PDF Alphabetical Reference November 2014

Alphabetical Reference

Name A. R. Schmeidler & Co., Inc. Abacus Investments, Inc. Abel/Noser Corp. ABG Sundal Collier, Inc.

ABN Amro Chicago Corporation Bond Trading ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC/Bonds ABN AMRO Clearing Chicago LLC/CPM

ABN AMRO Clearing Chicago LLC/Institutional

ABN AMRO Clearing Chicago LLC/Portfolio Margining

MUNIOTC Symbol SCHM ABAI ANOS ABGS

CLEARING NO.

OTC/ Other

0309 0100 0103

MUNI 0443 0309

MUNI Type CNS CNS

AABT SHMR SIMA ATGX BRIX CACX FWBA HEDX HNCA IMCX MNTX MQRX OTFX QLBX WEBX ZENA JEXF PITX PRPX SWDX ALLX ATIX CHVX COGX CSSX FMGF GPTX GTTX IMMX LARX LBKX OBDX OFSX PISX QEDX QLTX SETX SLTX SUNX TTTX

ABND

FLTG

5231 TFT 0695 0330 0396 0396 0396 0396 0396 0396 0396 0396 0396 0396 0396 0396 0396 0536 0541 0541 0541 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695 0695

0575

0330

AACC

0541

APMA 0396

ABN AMRO Securities (USA) LLC Abner, Herrman & Brock, Inc. Academy Securities, Inc. Acadia Life International Limited ACAP Financial, Inc. Access Financial Group, Inc. Access Securities, Inc. Access Securities, Inc. Access Securities, Inc. Access Securities, Inc. Accrued Equities, Inc. Acorns Securities, LLC ACPI Global UCITS Funds PLC Activner Securities, Inc. Adirondack Funds Adirondack Trading Group LLC Adirondack Trading Group, LLC ADP Inc./TPA Advance Capital I, Inc. Advanced Advisor Group, LLC Advanced Asset Trading, Inc. Advanced Equities, Inc. Advantage GFC LLC Adviser Dealer Services, Inc. Advisors Asset Management, Inc. Advisors Asset Management, Inc. Advisors Clearing Network, Inc. Aegis Capital Corp. Aegis Capital Corp. Aegis Capital Corp. Aegis Capital Corp. Aegis Investments, Inc. AG BD, LLC Agency Trading Group, Inc. AIG Capital Services, Inc. AIG Capital Services, Inc. AIG Capital Services, Inc./VALIC Akar Capital Management, Inc. Alamo Capital Alanar Incorporated Alerus Financial, N.A. Alerus Securities Corporation Alexander (Don) Investments, Inc. Alexander Capital, L.P. Alexander Investment Services Co. Alexandra & James Co. Alforma Capital Markets, Inc.

Algo Engineering Execution Services LLC All Funds, Inc. Alleghany Investments Inc. Allen & Company LLC Allen & Company of Florida, Inc.

Allen, Mooney & Barnes Brokerage Services, LLC Alliance Advisory & Securities, Inc.

Alliance Bernstein Investment Research and Investment

ABNA AHBI ACAD

ACAP AFGI AXCB CBAL AXCS AXGP

ACRN

ACTI

ADKT ADAK

BRGI ADVA PINO

FISB FISA

ACCP AGCP AGIS AEGC AEGS AGBD ATGP

CAAA ALAC ALIN

FNBS DAII ACLP ALIS AJCO ALFA

ALGF AFIN ALLE ALLN ALEN

AMBB ALAD

November 2014

0349 0352 0352 CNS 0352 0352 CNS 6902 8072 0352 0352 CNS 0443 0443 CNS

0443 CNS 0443 0501 5678 0235 3329

0443 CNS 6613 0309 0309 CNS 0052 0052 CNS 7120 5860 6015 0235 0235 CNS 0052 0052 CNS 0750 5706

0226 CNS 0443 0443 CNS 0359 0158 0158 CNS 0235 0235 CNS 0235 0235 CNS 0512 0512 CNS 0750 0750 CNS 0352 0226 0226 CNS 5596 5718 5560 0750 0309 0309 CNS

0309 CNS 1381 0235 0235 CNS 0235 0235 CNS 0235 0235 CNS 0235 0235 CNS

0443 CNS 0443

0541 0226 CNS 0226 CNS

0443 0141 CNS

0141 CNS 0235 CNS

5515

1

Alphabetical Reference

Management, Inc.

Alliance Financial Group, Inc.

AllianceBernstein Investment Research and Investment Mgmt, Inc./Sanford C. Bernstein AllianceBernstein Investment Research and Investment Mgmt., Inc./ACIT

AllianceBernstein Investment Research and Investment Mgmt., Inc./International Div. AllianceBernstein Investments, Inc.

