| 001 |
ADM Investor Services, Inc |
|
|
|
|
|
X |
|
| 005 |
Goldman, Sachs & Co. |
X |
X |
X |
X |
|
|
|
| 007 |
X-Change Financial Access, LLC |
X |
X |
|
|
|
|
|
| 008 |
ABN AMRO Clearing Chicago LLC |
|
X |
|
|
X |
|
|
| 009 |
Goldman
Sachs Execution & Clearing, L.P. |
X |
X |
X |
X |
|
|
|
| 013 |
Sanford C. Bernstein & Co. LLC |
X |
X |
|
X |
|
|
|
| 015 |
Morgan Stanley Smith Barney LLC |
X |
X |
|
|
|
|
|
| 017 |
Interactive Brokers LLC |
X |
X |
X |
X |
|
|
|
| 019 |
Jefferies LLC |
X |
X |
X |
X |
|
|
|
| 028 |
Canaccord Genuity Corp. |
X |
X |
|
|
|
|
|
| 031 |
Natixis Securities Americas LLC |
X |
X |
X |
X |
|
|
|
| 033 |
Canaccord Genuity Corp. |
X |
X |
|
|
|
|
|
| 035 |
Jump Trading, LLC |
|
|
|
|
|
X |
|
| 038 |
RBC Capital Markets, LLC |
|
X |
|
|
|
|
|
| 045 |
BMO Capital Markets Corporation |
X |
X |
X |
|
|
|
|
| 050 |
Morgan Stanley & Co. LLC |
X |
X |
|
X |
|
|
|
| 052 |
COR Clearing LLC |
X |
X |
|
X |
|
|
|
| 053 |
BNP Paribas Securities Corp. |
|
X |
|
|
|
|
|
| 060 |
J.P. Morgan Securities LLC |
X |
X |
|
X |
|
|
|
| 062 |
Vanguard Marketing Corporation |
X |
X |
|
|
|
|
|
| 063 |
Virtu Financial BD LLC |
|
|
X |
|
|
|
|
| 067 |
Instinet LLC |
X |
X |
|
|
|
|
|
| 072 |
Jefferies Bache, LLC |
|
|
|
X |
X |
|
|
| 074 |
Barclays Capital Inc. |
X |
X |
X |
X |
X |
|
|
| 075 |
LPL Financial LLC |
X |
X |
|
X |
|
|
|
| 076 |
Mitsubishi UFJ Securities (USA), Inc. |
X |
X |
X |
|
|
|
|
| 077 |
Octeg, LLC |
|
|
|
|
X |
|
|
| 078 |
Octeg, LLC |
|
|
|
|
|
X |
|
| 079 |
Advantage Futures, LLC |
|
|
|
|
X |
|
|
| 080 |
National Bank Financial Inc. |
X |
X |
X |
X |
|
|
|
| 082 |
R.J. O'Brien & Associates, LLC |
|
|
|
|
X |
|
|
| 083 |
R.J. O'Brien & Associates, LLC |
|
|
|
X |
X |
|
|
| 089 |
Mizuho Securities USA Inc. |
X |
X |
X |
|
|
|
|
| 090 |
Jefferies Bache, 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 |
|
|
|
|
| 102 |
BNY Mellon Clearing, LLC |
|
|
|
|
|
X |
|
| 103 |
Wedbush Securities, Inc. |
X |
X |
X |
X |
|
|
|
| 105 |
Goldman Sachs Execution & Clearing, L.P. |
X |
X |
|
|
|
|
X |
| 106 |
Credit Suisse Securities (USA) LLC |
|
|
|
|
X |
|
|
| 111 |
Apex Clearing Corporation |
X |
X |
|
X |
|
|
|
| 112 |
ABN AMRO Clearing Chicago LLC |
X |
X |
|
X |
|
|
|
| 115 |
Cantor Fitzgerald & Co. |
|
|
|
|
X |
|
|
| 121 |
BNY Mellon Clearing LLC |
|
|
|
|
X |
|
|
| 124 |
Ingalls & Snyder LLC |
X |
X |
X |
X |
|
|
|
| 128 |
RBS Securities, Inc. |
|
|
|
|
X |
|
|
| 136 |
Banca IMI Securities Corporation |
|
|
X |
|
|
|
|
| 140 |
Knight Capital Americas LLC |
|
|
|
|
|
X |
|
| 141 |
First Clearing, LLC |
X |
X |
X |
X |
|
|
|
| 150 |
Dorman Trading, LLC |
|
|
|
|
|
X |
|
| 152 |
Dorman Trading, LLC |
|
|
|
|
X |
|
|
| 158 |
Apex Clearing Corporation |
X |
X |
X |
X |
|
|
|
| 159 |
FCStone, LLC |
|
|
|
|
X |
|
|
| 160 |
FCStone, LLC |
