| 005 |
Goldman, Sachs & Co. |
X |
X |
X |
X |
X |
|
| 006 |
Advantage Securities LLC |
X |
X |
|
|
|
|
| 008 |
Fortis Clearing Americas LLC |
|
X |
|
|
|
X |
| 009 |
Goldman
Sachs Execution & Clearing, L.P. |
X |
X |
X |
X |
X |
|
| 013 |
Sanford C. Bernstein & Co. LLC |
X |
X |
|
|
X |
|
| 015 |
Morgan Stanley & Co. Incorporated |
X |
X |
X |
|
X |
|
| 017 |
Interactive Brokers L.L.C. |
X |
X |
|
X |
X |
|
| 018 |
BMO Nesbitt Burns Trading Corp. S.A. |
|
|
|
X |
|
|
| 019 |
Jefferies & Company, Inc. |
X |
X |
|
X |
X |
|
| 027 |
Dundee Securities Corporation |
X |
X |
|
|
X |
|
| 031 |
Natixis Bleichroeder, Inc. |
X |
X |
|
X |
X |
|
| 035 |
Jump Trading, LLC. |
|
|
|
|
|
X |
| 038 |
RBC Capital Markets Corporation |
|
X |
|
|
|
|
| 045 |
BMO Capital Markets Corporation |
|
|
|
X |
|
|
| 050 |
Morgan Stanley & Co. Incorporated |
X |
X |
X |
|
X |
|
| 052 |
Legent Clearing LLC |
X |
X |
|
|
X |
|
| 053 |
BNP Paribas Securities Corp. |
|
X |
|
|
|
|
| 054 |
Advantage Securities LLC |
|
X |
|
|
|
|
| 058 |
Prime Dealer Services Corp. |
X |
|
|
|
X |
|
| 060 |
J.P. Morgan Securities, Inc. |
X |
X |
X |
|
X |
|
| 062 |
Vanguard Marketing Corporation |
X |
X |
|
|
|
|
| 063 |
Virtu Financial BD LLC |
|
|
|
|
|
|
| 072 |
Prudential Bache Commodities, LLC |
|
|
|
|
X |
X |
| 074 |
Barclays Capital Inc. |
X |
X |
|
X |
X |
|
| 075 |
LPL Financial Corporation |
X |
X |
|
|
X |
|
| 076 |
Mitsubishi UFJ Securities (USA), Inc. |
X |
X |
|
X |
|
|
| 077 |
Octeg, LLC. |
|
|
|
|
|
|
| 079 |
Advantage Futures, LLC |
|
|
|
|
|
X |
| 080 |
National Bank Financial Inc. |
X |
X |
|
|
X |
|
| 082 |
R.J. O'Brien & Associates, LLC |
|
|
|
|
|
X |
| 090 |
Prudential Bache Commodities, LLC |
|
|
|
|
|
X |
| 092 |
Deutsche Bank Securities, Inc. |
|
|
|
|
|
X |
| 094 |
Deutsche Bank Securities, Inc. |
|
|
|
|
X |
X |
| 096 |
Lek Securities Corporation |
|
|
|
|
X |
X |
| 099 |
ITG, Inc. |
|
|
|
X |
|
|
| 103 |
Wedbush Morgan Securities, Inc. |
X |
X |
|
X |
X |
|
| 104 |
Prudential Bache Securities, LLC |
X |
X |
X |
X |
X |
|
| 105 |
Goldman Sachs Execution & Clearing, L.P. |
X |
X |
X |
X |
X |
|
| 106 |
Credit Suisse Securities (USA) LLC. |
|
|
|
|
|
X |
| 111 |
Penson Financial Services, Inc. |
X |
X |
X |
|
X |
|
| 112 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
|
X |
|
| 115 |
Cantor Fitzgerald & Co. |
|
|
|
|
|
X |
| 120 |
MF Global Inc. |
X |
X |
|
|
|
|
| 124 |
Ingalls & Snyder L.L.C. |
X |
X |
|
|
X |
|
| 128 |
RBS Securities, Inc. |
|
|
|
|
|
X |
