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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. |