Alliant Securities, Inc. Turner, Nord, Kienbaum Allianz Global Investors Distributors LLC Allianz Global Investors Distributors LLC/Allianz Global Investors Fund SICAV

Allianz Global Investors Distributors LLC/College Access Plan

Allianz Global Investors Distributors LLC/MI 529 Advisors Plan

Allianz Global Investors Distributors LLC/Oklahoma Dream 529

Allianz Global Investors Distributors LLC/Premier Multi-Series VIT

Allianz Life Insurance Co. of New York-Fixed Business

Allianz Life Insurance Co. of North America-Fixed Business

Allianz Life Insurance Company of New York

Allianz Life Insurance Company of North America Allied Beacon Partners, Inc. Allstate Financial Services, LLC Allstate Financial Services, LLC

Allstate Financial Services, LLC/Allstate Financial Annuities Allstate Life Insurance Company

Allstate Life Insurance Company of New York Allstate Life Insurance Company of New York/Administered by Prudential

Allstate Life Insurance Company of New York/Administered by SE2 Technology Solutions

Allstate Life Insurance Company of New York/Fixed Allstate Life Insurance Company/Administered by Prudential

Allstate Life Insurance Company/Administered by SE2 Technology Solutions Allstate Life Insurance Company/Cigna

AKGS BZTN

ABPI LAGI

0141 0141 CNS

5553 6584

5809 1236

5554

0141 CNS

5609

5579

6768

5921

5703

4682

4570

4524

4523 0222

0235 CNS 0226 CNS

5341 4528

4557

4688

4697 4751 4687

4696 4580

Allstate Life Insurance Company/CIGNA/Administered by Se2 Technology Solution Allstate Life Insurance Company/Fixed Allston Trading, LLC

Allston Trading, LLC Alluvion Securities, LLC

Alpine Securities Corporation ALPS Distributors Inc.

Alps Distributors Inc./1290 Funds ALPS Distributors Inc./Broadview Funds

ALPS Distributors Inc./Centre Funds ALPS Distributors Inc./Cognios Funds ALPS Distributors Inc./Cupps Funds

ALPS Distributors Inc./GKE Asian Opportunities Fund ALPS Distributors Inc./Griffin Institutional Access Real Estate Fund

ALPS Distributors Inc./James Advantage Funds

ALPS Distributors Inc./Litman Gregory Masters Funds

ALPS Distributors Inc./Longleaf Partner Funds

ALPS Distributors Inc./New Sheridan Funds

ALPS Distributors Inc./Resource Real Estate Diversified Income Fund ALPS Distributors Inc./Whitebox Funds ALPS Distributors, Inc./13D Activist Fund

ALPS Distributors, Inc./ALPS Variable Investment Trust #6609

ALPS Distributors, Inc./AQR Funds ALPS Distributors, Inc./Aspen Funds

ALPS Distributors, Inc./Babson Capital Funds Trust

ALPS Distributors, Inc./BBH Funds ALPS Distributors, Inc./Brown Capital ALPS Distributors, Inc./Caldwell & Orkin

ALPS Distributors, Inc./Centaur Mutual Funds

ALPS Distributors, Inc./Century Capital Management Trust

ALPS Distributors, Inc./Corner Cap Funds ALPS Distributors, Inc./Cortina Funds ALPS Distributors, Inc./CRM Funds

ALPS Distributors, Inc./Crystal Strategy Funds

ALPS Distributors, Inc./Cullen Funds ALPS Distributors, Inc./Cullen Funds plc

ALPS Distributors, Inc./Emerald

ALTN ALTR ALLU ALPS

November 2014

4690 4750 0695 0695 0750 0750 CNS 8072 5642 3144 1349 5455 7032 3062

7944

3086

5613

4892

4863

3113

7047 3763 3796

6609 5922 3717

7957 5722 3740 5684

5337

5597

5384 3762 6619

1329 5466 3710 3619

2

Alphabetical Reference

Funds

ALPS Distributors, Inc./FirstHand Funds ALPS Distributors, Inc./FIT-ALPS Funds

ALPS Distributors, Inc./Grandeur Peak Funds ALPS Distributors, Inc./Heartland Funds ALPS Distributors, Inc./Henssler Funds

ALPS Distributors, Inc./Holland Balanced Fund ALPS Distributors, Inc./Index IQ Trust ALPS Distributors, Inc./Insignia Funds ALPS Distributors, Inc./Laudus Funds

ALPS Distributors, Inc./Mairs and Power Funds Trust

ALPS Distributors, Inc./Oak Funds

ALPS Distributors, Inc./Pathway Advisors Funds ALPS Distributors, Inc./Paxworld Funds ALPS Distributors, Inc./Redmont Funds ALPS Distributors, Inc./River North Funds ALPS Distributors, Inc./Riverside Funds ALPS Distributors, Inc./Seafarer Funds ALPS Distributors, Inc./Stadion Funds

ALPS Distributors, Inc./State Street Institutional Investment Trust

ALPS Distributors, Inc./Stone Harbor

ALPS Distributors, Inc./Stonebridge Capital Management

ALPS Distributors, Inc./The Arbitrage Fund

ALPS Distributors, Inc./Transparent Value Fund

ALPS Distributors, Inc./Vulcan Value Partners Fund ALPS Distributors, Inc./Wakefield Fund ALPS Distributors, Inc./WesMark Funds ALPS Distributors, Inc./Wilmington Funds

AltaCorp Capital (USA) Inc.