| 136 |
Banca IMI Securities Corporation |
|
X |
|
|
|
|
| 140 |
Penson GHCO |
|
|
|
|
|
X |
| 141 |
First Clearing, LLC |
X |
X |
X |
X |
|
|
| 146 |
Dorman Trading, LLC |
|
|
|
|
|
X |
| 158 |
Ridge Clearing & Outsourcing Solutions, Inc. |
X |
X |
|
X |
X |
|
| 161 |
Merrill Lynch Pierce Fenner & Smith Inc. |
X |
X |
X |
X |
X |
|
| 164 |
Charles Schwab & Co., Inc. |
X |
X |
|
X |
X |
|
| 173 |
Credit Suisse Securities (USA) LLC |
|
|
|
|
|
X |
| 180 |
Nomura Securities International Inc. |
X |
X |
X |
X |
X |
|
| 186 |
Scotia Capital Inc. |
X |
X |
|
|
X |
|
| 198 |
RBC Dominion Securities Inc. |
X |
X |
|
|
X |
|
| 209 |
BMO Nesbitt Burns, Inc. |
X |
X |
|
|
X |
|
| 216 |
American Enterprise Investment Services, Inc. |
X |
X |
|
X |
|
|
| 221 |
UBS Financial Services Inc. |
X |
X |
X |
X |
X |
|
| 226 |
National Financial Services LLC |
X |
X |
X |
X |
X |
|
| 228 |
Goldman Sachs Execution & Clearing, L.P. |
|
|
|
|
|
X |
| 229 |
Lek Securities Corporation |
X |
X |
|
X |
|
|
| 230 |
BNP Paribas Prime Brokerage, Inc. |
X |
X |
|
|
X |
|
| 233 |
Compass Professional Services, LLC |
X |
X |
|
|
|
|
| 234 |
Penson Financial Services, Inc. |
X |
X |
X |
X |
X |
|
| 235 |
RBC Capital Markets Corporation |
X |
X |
|
X |
X |
|
| 247 |
SMW Trading Company, Inc. |
|
|
|
|
X |
X |
| 255 |
Barclays Capital Inc. |
X |
X |
X |
X |
X |
|
| 261 |
RBS Securities, Inc. |
X |
X |
|
|
|
|
| 269 |
Maple Securities U.S.A. Inc. |
X |
X |
|
X |
X |
|
| 270 |
ING Financial Markets LLC |
|
|
|
X |
|
|
| 271 |
TradeStation Securities, Inc. |
X |
X |
X |
X |
|
|
| 273 |
Barclays Capital Inc. |
X |
X |
X |
X |
|
|
| 275 |
Merrill Lynch Pierce Fenner & Smith Inc. |
|
|
|
|
X |
|
| 276 |
Vision Financial Markets LLC |
|
|
|
|
|
X |
| 277 |
Fortis Clearing Americas LLC |
|
|
|
|
|
X |
| 278 |
Morgan Stanley & Co. Incorporated |
|
|
|
|
|
X |
| 279 |
Southwest Securities, Inc. |
X |
X |
X |
X |
X |
|
| 284 |
Albert Fried & Company, LLC |
X |
X |
|
|
|
|
| 286 |
SG Americas Securities, LLC |
X |
X |
X |
X |
X |
|
| 287 |
MF Global Inc. |
|
|
|
|
|
X |
| 288 |
J.P. Morgan Clearing Corp. |
|
|
|
|
X |
X |
| 289 |
Credit Suisse Securities (USA) LLC |
|
|
|
|
X |
X |
| 292 |
MF Global Inc. |
|
|
|
|
X |
X |
| 294 |
NYFIX Securities Corporation |
X |
X |
|
X |
X |
|
| 299 |
Merrill Lynch Pierce Fenner & Smith Inc. |
|
|
|
|
X |
X |
| 308 |
Lazard Capital Markets LLC |
X |
X |
|
X |
|
|
| 309 |
First Southwest Company |
X |
X |
X |
X |
X |
|
| 310 |
Bank of America Securities, LLC |
