Alphabetical 

Reference 
          November 2014 
ABN AMRO Securities (USA) LLC ABNA  0349 
CLEARING
NO. Abner, Herrman & Brock, Inc. AHBI  0352∆  0352†  CNS 
Academy Securities, Inc. ACAD  0352∆  0352†  CNS 
MUNI- 6902 
Acadia Life International Limited
OTC OTC/ MUNI
Name Symbol Other MUNI Type ACAP Financial, Inc. ACAP  8072∆ 
A. R. Schmeidler & Co., Inc. SCHM  0443†  CNS  Access Financial Group, Inc. AFGI  0352∆  0352†  CNS 
Abacus Investments, Inc. ABAI  0309∆  0309†  CNS  Access Securities, Inc. AXCB  0443∆  0443†  CNS 
Abel/Noser Corp. ANOS  0100∆  Access Securities, Inc. CBAL  0443†  CNS 
ABG Sundal Collier, Inc. ABGS  0103∆  Access Securities, Inc. AXCS  0443∆ 
Access Securities, Inc. AXGP  0501∆ 
ABN Amro Chicago Corporation
Bond Trading AABT  5231  TFT  Accrued Equities, Inc. 5678 
ABN AMRO Clearing Chicago LLC SHMR  0695  Acorns Securities, LLC ACRN  0235∆ 
ABN AMRO Clearing Chicago LLC SIMA  0330∆  ACPI Global UCITS Funds PLC 3329 
ABN AMRO Clearing Chicago LLC ATGX  0396∆  Activner Securities, Inc. ACTI  0443†  CNS 
ABN AMRO Clearing Chicago LLC BRIX  0396∆  Adirondack Funds 6613 
ABN AMRO Clearing Chicago LLC CACX  0396∆  Adirondack Trading Group LLC ADKT  0309∆  0309†  CNS 
ABN AMRO Clearing Chicago LLC FWBA  0396∆  Adirondack Trading Group, LLC ADAK  0052∆  0052†  CNS 
ABN AMRO Clearing Chicago LLC HEDX  0396∆  ADP Inc./TPA 7120 
ABN AMRO Clearing Chicago LLC HNCA  0396∆  Advance Capital I, Inc. 5860 
ABN AMRO Clearing Chicago LLC IMCX  0396∆  Advanced Advisor Group, LLC 6015 
ABN AMRO Clearing Chicago LLC MNTX  0396∆  Advanced Asset Trading, Inc. BRGI  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC MQRX  0396∆  Advanced Equities, Inc. ADVA  0052∆  0052†  CNS 
ABN AMRO Clearing Chicago LLC OTFX  0396∆  Advantage GFC LLC PINO  0750∆ 
ABN AMRO Clearing Chicago LLC QLBX  0396∆  Adviser Dealer Services, Inc. 5706 
ABN AMRO Clearing Chicago LLC WEBX  0396∆  Advisors Asset Management, Inc. FISB  0226†  CNS 
ABN AMRO Clearing Chicago LLC ZENA  0396∆  Advisors Asset Management, Inc. FISA  0443∆  0443†  CNS 
ABN AMRO Clearing Chicago LLC JEXF  0536∆  Advisors Clearing Network, Inc. 0359 
ABN AMRO Clearing Chicago LLC PITX  0541∆  Aegis Capital Corp. ACCP  0158∆  0158†  CNS 
ABN AMRO Clearing Chicago LLC PRPX  0541∆  Aegis Capital Corp. AGCP  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC SWDX  0541∆  Aegis Capital Corp. AGIS  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC ALLX  0695∆  Aegis Capital Corp. AEGC  0512∆  0512†  CNS 
ABN AMRO Clearing Chicago LLC ATIX  0695∆  Aegis Investments, Inc. AEGS  0750∆  0750†  CNS 
ABN AMRO Clearing Chicago LLC CHVX  0695∆  AG BD, LLC AGBD  0352∆ 
ABN AMRO Clearing Chicago LLC COGX  0695∆  Agency Trading Group, Inc. ATGP  0226∆  0226†  CNS 
ABN AMRO Clearing Chicago LLC CSSX  0695∆  AIG Capital Services, Inc. 5596 
ABN AMRO Clearing Chicago LLC FMGF  0695∆  AIG Capital Services, Inc. 5718 
ABN AMRO Clearing Chicago LLC GPTX  0695∆  AIG Capital Services, Inc./VALIC 5560 
ABN AMRO Clearing Chicago LLC GTTX  0695∆  Akar Capital Management, Inc. CAAA  0750∆ 
ABN AMRO Clearing Chicago LLC IMMX  0695∆  Alamo Capital ALAC  0309∆  0309†  CNS 
ABN AMRO Clearing Chicago LLC LARX  0695∆  Alanar Incorporated ALIN  0309†  CNS 
ABN AMRO Clearing Chicago LLC LBKX  0695∆  Alerus Financial, N.A. 1381 
ABN AMRO Clearing Chicago LLC OBDX  0695∆  Alerus Securities Corporation FNBS  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC OFSX  0695∆  Alexander (Don) Investments, Inc. DAII  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC PISX  0695∆  Alexander Capital, L.P. ACLP  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC QEDX  0695∆  Alexander Investment Services Co. ALIS  0235∆  0235†  CNS 
ABN AMRO Clearing Chicago LLC QLTX  0695∆  Alexandra & James Co. AJCO  0443†  CNS 
ABN AMRO Clearing Chicago LLC SETX  0695∆  Alforma Capital Markets, Inc. ALFA  0443∆ 
ABN AMRO Clearing Chicago LLC SLTX  0695∆  Algo Engineering Execution Services
ABN AMRO Clearing Chicago LLC SUNX  0695∆  LLC ALGF  0541∆ 
ABN AMRO Clearing Chicago LLC TTTX  0695∆  All Funds, Inc. AFIN  0226†  CNS 
ABN AMRO Clearing Chicago Alleghany Investments Inc. ALLE  0226†  CNS 
LLC/Bonds ABND  0575  Allen & Company LLC ALLN  0443∆ 
ABN AMRO Clearing Chicago Allen & Company of Florida, Inc. ALEN  0141†  CNS 
LLC/CPM FLTG  0330 
Allen, Mooney & Barnes Brokerage
ABN AMRO Clearing Chicago Services, LLC AMBB  0141†  CNS 
LLC/Institutional AACC  0541 
Alliance Advisory & Securities, Inc. ALAD  0235†  CNS 
ABN AMRO Clearing Chicago
APMA  0396  Alliance Bernstein Investment
LLC/Portfolio Margining
Research and Investment 5515 

1 
 
 Alphabetical Reference 
          November 2014 
Management, Inc.
Allstate Life Insurance
Company/CIGNA/Administered by
Alliance Financial Group, Inc. AKGS  0141∆  0141†  CNS  Se2 Technology Solution 4690 
Allstate Life Insurance
AllianceBernstein Investment Company/Fixed 4750 
Research and Investment Mgmt,
Allston Trading, LLC ALTN  0695∆ 
Inc./Sanford C. Bernstein 5553 
AllianceBernstein Investment Allston Trading, LLC ALTR  0695∆ 
Research and Investment Mgmt., Alluvion Securities, LLC ALLU  0750∆  0750†  CNS 
Inc./ACIT 6584  Alpine Securities Corporation ALPS  8072 
AllianceBernstein Investment ALPS Distributors Inc. 5642 
Research and Investment Mgmt., Alps Distributors Inc./1290 Funds 3144 
Inc./International Div. 5809  ALPS Distributors Inc./Broadview
AllianceBernstein Investments, Inc. 1236  Funds 1349 
ALPS Distributors Inc./Centre Funds 5455 
Alliant Securities, Inc. Turner, Nord,
BZTN  0141†  CNS  ALPS Distributors Inc./Cognios
Kienbaum
Funds 7032 
Allianz Global Investors Distributors
LLC 5554  ALPS Distributors Inc./Cupps Funds 3062 
Allianz Global Investors Distributors ALPS Distributors Inc./GKE Asian
LLC/Allianz Global Investors Fund Opportunities Fund 7944 
SICAV 5609  ALPS Distributors Inc./Griffin
Allianz Global Investors Distributors Institutional Access Real Estate
LLC/College Access Plan 5579  Fund 3086 
Allianz Global Investors Distributors ALPS Distributors Inc./James
LLC/MI 529 Advisors Plan 6768  Advantage Funds 5613 
Allianz Global Investors Distributors ALPS Distributors Inc./Litman
LLC/Oklahoma Dream 529 5921  Gregory Masters Funds 4892 
Allianz Global Investors Distributors ALPS Distributors Inc./Longleaf
LLC/Premier Multi-Series VIT 5703  Partner Funds 4863 
Allianz Life Insurance Co. of New ALPS Distributors Inc./New Sheridan
York-Fixed Business 4682  Funds 3113 
Allianz Life Insurance Co. of North ALPS Distributors Inc./Resource
America-Fixed Business 4570  Real Estate Diversified Income Fund 7047 
ALPS Distributors Inc./Whitebox
Allianz Life Insurance Company of Funds 3763 
New York 4524  ALPS Distributors, Inc./13D Activist
Allianz Life Insurance Company of Fund 3796 
North America 4523  ALPS Distributors, Inc./ALPS
Allied Beacon Partners, Inc. ABPI  0235†  CNS  Variable Investment Trust #6609 6609 
Allstate Financial Services, LLC LAGI  0226†  CNS  ALPS Distributors, Inc./AQR Funds 5922 
Allstate Financial Services, LLC 0222  ALPS Distributors, Inc./Aspen Funds 3717 
Allstate Financial Services, ALPS Distributors, Inc./Babson
LLC/Allstate Financial Annuities 5341  Capital Funds Trust 7957 
Allstate Life Insurance Company 4528  ALPS Distributors, Inc./BBH Funds 5722 
Allstate Life Insurance Company of ALPS Distributors, Inc./Brown
New York 4557  Capital 3740 
Allstate Life Insurance Company of ALPS Distributors, Inc./Caldwell &
New York/Administered by Orkin 5684 
Prudential 4688  ALPS Distributors, Inc./Centaur
Mutual Funds 5337 
Allstate Life Insurance Company of
New York/Administered by SE2 ALPS Distributors, Inc./Century
Technology Solutions 4697  Capital Management Trust 5597 
Allstate Life Insurance Company of ALPS Distributors, Inc./Corner Cap
New York/Fixed 4751  Funds 5384 
Allstate Life Insurance ALPS Distributors, Inc./Cortina
Company/Administered by Funds 3762 
Prudential 4687  ALPS Distributors, Inc./CRM Funds 6619 
Allstate Life Insurance ALPS Distributors, Inc./Crystal
Company/Administered by SE2 Strategy Funds 1329 
Technology Solutions 4696  ALPS Distributors, Inc./Cullen Funds 5466 
Allstate Life Insurance ALPS Distributors, Inc./Cullen Funds
Company/Cigna 4580  plc 3710 
ALPS Distributors, Inc./Emerald 3619 
2 
 
 Alphabetical Reference 
          November 2014 
Funds Ambassador Financial Group, Inc. AFGT  0279∆  0279†  CNS 
ALPS Distributors, Inc./FirstHand America Northcoast Securities, Inc. DALE  0443∆  0443†  CNS 
Funds 4901 
America Northcoast Securities, Inc. 4951 
ALPS Distributors, Inc./FIT-ALPS
Funds 5904  American Capital Partners ACPL  0235∆ 

ALPS Distributors, Inc./Grandeur American Centurion Life Assurance

Peak Funds 3759  Company 4600 
ALPS Distributors, Inc./Heartland American Century Brokerage, Inc. ACBD  0443∆  0443†  CNS 
Funds 5571 
American Century Investment
ALPS Distributors, Inc./Henssler
6550  Services Inc./Kansas Postsecondary
Funds
Savings Program 5338 
ALPS Distributors, Inc./Holland
6597  American Century Investment
Balanced Fund
Services Inc./SICAV Funds 3728 
ALPS Distributors, Inc./Index IQ
Trust 6505  American Century Investment
ALPS Distributors, Inc./Insignia Services, Inc. 5646 
Funds 3024 
American Diversified Financial
ALPS Distributors, Inc./Laudus ADFG  0235∆  0235†  CNS 
Group, LLC
Funds 4903 
American Enterprise Investment
ALPS Distributors, Inc./Mairs and HRBF  0756  0756  CNS 
Services Inc.
Power Funds Trust 6546 
ALPS Distributors, Inc./Oak Funds 5761  American Enterprise Investment
Services Inc. 3433 
ALPS Distributors, Inc./Pathway
Advisors Funds 3356  American Enterprise Life Insurance
ALPS Distributors, Inc./Paxworld Company 4541 
Funds 4940  American Funds Distributors, Inc. 0754 
ALPS Distributors, Inc./Redmont American Funds Distributors, Inc. 5504 
Funds 3787 
American Funds Distributors, Inc./LC
ALPS Distributors, Inc./River North
Planpremier 6508 
Funds 6520 
ALPS Distributors, Inc./Riverside American General Life Ins Co/AIG
Funds 3028  Annuities - Fixed 3310 
ALPS Distributors, Inc./Seafarer
American General Life Ins Co/AIG
Funds 3777 
Annuities - Fixed and Index 4623 
ALPS Distributors, Inc./Stadion
Funds 6692  American General Life Ins Co/AIG
Annuities - Service Only Fixed 4507 
ALPS Distributors, Inc./State Street
Institutional Investment Trust 6516  American General Life Ins Co/AIG
ALPS Distributors, Inc./Stone Harbor 5309  Annuities - Variable and Index 4516 

ALPS Distributors, Inc./Stonebridge American General Life Ins Co/AIG

Capital Management 5806  Annuities (SE2) 4537 

ALPS Distributors, Inc./The Arbitrage American General Life Ins Co/AIG

Fund 5521  Annuities (SE2) - Variable 4648 

ALPS Distributors, Inc./Transparent American General Life Insurance

Value Fund 5314  Company 4502 

ALPS Distributors, Inc./Vulcan Value American General Securities

Partners Fund 5313  Incorporated AMGN  0443†  CNS 
ALPS Distributors, Inc./Wakefield American Heritage Securities, Inc. AHSI  0141†  CNS 
Fund 3688  American Independent Securities
ALPS Distributors, Inc./WesMark Group, LLC AISG  0235∆  0235†  CNS 
Funds 5944 
ALPS Distributors, Inc./Wilmington American Independent Securities
Funds 5696  Group, LLC 6912 
AltaCorp Capital (USA) Inc. ACCU  0158∆  0158†  CNS  American Investors Group AIGI  0279†  CNS 
American Municipal Securities Inc. AMMS  0141†  CNS 
Altegris Portfolio Management, Inc.
dba Altegris Funds 3476  American National Insurance
Company 4569 
Alternative Execution Group AEXG  0052∆ 
American Network Securities Corp. AMNN  0443†  CNS 
Alternatives Direct Group, LLC 1480 
AlterNet Securities Inc. ALTX  0099∆  American Portfolios Financial
Services, Inc. 0555 
Alton Securities Group Inc. ASGI  0235∆  0235†  CNS  American Trust Investment Services,
Altrushare Securities LLC ATRU  0100∆  Inc. PEER  0235†  CNS 
Alzaid Financial Services, Inc. AZAD  0750∆  0750†  CNS  American United Life Insurance
AM&M Financial Services, Inc. 3920  Company 4591 
AM&M Investment Brokers, Inc. AMMI  0443†  CNS 
3 
 
