weckstein (D.) & Co., Inc. 0595 WHOT Whotrades, Inc. 0608 PCAP Newedge USA LLC 0608 FIMU Newedge USA, LLC 0608 FMAT Newedge USA LLC 0608 NEAT Newedge USA, LLC 0608 NEFO Newedge USA, LLC 0608 NEGB Newedge USA, LLC 0608 NELD Newedge USA, LLC 0608 NENB Newedge USA, LLC 0608 NESP Newedge USA, LLC 0608 RCMI Dealerweb Inc.


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0613 ERCO Essex-Radez LLC 0613 GLPS Essex Radez LLC 0624 PATR Tullett Liberty Securities Inc. 0624 CHPP Tullett Prebon Financial Services LLC 0626 DSTC DST Market Services, LLC 0627 BELZ Dash Financial LLC 0641 FLOW LavaFlow, Inc. 0641 GOTO LavaFlow, Inc. 0642 UBSW UBS Securities LLC 0642 UBSB UBS Securities LLC 0642 UBSC UBS Securities, LLC 0642 UBSG UBS Securities, LLC 0642 UBSS UBS Securities, LLC 0642 UBST UBS Securities, LLC 0642 UBSX UBS Securities, LLC 0647 DAWA Daiwa Capital Markets America Inc. 0647 WWLD Whiteweld Trading, LLC 0651 LYON Credit Agricole Securities (USA) Inc. 0651 CLSA CLSA Americas, LLC 0651 CRAG Credit Agricole Cheuvreux North America, Inc. 0651 IOIX Bloomberg Tradebook LLC

0651 MLBB Merrill Lynch, Pierce, Fenner & Smith Incorporated

0651 MPLM Momentum Trading Partners, LLC 0651 SSNY Samsung Securities Services, Inc. 0692 VKMI Invesco Capital Markets, Inc. 0695 SHMR ABN AMRO Clearing Chicago LLC 0695 ALLX ABN AMRO Clearing Chicago LLC 0695 ALTN Allston Trading, LLC 0695 ALTR Allston Trading, LLC 0695 ATIX ABN AMRO Clearing Chicago LLC 0695 BZXL Volant Liquidity, LLC 0695 CHPR Chopper Securities LLC 0695 CHVX ABN AMRO Clearing Chicago LLC 0695 CMTT CMT Trading LLC 0695 COGX ABN AMRO Clearing Chicago LLC 0695 CSSX ABN AMRO Clearing Chicago LLC 0695 DCHF Dart Executions, LLC 0695 FIRE BlueFire Capital, LLC 0695 FMGF ABN AMRO Clearing Chicago LLC 0695 GELB Gelber Securities, LLC 0695 GPTX ABN AMRO Clearing Chicago LLC 0695 GTTX ABN AMRO Clearing Chicago LLC 0695 HBIF RGM Securities, LLC 0695 IMMX ABN AMRO Clearing Chicago LLC 0695 KBKF Kabrik Trading 0695 LARX ABN AMRO Clearing Chicago LLC 0695 LBKX ABN AMRO Clearing Chicago LLC 0695 LIFW Wedbush Morgan Securities, Inc. 0695 MEBO MEB Options, LLC 0695 MOKO Mocho Trading LLC 0695 NAMI Nunami Services, LLC 0695 OBDS OBD Securities LLC 0695 OBDX ABN AMRO Clearing Chicago LLC 0695 OFSX ABN AMRO Clearing Chicago LLC 0695 OPTU Optiver US, LLC

