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Thursday, September 2, 2010
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Public Rule 605
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Firm:
[Please Select]
Abel/Noser Corp.
ABN Amro Incorporated
Access Securities, LLC.
Acme Securities Inc.
ADP Clearing & Outsourcing Services, Inc (Banc of America)
Advest, Inc.
Aegis Capital Corp.
A.G. Edwards & Sons, Inc.
Allen & Company Inc.
AM Capital LLC
American Eastern Securities, Inc.
American Enterprise Investment Services Inc.
Ameritrade Inc.
Attain ECN
Automated Trading Desk, LLC
Avalon Research Group, Inc.
Avondale Partners, LLC
Axiom Capital Management, Inc.
Banc of America Broker Dealer Securities
Barclays Capital, Inc.
Basic Investors Inc.
Bernard Herold & Co., Inc.
Bernard L. Madoff Investment Securities
Beta Capital Management LP
Bloomberg Tradebook LLC
Blue Capital Securities, Inc.
Boenning & Scattergood Inc.
Brean Murray & Co., Inc.
B. Riley & Co., LLC.
Brut, LLC
B-Trade Services LLC
Canaccord Adams Inc.
Cantella & Co. Inc.
Cantor Fitzgerald & Co.
Capital One Southcoast
Caris & Company, Inc.
Carlin Equitites Corp. c/o RBC Capital Markets Corp.
Carnes Capital Corporation
Chardan Capital Markets
Charles River Brokerage
Chicago Analytic Trading Company
Chicago Stock Exchange
CIBC World Markets Corp.
Citadel Group
CK Cooper & Company
Clearview Correspondent Services, Inc.
Cleary Gull Inc.
Coker & Palmer, Inc.
Collins Stewart Inc.
Conifer Securities, LLC
Correspondent Services Corporation
Craig-Hallum Capital Group, LLC
Credit Agricole Securities (USA) Inc.
Crowell, Weedon & Co.
Crown Financial Group, Inc
CRT Capital Group LLC
D.A. Davidson & Co.
Dahlman Rose & Company, LLC
Daiwa Securities America, Inc.
Davenport & Company LLC
Davis, Mendel & Regenstein, Inc.
Direct Edge ECN,Inc. - (EDGA)
Direct Edge ECN, Inc.- (EDGX)
DirectEdge Exchange. - (EDGJ)
DirectEdge Exchange - (EDGK)
Domestic Securities, Inc.
Dougherty & Company LLC
Dowling Partners Securities, Inc
Doyle, Miles & Co. LLC
Dresdner Kleinwort Securities LLC
eBX, LLC
Ehrenkrantz King Nussbaum, Inc.
E*TRADE Securities, Inc.
FBR Capital Markets and Co.
Feltl & Company
Ferris, Baker, Watts, Inc.
Fidelity Capital Markets
Finance 500, Inc.
Financial West Group
First Allied Securities, Inc.
First American Capital and Trading Corp.. - BWNT
First American Capital and Trading Corp. - STCS
First Southwest Company
Fiserv Securities, Inc.
Forge Financial Group, Inc.
Fox-Pitt Kelton Cochran Caronia Waller (USA) LLC
Garban Corporates, LLC
GBS Financial Corp.
GGET
Glendale Securities, Inc.
Global Financial Services, L.L.C.
Global Securities S.A.M.
Goldman, Sachs & Company
Goldman Sachs Execution & Clearing, L.P.
Goldsmith & Harris Incorporated
Gordon, Haskett Capital Corporation
Guzman & Company
Hapoalim Securities USA, Inc.
Harris Nesbitt Corp.
H. Beck, Inc.
HD Brous & Co., Inc.
Heflin & Company, LLC
Herzog, Heine, Geduld
Hill, Thompson, Magid & Co., Inc.
H. M. Payson & Co.
Hoefer & Arnett Incorporated
Horwitz & Associates, Inc.
Howe Barnes Hoefer & Arnett
HSBC Securities (USA) Inc.
Hudson Securities, Inc.
Hudson Securities, Inc.
Huntleigh Securities Corporation
Imperial Capital, LLC
ING Financial Markets, LLC.
Instinet Corporation
Investacorp, Inc.
Investec Ernst & Company
Invex, Inc.
ITG Inc.
Janney Montgomery Scott, Inc.
Jefferies & Company, Inc.
J.J.B. Hilliard, W.L. Lyons, Inc.
J.P. Morgan Invest, LLC
J. P. Morgan Securities Inc.
J.P. Morgan Securities Inc. (BEST)
J.P. Morgan Securities, Inc. - Test Account
J.P. Turner & Company, LLC
Kaufman Bros., L.P.