Altegris Portfolio Management, Inc. dba Altegris Funds

Alternative Execution Group

Alternatives Direct Group, LLC

AlterNet Securities Inc.

Alton Securities Group Inc.

Altrushare Securities LLC

Alzaid Financial Services, Inc.

AM&M Financial Services, Inc.

AM&M Investment Brokers, Inc.

ACCU

AEXG

ALTX ASGI ATRU AZAD

AMMI

4901 5904

3759 5571 6550

6597 6505 3024 4903

6546 5761

3356 4940 3787 6520 3028 3777 6692

6516 5309

5806

5521

5314

5313 3688 5944 5696 0158 0158 CNS

3476 0052 1480 0099 0235 0235 CNS 0100 0750 0750 CNS 3920

0443 CNS

November 2014

Ambassador Financial Group, Inc. America Northcoast Securities, Inc. America Northcoast Securities, Inc. American Capital Partners

American Centurion Life Assurance Company American Century Brokerage, Inc.

American Century Investment Services Inc./Kansas Postsecondary Savings Program

American Century Investment Services Inc./SICAV Funds

American Century Investment Services, Inc.

American Diversified Financial Group, LLC

American Enterprise Investment Services Inc.

American Enterprise Investment Services Inc.

American Enterprise Life Insurance Company American Funds Distributors, Inc. American Funds Distributors, Inc.

American Funds Distributors, Inc./LC Planpremier

American General Life Ins Co/AIG Annuities - Fixed

American General Life Ins Co/AIG Annuities - Fixed and Index

American General Life Ins Co/AIG Annuities - Service Only Fixed

American General Life Ins Co/AIG Annuities - Variable and Index

American General Life Ins Co/AIG Annuities (SE2)

American General Life Ins Co/AIG Annuities (SE2) - Variable

American General Life Insurance Company

American General Securities Incorporated American Heritage Securities, Inc.

American Independent Securities Group, LLC

American Independent Securities Group, LLC American Investors Group American Municipal Securities Inc. American National Insurance Company American Network Securities Corp.

American Portfolios Financial Services, Inc. American Trust Investment Services, Inc.

American United Life Insurance Company

AFGT DALE ACPL ACBD

ADFG HRBF

AMGN AHSI AISG AIGI AMMS AMNN PEER

0279 0279 CNS 0443 0443 CNS 4951 0235

4600 0443 0443 CNS

5338

3728

5646

0235 0235 CNS

0756 0756 CNS

3433

4541 0754 5504

6508

3310

4623

4507

4516

4537

4648

4502

0443 CNS 0141 CNS

0235 0235 CNS

6912 4569

0279 CNS 0141 CNS

0443 CNS

0555

0235 CNS

4591

3

Alphabetical Reference

American United Life Insurance Company

American United Life Insurance Company/2

American United Life Insurance Company/3

American United Life Insurance Company/COM Test America's Portfolio's Amerifunds Diversified Funding, LLC Ameritas Investment Corp. Ameritas Investment Corp. Ameritas Investment Corporation Ameritas Life Insurance Corp. Ameritrade, Inc. AMG Funds LLC

AMG Funds LLC/Tweedy Browne Company Amherst Pierpont Securities LLC AmTrust Investment Services, Inc. Amundi Luxembourg S.A. AMUR Advisors, LLC ANB Financial Group LLC Anderson & Strudwick, Inc. Andes Capital Group, LLC Anovest Financial Services, Inc. ANZ Securities, Inc. APB Financial Group, LLC Apex Clearing Corporation Apex Clearing Corporation

Apex Clearing Corporation/Merrimac Corp Aplifi, Inc. Apro II, LLC Apto Partners, LLC Aquila Distributors, Inc. Arbor Court Capital LLC

Arbor Court Capital LLC/ Tea Leaf Management Investment Trust

Arbor Court Capital LLC/CCA Investments Trust Arbor Court Capital LLC/Clark Fork Trust

Arbor Court Capital LLC/Elessar Funds Investment Trust

Arbor Court Capital LLC/Endurance Series Trust

Arbor Court Capital LLC/Grand Prix Investors Trust

Arbor Court Capital, LLC/Archer Investment Series Trust Arbor Court Capital, LLC/DMS Funds

Arbor Court Capital, LLC/Meyers Capital Investments Trust Arbor Court Capital, LLC/MP63 Fund

Arbor Court Capital, LLC/PSG Capital Management Trust Arbor Research & Trading, Inc.