 Alphabetical Reference 
          November 2014 

American United Life Insurance Arbor Research & Trading, LLC CLRT  6783  6783  TFT 
Company 4746  Arbor Research & Trading, LLC. ARTI  0388∆ 
American United Life Insurance ARCA Capital Investments, Inc. ACII  0158∆ 
Company/2 4754  Arca Capital Investments, Inc. INST  2154∆ 
American United Life Insurance Arcadia Investment Corp. AICO  0352∆  0352†  CNS 
Company/3 4757  Arcadia Securities, LLC ARCD  0443∆ 
American United Life Insurance Archer Distributors LLC/Arrow Funds 4824 
Company/COM Test 1364  Archer Distributors, LLC 7021 
America's Portfolio's APFS  0443†  CNS  Archey & Co. LLC JINS  0052∆ 
Amerifunds Diversified Funding, LLC 1090  Archipelago Securities, LLC ACRA  0436 
Ameritas Investment Corp. BLNI  0226†  CNS  Archipelago Securities, LLC ALLC  0436∆ 
Ameritas Investment Corp. AICB  0235∆  Archipelago Securities, LLC ARRB  0436∆ 
Ameritas Investment Corporation 0249  Archipelago Trading Services, Inc. ARCA  0436∆ 
Ameritas Life Insurance Corp. 4539  Ardour Capital Investments, LLC ARDR  0103∆ 
Ameritrade, Inc. AMTD  0188†  CNS  Arete Wealth Management KEYS  0226†  CNS 
AMG Funds LLC 5736  Ariel Distributors LLC 5751 
AMG Funds LLC/Tweedy Browne Arive Capital Markets LLC ARIV  0309∆  0309†  CNS 
Company 5488  ARKA Securities, Inc. ARKA  0443†  CNS 
Amherst Pierpont Securities LLC PPSL  0443∆  Artisan Partners Distributors, LLC 6653 
AmTrust Investment Services, Inc. 7148  Arvest Investments, Inc. ARVS  0141∆  0141†  CNS 
Amundi Luxembourg S.A. 3391  Arvest Investments, Inc. 4988 
AMUR Advisors, LLC AMUR  0309∆  ASB Securities, LLC 5581 
ANB Financial Group LLC ANBF  0309†  CNS  Ascendiant Capital Markets, LLC ASCR  0595∆  0595†  CNS 
Anderson & Strudwick, Inc. ANSR  0443†  CNS  Ascendiant Capital Markets, LLC ASCM  0158∆ 
Andes Capital Group, LLC ACGP  0235∆  0235†  CNS  Ascensus Trust Company 2563 
Anovest Financial Services, Inc. ANOV  0750∆  0750†  CNS  Ascensus Trust Company/EFC
ANZ Securities, Inc. ANZS  0443†  CNS  Financial Services LLC 1328 
APB Financial Group, LLC APBI  0103∆  Ascentia Real Estate Holding
Apex Clearing Corporation PFCL  0158  0158  CNS  Company, LLC 1742 
Apex Clearing Corporation APCC  0158∆  Ashmore Investment Management
Apex Clearing Corporation/Merrimac (US) Corporation 5195 
Corp 0373  Ashmore Investment Management
Aplifi, Inc. 6358  (US) Corporation/Foreign Account 3370 
Apro II, LLC 1532  Ashton Young, Inc. MOMY  0279∆  0279†  CNS 
Apto Partners, LLC APTO  0103∆  0103†  CNS  Askar Corp. ASKR  0141†  CNS 
Aquila Distributors, Inc. 5552  Aspen Equity Partners, LLC ASPN  0309∆  0309†  CNS 
Arbor Court Capital LLC 7023  AssetMark Trust Company 5970 
Arbor Court Capital LLC/ Tea Leaf Associated Bank, N.A. 2257 
Management Investment Trust 7106  Associated Investment Services, Inc. ASOI  0226†  CNS 
Arbor Court Capital LLC/CCA Associated Investment Services, Inc. 7192 
Investments Trust 7099  Associated Securities Corporation ASSO  0075∆ 
Arbor Court Capital LLC/Clark Fork AST Investor Services LLC ASTI  0226†  CNS 
Trust 7934 
ATEL Securities Corporation 1846 
Arbor Court Capital LLC/Elessar
Athene Annuity & Life Assurance
Funds Investment Trust 7931 
Company 4562 
Arbor Court Capital LLC/Endurance Atis, Inc. JEVO  0235∆  0235†  CNS 
Series Trust 7932  Atlantic Financial Services of Maine,
Arbor Court Capital LLC/Grand Prix Inc. AFSM  0750∆ 
Investors Trust 3030  Atlantic Trading Partners
Incorporated ATTR  0235∆  0235†  CNS 
Arbor Court Capital, LLC/Archer
Atlas One Financial Group, LLC AFGL  0161∆  0161†  CNS 
Investment Series Trust 7952 
Arbor Court Capital, LLC/DMS ATM Execution LLC ATMC  0161∆ 
Funds 7013  Atrium Trading, Inc. ATRM  0017∆ 
Arbor Court Capital, LLC/Meyers Attain Portfolio Advisors, LLC 1941 
Capital Investments Trust 3122  Audobon Securities, Inc. AUDO  0418†  CNS 
Arbor Court Capital, LLC/MP63 Fund 3123  Auerbach Grayson & Co. Inc. AGCO  0443∆ 
Arbor Court Capital, LLC/PSG Aufhauser Securities, Inc. ARBI  0443∆  0443†  CNS 
Capital Management Trust 3051  Aura Financial Services, Inc. AURA  0750∆  0750†  CNS 
Arbor Research & Trading, Inc. ARTI  0388†  CNS  Auriga USA, Inc. ARGA  0443∆  0443†  CNS 
4 
 
 Alphabetical Reference 
          November 2014 
Aurora Capital LLC AURC  0052∆  0052†  CNS  Bank of America N.A./ GWIM
Ausdal Financial Partners, Inc. 6905  TRUST OPERATIONS 0955 
Automated Trading Desk Financial Bank of America, N.A. NBNA  6737  TFT 
Services, LLC ATDF  0505∆  Bank of America, N.A./Lasalle Bank
N.A. 2251 
Automated Trading Desk Financial
Bank of Oklahoma, N.A. BOKL  6752  TFT 
Services, LLC AUTO  0505∆ 
Bankers & Investors Co. BAIN  0279∆  0279†  CNS 
Autonomous Research US, LP ARUS  2154∆ 
Bankers Bank BBID  6409  TFT 
Avenir Financial Group, Inc. AFGR  0052∆  0052†  CNS 
BankersBanc Capital Corporation BBCC  0750∆  0750†  CNS 
Aventura Securities, LLC AVEN  0226†  CNS 
Bankoh Investment Services, Inc. PCIS  0226†  CNS 
Avian Securities, LLC AVIA  0443†  CNS 
Banner Life Insurance Company 7976 
Aviate Global LP AVUS  2154∆ 
Bannockburn Partners, LLC GOAL  0750∆ 
Avila Capital Markets, Inc. AVIL  0226∆  0226†  CNS 
Banorte-Ixe Securities International,
AVM, L.P. AVML  0443∆  6704  TFT  LTD BISI  0309∆ 
Avondale Partners, LLC AVON  0226∆  0226†  CNS  Banyan Securities, LLC BNYN  0226∆  0226†  CNS 
AWM Securities, Inc. FINC  0279∆  Barclays Capital Inc. 5340 
AXA Advisors, LLC AXAA  0075†  CNS 
Barclays Capital Inc./Barclays
AXA Equitable Life Insurance
Celsius Funds Ireland/Malta 5375 
Company 4535 
AXA Equitable Life Insurance Barclays Capital, Inc. BCAP  5101 
Company/Equivest Employer Barclays Capital, Inc. BCHY  5101∆ 
Sponsored 7005  Barclays Capital, Inc. BCPP  5101∆ 
AXA Equitable Life Insurance Barclays Capital, Inc. BWEL  0443∆  0443†  CNS 
Company/Life Insurance 4632  Barclays Capital, Inc./Fixed Income BCAP  7256  CNS 
AXA Equitable Life Insurance Barclays Capital, Inc./LE LEHM  0229  0229  CNS 
Company/Retirement Gateway 7006  Barclays Capital, Inc./LE LATS  0229∆ 
AXA Network, LLC 7123  Barclays Capital, Inc./LE LEHB  0229∆ 
Axiom Capital Management, Inc. AXIO  0352∆  0352†  CNS  Barclays Capital, Inc./LE LEHP  0229∆ 
Axys Capital LLC 1456  Barclays Capital, Inc./LE LHMA  0229∆ 
Azzad Funds 5662  Barclays Capital, Inc./LE LHMB  0229∆ 
B&T Securities, Inc. BTSI  0595∆  0595†  CNS  Barclays Capital, Inc./LE LHMS  0229∆ 
Babson Capital Securities LLC 3040  Barclays Capital, Inc./LE LHSB  0229∆ 
BAC Florida Investments Corp. BCCS  0443†  CNS  Barclays Capital, Inc./LE LSAH  0229∆ 
Baceline Investments, LLC 1646  Barclays Capital, Inc./Market Maker 0055 
Backstrom McCarley Berry & Co., BCDX  0229∆ 
Barclays Captial Inc.
LLC BMCB  0103†  CNS 
Baird (Robert W.) & Co., Baron Capital Inc. 4862 
Incorporated BARD  0547  0547  CNS  Barrett & Company BARR  0226∆  0226†  CNS 
Baird Patrick & Co., Inc. BPAT  0443†  CNS  Barrington Research Associates, Inc. BRRR  0352∆  0352†  CNS 
Baker & Co., Incorporated BCOM  0235∆  0235†  CNS  Barron (Nancy) & Associates, Inc. NBAR  0226†  CNS 
Baker (C.P.) Securities Incorporated CPBC  0750∆  Barton Creek Ltd. BCLT  0309†  CNS 
Baldwin (Leigh) & Co., LLC LEBO  0226∆  0226†  CNS  Base Securities LLC CARL  0443†  CNS 
Ballew Investments, Inc. BALL  0443†  CNS  BATS Trading, Inc. BATM  0050∆ 
Banc West Investment Services 6130  BATS Trading, Inc. BYXM  0050∆ 
Banca IMI Securities Corp. BIMI  0136  0136  CNS  BATS Trading, Inc. EGAM  0050∆ 
Banco Votorantim Securities, Inc. VOTO  0443∆  0443†  CNS  BATS Trading, Inc. EGXM  0050∆ 
Bancorp Bank (The) TBBK  0226†  CNS  BATS Trading, Inc. BATS  0103∆ 
Bancorp Bank (The) 4859  BATS Trading, Inc. BYXX  0103∆ 
Bancorp Bank (The)/Liquid Cash BATS Trading, Inc. EGAW  0103∆ 
Account 3388  BATS Trading, Inc. EGXW  0103∆ 
Bancorp Bank (The)/Master Demand Baum (George K.) & Co. BAUM  0129  0129  TFT 
Account Advantage 3606  Bay Colony Securities Co., Inc. LMSC  0235†  CNS 
Bancorp Bank (The)/Participant Bay Crest Partners, LLC BAYC  0161∆ 
Protection Account 3308  Bayes Capital LLC BAYS  0824∆ 
Bancorpsouth Investment Services, Bayes Capital LLC BETC  0873∆ 
Inc. BSIS  0443†  CNS  Bayes Capital Markets LLC BAYZ  0873∆ 
BancorpSouth Investment Services,
BB&T Investment Services, Inc. BBTT  0702∆  0702†  CNS 
Inc. 6048 
BB&T Investment Services, Inc. 0156 
Banesto Securities, Inc. BSTO  0443†  CNS 
BB&T Securities, LLC BBNT  0702  0702  CNS 
Banif Securities Inc. BANF  0443∆  0443†  CNS 
BBS Securities, Inc./CDS 5085 
Bank of America N.A. 2236 
BBVA Investments Inc. BCMR  0443†  CNS 
5 
 