|
|
|
|
X |
X |
| 311 |
Piper Jaffray & Co. |
X |
X |
|
|
X |
|
| 321 |
Bank of America Securities, LLC |
|
|
|
|
X |
X |
| 330 |
Fortis Clearing Americas LLC |
X |
X |
|
|
X |
|
| 333 |
Electronic Brokerage Systems, LLC. |
X |
X |
X |
|
X |
|
| 338 |
optionsXpress, Inc. |
X |
X |
|
X |
|
|
| 341 |
Octeg, LLC |
X |
X |
|
X |
|
|
| 350 |
Goldman, Sachs & Co. |
|
|
|
|
|
X |
| 352 |
J.P. Morgan Clearing Corp. |
X |
X |
X |
|
X |
|
| 355 |
Credit Suisse Securities (USA) LLC |
X |
X |
X |
X |
X |
|
| 364 |
Terra Nova Financial, LLC |
X |
X |
|
|
|
|
| 367 |
USAA Investment Management Company |
X |
X |
|
|
X |
|
| 370 |
Tradition Asiel Securities Inc. |
X |
X |
X |
|
X |
|
| 371 |
Citigroup Global Markets Inc. |
|
|
|
|
|
X |
| 374 |
Janney Montgomery Scott L.L.C. |
X |
X |
|
X |
X |
|
| 381 |
BNP Paribas Securities Corp. |
|
|
|
|
X |
X |
| 385 |
E*TRADE Clearing LLC |
X |
X |
|
X |
X |
|
| 391 |
Tradelink L.L.C. |
X |
X |
|
|
X |
|
| 393 |
Electronic Brokerage Systems, LLC. |
X |
X |
X |
|
X |
|
| 395 |
Citadel Securities LLC |
X |
X |
|
X |
|
|
| 396 |
Fortis Clearing Americas LLC |
X |
X |
X |
X |
X |
|
| 411 |
Automated Trading Desk Financial Services, LLC |
X |
X |
X |
|
X |
|
| 418 |
Citigroup Global Markets Inc. |
X |
X |
X |
X |
X |
|
| 419 |
Stephens Inc. |
X |
X |
|
|
X |
|
| 425 |
RBS Securities, Inc. |
X |
X |
|
X |
X |
|
| 433 |
MF Global Inc. |
X |
X |
|
X |
X |
|
| 436 |
Archipelago Securities, L.L.C. |
X |
X |
|
|
|
|
| 438 |
CIBC World Markets Corp. |
X |
X |
X |
X |
X |
|
| 442 |
Assent LLC |
X |
X |
X |
X |
X |
|
| 443 |
Pershing LLC |
X |
X |
|
X |
X |
|
| 445 |
StockCross Financial Services, Inc. |
X |
X |
|
|
X |
|
| 447 |
UBS Securities LLC |
|
|
|
|
X |
|
| 454 |
MF Global Inc. |
X |
X |
|
X |
X |
|
| 477 |
Timber Hill |
X |
X |
|
X |
X |
|
| 490 |
MS Securities Services Inc. |
|
|
|
|
X |
|
| 497 |
Goldman, Sachs & Co. |
|
|
|
|
X |
X |
| 501 |
Goldman Sachs Execution & Clearing, L.P. |
X |
X |
X |
X |
X |
|
| 503 |
CIBC World Markets Inc. |
X |
X |
|
|
X |
|
| 506 |
Vision Financial Markets LLC |
|
|
|
|
X |
X |
| 512 |
Lek Securities Corporation |
X |
X |
|
X |
|
|
| 513 |
Penson Financial Services, Inc. |
X |
X |
X |
X |
X |
|
| 515 |
Ziv Investment Company |
X |
X |
X |
|
X |
|
| 519 |
Merrill Lynch Professional Clearing Corp. |
|
X |
|
|
|
X |
| 520 |
Nasdaq Option Services, LLC |
X |
X |
|
|
|
|
| 524 |
Fortis Clearing Americas LLC |
X |
X |
|
|
X |
|
| 534 |
Interactive Brokers L.L.C. |
X |
X |
|
X |
X |
|