|
|
|
|
|
X |
|
| 161 |
Merrill Lynch, Pierce, Fenner, & Smith Inc. |
X |
X |
X |
X |
|
|
X |
| 164 |
Charles Schwab & Co., Inc. |
X |
X |
X |
X |
|
|
|
| 166 |
RCap Securities, Inc. |
|
|
X |
|
|
|
|
| 167 |
Phillip Futures Inc. |
|
|
|
|
X |
|
|
| 168 |
Phillip Futures Inc. |
|
|
|
|
|
X |
|
| 173 |
Credit Suisse Securities (USA) LLC |
|
|
|
|
|
X |
|
| 180 |
Nomura Securities International Inc. |
X |
X |
X |
X |
|
|
|
| 181 |
Nomura Securities International Inc. |
|
|
|
|
X |
|
|
| 186 |
Scotia Capital Inc. |
X |
X |
|
X |
|
|
|
| 198 |
RBC Dominion Securities Inc. |
X |
X |
|
X |
|
|
|
| 209 |
BMO Nesbitt Burns, Inc. |
X |
X |
|
X |
|
|
|
| 221 |
UBS Financial Services Inc. |
X |
X |
X |
X |
|
|
|
| 226 |
National Financial Services LLC |
X |
X |
X |
X |
|
|
|
| 229 |
Lek Securities Corporation |
X |
X |
|
X |
|
|
|
| 230 |
BNP Paribas Prime Brokerage, Inc. |
X |
X |
X |
|
|
|
|
| 233 |
Compass Professional Services, LLC |
X |
X |
|
|
|
|
|
| 235 |
RBC Capital Markets, LLC |
X |
X |
X |
X |
|
|
|
| 240 |
Knight Capital Americas LLC |
|
|
|
X |
|
|
|
| 245 |
Merrill Lynch Pierce Fenner & Smith Inc. |
X |
X |
|
|
|
|
|
| 255 |
Barclays Capital Inc. |
X |
X |
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 |
|
|
|
|
| 273 |
Barclays Capital Inc. |
X |
X |
|
X |
|
|
|
| 275 |
Merrill Lynch Pierce Fenner & Smith Inc. |
X |
X |
X |
|
|
|
|
| 276 |
Vision Financial Markets LLC |
|
|
|
|
|
X |
|
| 277 |
ABN AMRO Clearing Chicago LLC |
|
|
|
|
|
X |
|
| 278 |
Morgan Stanley & Co. LLC |
|
|
|
|
|
X |
|
| 279 |
Southwest Securities, Inc. |
X |
X |
X |
X |
|
|
|
| 284 |
Albert Fried & Company, LLC |
X |
X |
X |
|
|
|
|
| 286 |
SG Americas Securities, LLC |
X |
X |
X |
X |
|
|
|
| 289 |
Credit Suisse Securities (USA) LLC |
|
|
|
X |
X |
|
|
| 293 |
Knight Capital Americas LLC |
X |
X |
X |
|
|
|
|
| 295 |
Knight Capital Americas LLC |
X |
X |
X |
|
|
|
|
| 297 |
Knight Capital Americas LLC |
X |
X |
X |
|
|
|
|
| 298 |
Knight Capital Americas LLC |
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 |
|
|
|
| 311 |
Piper Jaffray & Co. |
X |
X |
|
X |
|
|
|
| 330 |
ABN AMRO Clearing Chicago LLC |
X |
X |
|
X |
|
|
|
| 333 |
Electronic Brokerage Systems, LLC |
X |
X |
|
X |
|
|
|
| 338 |
optionsXpress, Inc. |
X |
X |
X |
X |
|
|
|
| 340 |
Knight Capital Americas LLC |
|
|
|
|
X |
|
|
| 341 |
Octeg, LLC |
X |
X |
X |
|
|
|
|
| 349 |
ABN AMRO Securities (USA) LLC |
|
|
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 |
|
|
|
| 365 |
Wolverine Execution Services, LLC |
X |
X |
|
|
|
|
|
| 367 |
USAA Investment Management Company |
X |
X |
|
X |
|
|
|
| 370 |
Tradition Asiel Securities Inc. |
X |
X |
|
X |
|
|
|
| 371 |
Citigroup Global Markets Inc. |
|
|
|
|
|
X |
|
| 374 |
Janney Montgomery Scott LLC |
X |
X |
X |
X |
|
|
|
| 381 |
BNP Paribas Securities Corp. |