APFS BLNI AICB AMTD

PPSL AMUR ANBF ANSR ACGP ANOV ANZS APBI PFCL APCC

APTO

ARTI

4746

4754

4757

1364 0443 CNS

1090 0226 CNS

0235 0249 4539

0188 CNS 5736

5488 0443 7148 3391 0309

0309 CNS 0443 CNS 0235 0235 CNS 0750 0750 CNS 0443 CNS 0103 0158 0158 CNS 0158

0373 6358 1532 0103 0103 CNS 5552 7023

7106

7099 7934

7931

7932

3030

7952 7013

3122 3123

3051

0388 CNS

Arbor Research & Trading, LLC Arbor Research & Trading, LLC. ARCA Capital Investments, Inc. Arca Capital Investments, Inc. Arcadia Investment Corp. Arcadia Securities, LLC Archer Distributors LLC/Arrow Funds Archer Distributors, LLC Archey & Co. LLC Archipelago Securities, LLC Archipelago Securities, LLC Archipelago Securities, LLC Archipelago Trading Services, Inc. Ardour Capital Investments, LLC Arete Wealth Management Ariel Distributors LLC Arive Capital Markets LLC ARKA Securities, Inc. Artisan Partners Distributors, LLC Arvest Investments, Inc. Arvest Investments, Inc. ASB Securities, LLC Ascendiant Capital Markets, LLC Ascendiant Capital Markets, LLC Ascensus Trust Company

Ascensus Trust Company/EFC Financial Services LLC

Ascentia Real Estate Holding Company, LLC

Ashmore Investment Management (US) Corporation

Ashmore Investment Management (US) Corporation/Foreign Account Ashton Young, Inc. Askar Corp. Aspen Equity Partners, LLC AssetMark Trust Company Associated Bank, N.A. Associated Investment Services, Inc. Associated Investment Services, Inc. Associated Securities Corporation AST Investor Services LLC ATEL Securities Corporation

Athene Annuity & Life Assurance Company Atis, Inc. Atlantic Financial Services of Maine, Inc. Atlantic Trading Partners Incorporated Atlas One Financial Group, LLC ATM Execution LLC Atrium Trading, Inc. Attain Portfolio Advisors, LLC Audobon Securities, Inc. Auerbach Grayson & Co. Inc. Aufhauser Securities, Inc. Aura Financial Services, Inc. Auriga USA, Inc.

CLRT ARTI ACII INST AICO ARCD

JINS ACRA ALLC ARRB ARCA ARDR KEYS

ARIV ARKA

ARVS

ASCR ASCM

MOMY ASKR ASPN

ASOI

ASSO ASTI

JEVO AFSM ATTR AFGL ATMC ATRM

AUDO AGCO ARBI AURA ARGA

November 2014

6783 6783 TFT 0388 0158 2154 0352 0352 CNS 0443 4824 7021 0052 0436 0436 0436 0436 0103

0226 CNS 5751 0309 0309 CNS

0443 CNS 6653 0141 0141 CNS 4988 5581 0595 0595 CNS 0158 2563

1328

1742

5195

3370 0279 0279 CNS

0141 CNS 0309 0309 CNS 5970 2257

0226 CNS 7192 0075

0226 CNS 1846

4562 0235 0235 CNS

0750

0235 0235 CNS 0161 0161 CNS 0161 0017 1941

0418 CNS 0443 0443 0443 CNS 0750 0750 CNS 0443 0443 CNS

4

Alphabetical Reference

Aurora Capital LLC Ausdal Financial Partners, Inc.

Automated Trading Desk Financial Services, LLC

Automated Trading Desk Financial Services, LLC Autonomous Research US, LP Avenir Financial Group, Inc. Aventura Securities, LLC Avian Securities, LLC Aviate Global LP Avila Capital Markets, Inc. AVM, L.P. Avondale Partners, LLC AWM Securities, Inc. AXA Advisors, LLC AXA Equitable Life Insurance Company AXA Equitable Life Insurance Company/Equivest Employer Sponsored

AXA Equitable Life Insurance Company/Life Insurance

AXA Equitable Life Insurance Company/Retirement Gateway AXA Network, LLC Axiom Capital Management, Inc. Axys Capital LLC Azzad Funds B&T Securities, Inc. Babson Capital Securities LLC BAC Florida Investments Corp. Baceline Investments, LLC Backstrom McCarley Berry & Co., LLC Baird (Robert W.) & Co., Incorporated Baird Patrick & Co., Inc. Baker & Co., Incorporated Baker (C.P.) Securities Incorporated Baldwin (Leigh) & Co., LLC Ballew Investments, Inc. Banc West Investment Services Banca IMI Securities Corp. Banco Votorantim Securities, Inc. Bancorp Bank (The) Bancorp Bank (The)

Bancorp Bank (The)/Liquid Cash Account

Bancorp Bank (The)/Master Demand Account Advantage

Bancorp Bank (The)/Participant Protection Account Bancorpsouth Investment Services, Inc. BancorpSouth Investment Services, Inc. Banesto Securities, Inc. Banif Securities Inc. Bank of America N.A.