0695 PISX ABN AMRO Clearing Chicago LLC 0695 QEDA Quantum Edge Derivatives Trading LLC 0695 QEDX ABN AMRO Clearing Chicago LLC 0695 QLTX ABN AMRO Clearing Chicago LLC 0695 RSFO Redsky Financial, LLC 0695 SETX ABN AMRO Clearing Chicago LLC 0695 SLTX ABN AMRO Clearing Chicago LLC 0695 SQTF SQT Trading, LLC 0695 SUNF Sun Trading, LLC 0695 SUNX ABN AMRO Clearing Chicago LLC 0695 TORA Torc Investments and Research LLC 0695 TORQ Torc Investments and Research LLC 0695 TTAL Tibra Trading America LLC 0695 TTTX ABN AMRO Clearing Chicago LLC 0695 WEXA Wolverine Execution Services, LLC 0695 WMSS Wedbush Morgan Securities, Inc. 0695 WSLT Wedbush Securities Inc. 0695 XGWD Latour Trading LLC 0695 XGWX Latour Trading LLC 0696 CANT Cantor Fitzgerald & Co. 0696 ESPD Cantor Fitzgerald & Co. 0701 BANK Cetera Investment Services LLC 0701 HACA Harvest Capital LLC 0702 BBNT BB&T Securities, LLC 0702 BBTT BB&T Investment Services, Inc. 0702 CARC Carolina Capital Markets, Inc. 0702 CSCV Capitol Securities Management, Inc. 0702 CUTW Cutter & Company, Inc. 0702 MCME McMillion Securities, Inc. 0702 WELC H. G. Wellington & Co., Inc. 0705 SSIC Scottrade, Inc. 0709 WACL Wachtel & Co., Inc. 0712 KOSE Koonce Securities Inc. 0715 DAVA Davenport & Company LLC 0725 RAJA Raymond James & Associates, Inc. 0727 MRSW Mesirow Financial, Inc. 0728 FTBR FOLIOfn Investments, Inc 0734 CAES NASDAQ Stock Market, LLC. (The) 0743 KING King (C.L.) & Associates, Inc. 0749 EWTT Virtu Financial Capital Markets LLC 0749 EWTV EWT, LLC 0750 SALI Sterne, Agee & Leach, Inc. 0750 AEGS Aegis Investments, Inc. 0750 AFSM Atlantic Financial Services of Maine, Inc. 0750 AFSS Four Points Capital Partners LLC 0750 ALLU Alluvion Securities, LLC 0750 ANOV Anovest Financial Services, Inc. 0750 AURA Aura Financial Services, Inc. 0750 AZAD Alzaid Financial Services, Inc. 0750 BBAY Blue Bay Capital Ltd. 0750 BBCC BankersBanc Capital Corporation 0750 BCPL Britannica Capital Partners, LLC 0750 BDON Bond One, LLC 0750 BDSE Best Direct Securities, LLC 0750 BJCM Essex Securities LLC 0750 BKKY Block Kelly Company


