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Updated 5/6/08
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Firm No. Firm Name
005
Goldman, Sachs & Co.
009
Goldman Sachs Execution & Clearing, L.P.
012
Swiss American Securities Inc.
013
Sanford C. Bernstein & Co. LLC
015
Morgan Stanley & Co. Incorporated
017
Interactive Brokers L.L.C.
019
Jefferies & Company, Inc.
027
Dundee Securities Corporation
031
Natixis Bleichroeder, Inc.
039
Ferris, Baker Watts, Inc.
050
Morgan Stanley & Co. Incorporated
052
Legent Clearing LLC
058
Prime Dealer Services Corp.
060
J.P. Morgan Securities Inc.
072
Prudential Bache Commodities, LLC
074
Lehman Brothers Inc.
075
LPL Financial Corporation
080
National Bank Financial Inc.
084
Lehman Brothers Inc.
094
Deutsche Bank Securities Inc.
103
Wedbush Morgan Securities, Inc.
104
Prudential Bache Securities, LLC
111
Penson Financial Services, Inc.
112
Merrill Lynch Professional Clearing Corp.
120
MF Global Inc.
124
Ingalls & Snyder L.L.C.
141
First Clearing, LLC
154
Neuberger Berman, L.L.C.
155
Neuberger Berman, L.L.C.
158
Ridge Clearing & Outsourcing Solutions, Inc.
161
Merrill Lynch Pierce Fenner & Smith Inc.
164
Charles Schwab & Co., Inc.
180
Nomura Securities International Inc.
186
Scotia Capital Inc.
198
RBC Dominion Securities Inc.
201
Wachovia Securities, LLC
205
Goldman Sachs Execution & Clearing, L.P.
208
Gelber Group LLC
209
BMO Nesbitt Burns, Inc.
216
American Enterprise Investment Services, Inc.
221
UBS Financial Services Inc.
226
National Financial Services LLC
229
Lek Securities Corporation
233
Compass Professional Services, LLC
234
Penson Financial Services, Inc.
235
RBC Capital Markets Corporation
247
SMW Trading Company, Inc.
261
Greenwich Capital Markets, Inc.
269
Maple Securities U.S.A. Inc.
270
ING Financial Markets LLC
271
TradeStation Securities, Inc.
273
Lehman Brothers Inc.
279
Southwest Securities, Inc.
284
Albert Fried & Company, LLC
286
SG Americas Securities, LLC
288
Bear, Stearns Securities Corp.
289
Credit Suisse Securities (USA) LLC
292
MF Global Inc.
294
NYFIX Securities Corporation
299
Merrill Lynch Pierce Fenner & Smith Inc.
308
Lazard Capital Markets LLC
309
First Southwest Company
310
Bank of America Securities, LLC
311
Piper Jaffray & Co.
321
Bank of America Securities, LLC
325
Goldman Sachs Execution & Clearing, L.P.
333
Electronic Brokerage Systems, Inc.
338
optionsXpress, Inc.
352
Bear, Stearns Securities Corp.
355
Credit Suisse Securities (USA) LLC
364
Terra Nova Financial, LLC
367
USAA Investment Management Company
370
Tradition Asiel Securities Inc.
374
Janney Montgomery Scott L.L.C.
381
BNP Paribas Securities Corp.
385
E*TRADE Clearing LLC
391
Tradelink L.L.C.
396
Fortis Clearing Americas LLC
411
CGMI
418
Citigroup Global Markets Inc.
419
Stephens Inc.
425
ABN AMRO Inc.
429
Newedge Financial Inc.
433
MF Global Inc.
436
Archipelago Securities, L.L.C.
438
CIBC World Markets Corp.
442
Assent LLC
443
Pershing LLC
445
StockCross Financial Services, Inc.
447
UBS Securities LLC
454
MF Global Inc.
458
Newedge Financial Inc.
490
MS Securities Services Inc.
497
Goldman, Sachs & Co.
501
Goldman Sachs Execution & Clearing, L.P.