|
|
|
X |
X |
|
|
| 382 |
BNP Paribas Securities Corp. |
|
|
|
|
|
X |
|
| 385 |
E*TRADE Clearing LLC |
X |
X |
X |
X |
|
|
|
| 388 |
Industrial and Commercial Bank of China Financial Services LLC |
|
|
X |
|
|
|
|
| 395 |
Citadel Securities LLC |
X |
X |
X |
|
|
|
|
| 396 |
ABN AMRO Clearing Chicago LLC |
X |
X |
X |
X |
|
|
|
| 405 |
FCStone, LLC |
|
|
|
|
|
X |
|
| 406 |
FCStone, LLC |
|
|
|
|
X |
|
|
| 411 |
Automated Trading Desk Financial Services, LLC |
X |
X |
|
|
|
|
|
| 418 |
Citigroup Global Markets Inc. |
X |
X |
X |
X |
|
|
|
| 419 |
Stephens Inc. |
X |
X |
|
X |
|
|
|
| 425 |
RBS Securities, Inc. |
X |
X |
X |
|
|
|
|
| 436 |
Archipelago Securities, LLC |
X |
X |
|
|
|
|
|
| 438 |
CIBC World Markets Corp. |
X |
X |
X |
X |
|
|
|
| 443 |
Pershing LLC |
X |
X |
X |
X |
|
|
X |
| 445 |
StockCross Financial Services, Inc. |
X |
X |
|
X |
|
|
|
| 477 |
Timber Hill LLC |
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 |
|
|
| 509 |
ADM Investor Services, Inc |
|
|
|
X |
X |
|
|
| 512 |
Lek Securities Corporation |
X |
X |
X |
X |
|
|
|
| 515 |
Ziv Investment Company |
X |
X |
|
X |
|
|
|
| 516 |
Maple Securities Canada Limited |
X |
X |
|
X |
|
|
|
| 519 |
Merrill Lynch Professional Clearing Corp. |
|
X |
|
|
|
|
|
| 520 |
Nasdaq Option Services, LLC |
X |
X |
|
|
|
|
|
| 524 |
ABN AMRO Clearing Chicago LLC |
X |
X |
|
|
|
|
|
| 534 |
Interactive Brokers LLC |
X |
X |
X |
X |
|
|
|
| 535 |
Interactive Brokers LLC |
|
|
|
|
|
X |
|
| 540 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
|
X |
|
|
|
| 541 |
ABN AMRO Clearing Chicago LLC |
X |
X |
X |
X |
|
|
|
| 543 |
Apex Clearing Corporation |
X |
X |
X |
X |
|
|
|
| 544 |
Broadridge Business Process Outsourcing, LLC |
X |
X |
|
|
|
|
|
| 547 |
Robert W. Baird & Co. Incorporated |
X |
X |
X |
X |
|
|
|
| 549 |
Timber Hill LLC |
X |
X |
X |
X |
X |
|
|
| 550 |
Timber Hill LLC |
|
|
|
|
|
X |
|
| 551 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
X |
X |
|
|
X |
| 552 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
|
X |
|
|
|
| 553 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
|
X |
|
|
|
| 560 |
Merrill Lynch Pierce Fenner & Smith Inc. |
|
|
|
|
|
X |
|
| 567 |
ABN AMRO Clearing Chicago LLC |
|
|
|
X |
X |
|
|
| 571 |
Oppenheimer & Co. Inc. |
X |
X |
X |
X |
|
|
|
| 572 |
Goldman Sachs Execution & Clearing, L.P. |
X |
X |
|
X |
|
|
X |
| 573 |
Deutsche Bank Securities Inc. |
X |
X |
X |
X |
|
|
|
| 575 |
Merrill Lynch Professional Clearing Corp. |
X |
X |
|
X |
|
|
|
| 576 |
Barclays Capital Inc. |
X |
X |
X |
X |
|
|
|
| 577 |
LiquidPoint, LLC |
X |
X |
|
|
|
|
|
| 580 |
Cowen Equity Finance LP |
X |
|
X |
X |
|
|
|
| 581 |
Southwest Securities, Inc. |
X |
X |
X |
X |
|
|
|
| 586 |
Deutsche Bank Securities Inc. |
X |
X |
|
|
|
|
|
| 595 |
Vision Financial Markets LLC |