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0750 BNBB Bellamah, Neuhauser & Barrett, Inc. 0750 BSCO Brookshire Securities Corporation 0750 CAAA Akar Capital Management, Inc. 0750 CALE Cales Investments, Inc. 0750 CAPB Capital Investment Brokerage Inc. 0750 CAPG Capital Investment Group, Inc. 0750 CBFG CBG Financial Group, Inc. 0750 CCAL Collins Capital Advisors, LLC 0750 CDSO Cert Direct Securities Inc. 0750 CENT Central Securities, LLC 0750 CPBC Baker (C.P.) Securities Incorporated 0750 CPSL Charter Pacific Securities, LLC 0750 DJSA Dawson James Securities, Inc. 0750 DPFH Donnelly Penman & Partners Inc. 0750 EADA Electronic Access Direct, Inc. 0750 EMOC Magnus (E.) Oppenheim & Co., Inc. 0750 ERPO Europa Securities, LLC 0750 FBLT First Ballantyne, LLC 0750 FGIS Sterne Agee Capital Markets, Inc. 0750 FIGG The Fig Group, LLC 0750 FIPC Family Income Planning, Inc 0750 FRGP Forge Financial Group Inc. 0750 GMCI Gardnyr Michael Capital, Inc. 0750 GOAL Bannockburn Partners, LLC 0750 GOLA Gotham Lawrence Corporation 0750 GRBF GRB Financial LLC 0750 GRCP Fifth Street Capital, LLC 0750 GSCL Obsidian Financial Group LLC 0750 ICDS ICD Securities 0750 IPRV DPEC Capital, Inc. 0750 ITBS ITB Securities, LLC 0750 ITCC Sterne Agee Financial Services, Inc. 0750 ITDC ITradedirect.com Corp. 0750 JMAT Matthews (Joseph) & Co. 0750 KART Revere Securities Corp. 0750 KASH Kashner Davidson Securities Corporation 0750 LARK Larkin (Emmett A.) Co., Inc. 0750 LDLW Laidlaw & Company (UK) Ltd. 0750 LLSI Inlet Securities, LLC 0750 LMSE LAM Securities 0750 LSSI EJ Sterling Inc. 0750 MANI Manning (V.M.) & Co., Inc. 0750 MDWD Wellington Shields & Co., LLC 0750 MEFG Meritus Financial Group, Inc. 0750 MFPC Manna Capital Management 0750 MHAF MHA Financial Corp 0750 MOFO Mid Florida Equities, Inc. 0750 MORG Morgenthau & Associates, Inc. 0750 MSEC Mission Securities Corporation 0750 MYRS Meyers Associates, L.P. 0750 NEXC Nexcore Capital, Inc. 0750 NIKH Nikoh Securities Corporation 0750 NSMS NSM Securities, Inc. 0750 OLMM Olmsted & Mulhall, Inc. 0750 PCMC Pacific Commonwealth Corporation 0750 PFAI Pacific Financial Associates, Inc.

0750 PFFR M.M. Dillon & Co. LLC 0750 PINO Advantage GFC LLC 0750 PISC Pacific Investment Securities Corp. 0750 PLCP Hunter Scott Financial, LLC 0750 RAFI RSG Capital Corp. 0750 RGIL Gilford Securities Incorporated 0750 ROGO Rogo Capital LLC 0750 RONB Financial Designs Corporation 0750 ROND McKim Capital, Inc. 0750 SACM Sterne Agee Capital Markets, Inc. 0750 SAFS Sterne Agee Financial Services 0750 SALT Watkins Financial Services, Inc. 0750 SCRI Gramercy Securities, Inc. 0750 SEGI Sterling Enterprise Group, Inc. 0750 SKYC Sky Capital LLC 0750 SORE Source Capital Group, Inc. 0750 SPIN Spencer Edwards, Inc. 0750 SSFG Sethi Financial Investments 0750 TCFF Take Charge Financial 0750 TCTD TCT Securities & Derivatives, LLC 0750 TOWT R.W. Towt & Associates 0750 TRUN Triune Capital Advisors, LLC 0750 TSIB The Street, Inc. 0750 UFSM Nelnet Capital LLC 0750 VFGS VFG Securities, LLC 0750 WACX Commonwealth Funding, Inc. 0750 WAMC Wall Street Money Center Corp. 0750 WCIG Willow Cove Investment Group, Inc. 0750 WEPA Western Pacific Securities, Inc. 0750 WMPB Hahn Securities, Inc. 0750 WRPI WRP Investments, Inc. 0750 WRRF WR Rice Financial Services, Inc. 0750 WRTC W.R. Taylor & Company, LLC 0750 WSRK Westrock Capital Management, Inc. 0750 WUSA West America Securities Corp. 0750 WWTH Wentworth Securities, Inc.