 Alphabetical Reference 
          November 2014 
BBVA Securities Inc. LTIN  2786  2786  CNS  BHIL Distributors, Inc./Asset
BBVA Securities Inc. 7227  Management Fund 6641 
BCP Securities, LLC BRCY  0443∆  0443†  CNS  BHIL Distributors, Inc./Cook &
Beacon Gate LLC BEAG  0501∆  Bynum Funds 5928 
Beacon Investment Company BICA  0443†  CNS  BHIL Distributors, Inc./Diamond Hill
Funds 4729 
Beaconsfield Financial Services, Inc. BEAF  0235∆  0235†  CNS 
BHIL Distributors, Inc./Highland
Beal (M.R.) & Company BEAL  0443†  CNS  Funds 5979 
Bear Creek Securities, LLC BCRK  0309∆  0309†  CNS 
BHIL Distributors, Inc./Independent
Beck (H.), Inc. 0731  Franchise Partners US Equity Fund 3754 
Becker & Suffern Ltd. BECS  0443†  CNS  BHIL Distributors, Inc./JOHCM
Bedford Securities, Inc. BSIN  0418†  CNS  Funds 7979 
Bedrok Securities, LLC STLZ  0443∆  0443†  CNS  BHIL Distributors, Inc./Praxis Funds 5791 
Bel Air Securities LLC BELS  0352∆  0352†  CNS  BHIL Distributors, Inc./Robeco
Bellamah, Neuhauser & Barrett, Inc. BNBB  0750∆  0443†  CNS  Institutional Asset Management B.V. 3607 
Belle Haven Investments, LP BHLP  0226†  CNS  BHIL Distributors, Inc./The Boston
Belle Haven Investments, LP BHII  0443†  CNS  Trust & Walden Funds 6622 
Beloyan Investment Securities, Inc. BELO  0052∆  0052†  CNS  BHK Securities, LLC BHKS  0141†  CNS 
Belvedere Trading LLC BELV  0501∆  BIDS Trading L.P. BIDS  0161∆  0161†  CNS 
Benchmark Company, LLC (The) BNCH  0352∆  0352†  CNS  Bill Few Associates, Inc. BFEW  0443†  CNS 
Benchmark Investments, Inc. BMRK  0235∆  0235†  CNS  Biltmore International Corporation BMIC  0824∆ 
Benchmark Securities LLC BMKS  0309∆  0309†  CNS  Biondo Asset Management LLC BGIA  0226∆  0226†  CNS 
Benefit Trust Company 0761  Birchwood Securities Corp. BWEX  0595∆  0595†  CNS 
Benefit Trust Company 6647  Biremis Corporation BRMS  0100∆ 
Birkelbach Investment Securities,
Benefit Trust Company/Prime Plan BRKE  0443†  CNS 
Inc.
Solutions 3694 
Bishop, Rosen & Co., Inc. BISH  0226∆  0226†  CNS 
Benjamin & Jerold Brokerage I, LLC BEGK  0100∆ 
Black (James I.) & Co. BLCK  7031  7031  CNS 
Benjamin & Jerold Brokerage I, LLC BEJB  0873∆ 
Blackburn & Company BLKB  0642†  CNS 
Benjamin & Jerold Brokerage, Inc. BEJJ  0052∆  0052†  CNS 
BlackRock Execution Services BGIS  0352∆  0352†  CNS 
Benjamin F. Edwards & Co. BFEC  0443∆ 
Benjamin Securities Investment Co., BlackRock Institutional Trust
Inc. BENS  0279∆  Company, N.A. 4722 
Benjamin Securities, Inc. BNJM  0235∆  BlackRock Investments, LLC 5882 
Berghoff & Company, Inc. BEMC  0235†  CNS  BlackRock Investments,
Bermuda Investment Advisory LLC/BlackRock Global Funds 4982 
Services BERM  0443†  CNS 
BlackRock Investments,
Bernardi Securities, Inc. BNDI  0443†  CNS  LLC/BlackRock Liquidity Funds 5813 
Bernstein (Sanford C.) & Co., Inc. BERN  0013  0013  CNS 
BlackRock Investments, LLC/Bond
Bernstein (Sanford C.) & Co., LLC SBER  0013∆  0013†  CNS  Allocation Target Shares 4868 
Berry Shino Securities, Inc. BSAZ  0103†  CNS  BlackRock Investments, LLC/ICS 5123 
Berthel, Fisher & Company Financial Blackwall Capital Markets, Inc. BCMI  0235∆  0235†  CNS 
Services, Inc. BFFI  0226∆  0226†  CNS  Blair (William) & Company, LLC WBLR  0771  0771  CNS 
Bertolet Capital Trust 6701  Blair (William) & Company, LLC 5538 
Berwyn Financial Services BFSA  0226∆  Blaylock Robert Van, LLC BRVL  0443∆  0443†  CNS 
Best Direct Securities, LLC BDSE  0750∆  Bley Investments Group, Inc. BLAY  0443∆  0443†  CNS 
BestVest Investments, Ltd. BVIS  0235∆  0235†  CNS  Blinkbox, Ltd. BBOX  0873∆ 
Beta Capital Management BECM  0352∆  Block Kelly Company BKKY  0750∆ 
BGB Securities Inc. BGCM  0103∆  Bloomberg Tradebook LLC BOOK  7001 
BGC Financial Inc. MAXC  0537∆  Bloomberg Tradebook LLC IOIX  0651∆ 
BGC Financial Inc. MINT  0537∆  Bloomberg Tradebook LLC BTBK  7001∆ 
BGC Financial, Inc. BGCE  0161∆  Blount Parrish & Co., Inc. BPCO  0750†  CNS 
BGC Financial, Inc. EBKR  0537∆  Blue Alternative Asset Management
BGC Financial, Inc. MAXN  0537∆  LLC 3405 
BGC Financial, L.P. BGCF  0537  0537  CNS  Blue Bay Capital Ltd. BBAY  0750∆ 
BGC Financial, L.P. WHBB  0537∆  0537†  CNS  Blue Capital Securities, Inc. BCSB  0352∆  0352†  CNS 
BGC Financial, L.P. WOHU  0537†  CNS  Blue Creek Securities, Inc. ITFS  0226†  CNS 
BHIL Distributors, Inc. 6532  Blue Trading, Inc. WBCO  0501∆ 
BHIL Distributors, Inc./AIT Global Blue Vase Securities, LLC BLVS  0161∆ 
Emerging Markets Opportunity Fund 7091  Bluebid Brokerage, LLC BBBI  0443†  CNS 
Bluebird Asset Management, LLC 1672 
6 
 
 Alphabetical Reference 
          November 2014 
Bluefin Research Partners, Inc. TUNA  0443∆  0443†  CNS  Bozarth, Newton & Murphy
BlueFire Capital, LLC FIRE  0695∆  Securities, Inc. BNMI  0226†  CNS 
Blum (Robert) Municipals Inc. RBMU  0279†  CNS  BPU Investment Management Inc. BZPI  0443†  CNS 
BMA Securities BMAC  0052∆  0052†  CNS  Bradesco Securities, Inc. BRSE  0226∆  0226†  CNS 
BMA Securities BMSS  0512∆  Branch Banking and Trust Company 5385 
BMA Securities BMAK  0824∆  Branch Banking and Trust
BMOC  0045  Company/Crump Life Insurance
BMO Capital Markets Corp.
Services 3376 
BMO Capital Markets GKST Inc. GKST  2344  2344  CNS 
Brandis Tallman LLC NBST  0103†  CNS 
BMO Capital Markets GKST Inc. GKST  6001  TFT 
Brasil Plural Securities LLC BRPR  0443∆ 
BMO Harris Bank NA HRST  6713  TFT 
Braver Stern BRST  0443†  CNS 
BMO Harris Bank NA 2697 
0992  Braymen, Lambert and Noel
BMO Harris Bank NA/Trust
Securities, Ltd. BLNS  0309∆  0309†  CNS 
BMO Harris Financial Advisors, Inc. 5152 
Bread & Butter Fund, Inc. 5358 
BMO Investment Distributors, LLC 5352 
Brean Capital, LLC BMUR  0443∆  0443†  CNS 
BMO Investment Distributors, LLC/
George Frontier Markets Equity Brean Murray, Carret & Co., LLC CRRT  0443†  CNS 
Fund 1392  Brecek & Young BYAI  0226†  CNS 
BMO Investment Distributors, Brent (H.D.) & Company, Inc. BRNT  0235∆  0235†  CNS 
LLC/BMO Funds 6561  Briggs-Ficks Securities, LLC BFSL  0235∆  0235†  CNS 
BMO Nesbitt Burns Inc./CDS NTBF  5043●  Brighton Securities Corp. BGHT  0141†  CNS 
BMO Nesbitt Burns Securities, Ltd. NBSL  0352∆  Brill Securities, Inc. BRIL  0352∆  0352†  CNS 
BNP Paribas Investment Partners Brinker Capital Securities Corp. BRNK  0226†  CNS 
Trust Company 5493  Britannica Capital Partners, LLC BCPL  0750∆ 
BNP Paribas Prime Brokerage, Inc. BPBI  2154  2154  CNS  Brittingham, Inc. BRIT  0226†  CNS 
BNP Paribas Securities Corp. PARI  0630  0630  CNS  Broad Street Securities BDST  0352†  CNS 
BNP Paribas Securities Corp. BNPS  2154∆  2154†  CNS  Broadband Capital Management,
LLC BAND  0103∆ 
BNP Paribas Securities Corp. 5551 
Broker Dealer Financial Services
BNP Paribas Securities Corp. BNPB  2154∆  Corp. BKFC  0141†  CNS 
BNP Paribas Securities Corp. BNPX  2154∆  Broker Dealer Financial Services
BNP Paribas Securities Corp. PARI  2154∆  Corp. 5985 
BNP Paribas Securities Corp./Lion Brookshire Securities Corporation BSCO  0750∆  0750†  CNS 
Global Investors 3604  Brookview Capital LLC BKVW  0443†  CNS 
BNP Paribas, New York Branch 1310  Brown & Brown Securities, Inc. BRBR  0279∆  0279†  CNS 
BNP Paribas, New York Branch 2787  Brown Advisory Securities, LLC BSEC  0141†  CNS 
BNY Capital Markets Inc. BKCM  0443∆  0443†  CNS  Brown Associates, Inc. BWNA  0235∆  0235†  CNS 
BNY Convergex Execution Brown Brothers Harriman & Co. BBHC  0010 
Solutions, LLC NYFT  0100∆  Brown Brothers Harriman & Co. 5930 
BNY Convergex Execution Brown Brothers Harriman & Co./BBH
Solutions, LLC NYFX  0100∆  Collective Investment Series Trust 5135 
BNY Mellon Capital Markets LLC BKMM  0443∆  Brown Brothers Harriman and
BNYM/UIT NSCC CNS Clearance 8355  Company/ETF 0109 
Bodell Overcash Anderson & Co. BOLL  0309∆  0309†  CNS  Brown, Lisle/Cummings, Inc. BRLI  0226†  CNS 
Boe Securities Inc. BOSE  0099∆  Brownstone Investment Group BIGG  0501∆ 
Boenning & Scattergood, Inc. BOSC  0141∆  0141†  CNS  Brownstone Investment Group, LLC BIGZ  0443∆  0443†  CNS 
BofA Distributors, Inc. 5320  Brownstone Investment Group, LLC BIGP  0443∆ 
Bolton Global Capital RAYG  0443∆  0443†  CNS  BTG Pactual US Capital LLC PACT  0443∆ 
Bolton Securities Corporation BLTN  0235∆  0235†  CNS  BTIG, LLC BTIX  0352∆  0352†  CNS 
Bond One, LLC BDON  0750∆  0750†  CNS  BTIG, LLC BTIS  0443∆ 
BondDesk Trading LLC BDDK  0226†  CNS  BTIG, LLC BAYT  0501∆ 
Bonddesk Trading, LLC BDTR  0226†  CNS  BTIG, LLC BTIG  0501∆ 
Bonds.com, Inc BNDS  0443†  CNS  Buckingham Research Group
Bonwick Capital Partners, LLC WICK  0309∆  0309†  CNS  Incorporated (The) BUCK  0226∆  0226†  CNS 
BOSC, Inc. BOKF  6757  TFT  Buckman, Buckman & Reid, Inc. BKRT  0235∆  0235†  CNS 
BOSC, Inc. BOKI  0443∆  0443†  CNS  Buell Securities Corp. BUEL  0443∆  0443†  CNS 
Botzum (C.A.) & Company BOTZ  0052∆  0052†  CNS  Bulltick Securities, Inc. BLTS  0443†  CNS 
Boursa Investments BRSA  0103∆  0103†  CNS  Bulltick, LLC BLTK  0443∆ 
Boursa Investments BOIN  0873∆  Burke & Quick Partners LLC BAQP  0443∆  0443†  CNS 
Burke, Lawton, Brewer & Burke, LLC BURK  0141†  CNS 
Burnham Securities Inc. BRNM  0352∆  0352†  CNS 
7 
 
 Alphabetical Reference 
          November 2014 
Burnham Securities Inc. 5583  Cantor Fitzgerald & Co./Debt Capital
Butler Larsen Pierce & Company, Markets CFCO  7311  7311  CNS 
Inc. BLPC  0279†  CNS 
Cantor, Weiss & Friedner, Inc. CWEI  0443†  CNS 
Buttonwood Partners, Inc. BPWP  0226†  CNS 
Cape Securities, Inc. CAPE  0279∆  0279†  CNS 
C.I.G. Corp. 6479 
Cape Securities, Inc. KAPE  0279∆  0279†  CNS 
C.M. Life Insurance Company 4547 
Capital Analysts Inc. CAPI  0443†  CNS 
C.O.R.E Marketing Inc 6006 
Capital Financial Services, Inc. CAPF  0235∆ 
Cabot Lodge Securities LLC CLSS  0443†  CNS 
Capital Guardian Trust Company 4873 
Cabot Lodge Securities LLC CLSC  0235∆  Capital Guardian Trust
Cabot Lodge Securities LLC CLSS  0235∆  Company/Capital International
Cabrera Capital Markets, Inc. CABA  0161∆  0161†  CNS  Funds 5107 
CABR  0443∆  0443†  CNS  Capital Guardian Trust
Cabrera Capital Markets, Inc.
Company/CGPCS 5389 
Cadaret, Grant & Co. Inc. 0241 
Capital Guardian Trust Company/US
Cadaret, Grant & Co. Inc./Cadaret Bank 7077 
Grant Agency Inc. 3309 
Capital Guardian, LLC CGDN  0443∆ 
Cadaret, Grant & Co., Inc. CGAT  0443∆  0443†  CNS 
Capital Institutional Services, Inc. CIST  0161∆  0161†  CNS 
Cadwyn Point Partners LLC CADP  0100∆ 
Capital Institutional Services, Inc. 0475 
Cain Brothers & Company, LLC CBCI  0443†  CNS 
Capital Integration Systems LLC 1836 
Calamos Financial Services LLC 5835 
Capital Integration Systems LLC 1837 
Calamos Financial Services Capital Integration Systems LLC 1844 
LLC/Calamos Global Fund PLC 6621 
Capital Integration Systems LLC 3470 
Caldwell International Securities Capital Investment Brokerage Inc. CAPB  0750∆  0750†  CNS 
Corporation CISC  0279∆  0279†  CNS 
Capital Investment Group, Inc. CAPG  0750∆  0750†  CNS 
Caldwell Securities Ltd./CDS 5013 
Capital Investment Group, Inc. 0545 
Caldwell Securities, Incorporated CALD  0103∆ 
Capital Investment Group, Inc. 5664 
Caldwell Trust Company 2687 
Capital Management Securities, Inc. CMSI  0279∆ 
Cales Investments, Inc. CALE  0750∆  Capital One Investment Services
Callaway Financial Services, Inc. CALL  0309∆  0309†  CNS  LLC 0431 
Calton & Associates, Inc. CALT  0279∆  0279†  CNS  Capital One Investment Services
Calton & Associates, Inc. 7024  LLC/Chevy Chase Securities, Inc. 0290 
Calvert Investment Distributors, Inc. 5543  Capital One Securities, Inc. SOCO  0443∆  0443†  CNS 
Cambria Capital, LLC CAMC  0052∆  0052†  CNS  Capital Path Securities, LLC PATH  0052∆  0052†  CNS 
Cambridge Investment Research, Capital Path Securties CAPT  0512†  CNS 
Inc. CIRI  0443∆  0443†  CNS 
Capital Portfolio Management Inc. CPMI  0352∆  0352†  CNS 
Cambridge Investment Research,
0742  Capital Securities Investment
Inc.
Corporation CSIC  0226†  CNS 
Camden Financial Services CMDN  0052∆ 
Capital Securities of America, Inc. CPAM  0141†  CNS 
Campbell & Company, Inc. 1796 
Capital Select Investment CSIN  0235∆  0235†  CNS 
Canaccord Capital Corporation/CDS CCAI  5046● 
Capital Synergy Partners CSPI  0235∆  0235†  CNS 
Canaccord Genuity Corp.CDS CICF  5046@ 
Capitalquest Securities, Inc. CQSI  0443†  CNS 
Canaccord Genuity Inc. ADAM  0352∆  0352†  CNS 
Capitol Securities Management, Inc. CSMI  0443∆  0443†  CNS 
Canaccord Genuity Inc. CANA  0443∆ 
Capitol Securities Management, Inc. CSCV  0702∆  0702†  CNS 
Canaccord Genuity Securities LLC CSTI  0352∆  0352†  CNS 
CAPMARUSA, LLC 6007 
Canaccord Wealth Management CapNet Securities Corporation MITC  0279∆  0279†  CNS 
(USA) Inc. NRAM  0443∆ 
Caprock Securities, Inc. CLSI  0279∆  0279†  CNS 
Cantella & Co., Inc. CTLA  0443∆  0226†  CNS 
0699  Capstone Asset Planning
Cantella & Co., Inc.
Co./Capstone Church Bond Fund 5838 
Cantone Research, Inc. CANR  0103∆  0103†  CNS 
Capstone Financial Services, Inc. 5801 
Cantor Fitzgerald & Co. CANT  0696  0696  TFT 
Capstone Investments CPSE  0873∆ 
Cantor Fitzgerald & Co. CFCS  0501∆  0501†  CNS 
Cardinal Investments Inc. CRDL  0235∆  0235†  CNS 
Cantor Fitzgerald & Co. CFPT  0197∆  Carey, Thomas, Hoover & Breault,
Cantor Fitzgerald & Co. 0197∆  Inc. HOOV  0226†  CNS 
Cantor Fitzgerald & Co. CFCD  0501∆  Carillon Investments, Inc. CLLN  0226†  CNS 
Cantor Fitzgerald & Co. ESPD  0696∆  Caris & Company, Inc. CRIS  0443†  CNS 
Cantor Fitzgerald & Co. - Cantor Carl P. Sherr and Co., LLC SHRR  0443†  CNS 
Clearing Services CSPD  0197  0197  CNS  Carlin Equities LLC CLYN  0443†  CNS 
Cantor Fitzgerald & Co./Aqua Carnes Capital Corp. CCCO  0352∆ 
Securities, L.P. AQUA  7310  7310  CNS  Carolina Capital Markets, Inc. CARC  0702∆  0702†  CNS 
Carolinas Investment Consulting, CICL  0141†  CNS 