| 535 |
Interactive Brokers L.L.C. |
|
|
|
|
|
X |
| 540 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
|
X |
|
| 541 |
Fortis Clearing Americas LLC |
|
X |
|
|
|
|
| 547 |
Robert W. Baird & Co. Incorporated |
X |
X |
|
X |
X |
|
| 549 |
Timber Hill L.L.C. |
X |
X |
|
X |
X |
|
| 550 |
Timber Hill |
|
|
|
|
|
X |
| 551 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
X |
X |
|
| 552 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
|
X |
|
| 560 |
Merrill Lynch Pierce Fenner & Smith Inc. |
|
|
|
|
|
X |
| 567 |
Fortis Clearing Americas LLC |
|
|
|
|
X |
X |
| 571 |
Oppenheimer & Co. Inc. |
X |
X |
|
X |
X |
|
| 572 |
Goldman Sachs Execution & Clearing, L.P. |
X |
X |
|
|
X |
|
| 573 |
Deutsche Bank Securities Inc. |
X |
X |
|
X |
X |
|
| 575 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
|
X |
|
| 576 |
Barclays Capital Inc. |
X |
X |
X |
X |
X |
|
| 577 |
LiquidPoint, LLC |
X |
X |
|
|
|
|
| 580 |
KDC Merger Arbitrage Fund, LP |
X |
|
|
X |
X |
|
| 586 |
Deutsche Bank Securities, Inc. |
X |
X |
|
X |
X |
|
| 595 |
Vision Financial Markets LLC |
X |
X |
|
|
|
|
| 596 |
Tradelink L.L.C. |
|
X |
|
|
|
|
| 598 |
Merrill Lynch Professional Clearing Corp. / Merrill Lynch Futures |
|
X |
|
|
|
|
| 602 |
Morgan Stanley & Co. Incorporated |
|
|
|
|
X |
X |
| 604 |
Electronic Brokerage Systems, LLC. |
|
|
|
|
X |
X |
| 608 |
Newedge USA, LLC |
X |
X |
|
|
X |
|
| 611 |
Timber Hill L.L.C. |
|
X |
|
|
|
|
| 615 |
TD Waterhouse Canada Inc. |
X |
X |
|
|
X |
|
| 640 |
UBS Securities LLC |
|
|
|
|
|
X |
| 641 |
UBS Securities LLC |
|
|
|
|
X |
|
| 642 |
UBS Securities LLC |
X |
X |
|
|
X |
X |
| 643 |
Interactive Brokers L.L.C. |
|
|
|
|
X |
X |
| 647 |
Daiwa Securities America, Inc. |
X |
X |
|
X |
X |
|
| 651 |
Calyon Securities (USA) Inc. |
X |
X |
X |
X |
X |
|
| 656 |
BNP Paribas Securities Corp. |
X |
X |
X |
X |
X |
|
| 659 |
Newedge USA, LLC |
X |
X |
|
|
X |
|
| 660 |
J.P. Morgan Futures Inc. |
|
|
|
|
|
X |
| 661 |
J.P. Morgan Futures Inc. |
|
|
|
|
X |
X |
| 672 |
Newedge USA, LLC |
X |
X |
|
|
X |
|
| 674 |
Lakeshore Securities, L.P. |
X |
X |
|
|
X |
|
| 685 |
R.J. O'Brien & Associates, LLC |
|
|
|
|
|
X |
| 695 |
Fortis Clearing Americas LLC |
X |
X |
X |
X |
X |
|
| 696 |
Cantor Fitzgerald & Co. |
X |
X |
|
X |
|
|
| 702 |
Clearview Correspondent Services, LLC |
X |
X |
|
|
|
|
| 704 |
Barclays Capital Inc. |
|
|
|
|
X |
X |
| 705 |
Scottrade, Inc. |
X |
X |
|
|
X |
|
| 706 |
Barclays Capital Inc. |
|
|
|
|
|
X |