0756 HRBF American Enterprise Investment Services Inc.

0759 NSDQ NASDAQ Stock Market LLC/Omnibus Account

0768 HDLY J.J.B. Hilliard, W.L. Lyons, LLC 0768 PNCI PNC Investments 0771 WBLR Blair (William) & Company, LLC 0793 STFL Stifel, Nicolaus & Company Incorporated 0793 KBWI Keefe, Bruyette & Woods, Inc. 0816 HSBK HSBC Securities (USA) Inc. 0816 HSBC HSBC Securities (USA), Inc./Stock Loan

0824 IBFS Industrial and Commerical Bank of China Financial Services LLC/Equity Clearance

0824 BAYS Bayes Capital LLC 0824 BMAK BMA Securities 0824 BMIC Biltmore International Corporation 0824 CFGN Celadon Financial Group LLC 0824 CHDN Chardan Capital Markets LLC 0824 CMKT Concept Capital Markets, LLC 0824 CPEX Clearpool Execution Services, LLC


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0824 CRUS China Renaissance Securities (US) Inc. 0824 CSIS Citic Securities International USA, LLC 0824 CVBR CV Brokerage Inc. 0824 DRVW DriveWealth, LLC 0824 FNXI Fenix Securities, LLC 0824 GARW Gar Wood Securities, LLC 0824 LSTR Lodestar Securities Corp. 0824 LXMG LXM Group 0824 MERP Meridian Equity Partners Inc. 0824 MSHI M. S. Howells & Co. 0824 PRSG Princeton Securities Group, LLC 0824 RJLC RJL Capital Group, LLC 0824 WPSX Weeden Prime Services, LLC. 0824 WSAG Wall Street Access 0873 ETCC Electronic Transaction Clearing, Inc. 0873 ALGO Stock USA Execution Services, Inc 0873 BAYZ Bayes Capital Markets LLC 0873 BBOX Blinkbox, Ltd. 0873 BEJB Benjamin & Jerold Brokerage I, LLC 0873 BETC Bayes Capital LLC 0873 BOIN Boursa Investments 0873 COHI High Point Capital Group, Inc. 0873 CPET Clearpool Execution Services, LLC 0873 CPSE Capstone Investments 0873 ETAA Electronic Transaction Clearing, Inc. 0873 ETAB Electronic Transaction Clearing, Inc. 0873 ETAC Electronic Transaction Clearing, Inc. 0873 ETAD Electronic Transaction Clearing, Inc. 0873 ETAE Electronic Transaction Clearing, Inc. 0873 ETAF Electronic Transaction Clearing, Inc. 0873 ETAG Electronic Transaction Clearing, Inc. 0873 ETAH Electronic Transaction Clearing, Inc. 0873 ETAI Quantlab Securities LP 0873 ETAJ Electronic Transaction Clearing, Inc. 0873 ETAK Electronic Transaction Clearing, Inc. 0873 ETAL Electronic Transaction Clearing, Inc. 0873 ETAM Electronic Transaction Clearing, Inc. 0873 ETAN Electronic Transaction Clearing, Inc. 0873 ETAO Electronic Transaction Clearing, Inc. 0873 ETAP Electronic Transaction Clearing, Inc. 0873 ETAQ Electronic Transaction Clearing, Inc. 0873 ETAR Electronic Transaction Clearing, Inc. 0873 ETAS Electronic Transaction Clearing, Inc. 0873 ETAT Electronic Transaction Clearing, Inc. 0873 ETAU Electronic Transaction Clearing, Inc. 0873 ETAV Electronic Transaction Clearing, Inc. 0873 ETAW Electronic Transaction Clearing, Inc. 0873 ETAX Electronic Transaction Clearing, Inc. 0873 ETAY Electronic Transaction Clearing, Inc. 0873 ETAZ Electronic Transaction Clearing, Inc. 0873 ETBA Electronic Transaction Clearing, Inc. 0873 ETBB Electronic Transaction Clearing, Inc. 0873 ETBC Electronic Transaction Clearing, Inc. 0873 ETBD Electronic Transaction Clearing, Inc. 0873 ETBE Electronic Transaction Clearing, Inc. 0873 ETBF Electronic Transaction Clearing, Inc.