8 
 
 Alphabetical Reference 
          November 2014 
LLC Charles Schwab Bank 5655 
Carter Validus Mission Critical REIT, Charleston Capital Corporation CLAY  0309†  CNS 
Inc. 1785 
Charter One Securities Inc. 7237 
Carter, Terry & Company, Inc. CATE  0235∆  0235†  CNS 
Charter Pacific Securities, LLC CPSL  0750∆  0750†  CNS 
Carty & Company, Inc. CART  0443†  CNS 
Chase Investment Services Corp. CISI  0352∆  0352†  CNS 
Cary Street Partners LLC CARY  0141†  CNS 
Chatham Capital Holdings, Inc. 1632 
Cascade Investment Group, Inc. BJRC  0235∆  0235†  CNS 
Chatsworth Securities LLC CHTS  0279∆  0279†  CNS 
Casey Professional Services, LLC CPSI  0501∆ 
Chauner Securities, Inc. CHNR  0235∆  0235†  CNS 
Casimir Capital, L.P. CSMR  0226†  CNS 
Cheevers & Company Inc CHBC  0161∆  0161†  CNS 
Cass (Quincy) Associates Inc. QCAS  0226†  CNS 
Chelsea Financial Services CFIN  0309∆  0309†  CNS 
CastleOak Securities, L.P COAK  0197∆  0197†  CNS 
Chevy Chase Trust Company 4708 
Cathay Securities, Inc. CATH  0309∆  Chicago Analytic Trading Company,
CAVU Securities LLC. PTCM  0443∆  LLC CATC  0017∆  0443†  CNS 
CBG Financial Group, Inc. CBFG  0750∆  0750†  CNS  Chickasaw Securities, LLC CHCK  0352∆  0352†  CNS 
CBIZ Financial Solutions, Inc. BGSG  0226∆  0226†  CNS  Chilian Partners L.P. CHIL  0352∆  0352†  CNS 
CBIZ Financial Solutions, Inc. 0682  China Renaissance Securities (US)
Inc. CRUS  0824∆ 
CCM Securities, LLC TURN  0161∆  0161†  CNS 
Choice Trade CTRD  0595∆  0595†  CNS 
CCM Securities, LLC TRNP  0551∆ 
Chopper Securities LLC CHPR  0695∆ 
CCO Investment Services Corp 6313 
Churchill Capital USA, Inc. CHLC  0443∆ 
CD Funding Securities, LLC CDFS  0052∆ 
Churchill Financial LLC CHCH  0352∆  0352†  CNS 
CDS Clearing and Depository
CIBC World Markets Corp. CWMK  0438  0438  CNS 
Services Inc. 5099 
CIBC World Markets Corp. CWMC  0438∆ 
Celadon Financial Group LLC CLDN  0551∆ 
CIBC World Markets, Inc. WGIF  5030● 
Celadon Financial Group LLC CFGN  0824∆ 
CICC US Securities, Inc. CICC  0443∆ 
Celadon Financial Group, LLC SPLN  0443∆ 
CIM SECURITIES, LLC CIMS  0279∆ 
Centaurus Financial Inc. CNFI  0443†  CNS 
Citadel Securities LLC CDRG  0395 
Centaurus Financial, Inc. 6941 
Citadel Securities LLC CDEL  0161∆ 
Centennial Securities Company, LLC CTNL  0141†  CNS 
Citadel Securities LLC APOG  0395∆ 
CenterState Bank of Florida, N.A. CSFL  6770  TFT 
Citadel Securities LLC CATS  0395∆ 
Central Securities, LLC CENT  0750∆  0750†  CNS 
Citadel Securities LLC CCMX  0395∆ 
Central States Capital Markets, LLC CSCM  0443†  CNS 
Citadel Securities LLC CEDL  0395∆ 
Central Trust Bank CTBK  0279†  CNS 
Citadel Securities LLC CEMM  0395∆ 
Central Trust Bank 2880 
Citadel Securities LLC CTDL  0395∆ 
Centurion Life Insurance Company 6005 
Citadel Securities LLC ICRD  0395∆ 
Ceros Financial Services, Inc. CERS  0226∆  0226†  CNS 
Citadel Securities LLC IELP  0395∆ 
Ceros Financial Services, Inc. 5331 
Citadel Securities LLC PRDG  0395∆ 
Cert Direct Securities Inc. CDSO  0750∆  0750†  CNS 
Citadel Securities LLC CDGO  0551∆ 
CertusSecurities, Inc. CRTS  0226∆  0226†  CNS 
Citation Financial Group, L.P. CITA  0443∆  0443†  CNS 
Cetera Advisor Networks LLC 0343 
Citco Securities, Inc CTCO  0017∆ 
Cetera Advisors LLC 0466 
Citibank, N.A. 0908 
Cetera Financial Specialists LLC 0471 
Citic Securities International USA,
Cetera Investment Services LLC BANK  0701  0701  CNS  LLC CSIU  0501∆ 
CF Global Trading, LLC CFGT  0161∆  0161†  CNS  Citic Securities International USA,
CF Global Trading, LLC CFGO  0161†  CNS  LLC CSIS  0824∆ 
CFD Investments CFDI  0235∆  0235†  CNS  Citicorp Financial Services
Corporation CFSC  0418∆ 
CFG Captial Markets, LLC HAVN  0443†  CNS 
Citigroup Global Markets Inc. SBSH  0418  0418  CNS 
CFT Securities LLC QBSI  0352∆  0352†  CNS 
Citigroup Global Markets Inc. CCAT  0418∆ 
CG Compass (USA) LLC CGCO  0443†  CNS 
Citigroup Global Markets Inc. CGQT  0418∆ 
Chapin, Davis CHDA  0141†  CNS 
Citigroup Global Markets Inc. GATE  0418∆ 
Chardan Capital Markets LLC CHDN  0824∆ 
Citigroup Global Markets Inc. LQFI  0418∆ 
Charles Schwab & Co. Inc./ Charles CGWM  0443∆ 
Citigroup Global Markets Inc.
Schwab Bank 2993 
Citigroup Global Markets Inc. CXCX  0505∆ 
Charles Schwab & Co. Inc./MF
Clearing Services 7471  Citigroup Global Markets
Inc./Correspondent Clearing CGMI  0505 
Charles Schwab & Co., Inc. CHAS  0164  0164  CNS 
Charles Schwab & Co., Inc. 5489  Citigroup Global Markets
Inc./Salomon Brothers SALB  0274  0274  CNS 
Charles Schwab & Co., Inc./Schwab 2032 
Citigroup Private Bank & Trust
Global Investing Account CSGI  7587 
Citizens Investment Services Corp. CISV  0226†  CNS 
9 
 
 Alphabetical Reference 
          November 2014 
City National Bank 2392  Columbia Management Investment
Distributors, Inc./Trust Collective
City National Bank, Beverly Hills, Funds 4843 
California CBEV  0226†  CNS 
Comerica Bank 2108 
City National Securities Inc. CNSI  0226†  CNS 
Comerica Bank 5878 
City Securities Corporation CITY  0141†  CNS 
Comerica Securities CMCA  0443∆  0443†  CNS 
CJS Securities, Inc. CJSC  0443∆ 
Commerce Bank 2170 
Clancy Financial Services, Inc CLAN  0284∆  0284†  CNS 
CLRK  0235∆  0235†  CNS  Commerce Bank Investment
Clark Dodge & Co., Inc.
Services, Inc. CICI  0443†  CNS 
Clarkson Capital Markets CLKS  0100∆  0100†  TFT 
Commerce Brokerage Services CMCE  0226∆  0226†  CNS 
Clayton, Lowell & Conger Inc. CLCI  0052∆  0052†  CNS 
Commerz Markets LLC DRKW  0126 
Clearing Services of America CSOA  0443†  CNS 
CommerzeBank Capital Corp. CCMC  0443†  CNS 
Clearpool Execution Services, LLC CPEX  0824∆ 
Clearpool Execution Services, LLC CPET  0873∆  Commonwealth Annuity & Life
CLVU  0501∆  Insurance Company/First Allmerica
Clearview Trading Advisors Inc.
Life Insurance Company 3111 
Cleary Gull Inc. TGUL  0235∆  0235†  CNS 
CLGL  0443∆  Commonwealth Annuity and Life
CLG Investment Company, Inc
Insurance Company 4521 
CLS Investment Firm, LLC 3913  Commonwealth Equity Services,
CLSA Americas, LLC CLSA  0651∆  L.L.P. 0177 
CMFG Life Insurance Company 4734  Commonwealth Financial Network CMMW  0226∆  0226†  CNS 
CMFG Life Insurance Commonwealth Funding, Inc. WACX  0750∆ 
Company/Insurance Services 3399  Commonwealth Securities and
CMFG Life Insurance Investments, Inc. CSII  0443†  CNS 
Company/MEMBERS Life Insurance Community Bank, N.A. 5960 
Company 7072  CommunityAmerica Financial
CMT Trading LLC CMTT  0695∆  Solutions, LLC CAFS  0443†  CNS 
CNBS, LLC CNBS  6707  TFT  Compass Bank CBSS  2483  2483  TFT 
CNBS, LLC CNBS  0309∆  Compass Bank/Asset Management
CNL Capital Markets Corp. 3599  Group 2484 
CNL Capital Markets Corp. 3656  Compass Brokerage, Inc. CBIN  0443†  CNS 
CNL Capital Markets Corp. 3657  Compass Point Research & Trading,
CNL Capital Markets Corp. 3658  LLC CMPT  0443∆ 
CNL Capital Markets Corp. 3659  Comprehensive Asset Management
CNL Capital Markets Corp. 3661  and Servicing, Inc. CAMS  0443†  CNS 
CNL Capital Markets Corp. 3662  Computershare Securities Corp. CSCB  0161†  CNS 
Coastal Equities, Inc. COAS  0141†  CNS  Concept Capital Markets, LLC ATPA  0161∆  0161†  CNS 
Coastal Securities L.P. COST  0443†  CNS  Concept Capital Markets, LLC CCCM  0352∆  0352†  CNS 
Cobalt Capital, Inc. 1753  Concept Capital Markets, LLC CCMB  0443∆ 
Cobra Trading, Inc. CBRA  0103∆  Concept Capital Markets, LLC CCML  0551∆ 
Coburn & Meredith, Inc. COBR  0141†  CNS  Concept Capital Markets, LLC CMKT  0824∆ 
Cohen & Steers Securities LLC 5780  Concise Capital Management LP 1882 
Concorde Funds, Inc. 5669 
Cohen & Steers Securities,
LLC/Cohen & Steers SICAV Funds 3600  Concorde Investment Services, LLC CNCD  0235∆  0235†  CNS 
Cohen Bros. & Company COHN  0235∆  0235†  CNS  Concorde Investment Services, LLC 3773 
Coker & Palmer CPPM  0443†  CNS  Conestoga Funds 4917 
Coker & Palmer, Inc. COKE  0235∆  Conifer Securities LLC CNFX  0100∆ 
Coldwater Securities Incorporated CLDS  0352∆  Conifer Securities, LLC CNFR  0443∆  0443†  CNS 
Cole Capital Corporation 3403  Conners & Co., Inc. CONR  0235∆ 
College Savings Bank 7073  Conover Securities Corporation ABAS  0226†  CNS 
Collins & Co. COLL  0235∆  0235†  CNS  Conservative Financial Services, Inc. CONF  0235∆  0235†  CNS 
Consolidated Financial Investments,
Collins Capital Advisors, LLC CCAL  0750∆ 
Inc. CFII  0352∆  0352†  CNS 
Collins Stewart, Inc. STEW  0352∆  0352†  CNS 
Constellation Wealth Advisors LLC CWAA  0443†  CNS 
Colonial Securities Inc. COLS  0279†  CNS 
Consultiva Securities, Inc. CONS  0141†  CNS 
Colorado Financial Service
Corporation COFS  0309∆  0309†  CNS  Continental Investors Services, Inc. CONT  0279†  CNS 
Continuity Partners Group, LLC CPGL  0226†  CNS 
Columbia Management Investment
Distributors, Inc. 5501  ConvergEx Execution Solutions LLC ECUT  0100  0100  TFT 
ConvergEx Execution Solutions LLC CPES  0100∆ 
Columbia Management Investment
Distributors, Inc./Future Scholar 5601  ConvergEx Execution Solutions LLC VRTX  0100∆ 
Convergex Execution Solutions LLC NPNT  0501∆ 
10 
 