| 711 |
Barclays Capital Inc. |
|
|
|
|
X |
X |
| 718 |
Newedge USA, LLC |
|
|
|
|
|
X |
| 719 |
Newedge USA, LLC |
X |
X |
|
|
X |
|
| 720 |
Fortis Securities, LLC |
|
|
|
X |
|
|
| 722 |
Newedge USA, LLC |
X |
X |
X |
X |
X |
|
| 725 |
Raymond James & Associates, Inc. |
X |
X |
|
|
X |
|
| 727 |
Mesirow Financial Inc. |
X |
X |
X |
|
X |
|
| 730 |
Fortis Clearing Americas LLC |
X |
X |
X |
X |
X |
X |
| 733 |
Wells Fargo Investments, LLC |
X |
X |
|
|
|
|
| 737 |
Advantage Futures, LLC |
|
|
|
|
|
X |
| 741 |
Goldman Sachs Execution & Clearing, L.P. |
|
|
|
|
X |
X |
| 743 |
C.L. King & Associates, Inc. |
X |
X |
|
|
|
|
| 747 |
Citigroup Global Markets Inc. |
|
|
|
|
X |
X |
| 749 |
EWT, LLC |
|
|
|
|
X |
X |
| 756 |
American Enterprise Investment Services, Inc. |
X |
X |
|
|
X |
|
| 761 |
Newedge USA, LLC |
|
|
|
|
|
X |
| 762 |
Newedge USA, LLC |
|
|
|
|
X |
X |
| 768 |
J.J.B. Hilliard, W.L. Lyons, LLC |
X |
X |
|
|
X |
|
| 771 |
William Blair & Company, L.L.C. |
|
|
|
|
|
|
| 773 |
Bank of America Securities, LLC |
X |
X |
X |
X |
X |
|
| 777 |
TD Ameritrade Clearing, Inc. |
X |
X |
|
X |
X |
|
| 780 |
Morgan, Keegan & Company, Inc. |
X |
X |
|
|
X |
|
| 792 |
Merrill Lynch Pierce Fenner & Smith/Broker Dealer Execution Services |
X |
X |
X |
|
X |
|
| 793 |
Stifel Nicolaus & Company Incorporated |
X |
X |
|
|
X |
|
| 795 |
RBC Capital Markets Corporation |
|
|
|
|
X |
X |
| 796 |
RBC Capital Markets |
|
|
|
|
|
X |
| 799 |
KeyBanc Capital Markets |
X |
X |
|
|
|
|
| 800 |
Rosenthal Collins Group, LLC |
|
|
|
|
|
X |
| 801 |
Rosenthal Collins Group, LLC |
|
|
|
|
|
X |
| 813 |
Fortis Clearing Americas LLC |
|
X |
|
|
|
|
| 815 |
Goldman Sachs Execution & Clearing, L.P. |
|
|
|
|
|
X |
| 816 |
HSBC Securities (USA) Inc. |
X |
X |
|
|
X |
|
| 822 |
J.P. Morgan Clearing Corp. |
|
X |
|
|
|
|
| 824 |
Goldman Sachs Execution & Clearing, L.P. |
|
X |
|
|
|
|
| 829 |
Fortis Clearing Americas LLC OCC/ICE CLEAR Cross Margin |
|
X |
|
|
|
|
| 831 |
CIBC World Markets Corp. |
X |
X |
|
|
|
|
| 833 |
J.P. Morgan Clearing Corp. |
|
X |
|
|
|
|
| 841 |
Goldman Sachs Execution & Clearing, L.P. |
|
X |
|
|
|
X |
| 843 |
Goldman Sachs Execution & Clearing, L.P. |
|
X |
|
|
|
|
| 847 |
Merrill Lynch Professional Clearing Corp. |
|
X |
|
|
|
|
| 860 |
Chicago Mercantile Exchange |
|
|
|
|
X |
X |
| 880 |
Citadel Securities LLC |
X |
X |
|
|
|
|
| 883 |
Bank of America Securities, LLC |
|
X |
|
|
|
|
| 884 |
Nomura Securities International Inc. |
|
X |
|
|
|
|