AURC

ATDF AUTO ARUS AFGR AVEN AVIA AVUS AVIL AVML AVON FINC AXAA

AXIO

BTSI BCCS

BMCB BARD BPAT BCOM CPBC LEBO BALL BIMI VOTO TBBK

BSIS

BSTO BANF

0052 0052 CNS 6905

0505

0505 2154 0052 0052 CNS

0226 CNS 0443 CNS 2154 0226 0226 CNS 0443 6704 TFT 0226 0226 CNS 0279 0075 CNS

4535

7005

4632

7006 7123 0352 0352 CNS 1456 5662 0595 0595 CNS 3040

0443 CNS 1646

0103 CNS

0547 0547 CNS 0443 CNS

0235 0235 CNS 0750 0226 0226 CNS

0443 CNS 6130 0136 0136 CNS 0443 0443 CNS

0226 CNS 4859

3388

3606

3308

0443 CNS

6048 0443 CNS

0443 0443 CNS 2236

November 2014

Bank of America N.A./ GWIM TRUST OPERATIONS Bank of America, N.A. Bank of America, N.A./Lasalle Bank N.A. Bank of Oklahoma, N.A. Bankers & Investors Co. Bankers Bank BankersBanc Capital Corporation Bankoh Investment Services, Inc. Banner Life Insurance Company Bannockburn Partners, LLC Banorte-Ixe Securities International, LTD Banyan Securities, LLC Barclays Capital Inc.

Barclays Capital Inc./Barclays Celsius Funds Ireland/Malta Barclays Capital, Inc. Barclays Capital, Inc. Barclays Capital, Inc. Barclays Capital, Inc. Barclays Capital, Inc./Fixed Income Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./LE Barclays Capital, Inc./Market Maker Barclays Captial Inc. Baron Capital Inc. Barrett & Company Barrington Research Associates, Inc. Barron (Nancy) & Associates, Inc. Barton Creek Ltd. Base Securities LLC BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. BATS Trading, Inc. Baum (George K.) & Co. Bay Colony Securities Co., Inc. Bay Crest Partners, LLC Bayes Capital LLC Bayes Capital LLC Bayes Capital Markets LLC BB&T Investment Services, Inc. BB&T Investment Services, Inc. BB&T Securities, LLC BBS Securities, Inc./CDS BBVA Investments Inc.

NBNA

BOKL BAIN BBID BBCC PCIS

GOAL

BISI BNYN

BCAP BCHY BCPP BWEL BCAP LEHM LATS LEHB LEHP LHMA LHMB LHMS LHSB LSAH

BCDX

BARR BRRR NBAR BCLT CARL BATM BYXM EGAM EGXM BATS BYXX EGAW EGXW BAUM LMSC BAYC BAYS BETC BAYZ BBTT

BBNT

BCMR

0955 6737 TFT

2251 6752 TFT

0279 0279 CNS 6409 TFT

0750 0750 CNS 0226 CNS

7976 0750

0309 0226 0226 CNS 5340

5375 5101 5101 5101 0443 0443 CNS

7256 CNS 0229 0229 CNS 0229 0229 0229 0229 0229 0229 0229 0229 0055 0229 4862 0226 0226 CNS 0352 0352 CNS

0226 CNS 0309 CNS 0443 CNS 0050 0050 0050 0050 0103 0103 0103 0103 0129 0129 TFT 0235 CNS 0161 0824 0873 0873 0702 0702 CNS 0156 0702 0702 CNS 5085 0443 CNS

5

Alphabetical Reference

BBVA Securities Inc. BBVA Securities Inc. BCP Securities, LLC Beacon Gate LLC Beacon Investment Company Beaconsfield Financial Services, Inc. Beal (M.R.) & Company Bear Creek Securities, LLC Beck (H.), Inc. Becker & Suffern Ltd. Bedford Securities, Inc. Bedrok Securities, LLC Bel Air Securities LLC Bellamah, Neuhauser & Barrett, Inc. Belle Haven Investments, LP Belle Haven Investments, LP Beloyan Investment Securities, Inc. Belvedere Trading LLC Benchmark Company, LLC (The) Benchmark Investments, Inc. Benchmark Securities LLC Benefit Trust Company Benefit Trust Company

Benefit Trust Company/Prime Plan Solutions Benjamin & Jerold Brokerage I, LLC Benjamin & Jerold Brokerage I, LLC Benjamin & Jerold Brokerage, Inc. Benjamin F. Edwards & Co. Benjamin Securities Investment Co., Inc. Benjamin Securities, Inc. Berghoff & Company, Inc. Bermuda Investment Advisory Services Bernardi Securities, Inc. Bernstein (Sanford C.) & Co., Inc. Bernstein (Sanford C.) & Co., LLC Berry Shino Securities, Inc.

Berthel, Fisher & Company Financial Services, Inc. Bertolet Capital Trust Berwyn Financial Services Best Direct Securities, LLC BestVest Investments, Ltd. Beta Capital Management BGB Securities Inc. BGC Financial Inc. BGC Financial Inc. BGC Financial, Inc. BGC Financial, Inc. BGC Financial, Inc. BGC Financial, L.P. BGC Financial, L.P. BGC Financial, L.P. BHIL Distributors, Inc.