 Alphabetical Reference 
          November 2014 
ConvergEx Prime Services LLC CXPS  0017∆  Cressman Esser Securities, Inc. CESI  0235†  CNS 
ConvergEx Prime Services LLC NOPO  0352∆  Crews & Associates, Inc. CREW  5158  5158  CNS 
Convergex Prime Services LLC NPTP  0443∆  CRI Securities Inc. CRII  0443†  CNS 
Cooper Malone McClain Inc. CMMC  0279†  CNS  Croft Funds Corporation 6640 
Coordinated Capital Securities, Inc. COOR  0141†  CNS  Cronin & Co., Inc. CRON  0443†  CNS 
COR Clearing LLC LGNT  0052  0052  CNS  Cross Point Capital LLC CRPT  0443†  CNS 
COR Clearing LLC CORR  0052∆  0052†  CNS  Crown Capital Securities, L.P. CCSS  0443†  CNS 
Corby Capital Markets, Inc. CRBY  0226†  CNS  CRT Capital Group LLC CRTG  0387  0387  CNS 
Core Capital Management, LLC 1138  CRT Capital Group, LLC CRTC  0443∆  0443†  CNS 
Corinthian Partners, LLC CRTH  0443†  CNS  Crystal Capital Partners, LLC 3473 
Cormark Securities Inc./Valeurs CSS, LLC 0670 
Moilieres Cormark Inc. 5055  CU Investment Solutions, Inc. UCCM  0279∆ 
Cornerstone Macro LLC CSMS  0161∆  0161†  CNS  Cue Financial Group, Inc. CUEF  0443†  CNS 
Corporate Investments Group Inc. CIIV  0052∆  0052†  CNS  Cummins Financial Corporation JDCO  0235∆  0235†  CNS 
Corporate Investments Group Inc. CINV  0158†  CNS  CUNA Brokerage Services 0239 
Cortland Fund Services LLC 1459  Curian Clearing, LLC CURN  0300 
Cortland Fund Services LLC 1473  Curran Advisory Services, LLC CLLC  0226†  CNS 
Cortland Fund Services LLC 1474  Curren & Company CURR  0352∆  0352†  CNS 
Cortland Fund Services LLC 1662  CUSO Financial Services, L.P. CUSO  0443†  CNS 
Cortland Fund Services LLC 1863  CUSO Financial Services, L.P. 0329 
Cortland Fund Services LLC 1866  Cutter & Company Brokerage, Inc. CUTT  0141∆  0141†  CNS 
Cosse International Securities Inc. COSE  8153  8153  CNS  Cutter & Company, Inc. CUTW  0702∆ 
Coughlin & Co., Inc. CGLN  0103†  CNS  Cuttone & Co., Inc. CUGS  0050∆ 
Country Capital Inc. CMGT  0235∆  0235†  CNS  Cuttone & Co., Inc. CUPS  0443∆ 
Country Capital Management CV Brokerage Inc. CVBR  0824∆  0388†  CNS 
Company 7937 
D.J. St Germain Co., Inc. DJST  0443∆  0443†  CNS 
Country Club Bank, Kansas City CCBI  6744  TFT 
Daily Access Corporation 7100 
Country Trust Bank 2561 
Dain Correspondent Services DCSD  0235∆  0235†  CNS 
Country Trust Bank 5185 
Daiwa Capital Markets America Inc. DAWA  0647  0647  CNS 
Courage Capital Management, LLC 1886 
Daiwa Securities Trust Company 0667 
Cova Capital Partners LLC CPLC  0235∆  0235†  CNS 
Dakota Securities International, Inc. DAKO  0052∆  0052†  CNS 
Cowen & Company, LLC COWN  0226∆  0226†  CNS 
Dale K. Ehrhart, Inc. DKEI  0141†  CNS 
Cowen & Company, LLC COWP  0226∆  0226†  CNS 
Dardis (Jack) & Associates JDAA  0443†  CNS 
Cowen and Company, LLC COWX  0161∆  0161†  CNS 
Dart Executions, LLC DCVL  0501∆  0501†  CNS 
Cowen and Company, LLC COWR  0443∆ 
Dart Executions, LLC DETF  0501∆  0501†  CNS 
Cowen Equity Finance LP CEFG  0580 
Dart Executions, LLC DRTL  0396∆ 
Coyle Securities LLC COYL  0235∆  0235†  CNS 
Dart Executions, LLC DART  0501∆ 
CP Capital Securities CPCS  0052∆  0052†  CNS 
Dart Executions, LLC DEGS  0501∆ 
CPS Insurance Services 6911 
Dart Executions, LLC DRTG  0501∆ 
Craig Scott Capital, LLC CSCP  0052∆ 
Dart Executions, LLC DRTR  0501∆ 
Craig-Hallum Capital Group, LLC CHLM  0161∆  0161†  CNS 
DART Executions, LLC DRTM  0551∆ 
Credential Securities Inc./CDS 5083 
Dart Executions, LLC DCHF  0695∆ 
Credicorp Securities, Inc. CRED  0443†  CNS 
Dart Executions, LLC DTRC  2154∆ 
Credit Agricole Cheuvreux North Darwood Associates, Inc. DARA  0235∆  0235†  CNS 
America, Inc. CRAG  0651∆ 
Dash Financial LLC BELZ  0627 
Credit Agricole Securities (USA) Inc. LYON  0651  0651  CNS 
Daugherty Cole, Inc. DAGH  0443†  CNS 
Credit Suisse Private Advisors CSPA  0226†  CNS 
Davenport & Company LLC DAVA  0715  0715  CNS 
Credit Suisse Securities (USA) LLC FBCO  0355  0355  CNS 
David A. Noyes & Company 7552 
Credit Suisse Securities (USA) LLC FBPC  0443∆  0443†  CNS 
David Harris & Co., Inc. DHCO  0235∆  0235†  CNS 
Credit Suisse Securities (USA) LLC 5735 
Davidson (D.A.) & Co. Inc. DADA  0361  0361  CNS 
Credit Suisse Securities (USA) LLC AESX  0355∆ 
Davis Distributors, LLC 5563 
Credit Suisse Securities (USA) LLC CROS  0355∆ 
Davis Distributors, LLC/Clipper Fund 5965 
Credit Suisse Securities (USA) LLC LTPL  0355∆  Davis Distributors, LLC/Davis Fund
Credit Suisse Securities (USA) Sicav 4890 
LLC/Luxembourg Funds 4994  Davis Distributors, LLC/Selected 5850 
Creditex Securities Corporation CTSC  0443∆  0443†  CNS  Davis Securities LLC DAVS  0103∆  0103†  CNS 
Crescent Securities Group, Inc. CAGI  0279∆  0279†  CNS  Davlin Philanthropic Funds 3612 
Crescent Securities Group, Inc. CSNT  0309∆  0309†  CNS  Dawson James Securities, Inc. DJSA  0750∆ 

11 
 
 Alphabetical Reference 
          November 2014 
DBTC Americas-Private Bank 2177  Detwiler, Mitchell, Fenton & Graves,
Inc. FEDE  0226†  CNS 
De La Rosa (E.J.) & Co., Inc. EDLR  0103†  CNS 
Deutsche Bank National Trust
Dealerweb Inc. JJKE  0161∆  0161†  CNS  Company 3649 
Dealerweb Inc. RCML  0161∆  0161†  CNS  Deutsche Bank Securities Inc. DBAB  0573  0573  CNS 
Dealerweb Inc. DLWB  0161∆  Deutsche Bank Securities Inc. DBPC  0443∆  0443†  CNS 
Dealerweb Inc. RCMI  0608∆  Deutsche Bank Securities Inc. DBIB  0573∆  0573†  CNS 
Dealerweb Inc. DLTA  0161∆  0161†  CNS  Deutsche Bank Securities Inc. DBKS  0573†  CNS 
Dearborn Capital Management, LLC 3425  Deutsche Bank Securities Inc. DBAE  0573∆ 
DeAWM Distributors, Inc 5503  Deutsche Bank Securities Inc. DBAT  0573∆ 
DeAWM Distributors, Inc/DeAWM Deutsche Bank Securities Inc. DBAX  0573∆ 
Distributors SA 4974  Deutsche Bank Securities Inc. DBLV  0573∆ 
DeAWM Distributors, Inc/DeAWM Deutsche Bank Securities Inc. DBMS  0573∆ 
Distributors SICAV 5863  Deutsche Bank Securities Inc. DBPR  0573∆ 
DeAWM Distributors, Inc/MOST 529 3721  Deutsche Bank Securities Inc. DBPT  0573∆ 
Decker & Co, LLC DECK  0161∆  Deutsche Bank Securities Inc. DBQT  0573∆ 
Delafield & Hambrecht, Inc. DELA  0443†  CNS  Deutsche Bank Securities Inc. DBRC  0573∆ 
Delaney Equity Group LLC DLNY  0052∆  0052†  CNS  Deutsche Bank Securities Inc. DBRT  0573∆ 
Delaware Distributors L.P. 5510  Deutsche Bank Securities Inc. DBST  0573∆ 
Delaware Distributors, L.P./Delaware Deutsche Bank Securities Inc. DBUL  0573∆ 
Investments Global Funds, PLC 6572  DeWaay Financial Network, LLC DWFN  0443†  CNS 
Delaware Distributors, L.P./Optimum DFA Securities LLC 6684 
Funds 6672  DFA Securities LLC/Dimensional
Delaware Life Insurance Company 4518  Funds PLC and Dimensional Funds
Delaware Life Insurance Company 6794  II PLC 3746 
Diamant Investment Corp. DAVE  0344  0344  CNS 
Delaware Life Insurance Company of
New York 4519  Dillon Gage Securities Inc. DILG  0279†  CNS 
Dinosaur Securities, L.L.C. ROAR  0103∆  0103†  CNS 
Delaware Life Insurance Company of
New York/Annuity Se2 3055  Dinosaur Securities, L.L.C. TREX  0226∆  0226†  CNS 
Dinosaur Securities, L.L.C. DNSR  0017∆ 
Delaware Life Insurance Company of
New York/Columbia 4645  Dinosaur Securities, L.L.C. RPTR  0235∆ 
Direct Access Brokerage Services,
Delaware Life Insurance Company of Inc. DIRW  0103∆ 
New York/Life Se2 3056 
Direct Edge ECN LLC EDGA  0161∆ 
Delaware Life Insurance Company of Direct Edge ECN LLC EDGX  0161∆ 
New York/SLF Serviced 4646 
Direct Trading Institutional LP DTAP  0161†  CNS 
Delaware Life Insurance Discern Securities, Inc. DCRN  0100∆ 
Company/Annuity Se2 3053 
Ditto Trade, Inc. DITO  0158∆ 
Delaware Life Insurance
Dividend Capital Diversified Property
Company/Columbia 4644 
Fund Inc. 1738 
Delaware Life Insurance Divine Capital Markets, LLC DIVA  0103∆  0103†  CNS 
Company/Keyport 4601 
DLS Capital Partners, Inc. DLSC  0309∆  0309†  CNS 
Delaware Life Insurance DMG Securities, Inc. DSGG  0226†  CNS 
Company/Life Se2 3054 
DNB Nor Markets, Inc. DNOR  0501∆ 
Delta Data Software, Inc. 6945 
Dodge & Cox Funds 5483 
Delta Data Software,
Dodge & Cox Worldwide
Inc./Intermediary Routing 6495 
Investments Ltd. 3684 
Delta Trust Investments, Inc. DTII  0141†  CNS 
Doft & Co., Inc. DOFT  0443∆  0443†  CNS 
DeMatteo Moness, LLC DEMA  0501∆ 
Dominick & Dominick, Inc./CDS DOMK  0443∆  0443†  CNS 
Dempsey Financial Network DEMF  0443†  CNS 
Dominion Investor Services Inc. DOMI  0309∆  0309†  CNS 
Dempsey Lord Smith, LLC DLSI  0226†  CNS 
Donnelly Penman & Partners Inc. DPFH  0750∆ 
Derby and Company, Inc. 1522 
Dorn & Co., Inc. DORN  0235∆ 
Desjardins Securities Inc./CDS DESJ  5028● 
Dorsey & Co. Inc. DORS  0141∆  0141†  CNS 
Desjardins Securities International,
Inc. VMDI  0443∆  Dougherty & Company LLC DOTC  0352∆  0352†  CNS 
Destra Capital Investments LLC DSTR  0443†  CNS  Douglas & Co. Municipals DGLS  0443†  CNS 
Destra Capital Investments LLC 3739  Dowling & Partners Securities LLC DOWL  0443∆ 
DPEC Capital, Inc. IPRV  0750∆  0750†  CNS 
Destra Capital Investments
LLC/Meridian Funds 1324  Dratel Group, Inc. (The) DRAT  0571∆  0571†  CNS 
Detwiler Fenton Wealth Drexel Hamilton, LLC DREX  0501∆  0443†  CNS 
Management Inc DFWM  0226†  CNS  Drexel Hamilton, LLC DRXL  0443∆ 
12 
 