0873 ETBG Electronic Transaction Clearing, Inc. 0873 ETBH Electronic Transaction Clearing, Inc. 0873 ETBI Electronic Transaction Clearing, Inc. 0873 ETBJ Electronic Transaction Clearing, Inc. 0873 ETBK Electronic Transaction Clearing, Inc. 0873 ETBL Electronic Transaction Clearing, Inc. 0873 ETBN Electronic Transaction Clearing, Inc. 0873 ETBO Electronic Transaction Clearing, Inc. 0873 ETBP Electronic Transaction Clearing, Inc. 0873 ETBQ Electronic Transaction Clearing, Inc. 0873 ETBR Electronic Transaction Clearing, Inc. 0873 ETBS Electronic Transaction Clearing, Inc. 0873 ETBT Electronic Transaction Clearing, Inc. 0873 ETBU Electronic Transaction Clearing, Inc. 0873 ETBW Electronic Transaction Clearing, Inc. 0873 ETBX Electronic Transaction Clearing, Inc. 0873 ETBZ Electronic Transaction Clearing, Inc. 0873 ETCD Electronic Transaction Clearing, Inc. 0873 ETCE Electronic Transaction Clearing, Inc. 0873 ETCG Electronic Transaction Clearing, Inc. 0873 ETCH Electronic Transaction Clearing, Inc. 0873 ETCI Electronic Transaction Clearing, Inc. 0873 ETCJ Electronic Transaction Clearing, Inc. 0873 ETCK Electronic Transaction Clearing, Inc. 0873 ETCN Electronic Transaction Clearing, Inc. 0873 ETCO Electronic Transaction Clearing, Inc. 0873 ETCP Electronic Transaction Clearing, Inc. 0873 ETCQ Electronic Transaction Clearing, Inc. 0873 ETCR Electronic Transaction Clearing, Inc. 0873 ETCS Electronic Transaction Clearing, Inc. 0873 ETCT Electronic Transaction Clearing, Inc. 0873 ETCU Electronic Transaction Clearing, Inc. 0873 ETCV Electronic Transaction Clearing, Inc. 0873 ETCW Electronic Transaction Clearing, Inc. 0873 ETCX Electronic Transaction Clearing, Inc. 0873 ETCY Electronic Transaction Clearing, Inc. 0873 ETCZ Electronic Transaction Clearing, Inc. 0873 ETDA Electronic Transaction Clearing, Inc. 0873 ETDB Electronic Transaction Clearing, Inc. 0873 ETDC Electronic Transaction Clearing, Inc. 0873 ETDD Electronic Transaction Clearing, Inc. 0873 ETDE Electronic Transaction Clearing, Inc. 0873 ETDF Electronic Transaction Clearing, Inc. 0873 ETDH Electronic Transaction Clearing, Inc. 0873 ETDI Electronic Transaction Clearing, Inc. 0873 ETNF Electronic Transaction Clearing, Inc. 0873 GLEE Glendale Securities, Inc. 0873 LSTE Lightspeed Trading, LLC 0873 MPSC Marco Polo Securities Inc. 0873 MULA Mundial Financial Group, LLC 0873 PINT Precision Securities, LLC 0873 PROS Pro Securities, L.L.C. 0873 QETC Quantlab Securities LP 0873 STHL Sterling Trader Execution Services, Inc. 0873 STRL Sterling Trader Execution Services, Inc. 0892 MZHO Mizuho Securities USA Inc.