BHIL Distributors, Inc./AIT Global Emerging Markets Opportunity Fund

LTIN

BRCY BEAG BICA BEAF BEAL BCRK

BECS BSIN STLZ BELS BNBB BHLP BHII BELO BELV BNCH BMRK BMKS

BEGK BEJB BEJJ BFEC

BENS BNJM BEMC

BERM BNDI BERN SBER BSAZ

BFFI

BFSA BDSE BVIS BECM BGCM MAXC MINT BGCE EBKR MAXN BGCF WHBB WOHU

2786 2786 CNS 7227 0443 0443 CNS 0501

0443 CNS 0235 0235 CNS

0443 CNS 0309 0309 CNS 0731

0443 CNS 0418 CNS 0443 0443 CNS 0352 0352 CNS 0750 0443 CNS 0226 CNS 0443 CNS 0052 0052 CNS 0501 0352 0352 CNS 0235 0235 CNS 0309 0309 CNS 0761 6647

3694 0100 0873 0052 0052 CNS 0443

0279 0235

0235 CNS

0443 CNS 0443 CNS 0013 0013 CNS 0013 0013 CNS 0103 CNS

0226 0226 CNS 6701 0226 0750 0235 0235 CNS 0352 0103 0537 0537 0161 0537 0537 0537 0537 CNS 0537 0537 CNS

0537 CNS 6532

7091

November 2014

BHIL Distributors, Inc./Asset Management Fund

BHIL Distributors, Inc./Cook & Bynum Funds BHIL Distributors, Inc./Diamond Hill Funds BHIL Distributors, Inc./Highland Funds

BHIL Distributors, Inc./Independent Franchise Partners US Equity Fund BHIL Distributors, Inc./JOHCM Funds BHIL Distributors, Inc./Praxis Funds

BHIL Distributors, Inc./Robeco Institutional Asset Management B.V.

BHIL Distributors, Inc./The Boston Trust & Walden Funds BHK Securities, LLC BIDS Trading L.P. Bill Few Associates, Inc. Biltmore International Corporation Biondo Asset Management LLC Birchwood Securities Corp. Biremis Corporation Birkelbach Investment Securities, Inc. Bishop, Rosen & Co., Inc. Black (James I.) & Co. Blackburn & Company BlackRock Execution Services

BlackRock Institutional Trust Company, N.A. BlackRock Investments, LLC

BlackRock Investments, LLC/BlackRock Global Funds

BlackRock Investments, LLC/BlackRock Liquidity Funds

BlackRock Investments, LLC/Bond Allocation Target Shares BlackRock Investments, LLC/ICS Blackwall Capital Markets, Inc. Blair (William) & Company, LLC Blair (William) & Company, LLC Blaylock Robert Van, LLC Bley Investments Group, Inc. Blinkbox, Ltd. Block Kelly Company Bloomberg Tradebook LLC Bloomberg Tradebook LLC Bloomberg Tradebook LLC Blount Parrish & Co., Inc. Blue Alternative Asset Management LLC Blue Bay Capital Ltd. Blue Capital Securities, Inc. Blue Creek Securities, Inc. Blue Trading, Inc. Blue Vase Securities, LLC Bluebid Brokerage, LLC Bluebird Asset Management, LLC

BHKS BIDS BFEW BMIC BGIA BWEX BRMS BRKE BISH BLCK BLKB BGIS

BCMI WBLR

BRVL BLAY BBOX BKKY BOOK IOIX BTBK BPCO

BBAY BCSB ITFS WBCO BLVS BBBI

6641

5928

4729

5979

3754

7979 5791

3607

6622 0141 CNS

0161 0161 CNS 0443 CNS

0824 0226 0226 CNS 0595 0595 CNS 0100

0443 CNS 0226 0226 CNS 7031 7031 CNS

0642 CNS 0352 0352 CNS

4722 5882

4982

5813

4868 5123 0235 0235 CNS 0771 0771 CNS 5538 0443 0443 CNS 0443 0443 CNS 0873 0750 7001 0651 7001

0750 CNS

3405 0750 0352 0352 CNS

0226 CNS 0501 0161

0443 CNS 1672

6

Alphabetical Reference

Bluefin Research Partners, Inc. BlueFire Capital, LLC Blum (Robert) Municipals Inc. BMA Securities BMA Securities BMA Securities BMO Capital Markets Corp. BMO Capital Markets GKST Inc. BMO Capital Markets GKST Inc. BMO Harris Bank NA BMO Harris Bank NA BMO Harris Bank NA/Trust BMO Harris Financial Advisors, Inc. BMO Investment Distributors, LLC BMO Investment Distributors, LLC/ George Frontier Markets Equity Fund

BMO Investment Distributors, LLC/BMO Funds BMO Nesbitt Burns Inc./CDS BMO Nesbitt Burns Securities, Ltd.

BNP Paribas Investment Partners Trust Company BNP Paribas Prime Brokerage, Inc. BNP Paribas Securities Corp. BNP Paribas Securities Corp. BNP Paribas Securities Corp. BNP Paribas Securities Corp. BNP Paribas Securities Corp. BNP Paribas Securities Corp.

BNP Paribas Securities Corp./Lion Global Investors BNP Paribas, New York Branch BNP Paribas, New York Branch BNY Capital Markets Inc.