 Alphabetical Reference 
          November 2014 
Dreyfus Service Organization, Inc. 6322  Edward D. Jones & Co., L.P. 1871 
Driehaus Securities LLC 6642  Edward Jones / CDS EDJC  5012● 
Driehaus Securities LLC / Driehaus EFG Capital International EFGC  0352∆  0352†  CNS 
Active Income Fund 5923  EJ Sterling Inc. LSSI  0750∆ 
DriveWealth, LLC DRVW  0824∆  Electronic Access Direct, Inc. EADA  0750∆ 
DSIL Investment Services, LLC 6631  Electronic Brokerage Systems, LLC DFIN  0161∆ 
DST Market Services LLC/GW 3038  Electronic Transaction Clearing, Inc. ETCC  0873 
DST Market Services, LLC DSTC  0626  0626  CNS  Electronic Transaction Clearing, Inc. ETAA  0873∆ 
Du Pasquier & Co., Inc. PASQ  0443†  CNS  Electronic Transaction Clearing, Inc. ETAB  0873∆ 
Dubeau Capital USA, Inc. DCUS  0052∆  Electronic Transaction Clearing, Inc. ETAC  0873∆ 
Duncan & Williams, Inc. DNWL  0443∆  0443†  CNS  Electronic Transaction Clearing, Inc. ETAD  0873∆ 
Duncan (R.M.) Securities Inc. DCAN  0279†  CNS  Electronic Transaction Clearing, Inc. ETAE  0873∆ 
Dundee Securities Corporation DSCS  5039∆  Electronic Transaction Clearing, Inc. ETAF  0873∆ 
Dunham & Associates Investment Electronic Transaction Clearing, Inc. ETAG  0873∆ 
Counsel, Inc. 5675  Electronic Transaction Clearing, Inc. ETAH  0873∆ 
Dupree & Company, Inc. 6618  Electronic Transaction Clearing, Inc. ETAJ  0873∆ 
DXS Investment Distributors, Inc. DIDI  0443†  CNS  Electronic Transaction Clearing, Inc. ETAK  0873∆ 
Dynamex Trading, LLC MEXD  0551∆  Electronic Transaction Clearing, Inc. ETAL  0873∆ 
Dynasty Capital Partners, Inc DCPI  0279∆  Electronic Transaction Clearing, Inc. ETAM  0873∆ 
E D & F Man Capital Markets Inc. MPSG  0161∆  0161†  CNS  Electronic Transaction Clearing, Inc. ETAN  0873∆ 
E*Trade Cap MKTS/CHXL Trading ETMM  0100∆  Electronic Transaction Clearing, Inc. ETAO  0873∆ 
E*Trade Cap Mkts/Special Account GVSA  0100∆  Electronic Transaction Clearing, Inc. ETAP  0873∆ 
E*Trade Capital Markets, LLC DNID  0100∆  Electronic Transaction Clearing, Inc. ETAQ  0873∆ 
E*Trade Capital Markets, LLC ETLS  0100∆  Electronic Transaction Clearing, Inc. ETAR  0873∆ 
E*Trade Capital Markets, LLC ETNY  0100∆  Electronic Transaction Clearing, Inc. ETAS  0873∆ 
E*Trade Capital Markets, LLC ETRD  0100∆  Electronic Transaction Clearing, Inc. ETAT  0873∆ 
E*Trade Capital Markets/DEMP DEMP  0100∆  Electronic Transaction Clearing, Inc. ETAU  0873∆ 
E*Trade Clearing, LLC ETCL  0385  0385  CNS  Electronic Transaction Clearing, Inc. ETAV  0873∆ 
E*Trade Securities, LLC ETRS  0385∆  0385†  CNS  Electronic Transaction Clearing, Inc. ETAW  0873∆ 
E.S. Financial Services, Inc. ESFS  0443∆  0443†  CNS  Electronic Transaction Clearing, Inc. ETAX  0873∆ 
E1 Asset Management, Inc. EVRS  0052∆  0052†  CNS  Electronic Transaction Clearing, Inc. ETAY  0873∆ 
Eagle Fund Distributors, Inc. 5822  Electronic Transaction Clearing, Inc. ETAZ  0873∆ 
Eagle Life Insurance Company 6030  Electronic Transaction Clearing, Inc. ETBA  0873∆ 
Earlybird Capital, Inc. EBRD  0103∆  0103†  CNS  Electronic Transaction Clearing, Inc. ETBB  0873∆ 
Eastern Bank Capital Markets EAST  6742  TFT  Electronic Transaction Clearing, Inc. ETBC  0873∆ 
Eaton Vance Distributors, Inc. 5509  Electronic Transaction Clearing, Inc. ETBD  0873∆ 
Electronic Transaction Clearing, Inc. ETBE  0873∆ 
Eaton Vance Distributors, Inc./Eaton
Vance International (Caymen Electronic Transaction Clearing, Inc. ETBF  0873∆ 
Islands) Funds LTD. 5715  Electronic Transaction Clearing, Inc. ETBG  0873∆ 
Eaton Vance Distributors, Inc./Eaton Electronic Transaction Clearing, Inc. ETBH  0873∆ 
Vance International (Ireland) PLC 5438  Electronic Transaction Clearing, Inc. ETBI  0873∆ 
Eaton Vance Distributors, Inc./Eaton Electronic Transaction Clearing, Inc. ETBJ  0873∆ 
Vance Trust Company 5456  Electronic Transaction Clearing, Inc. ETBK  0873∆ 
Eaton Vance Distributors, Inc./Eaton Electronic Transaction Clearing, Inc. ETBL  0873∆ 
Vance Variable Trust Funds 4938  Electronic Transaction Clearing, Inc. ETBN  0873∆ 
Eaton Vance Distributors, Electronic Transaction Clearing, Inc. ETBO  0873∆ 
Inc./Exchange Funds 5110  Electronic Transaction Clearing, Inc. ETBP  0873∆ 
Eaton Vance Distributors, Inc./US Electronic Transaction Clearing, Inc. ETBQ  0873∆ 
Charitable 5760  Electronic Transaction Clearing, Inc. ETBR  0873∆ 
Ebix, Inc. 6317  Electronic Transaction Clearing, Inc. ETBS  0873∆ 
EBX LLC EBXL  0161∆  0161†  CNS  Electronic Transaction Clearing, Inc. ETBT  0873∆ 
ED& F Man Capital Markets Inc. EDFC  0388†  CNS  Electronic Transaction Clearing, Inc. ETBU  0873∆ 
EDI Financial, Inc. EDIR  0235∆  0235†  CNS  Electronic Transaction Clearing, Inc. ETBW  0873∆ 
Edmond de Rothschild Asset Electronic Transaction Clearing, Inc. ETBX  0873∆ 
Management 3718  Electronic Transaction Clearing, Inc. ETBZ  0873∆ 
Electronic Transaction Clearing, Inc. ETCD  0873∆ 
Edmond De Rothschild Asset
Management/Edmond De Rothschild Electronic Transaction Clearing, Inc. ETCE  0873∆ 
Luxembourg Sicav 3143  Electronic Transaction Clearing, Inc. ETCG  0873∆ 

13 
 
 Alphabetical Reference 
          November 2014 
Electronic Transaction Clearing, Inc. ETCH  0873∆  ETC Brokerage Services, LLC ETCB  0052∆  0052†  CNS 
Electronic Transaction Clearing, Inc. ETCI  0873∆  EULAV Securities LLC 5827 
Electronic Transaction Clearing, Inc. ETCJ  0873∆  Euro Pacific Capital, Inc. EURP  0226∆  0226†  CNS 
Electronic Transaction Clearing, Inc. ETCK  0873∆  Europa Securities, LLC ERPO  0750∆ 
Electronic Transaction Clearing, Inc. ETCN  0873∆  Evercore Group LLC EVRC  0443∆ 
Electronic Transaction Clearing, Inc. ETCO  0873∆  Evertrade Direct Brokerage, Inc. EVER  0226†  CNS 
Electronic Transaction Clearing, Inc. ETCP  0873∆  Evolution Securities US Inc, ESUS  0443†  CNS 
Electronic Transaction Clearing, Inc. ETCQ  0873∆  Evolve Securities, Inc. EVOL  0226†  CNS 
Electronic Transaction Clearing, Inc. ETCR  0873∆  E-W Investments, Inc. EWIN  0226†  CNS 
Electronic Transaction Clearing, Inc. ETCS  0873∆  EWT, LLC EWTV  0749∆ 
Electronic Transaction Clearing, Inc. ETCT  0873∆  Exane, Inc. EXAN  0443∆ 
Electronic Transaction Clearing, Inc. ETCU  0873∆  Excel Securities and Associates, Inc. EXCS  0443†  CNS 
Electronic Transaction Clearing, Inc. ETCV  0873∆  Factfet Systems, Inc. FAFT  0161†  CNS 
Electronic Transaction Clearing, Inc. ETCW  0873∆  Fairbridge Capital Markets FCAP  0235∆ 
Electronic Transaction Clearing, Inc. ETCX  0873∆  Falcon Square Capital, LLC FALC  0103∆  0103†  CNS 
Electronic Transaction Clearing, Inc. ETCY  0873∆  Fallen Angels Family of Funds 6589 
Electronic Transaction Clearing, Inc. ETCZ  0873∆  Family Income Planning, Inc FIPC  0750∆ 
Electronic Transaction Clearing, Inc. ETDA  0873∆  Family Investors Co. FAMV  0226†  CNS 
Electronic Transaction Clearing, Inc. ETDB  0873∆  Family Management Securities, LLC FMGT  0443†  CNS 
Electronic Transaction Clearing, Inc. ETDC  0873∆  Farina & Associates, Inc. FARA  0103∆  0103†  CNS 
Electronic Transaction Clearing, Inc. ETDD  0873∆  Farmers New World Life Insurance
Electronic Transaction Clearing, Inc. ETDE  0873∆  Company 6944 
Electronic Transaction Clearing, Inc. ETDF  0873∆  FBT Investments, Inc. FBTI  0443†  CNS 
Electronic Transaction Clearing, Inc. ETDH  0873∆  FCG Advisors LLC FCGA  0226∆  0226†  CNS 
Electronic Transaction Clearing, Inc. ETDI  0873∆  Federal Life Insurance
Company(Mutual) 6333 
Electronic Transaction Clearing, Inc. ETNF  0873∆ 
Federated Investors Corp. 5529 
Electronic Transaction Clearing, Inc. 0873∆ 
Federated Securities
Elevation LLC ELTD  0161∆  0161†  CNS  Corp./Federated International
Elevation, LLC ELEV  0161∆  0161†  CNS  Management Limited 5759 
Elish & Elish Brokerage and Federated Securities Inc. FEDR  0235∆ 
Research ELSH  0052∆  0052†  CNS 
Feil Daily Investment Company LGLL  0141†  CNS 
Emergent Financial Group, Inc. VTMW  0235∆  0235†  CNS 
Feldman, Ingardona & Co. FMAC  0226†  CNS 
Emerging Growth Equities, Ltd. EGRO  0100∆ 
Feltl and Company FLTL  0226∆  0226†  CNS 
Emmet & Co., Inc. EMET  5234  TFT 
Fenimore Asset Management Trust 6632 
Empire Asset Management
Company EAMC  0352∆  0352†  CNS  Fenix Securities, LLC FNXI  0824∆ 
Empire Financial Group, Inc. 4438  Ferretti Group, Inc. STEP  0100∆ 
Empirical Research Partners LLC EMRP  0161∆  FFP Securities FFPS  0443†  CNS 
Enclave Capital LLC ENCL  0100∆  FGC Securities, LLC FGCS  0595∆  0595†  CNS 
Encompass Fund 5397  Fidelity Brokerage Services LLC FIBS  0226∆  0226†  CNS 
English Concepts, Inc. PMAS  0443†  CNS  Fidelity Clearing Canada ULC FIDT  5040● 
Equinox Fund Management, LLC 3865  Fidelity Clearing Canada ULC/CDS FCCU  5059● 
Equinox Group Distributors, LLC DHLN  0235∆  0235†  CNS  Fidelity Investments Institutional
Equinox Securities, Inc. EQNX  0052∆  0052†  CNS  Services Co., Inc. 5894 
STAD  0141†  CNS  Fidelity Investments Institutional
Equitable Advisors, Inc.
Services Co., Inc./Fidelity Destiny
Equitas America, LLC EQUA  0443†  CNS  Plans 5713 
Equity Services, Inc. EQSV  0226†  CNS 
0560  Fidelity Investments Institutional
Equity Services, Inc.
Services Company, Inc./Fidelity
Eroom Securities L.L.C. EROM  0551∆  Advisor World Funds 5785 
Eroom Securities LLC EROP  0158∆ 
Fidelity Investments Life Insurance
ESN North America, Inc. ESNA  2154∆  Company 4730 
Esposito Securities, LLC ESPP  0443†  CNS 
Fidelity Investments Life Insurance
Esposito Securities, LLC ESPO  0501∆  Company 6908 
Essex National Securities, Inc. 0254  Fidelity Investments Life Insurance
Essex Radez LLC GLPS  0613∆  Company/Empire Fidelity
Essex Securities LLC BJCM  0750∆  0750†  CNS  Investments Life 4748 
Fidelity Investments Life Insurance
Essex-Radez LLC ERCO  0613 
Company/Fidelity Insurance Agency,
Estrada Hinojosa & Co. ESTR  0309∆  0309†  CNS  Inc. 7130 
Esulep Management LLC 1745 
14 
 