X |
X |
X |
|
|
|
|
| 598 |
Merrill Lynch Professional Clearing Corp. |
|
X |
|
|
|
|
|
| 602 |
Morgan Stanley & Co. LLC |
|
|
|
X |
X |
|
|
| 608 |
Newedge USA, LLC |
X |
X |
X |
X |
|
|
|
| 611 |
Timber Hill LLC |
|
X |
|
|
|
|
|
| 615 |
TD Waterhouse Canada Inc. |
X |
X |
|
X |
|
|
|
| 640 |
UBS Securities LLC |
|
|
|
|
|
X |
|
| 641 |
UBS Securities LLC |
|
|
|
X |
X |
|
|
| 642 |
UBS Securities LLC |
X |
X |
X |
X |
|
|
|
| 643 |
Interactive Brokers LLC |
|
|
|
X |
X |
|
|
| 647 |
Daiwa Capital Markets America Inc. |
X |
X |
X |
X |
|
|
|
| 651 |
Credit Agricole Securities (USA) Inc. |
X |
X |
X |
X |
|
|
|
| 656 |
BNP Paribas Securities Corp. |
X |
X |
X |
X |
|
|
|
| 659 |
Newedge USA, LLC |
X |
X |
|
|
|
|
|
| 660 |
J.P. Morgan Securities LLC |
|
|
|
|
|
X |
|
| 661 |
J.P. Morgan Securities LLC |
|
|
|
X |
X |
|
|
| 670 |
CSS, LLC |
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 |
ABN AMRO Clearing Chicago LLC |
X |
X |
X |
X |
|
|
|
| 696 |
Cantor Fitzgerald & Co. |
X |
X |
X |
|
|
|
|
| 702 |
BB&T Securities, LLC |
X |
X |
|
|
|
|
|
| 704 |
Barclays Capital Inc. |
|
|
|
X |
X |
|
|
| 705 |
Scottrade, Inc. |
X |
X |
|
X |
|
|
|
| 706 |
Barclays Capital Inc. |
|
|
|
|
|
X |
|
| 709 |
Barclays Capital Inc. |
|
|
|
X |
|
|
|
| 711 |
Barclays Capital Inc. |
|
|
|
|
X |
|
|
| 712 |
Barclays Capital Inc. |
X |
X |
|
X |
|
|
|
| 718 |
Newedge USA, LLC |
|
|
|
|
|
X |
|
| 719 |
Newedge USA, LLC |
X |
X |
|
X |
|
|
|
| 722 |
Newedge USA, LLC |
X |
X |
X |
X |
|
|
|
| 725 |
Raymond James & Associates, Inc. |
X |
X |
|
X |
|
|
|
| 727 |
Mesirow Financial Inc. |
X |
X |
|
|
|
|
|
| 733 |
Wells Fargo Advisors, 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 |
X |
|
|
|
|
| 747 |
Citigroup Global Markets Inc. |
|
|
|
X |
X |
|
|
| 749 |
Virtu Financial Capital Markets LLC |
X |
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, LLC |
X |
X |
|
X |
|
|
|
| 777 |
TD Ameritrade Clearing, Inc. |
X |
X |
X |
X |
|
|
|
| 778 |
TD Ameritrade Clearing, Inc. |
X |
X |
|
|
|
|
|
| 792 |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
X |
X |
|
X |
|
|
X |
| 793 |
Stifel Nicolaus & Company Incorporated |
X |
X |
|
X |
|
|
|
| 795 |
RBC Capital Markets, LLC |
|
|
|
X |
X |
|
|
| 796 |
RBC Capital Markets, LLC |
|
|
|
|
|
X |
|
| 800 |
Rosenthal Collins Group, LLC |
|
|
|
|
|
X |
|
| 801 |
Rosenthal Collins Group, LLC |
|
|
|
|
X |
|
|
| 805 |
Citigroup Global Markets Inc. |
X |
X |
|
|
|
|
|
| 813 |
ABN AMRO Clearing Chicago 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 |
ABN AMRO Clearing Chicago 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 |
|
|
|
|
|
| 875 |
BMO Capital Markets Corporation |
X |
X |
|
|
|
|
|
| 880 |
Citadel Securities LLC |
X |
X |
|
|
|
|
|
| 884 |
Nomura Securities International Inc. |
|
X |
|
|
|
|
|