BNY Convergex Execution Solutions, LLC

BNY Convergex Execution Solutions, LLC BNY Mellon Capital Markets LLC BNYM/UIT NSCC CNS Clearance Bodell Overcash Anderson & Co. Boe Securities Inc. Boenning & Scattergood, Inc. BofA Distributors, Inc. Bolton Global Capital Bolton Securities Corporation Bond One, LLC BondDesk Trading LLC Bonddesk Trading, LLC , Inc Bonwick Capital Partners, LLC BOSC, Inc. BOSC, Inc. Botzum (C.A.) & Company Boursa Investments Boursa Investments

TUNA FIRE RBMU BMAC BMSS BMAK BMOC GKST GKST HRST

NTBF NBSL

BPBI PARI BNPS

BNPB BNPX PARI

BKCM

NYFT

NYFX BKMM

BOLL BOSE BOSC

RAYG BLTN BDON BDDK BDTR BNDS WICK BOKF BOKI BOTZ BRSA BOIN

0443 0443 CNS 0695

0279 CNS 0052 0052 CNS 0512 0824 0045 2344 2344 CNS

6001 TFT 6713 TFT 2697 0992 5152 5352

1392

6561 5043 0352

5493 2154 2154 CNS 0630 0630 CNS 2154 2154 CNS 5551 2154 2154 2154

3604 1310 2787 0443 0443 CNS

0100

0100 0443 8355 0309 0309 CNS 0099 0141 0141 CNS 5320 0443 0443 CNS 0235 0235 CNS 0750 0750 CNS

0226 CNS 0226 CNS 0443 CNS 0309 0309 CNS 6757 TFT 0443 0443 CNS 0052 0052 CNS 0103 0103 CNS 0873

November 2014

Bozarth, Newton & Murphy Securities, Inc. BPU Investment Management Inc. Bradesco Securities, Inc. Branch Banking and Trust Company Branch Banking and Trust Company/Crump Life Insurance Services Brandis Tallman LLC Brasil Plural Securities LLC Braver Stern

Braymen, Lambert and Noel Securities, Ltd. Bread & Butter Fund, Inc. Brean Capital, LLC Brean Murray, Carret & Co., LLC Brecek & Young Brent (H.D.) & Company, Inc. Briggs-Ficks Securities, LLC Brighton Securities Corp. Brill Securities, Inc. Brinker Capital Securities Corp. Britannica Capital Partners, LLC Brittingham, Inc. Broad Street Securities Broadband Capital Management, LLC Broker Dealer Financial Services Corp. Broker Dealer Financial Services Corp. Brookshire Securities Corporation Brookview Capital LLC Brown & Brown Securities, Inc. Brown Advisory Securities, LLC Brown Associates, Inc. Brown Brothers Harriman & Co. Brown Brothers Harriman & Co.

Brown Brothers Harriman & Co./BBH Collective Investment Series Trust

Brown Brothers Harriman and Company/ETF Brown, Lisle/Cummings, Inc. Brownstone Investment Group Brownstone Investment Group, LLC Brownstone Investment Group, LLC BTG Pactual US Capital LLC BTIG, LLC BTIG, LLC BTIG, LLC BTIG, LLC

Buckingham Research Group Incorporated (The) Buckman, Buckman & Reid, Inc. Buell Securities Corp. Bulltick Securities, Inc. Bulltick, LLC Burke & Quick Partners LLC Burke, Lawton, Brewer & Burke, LLC Burnham Securities Inc.

BNMI BZPI BRSE

NBST BRPR BRST

BLNS

BMUR CRRT BYAI BRNT BFSL BGHT BRIL BRNK BCPL BRIT BDST

BAND

BKFC

BSCO BKVW BRBR BSEC BWNA BBHC

BRLI BIGG BIGZ BIGP PACT BTIX BTIS BAYT BTIG

BUCK BKRT BUEL BLTS BLTK BAQP BURK BRNM

0226 CNS 0443 CNS 0226 0226 CNS 5385

3376 0103 CNS

0443 0443 CNS

0309 0309 CNS 5358 0443 0443 CNS

0443 CNS 0226 CNS 0235 0235 CNS 0235 0235 CNS 0141 CNS 0352 0352 CNS 0226 CNS 0750 0226 CNS 0352 CNS

0103

0141 CNS

5985 0750 0750 CNS

0443 CNS 0279 0279 CNS

0141 CNS 0235 0235 CNS 0010 5930

5135

0109 0226 CNS

0501 0443 0443 CNS 0443 0443 0352 0352 CNS 0443 0501 0501

0226 0226 CNS 0235 0235 CNS 0443 0443 CNS

0443 CNS 0443 0443 0443 CNS

0141 CNS 0352 0352 CNS

7

Alphabetical Reference

Burnham Securities Inc. Butler Larsen Pierce & Company, Inc. Buttonwood Partners, Inc. C.I.G. Corp. C.M. Life Insurance Company C.O.R.E Marketing Inc Cabot Lodge Securities LLC Cabot Lodge Securities LLC Cabot Lodge Securities LLC Cabrera Capital Markets, Inc. Cabrera Capital Markets, Inc. Cadaret, Grant & Co. Inc.