503
CIBC World Markets Inc.
506
Vision Financial Markets LLC
512
Lek Securities Corporation
515
Ziv Investment Company
519
Merrill Lynch Professional Clearing Corp.
520
Nasdaq Option Services, LLC
532
Paloma Securities L.L.C.
534
Interactive Brokers L.L.C.
540
Merrill Lynch Professional Clearing Corp.
541
Fortis Clearing Americas LLC
547
Robert W. Baird & Co. Incorporated
549
Timber Hill L.L.C.
551
Merrill Lynch Professional Clearing Corp.
552
Merrill Lynch Professional Clearing Corp.
567
Fortis Clearing Americas LLC
571
Oppenheimer & Co. Inc.
573
Deutsche Bank Securities Inc.
575
Merrill Lynch Professional Clearing Corp.
576
Barclays Capital Inc.
577
LiquidPoint, LLC
580
KDC Merger Arbitrage Fund, LP
595
Vision Financial Markets LLC
596
Tradelink L.L.C.
598
Merrill Lynch Professional Clearing Corp. / Merrill Lynch Futures
602
Morgan Stanley & Co. Incorporated
604
Electronic Brokerage Systems, Inc.
608
Newedge USA, LLC
610
Merrill Lynch Pierce Fenner & Smith / Broadcort Execution Services
611
Timber Hill L.L.C.
615
TD Waterhouse Canada Inc.
634
Newedge Financial Inc.
641
UBS Securities LLC
642
UBS Securities LLC
643
Interactive Brokers L.L.C.
646
Bernard L. Madoff Investment Securities LLC
647
Daiwa Securities America, Inc.
651
Calyon Securities (USA) Inc.
656
BNP Paribas Securities Corp.
659
Newedge USA, LLC
661
J.P. Morgan Futures Inc.
671
Merrill Lynch Professional Clearing Corp.
672
Newedge USA, LLC
673
Merrill Lynch Professional Clearing Corp.
674
Lakeshore Securities, L.P.
675
Merrill Lynch Pierce Fenner & Smith / Broadcort Execution Services
690
Goldman Sachs Execution & Clearing, L.P.
695
Fortis Clearing Americas LLC
696 Cantor Fitzgerald & Co.
702
Clearview Correspondent Services, LLC
705
Scottrade, Inc.
719
Newedge USA, LLC
720
Fortis Securities, LLC
722
Newedge USA, LLC
725
Raymond James & Associates, Inc.
727
Mesirow Financial Inc.
730
Fortis Clearing Americas LLC
733
Wells Fargo Investments, LLC
741
Goldman Sachs Execution & Clearing, L.P.
747
Citigroup Global Markets Inc.
749 EWT, LLC
756
H&R Block Financial Advisors, Inc.
762
Newedge USA, LLC
768
J.J.B. Hilliard, W.L. Lyons, Inc.
771
William Blair & Company, L.L.C.
773
Bank of America Securities, LLC
775
Citadel Trading Group L.L.C.
777
TD Ameritrade Clearing, Inc.
780
Morgan, Keegan & Company, Inc.
788
Merrill Lynch Professional Clearing Corp.
790
Merrill Lynch Professional Clearing Corp.
792
Merrill Lynch Pierce Fenner & Smith / Broadcort Execution Services
793
Stifel Nicolaus & Company Incorporated
795
RBC Capital Markets Corporation
813
Fortis Clearing Americas LLC
816
HSBC Securities (USA) Inc.
822
Bear, Stearns Securities Corp.
824
Goldman Sachs Execution & Clearing, L.P.
829
Fortis Clearing Americas LLC OCC/ICE CLEAR Cross Margin
833
Bear, Stearns Securities Corp.
841
Goldman Sachs Execution & Clearing, L.P.
843
Goldman Sachs Execution & Clearing, L.P.
860
Chicago Mercantile Exchange
869
Goldman Sachs Execution & Clearing, L.P.
883
Bank of America Securities, LLC
884
Nomura Securities International Inc.

 
 
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