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2154 BPBI BNP Paribas Prime Brokerage, Inc. 2154 ARUS Autonomous Research US, LP 2154 AVUS Aviate Global LP 2154 BNPB BNP Paribas Securities Corp. 2154 BNPS BNP Paribas Securities Corp. 2154 BNPX BNP Paribas Securities Corp. 2154 DTRC Dart Executions, LLC 2154 ESNA ESN North America, Inc. 2154 INST Arca Capital Investments, Inc. 2154 PARI BNP Paribas Securities Corp. 2154 RDBN Redburn Partners (USA) LP 2154 SPTS Seven Points Capital, LLC 2154 TIAB Triad Securities Corp 2154 VERT Vertical Trading Group, LLC (The) 2154 VTSB ViewTrade Securities, Inc. 5002 RBCF RBC Dominion Securities Inc./CDS 5005 GLII TD Waterhouse Canada Inc. #2/CDS 5008 FMAF NBCN, Inc./CDS 5008 MGIS Industrial Alliance Securities Inc. 5008 NBFI NBF Securities (USA) Corp. 5008 NBKT National Banc Financial Inc. 5011 SCMF Scotia Capital Inc./CDS 5012 EDJC Edward Jones / CDS 5016 GMPS GMP Securities L.P./CDS 5016 YKTN Macquarie Private Wealth/CDS 5017 BUNT UBS Securities Canada Inc./CDS 5021 GLIR TD Waterhouse Canada Inc. #5/CDS 5026 GMAX Global Maxfin Capital Inc./CDS 5027 PICF Pictet Canada L.P./CDS 5027 PICT Pictet Overseas, Inc. 5028 DESJ Desjardins Securities Inc./CDS 5029 MREC Mackie Research Capital Corporation/CDS 5029 RECA Mackie Research Capital Corporation/CDS 5030 WGIF CIBC World Markets, Inc. 5036 GLIS TD Waterhouse Canada Inc./CDS 5039 DCAF Scotia Capital Inc./Hollis Wealth/CDS 5039 DSCS Dundee Securities Corporation 5039 IPOC IPO Capital 5040 FIDT Fidelity Clearing Canada ULC 5042 OTGN Octagon Capital Corp./CDS 5043 NTBF BMO Nesbitt Burns Inc./CDS 5046 CCAI Canaccord Capital Corporation/CDS 5046 CICF Canaccord Genuity Corp.CDS 5058 HASF Haywood Securities Inc. 5059 FCCU Fidelity Clearing Canada ULC/CDS 5059 ITGC ITG Canada 5061 NSIF TD Waterhouse - Norstar Securities/CDS 5062 GLIP TD Waterhouse Canada Inc. #6/ATP 5069 GSCF Global Securities Corporation/CDS 5070 JNGF Jones Gable & Company LTD./CDS 5071 LEDE Leede Financial Markets Inc./CDS 5075 PCFF PI Financial Corp./CDS 5075 USLF PI Financial Corp. 5076 MCMF Raymond James Ltd./CDS 5078 WDLF W.D. Latimer Company LTD./CDS 5079 WTOF Wolverton Securities Ltd./CDS

5101 BCAP Barclays Capital, Inc. 5101 BCHY Barclays Capital, Inc. 5101 BCPP Barclays Capital, Inc. 5144 DLAE Lerner (David) Associates, Inc. 7001 BOOK Bloomberg Tradebook LLC 7001 BTBK Bloomberg Tradebook LLC 7027 SWEN Sweney, Cartwright & Company 7031 BLCK Black (James I.) & Co.

7310 AQUA Cantor Fitzgerald & Co./Aqua Securities, L.P.

7311 CFCO Cantor Fitzgerald & Co./Debt Capital Markets

7587 CSGI Charles Schwab & Co., Inc./Schwab Global Investing Account

7607 RLUK Robinson & Lukens, Inc. 8006 SOLO Solowey & Co. 8052 PBSI Portfolio Brokerage Services Inc. 8072 ALPS Alpine Securities Corporation 8072 ACAP ACAP Financial, Inc. 8072 JOHN Scottsdale Capital Advisors 8072 PMRY Primary Capital, LLC 8072 SEII Spencer Edwards, Inc. 8072 VGRP The Vertical Trading Group, LLC 8082 ZIVI ZIV Investment Co. 8153 COSE Cosse International Securities Inc. 8199 WSGD Wedbush Securities Inc./P3 8244 FTLP First Trust Portfolios, L.P.

OTC Alpha and Numerical References (Alpha sorted by Symbol

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