Cadaret, Grant & Co. Inc./Cadaret Grant Agency Inc. Cadaret, Grant & Co., Inc. Cadwyn Point Partners LLC Cain Brothers & Company, LLC Calamos Financial Services LLC

Calamos Financial Services LLC/Calamos Global Fund PLC

Caldwell International Securities Corporation Caldwell Securities Ltd./CDS Caldwell Securities, Incorporated Caldwell Trust Company Cales Investments, Inc. Callaway Financial Services, Inc. Calton & Associates, Inc. Calton & Associates, Inc. Calvert Investment Distributors, Inc. Cambria Capital, LLC Cambridge Investment Research, Inc. Cambridge Investment Research, Inc. Camden Financial Services Campbell & Company, Inc. Canaccord Capital Corporation/CDS Canaccord Genuity Corp.CDS Canaccord Genuity Inc. Canaccord Genuity Inc. Canaccord Genuity Securities LLC

Canaccord Wealth Management (USA) Inc. Cantella & Co., Inc. Cantella & Co., Inc. Cantone Research, Inc. Cantor Fitzgerald & Co. Cantor Fitzgerald & Co. Cantor Fitzgerald & Co. Cantor Fitzgerald & Co. Cantor Fitzgerald & Co. Cantor Fitzgerald & Co.

Cantor Fitzgerald & Co. - Cantor Clearing Services

Cantor Fitzgerald & Co./Aqua Securities, L.P.

BLPC BPWP

CLSS CLSC CLSS CABA CABR

CGAT CADP CBCI

CISC

CALD

CALE CALL CALT

CAMC CIRI

CMDN

CCAI CICF ADAM CANA CSTI

NRAM CTLA

CANR CANT CFCS CFPT

CFCD ESPD

CSPD

AQUA

5583

0279 CNS 0226 CNS 6479 4547 6006 0443 CNS 0235 0235 0161 0161 CNS 0443 0443 CNS 0241

3309 0443 0443 CNS 0100

0443 CNS 5835

6621

0279 0279 CNS 5013 0103 2687 0750 0309 0309 CNS 0279 0279 CNS 7024 5543 0052 0052 CNS

0443 0443 CNS

0742 0052 1796 5046 5046@ 0352 0352 CNS 0443 0352 0352 CNS

0443 0443 0226 CNS 0699 0103 0103 CNS 0696 0696 TFT 0501 0501 CNS 0197 0197 0501 0696

0197 0197 CNS

7310 7310 CNS

Cantor Fitzgerald & Co./Debt Capital Markets Cantor, Weiss & Friedner, Inc. Cape Securities, Inc. Cape Securities, Inc. Capital Analysts Inc. Capital Financial Services, Inc. Capital Guardian Trust Company Capital Guardian Trust Company/Capital International Funds Capital Guardian Trust Company/CGPCS

Capital Guardian Trust Company/US Bank Capital Guardian, LLC Capital Institutional Services, Inc. Capital Institutional Services, Inc. Capital Integration Systems LLC Capital Integration Systems LLC Capital Integration Systems LLC Capital Integration Systems LLC Capital Investment Brokerage Inc. Capital Investment Group, Inc. Capital Investment Group, Inc. Capital Investment Group, Inc. Capital Management Securities, Inc. Capital One Investment Services LLC

Capital One Investment Services LLC/Chevy Chase Securities, Inc. Capital One Securities, Inc. Capital Path Securities, LLC Capital Path Securties Capital Portfolio Management Inc. Capital Securities Investment Corporation Capital Securities of America, Inc. Capital Select Investment Capital Synergy Partners Capitalquest Securities, Inc. Capitol Securities Management, Inc. Capitol Securities Management, Inc. CAPMARUSA, LLC CapNet Securities Corporation Caprock Securities, Inc.

Capstone Asset Planning Co./Capstone Church Bond Fund Capstone Financial Services, Inc. Capstone Investments Cardinal Investments Inc. Carey, Thomas, Hoover & Breault, Inc. Carillon Investments, Inc. Caris & Company, Inc. Carl P. Sherr and Co., LLC Carlin Equities LLC Carnes Capital Corp. Carolina Capital Markets, Inc. Carolinas Investment Consulting,

CFCO CWEI CAPE KAPE CAPI CAPF

CGDN CIST

CAPB CAPG

CMSI

SOCO PATH CAPT CPMI CSIC CPAM CSIN CSPI CQSI CSMI CSCV

MITC CLSI

CPSE CRDL HOOV CLLN CRIS SHRR CLYN CCCO CARC CICL

November 2014

7311 7311 CNS 0443 CNS

0279 0279 CNS 0279 0279 CNS

0443 CNS 0235 4873

5107

5389

7077 0443 0161 0161 CNS 0475 1836 1837 1844 3470 0750 0750 CNS 0750 0750 CNS 0545 5664 0279

0431

0290 0443 0443 CNS 0052 0052 CNS

0512 CNS 0352 0352 CNS

0226 CNS 0141 CNS 0235 0235 CNS 0235 0235 CNS 0443 CNS 0443 0443 CNS 0702 0702 CNS 6007 0279 0279 CNS 0279 0279 CNS

5838 5801 0873 0235 0235 CNS

0226 CNS 0226 CNS 0443 CNS 0443 CNS 0443 CNS 0352 0702 0702 CNS 0141 CNS

8

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