 Alphabetical Reference 
          November 2014 
Fidelity Security Life Insurance
First Commercial Bank of
Company 6468 
Birmingham, Alabama FCBI  6755  TFT 
Fiduciary - SSB - DTC 0987 0987 
First Dallas Securities, Inc. FDSI  0141∆  0141†  CNS 
Fiduciary Management Inc. 6664 
First Dominion Capital Corporation 5823 
Fiduciary Trust Company
International 0937  First Empire Securities, Inc. FESI  0443∆  0443†  CNS 
Fieldpoint Private Services, LLC NTMG  0443∆  0443†  CNS  First Financial Equity Corp. FFEC  0279∆ 
Fieldstone Services Corp. FSTN  0052∆  0052†  CNS  First Georgetown Securities, Inc. FGOE  0226†  CNS 
Fifth Street Capital, LLC GRCP  0750∆  First Heartland Capital Inc./Centerre
Fifth Third Bank (The) 2116  Capital, LLC 5376 
Fifth Third Securities, Inc. OHIO  0226∆  0226†  CNS  First Heartland Capital, Inc FHCI  0443†  CNS 
Fifth Third Securities, Inc. 0322  First Heartland Capital, Inc. 0336 
FIG Partners, LLC BNKS  0141∆  0141†  CNS  First Honolulu Securities Inc. FHON  0235∆  0235†  CNS 
Finance 500, Inc. FANC  0052∆  0052†  CNS  First Independent Financial FIFS  0309∆  0309†  CNS 
Finance 500, Inc. FINF  0235∆  0235†  CNS  First Integrity Capital Partners Corp KACI  0279∆  0279†  CNS 
Financial Advisers of America, LLC BOYS  0226†  CNS  First Investors Corporation 5146 
Financial Assets Corporation FACA  0443†  CNS  First Investors Corporation 5545 
First Kentucky Securities
Financial Counseling Corporation FINC  0443†  CNS 
Corporation FKSC  0235∆  0235†  CNS 
Financial Designs Corporation RONB  0750∆ 
First Liberties Financial FLIB  0235∆  0235†  CNS 
Financial Institution Marketing First London Securities Corporation FLSC  0309∆  0309†  CNS 
Company, Inc. 6498 
First Manhattan Co. FMCO  0443∆  0443†  CNS 
Financial Network Investment First Manhattan Co. 1445 
Corporation FNIC  0443∆  0443†  CNS 
Financial Northeastern Securities First MetLife Investors Insurance
Inc. FNSJ  0352∆  0352†  CNS  Company 4512 
Financial Planning Consultants Inc. FPCI  0235∆  0235†  CNS  First Midstate Inc. FMID  6792  TFT 
Financial Research Company FINR  0352†  CNS  First Midwest Securities Inc. 6459 
Financial Telesis Inc. JWFS  0443†  CNS  First National Banker's Bank FNBB  6753  TFT 
Financial West Group FINW  0226∆  0226†  CNS  First National Capital Markets, Inc. FNCM  6708  TFT 
Financial West Group, Inc 4713  First National Capital Markets, Inc. 5371 
Financorp Group International Corp. FGIC  0226∆  0226†  CNS  First New York Securities, LLC. FNYG  0501∆ 
Fintech Securities FINX  0161∆  0161†  CNS  First Pacific Mutual Fund, Inc. 3745 
First Partners Bank Investment
Fintegra, LLC FINT  0443∆  0443†  CNS 
Division FPBK  0750†  CNS 
Fintegra, LLC 0281 
First Republic Group, LLC REPG  0443†  CNS 
FinTrust Brokerage Services, LLC ACSL  0226†  CNS 
First Republic Securities Co. FSRP  0443∆ 
1st Discount Brokerage, Inc. FDSC  0158∆  0158†  CNS 
First Research Finance Inc. FIRF  0279∆  0279†  CNS 
1st Global Capital Corp. FGCC  0226∆  0226†  CNS 
First Security Financial Advisors, Inc. FSFA  0443†  CNS 
1st Global Capital Corp. 0296 
First South Carolina Securities, Inc. FSCC  6731  TFT 
1st Source Bank SRCE  6782  6782  TFT 
First Southern Securities LLC FRST  0309∆  0309†  CNS 
First Allied Securities 0146 
First Southwest Company FSWC  0309  0309  CNS 
First Allied Securities Inc. FAST  0352∆  0352†  CNS 
First St. Louis Securities, Inc. FLOU  0443†  CNS 
First American Capital and Trading First Standard Financial Company
Corporation STCS  0158∆  0158†  CNS  LLC STND  0309∆ 
First American Municipals, Inc. FAMI  0235†  CNS  First State Securities, Inc. FSSO  0279∆ 
First American Securities FAMS  0279∆  0279†  CNS  First Symetra National Life Insurance
First Analysis Securities Corporation FANA  0161∆  Company of New York 4621 
First Ballantyne, LLC FBLT  0750∆  0750†  CNS 
First Symetra National Life Insurance
First Bank Puerto Rico Securities,
Company opf New York/First
Corp. FBPR  0750†  CNS 
Symetra NY Fee Based 3382 
First Bermuda Securities (BVI), Ltd. BRMF  0158∆  0158†  CNS 
First Tennessee Capital Markets FTCM  2445  TFT 
First Brokerage America, LLC FBAL  0226†  CNS 
First Trust Portfolios L.P./First Trust
First Brokers Securities LLC FATS  0443∆  0443†  CNS 
Series Funds 5374 
First Brokers Securities, Inc. 0763 
First Trust Portfolios, L.P. 6575 
First Citizens Financial Plus, Inc. FCFP  0141†  CNS 
First Trust Portfolios, L.P. FTLP  8244  8244  CNS 
First Citizens Investor Services, Inc. FCIT  6347  0443†  CNS 
First Tryon Securities, LLC TRYN  0443†  CNS 
First Clearing LLC FCCP  0141  0141  CNS 
First Washington Corp. FWCO  0443†  CNS 
First Clearing, LLC/Wachovia
Securities 0030  First Western Advisors FWAI  0226†  CNS 
First Clearing, LLC/WFA LLC 0733  First Western Securities FWSI  0141†  CNS 

15 
 
 Alphabetical Reference 
          November 2014 

First Wilshire Securities Foreside Distribution Services,

Management, Inc. FWIL  0103∆  L.P./USAllianz Mutual Funds 6628 
First Winston Securities FWSS  6715  TFT  Foreside Distribution Services,
FirstMerit Insurance Agency, Inc. 7246  L.P./Victory Funds 5686 
Firstrade Securities Inc. FFSI  0158∆  Foreside Distribution Services,
Fisher (L.B.) & Company FISH  0235∆  0235†  CNS  L.P./Victory Institutional Funds 5723 
Fisrt Merit Financial Services, Inc FMFS  0226†  CNS  Foreside Fund Services LLC/Carlyle
Fixed Income Capital Partners, LLC FICP  0443†  CNS  Select Trust 3070 
Flexible Plan Investments, Ltd 6819  Foreside Fund Services LLC/ING
Floor Broker Network Inc. FBNW  0443∆  0418†  CNS  Offshore 5473 
Florida Atlantic Securities Corp. FLAT  0226∆  0226†  CNS  Foreside Fund Services Llc/Montage
Florida Investment Advisers FIAF  0443†  CNS  Managers Trust 3104 
FMSBonds, Inc. MIAM  6440  TFT  Foreside Fund Services, LLC 1481 
FMSBonds, Inc. 0061  Foreside Fund Services, LLC 1487 
FNBB Capital Markets, LLC FCML  0279∆  0279†  CNS  Foreside Fund Services, LLC 1519 
FOG Equities LLC FOGS  0103∆  Foreside Fund Services, LLC 1658 
Folger Nolan Fleming Douglas Foreside Fund Services, LLC 5659 
Incorporated FNFD  0141†  CNS  Foreside Fund Services, LLC/ Wright
FOLIOfn Investments, Inc FTBR  0728  Investor 5872 
Foothill Securities, Inc. 0548  Foreside Fund Services, LLC/361
Fordham Financial Management, Capital 3349 
Inc. FORD  0052∆  0052†  CNS  Foreside Fund Services,
Forefront Capital Markets LLC FFCB  0235∆  0235†  CNS  LLC/Aberdeen Funds 4899 
Forefront Capital Markets LLC FFCM  0235∆  0235†  CNS  Foreside Fund Services,
4967  LLC/Aberdeen Investment Funds-
Foreside Distribution Services, L.P.
Formally Known As Artio Global
Foreside Distribution Services, Fund 6675 
L.P./Cavanal Hill Funds 5807 
Foreside Fund Services,
Foreside Distribution Services, LLC/American Beacon Funds 5742 
L.P./Horizon Global Advisors Foreside Fund Services, LLC/Arden
Umbrella Fund LLC 5633  Investment Series Trust 3398 
Foreside Distribution Services, Foreside Fund Services,
L.P./HSBC Funds 5814  LLC/Avenue Mutual Funds Trust 3336 
Foreside Distribution Services, Foreside Fund Services,
L.P./HSBC Global Investment Funds 3312  LLC/Blackstone Alternative
Investment Funds 7555 
Foreside Distribution Services,
L.P./IMS Funds 4995  Foreside Fund Services, LLC/BP
Capital Funds 1389 
Foreside Distribution Services,
L.P./IRT Collective Funds 6614  Foreside Fund Services,
LLC/Bridgeway Funds 5485 
Foreside Distribution Services,
L.P./IVA Fiduciary Trust 4724  Foreside Fund Services,
LLC/Broadmark Funds 7049 
Foreside Distribution Services,
L.P./IVA Global SICAV Fund 5410  Foreside Fund Services, LLC/Cane
Capital 3119 
Foreside Distribution Services,
L.P./Leader Short Ten Bond Fund 5804  Foreside Fund Services, LLC/Citi
Foreside Distribution Services, American Opportunity Income Fund,
L.P./Matthews International 5150  a Sub-Fund of Citi Investment Trust
(Cayman) II 7079 
Foreside Distribution Services,
L.P./Northern Trust Funds 6633  Foreside Fund Services,
LLC/Context Capital Funds 3047 
Foreside Distribution Services,
L.P./Permal Offshore Funds 4888  Foreside Fund Services, LLC/Gottex
Trust 3008 
Foreside Distribution Services,
L.P./Ridgeworth Funds 4920  Foreside Fund Services,
LLC/Henderson Global Funds 5528 
Foreside Distribution Services,
Foreside Fund Services,
L.P./Signature Liquidity Fund, Ltd. 6673 
LLC/Investment Managers Series
Foreside Distribution Services, Trust 4985 
L.P./SunTrust Bank Collective Trust Foreside Fund Services,
Funds 5562  LLC/Investment Managers Series
Trust II 3009 

16 
 
 Alphabetical Reference 
          November 2014 

Foreside Fund Services, LLC/Liberty Foreside Funds Distributors

Street Funds 6767  LLC/Kalmar Pooled Investment Trust 5716 
Foreside Fund Services, LLC/Lincoln Foreside Funds Distributors
Stable Value Fund 7143  LLC/Lincoln Advisors Trust 3788 
Foreside Funds Distributors
Foreside Fund Services, LLC/Manor
5709  LLC/Matson Family, Inc. Funds of
Investment Funds, Inc.
the RBB Fund, Inc. 5947 
Foreside Fund Services,
LLC/Nomura Partners Funds, Inc. 5426  Foreside Funds Distributors
LLC/Matthews International Funds
Foreside Fund Services, LLC/Old DBA Matthews Asia Funds 5724 
Mutual Global Investor Series 5826 
Foreside Funds Distributors
Foreside Fund Services, LLC/Old LLC/Mercer Funds 5725 
Mutual Global Investors (UK) Limited 7112 
Foreside Funds Distributors
Foreside Fund Services, LLC/Metropolitan West Funds 6644 
LLC/Outlook Funds Trust 3029 
Foreside Funds Distributors LLC/Old
Foreside Fund Services, Westbury Funds, Inc. 5651 
LLC/Performance Trust 5324 
Foreside Funds Distributors
Foreside Fund Services,
3348  LLC/Perimeter Capital Management
LLC/Perimeter Funds
of the RBB Fund, Inc. 5416 
Foreside Fund Services, LLC/PMC
5747  Foreside Funds Distributors
Funds
LLC/Robeco Investment Funds of
Foreside Fund Services, LLC/Polen the RBB Fund, Inc. 5800 
Capital Investment Funds PLC 7071 
Foreside Funds Distributors
Foreside Fund Services, LLC/Schneider Capital Management
LLC/Quaker Funds 4885  Funds of the RBB Fund, Inc. 5856 
Foreside Fund Services,
7063  Foreside Funds Distributors
LLC/Ramius Funds
LLC/Simple Alternatives Funds of
Foreside Fund Services, The RBB Fund, Inc. 5342 
LLC/Roxbury Funds 6620  Foreside Funds Distributors
Foreside Fund Services, LLC/Salient LLC/Spirit of America Investment
MF Trust 3351  Funds 5362 

Foreside Fund Services, Foreside Funds Distributors

LLC/Sharespost 100 Fund 7942  LLC/Sterling Capital Funds 5648 

Foreside Fund Services, LLC/Sound Foreside Funds Distributors

Shore Funds 5649  LLC/Stratton Family of Funds 5448 

Foreside Fund Services, LLC/Steben Foreside Funds Distributors LLC/The

Alternative Investment Funds 3036  Motley Fool Funds Trust 6594 

Foreside Fund Services, LLC/Turner Foreside Funds Distributors LLC/The

Funds 5592  RBB Fund, Inc. 5808 
Foreside Fund Services, LLC/V2 Foreside Funds Distributors LLC/The
Capital 3114  Torray Funds 6554 
Foreside Fund Services,
LLC/Wellington Management Foreside Funds Distributors
Portfolios 7938  LLC/Versus Capital Multi-Manager
Real Estate Income Fund LLC 3750 
Foreside Fund Services,
LLC/Wintergreen Fund 5721  Foreside Funds Distributors
Foreside Funds Distributors LLC 6658  LLCConsulting Group Capital
Markets Funds 5422 
Foreside Funds Distributors
LLC/Aston Funds 5699  Foreside Funds Distributors LLCFirst
Puerto Rico Family of Funds 5547 
Foreside Funds Distributors Foresight Investments, LLC FITE  0443†  CNS 
LLC/Bogle Investment Management
Forest Securities, Inc. FORE  0235∆  0235†  CNS 
Funds of the RBB Fund, Inc. 5818 
Forester Funds, Inc. 4949 
Foreside Funds Distributors
Foresters Equity Services, Inc. 0149 
LLC/E.I.I. Realty Securities Trust 6579 
Forethought Life Insurance
Foreside Funds Distributors Company 5339 
LLC/Fairholme Funds, Inc. 4870  Forethought Life Insurance
Foreside Funds Distributors Company Forethought Life
LLC/Fundvantage Trust 5611  Distributors, LLC 7012 
Forge Financial Group Inc. FRGP  0750∆  0750†  CNS 
Foreside Funds Distributors
LLC/Guidestone Funds 5782  Forsyth Securities FSII  0235∆  0235†  CNS 