Keefe, Bruyette & Woods, Inc.
Keybanc Capital Markets
Knight Capital Markets, LLC
Knight Equity Markets, L.P.
Ladenburg Thalmann & Co. Inc.
Lampost Capital, LLC.
Legg Mason Wood Walker, Inc.
Lighthouse Financial Group (LFCM)
Liquidnet, Inc.
Louis Capital Markets, LLC
Magna Securities Corporation
Marlins Capital, LLC
Maxim Group
May Financial Corporation
McAdams Wright Ragen Inc.
Merrill Lynch & Co., Inc.
Merriman Curhan Ford & Co.
MF Global Inc. (EDFM)
Miller Johnson Steichen Kinnard, Inc.
Miller Tabak & Co. LLC
Monroe Securities Inc.
Montauk Financial Group
Moors & Cabot, Inc.
Morgan Keegan, Inc.
Morgan Stanley & Co., Incorporated
Nasdaq
Nasdaq
NASDAQ OMX BX
NASDAQ OMX PHLX
Natcity Investments, Inc.
Natexis Bleichroeder Inc.
National Stock Exchange
NeoVest Trading, Inc.
Neuberger Berman
Newport Coast Securities, Inc.
Newport Coast Securities, Inc.
New York Stock Exchange
NOCI
NYFIX
NYSE AMEX
NYSE Arca
Oak Ridge Financial Services Group, Inc.
Oppenheimer & Co., Inc.
Oscar Gruss & Son Incorporated
Pacific Crest Securities Inc.
Parker/Hunter, Inc.
Park Financial Group, Inc.
Paulson Investment Company, Inc.
Penson Financial Services, Inc.
Perrin, Holden & Davenport Capital Inc.
Pershing Trading
Piper Jaffray
Pulse Trading, Inc. (PULX)
Punk, Ziegel & Company
Quaker Securities, Inc.
Ramius Securities, L.L.C.
Raymond James & Associates, Inc.
Raymond James Ltd. Vancouver
RBC Capital Markets Corporation
RBC Correspondent Services, a division of RBC Capital Markets Corporation
RBC Equity Electronic Trading
RBC Wealth Management, a division of RBC Capital Markets Corporation
Repex & Co., Inc.
Ridge Clearing & Outsourcing Solutions, Inc.
Roth Capital Partners, Inc.
Roth Capital Partners, LLC (ROTH)
Rothschild Investment Corp.
Ryan, Beck & Co.
Salomon Smith Barney Inc.
Sanders Morris Harris, Inc. (SMHI)
Sandler ONeill & Partners, L.P.
Sanford C. Bernstein & Co., LLC
Schon-EX LLC.
Scottrade, Inc.
Scott & Stringfellow, LLC
Seton Securities Group, Inc.
SG Cowen & Company, LLC
Smith Moore & Company
Southwest Securities Inc.
Spencer-Winston Securities Corporation
Standard & Poors Securities, Inc.
State Street Global Markets, LLC
Stephens, Inc.
Sterling Financial Investment Group
Sterne, Agee & Leach, Inc.
Stifel, Nicolaus & Company, Inc.
Stifel, Nicolaus & Company-(SNCM)
Stockcross Financial Services, Inc.
Susquehanna Investment Group
TAG9 - Test Account
TD Professional Execution, Inc.
TD Securities (USA) LLC
TD Waterhouse Investor Services, Inc.
TDW Capital Markets
Tejas Securities Group, Inc.
The Benchmark Company, LLC
The Seidler Companies Incorporated
The Shemano Group, Inc.
The Williams Capital Group, L.P.
ThinkEquity Partners
Ticonderoga Securities LLC
Track ECN
Tradestation Securities, Inc.
Traditional Asiel Securities, Inc. (TASL)
Transamerica Financial Advisors, Inc.
Transamerica Financial Advisors, Inc.
Trident Securities, div. of McDonald Investments
UBS Capital Markets
UBS Securities LLC
UBS Securities, LLC
U. S. Bancorp Investments Inc.
US Fiduciary Inc.
Vandham Securities Corp.
Wachovia Capital Markets, LLC
Wayne Hummer Investments LLC
Wedbush Securities, Inc.
Wells Fargo Investment, LLC.
Wells Fargo Securities, LLC
Western Securities Clearing Corp.
William Blair & Company L.L.C.
Wilson-Davis & Co.
Witenberg Investment Companies, Inc.
W.R. Hambrecht & Co., LLC
Please select a firm from the list above
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