17 
 
 Alphabetical Reference 
          November 2014 
Forward Securities, LLC 5889  GAM Fund Management LTD 3605 
Founders Financial Securities, LLC 7044  Gar Wood Securities, LLC GWDS  0017∆ 
401Kstore.com (The) 7129  Gar Wood Securities, LLC GARW  0824∆ 
Four Points Capital Partners LLC AFSS  0750∆  Garbacz Group Inc. (The) JGII  0443†  CNS 
Fourthstone LLC 1633  Garden State Securities Inc. GRST  0235∆  0235†  CNS 
Fox Run Alpha Fund, L.P. FOXN  0352∆  0352†  CNS  Gardner Financial Services Inc. GAFI  0235∆  0235†  CNS 
Fox, Reusch & Co., Inc. FOXR  6851  TFT  Gardner Rich, LLC GDNR  0100∆  0100†  TFT 
FPA Fund Distributors, Inc. 5851  Gardnyr Michael Capital, Inc. GMCI  0750∆  0750†  CNS 
Frank Funds 6671  Garrett (Andrew) Inc. ANDG  0235∆  0235†  CNS 
Franklin Securities, LLC FRSE  0443†  CNS  Garrett Nagle & Company, Inc. GARR  0226∆  0226†  CNS 
Franklin Street Securities, Inc. FSST  0443†  CNS  Gates Capital Corporation GATS  0443∆  0443†  CNS 
Franklin/Templeton Distributors, Inc. 5534  Gatten Sadowski Inc GSAD  0235†  CNS 
Frazer Lanier Company (The) FLCO  6909  TFT  Gaye (C.E.) & Sons Securities, Ltd. PUMP  0141†  CNS 
Fred Alger & Co., Inc./Alger Sicav 4950  GBM International, Inc. GBMT  0443∆  0443†  CNS 
Fred Alger & Company, Incorporated 5594  GBM International, Inc. GBMS  0158∆ 
Fred Alger & Company, Incorporated ALGR  0158∆  GE Investment Distributors, Inc. 5679 
Freedom Investments, Inc. FDMI  0571∆  0571†  CNS  Gelber Securities, LLC GLBY  0551∆ 
Freedom Investors Corp. FRIC  0279∆  0279†  CNS  Gelber Securities, LLC GELB  0695∆ 
Freimark Blair & Co., Inc. FBLC  0161∆  0161†  CNS  Gemini Fund Services, LLC 1919 
Fried (Albert) & Company, LLC AFCO  0284  0284  CNS  Gemini Fund Services, LLC 1921 
Friedman Luzzatto & Co FRLZ  0103†  CNS  Gemini Fund Services, LLC 1922 
Friedman, Billings, Ramsey & Co., Gemini Fund Services, LLC 1924 
Inc. FBRC  0352∆  0352†  CNS 
Gemini Fund Services, LLC 1927 
Frontegra Funds, Inc. 5507 
Gemini Fund Services, LLC 1931 
Frontier Financial Consultants, Inc. FFCI  0443†  CNS 
Gemini Fund Services, LLC 1933 
Frost Bank FROS  6751  TFT 
Gemini Fund Services, LLC 3585 
Frost Brokerage Services, Inc. CUFT  0226∆  0226†  CNS 
Gemini Fund Services, LLC 3586 
FRS Securities, LLC FSEC  0161†  CNS 
Gemini Fund Services, LLC 3587 
FSC Securities Corp. 0169 
Gemini Fund Services, LLC 3589 
FSC Securities Corporation FSCN  0226†  CNS 
Gemini Fund Services, LLC 3845 
FSC Securities Gemini Fund Services, LLC 3854 
Corporation/Advantage Capital 0191 
Gemini Fund Services, LLC 3855 
FSC Securities Inc. FSCS  0443∆  0443†  CNS 
Gemini Fund Services, LLC 3858 
FTB Advisors, Inc. FTEN  0226∆  0226†  CNS 
Gemini Fund Services, LLC 3859 
FTB Advisors, Inc. 0192 
Geneos Wealth Management, Inc 0244 
FTN Financial Services Corp. FTSC  0202  0202  CNS 
General Securities Corp. GENS  0279∆ 
Fulcrum Securities LLC 6923 
Genworth Life and Annuity Insurance
Fulcrum Securities, Inc. OFKS  0235∆ 
Company 4525 
Fundamental Capital Management
LLC 1302  Genworth Life and Annuity Insurance
Funds Distributor, LLC 5497  Company 5752 
Funds Distributor, LLC/GMO Series Genworth Life Insurance Company 4586 
Trust 3601  Genworth Life Insurance Company
Funds Distributor, LLC/GMO Trust 6680  of New York 4553 
Funds Distributor, LLC/MIRAE Asset Geoffrey Richards Securities Corp. TAIG  0235∆  0235†  CNS 
Discovery Funds 5322  Georgeson Shareholder Securities
Funds Distributor, LLC/Munder Corp. GSSC  0161∆  0161†  CNS 
Funds 5617  GETCO Securities, LLC GETS  0103∆ 
Fusion Analytics Securities LLC INDX  0103∆  GFI Securities LLC GFIG  0443†  CNS 
G&L Partners, Inc. GNLP  0103∆  GFI Securities, LLC GFIS  0501∆ 
G. F. Investment Services, LLC GFBD  0226†  CNS  Gilbert, Doniger Co., Inc. GDCO  0443†  CNS 
G.A. Repple & Company 4076  Gilboy (P.R.) & Associates, Inc. PRGA  0279∆  0279†  CNS 
G.Research, Inc. GABE  0443∆  0141†  CNS  Gilder, Gagnon, Howe & Co., LLC GILG  0352∆  0352†  CNS 
G.Research, Inc. 5574  Gilford Securities Incorporated RGIL  0750∆  0750†  CNS 
G1 Execution Services, LLC ETRF  0161∆  0161†  CNS  Gill Capital Partners GLLL  0309∆  0309†  CNS 
Gabelli Securities, Inc. 1160  Girard Securities, Inc. GIRL  0226∆  0226†  CNS 
Gage-Wiley & Co., Inc. GGWI  0141†  CNS  Girard Securities, Inc. 0415 
Gagnon Securities LLC GAGN  0352∆  GIT Investment Services, Inc. GIMM  0226†  CNS 
Galloway Capital Management Ltd. 3434  Gladowsky Capital Management
Corp. GCMC  0443†  CNS 
18 
 
 Alphabetical Reference 
          November 2014 
Gleacher & Company Securities, Inc. BPSG  0443†  CNS  Clearing
Glendale Securities, Inc. GLED  0595∆  0595†  CNS  Goldman Sachs Execution &
Clearing GSVV  0501∆ 
Glendale Securities, Inc. GLEE  0873∆ 
Goldman Sachs Execution &
Glenmede Trust Company, N.A.
Clearing GSWW  0501∆ 
(The) 2139 
Goldman Sachs Execution &
Global Brokerage Services, Inc. GSBI  0279∆  0279†  CNS  Clearing GSXX  0501∆ 
Global Credit Partners, LLC GCPL  0443†  CNS  Goldman Sachs Execution &
Global Direct Equities, LLC GDEQ  0103∆  Clearing GSYY  0501∆ 
Global Financial & Leasing Services, Goldman Sachs Execution &
LLC 3503  Clearing GSZZ  0501∆ 
Global Financial Services, Inc. GFSI  0352∆  0352†  CNS  Goldman Sachs Execution &
Global Investor Services, L.C. GISJ  0352∆  0352†  CNS  Clearing, L.P. SILK  0501  0501  CNS 
Global Investor Services, LLC HBCO  0443∆  0443†  CNS  Goldman Sachs Execution &
Global Maxfin Capital Inc./CDS GMAX  5026●  Clearing, L.P. BZYE  0501∆  0501†  CNS 
Global Resource Investments, Ltd. GRIL  0235∆  Goldman Sachs Execution &
Global Securities Corporation/CDS GSCF  5069●  Clearing, L.P. BTGG  0501∆ 
Global Strategic Investments, LLC GSIL  0158∆  0158†  CNS  Goldman Sachs Execution &
Global Strategic Investments, LLC GSRI  0443†  CNS  Clearing, L.P. BZWV  0501∆ 
Global Strategic Investments, LLC GSIC  0052∆  Goldman Sachs Execution &
Global Trust Company 5915  Clearing, L.P. BZWW  0501∆ 
Global Trust Company/ACI 3015  Goldman Sachs Execution &
Global Trust Company/BHMS 7039  Clearing, L.P. BZWX  0501∆ 
Global Trust Company/BNY-TSW 7935  Goldman Sachs Execution &
Global Trust Company/CITI-VCM 7945  Clearing, L.P. BZYD  0501∆ 
Global Trust Company/IRM 3076  Goldman Sachs Execution &
Global Trust Company/NADA 7075  Clearing, L.P. BZYF  0501∆ 
Global Trust Company/NRS 5311  Goldman Sachs Execution &
Global Trust Company/NTRS 5357  Clearing, L.P. BZYG  0501∆ 
Global Trust Company/Standish 3048  Goldman Sachs Execution &
Globalink Securities, Inc. PSRI  0103†  CNS  Clearing, L.P. BZYH  0501∆ 
Glynn (J.A.) & Co. GLYN  0443∆  0443†  CNS  Goldman Sachs Execution &
GMP Securities L.P./CDS GMPS  5016●  Clearing, L.P. BZYJ  0501∆ 
GMP Securities, LLC MITR  0352∆  0352†  CNS  Goldman Sachs Execution &
GMS Group (The), LLC GMSG  0443∆  0443†  CNS  Clearing, L.P. BZZK  0501∆ 
Gold Bullion International, LLC 1142  Goldman Sachs Execution &
Gold Coast Securities, Inc. 4083  Clearing, L.P. BZZN  0501∆ 
Goldberg (Gary) & Co., Inc. GRYG  0226†  CNS  Goldman Sachs Execution &
Goldman Sachs & Co. 5572  Clearing, L.P. GSAA  0501∆ 
Goldman Sachs & Co./Commerce Goldman Sachs Execution &
Funds 5799  Clearing, L.P. GSBB  0501∆ 
Goldman Sachs & Co./Goldman Goldman Sachs Execution &
Sachs International Funds 6570  Clearing, L.P. GSCC  0501∆ 
Goldman Sachs Execution &
Clearing BZZH  0501∆  Goldman Sachs Execution &
Goldman Sachs Execution & Clearing, L.P. GSDD  0501∆ 
Clearing GSFF  0501∆  Goldman Sachs Execution &
Goldman Sachs Execution & Clearing, L.P. GSEE  0501∆ 
Clearing GSGG  0501∆ 
Goldman Sachs Execution & Goldman Sachs Execution &
Clearing GSII  0501∆  Clearing, L.P. SGMA  0501∆ 
Goldman Sachs Execution & Goldman Sachs International Ltd. 5208 
Clearing GSLL  0501∆  Goldman, Sachs & Co. GSCO  0005  0005  CNS 
Goldman Sachs Execution & Goldman, Sachs & Co. GSCS  0005∆ 
Clearing GSMM  0501∆ 
Gordon Hasket & Co. GHAS  0226∆  0226†  CNS 
Goldman Sachs Execution &
Clearing GSPP  0501∆  Gordon, Haskett Capital Corporation GHCC  0226∆  0226†  CNS 
Goldman Sachs Execution & Gorian Investment Group GTRN  0141†  CNS 
Clearing GSQQ  0501∆  Gotham Lawrence Corporation GOLA  0750∆ 
Goldman Sachs Execution & 1849 
GP Feeder Fund Management, LLC
Clearing GSRR  0501∆ 
Goldman Sachs Execution & GP Nurmenkari, Inc. GPNI  0284∆ 
Clearing GSTT  0501∆  GPB Capital Holdings, LLC 1533 
Goldman Sachs Execution & GSUU  0501∆  Grace Financial Group LLC GFMS  0050∆ 
19 
 
 Alphabetical Reference 
          November 2014 
Grace Financial Group LLC GFGO  0501∆  Guggenheim Funds Distributors,
LLC GUGI  0526  0526  CNS 
Grace Financial Group, LLC GFGH  0501∆  0501†  CNS 
Guggenheim Funds Distributors,
Grace Financial Group, LLC MVPF  0501∆  LLC 4912 
Gradient Securities, LLC GRAD  0235∆  Guggenheim Investment Advisors,
Graham (B.B.) & Company BBGC  0235∆  0235†  CNS  LLC 1792 
Gramercy Securities, Inc. SCRI  0750∆  Guggenheim Real Estate LLC 1663 
Grant Williams, L.P. GWLP  0309∆  0309†  CNS  Guggenheim Securities LLC 0181 
GRB Financial LLC GRBF  0750∆  0750†  CNS  Guggenheim Securities, LLC GUGG  0352∆  0352†  CNS 
Great American Advisors, Inc. AGSS  0443†  CNS  Guggenheim Securities, LLC LNKS  0443†  CNS 
Great American Life Insurance Guggenheim Securities, LLC GUGS  0443∆ 
Company 5949  Gunnar (Joseph) & Co., LLC JGUN  0226∆  0226†  CNS 
Great Lakes Fund Solutions, Inc. 1780  Guzman & Company GZML  0161∆  0161†  CNS 
Great Lakes Fund Solutions, Inc. 1782  GVC Capital LLC BCPI  0309∆  0309†  CNS 
Great Nation Investment Group GNTS  0309∆  0309†  CNS  GWFS Equities Inc./Great West RPS 5978 
Great Pacific Securities GPSS  0161∆  0161†  CNS  GWFS Equities, Inc. 0257 
Great Point Capital LLC MAVB  0103∆  GWFS Equities, Inc. 5330 
Greater Community Financial LLC GRCF  0443†  CNS  GWFS Equities, Inc./Commission
Great-West Life & Annuity Insurance Product 3354 
Company 4735  GWFS Equities, Inc./Orchard Trust
Great-West Life & Annuity Insurance Company LLC 3702 
Company of New York 4736  GWG Holdings, Inc. 1835 
GWM Group, Inc. RLCC  0443∆ 
Great-West Life & Annuity Insurance
Company of New York/American H. Beck, Inc. HBCK  0443†  CNS 
Funds Distributors Inc. 3334  H. G. Wellington & Co., Inc. WELC  0702∆  0702†  CNS 
H.C. Denison Co. DENI  0279∆  0279†  CNS 
Great-West Life & Annuity Insurance
Company/American Funds H.C. Wainwright & Co., Inc. WAIN  0103∆  0103†  CNS 
Distributors Inc. 3332  H.D. Vest Investments Services HDVS  0141†  CNS 
Green Street Advisors, Inc. GNAV  0352∆  Hahn Securities, Inc. WMPB  0750∆  0750†  CNS 
Greenberg Financial Group NEHL  0235∆  0235†  CNS  Halcyon Cabot Partners, Ltd. HCBD  0052∆ 
Greenman, Parker, Connally, Halen Capital Management, Inc HACL  0235∆  0235†  CNS 
Greenman, Inc. GPCG  0443†  CNS  Halen Capital, Inc. HCPL  0052∆  0052†  CNS 
Greentree Brokerage Services, Inc. GBSI  0103∆  0443†  CNS  Hallmark Investments, Inc. HMRK  0052∆  0052†  CNS 
Greenwich Prime Trading Group, Hampton Securities (USA), Inc. HMPT  0235∆  0226†  CNS 
LLC GPTG  0161∆  Hancock Investment Services, Inc. HANK  0226†  CNS 
Grey Wolf Execution Partners, Inc. GWEP  0103∆  Hancock Securities Group, LLC DHAN  0443†  CNS 
GRF Capital Investors Inc. GRFC  0235∆  0235†  CNS  Hand Benefits & Trust Company 4866 
Griffin Capital Securities, Inc. 1939  Hand Benefits & Trust Company 5950 
Griffin Financial Group, LLC GRFN  0103∆  Hand Benefits & Trust
Griffin Securities, Inc. GSEC  0100∆  0100†  TFT  Company/SSB 3010 
Griffith (M.) Locke Investment Hand Securities, Inc. AIRS  0309∆  0309†  CNS 
Services, Inc. GRIF  0141†  CNS  Hanson McClain HMRN  0226†  CNS 
Griffon May, Inc. MACP  0443†  CNS  Hantz Financial Services, Inc. 0614 
Grodsky Associates, Inc. GROD  0226†  CNS  Hantz Financial Services, Inc. HAFS  0279∆ 
GRW Capital Corp. GRWC  0443†  CNS  Hapoalim Securities USA, Inc. ITEC  0443∆  0443†  CNS 
GSECLP/Equities Execution 0048  Hapoalim Securities USA, Inc. POLI  0443∆  0443†  CNS 
GSECLP/Kellogg Capital 0399  Harbor Funds Distributors, Inc. 5471 
G-Trade Services LLC ADRD  0161∆  Harbour Investments Inc. HARB  0443†  CNS 
GTS Securities, LLC GTSY  0161∆  0161†  CNS  Hardcastle Trading USA, LLC HCTA  0501∆  0501†  CNS 
GTS Securities, LLC GTSZ  0501∆  0501†  CNS  Harger and Company, Inc. HRGR  0235∆  0235†  CNS 
GTS Securities, LLC GTSX  0103∆  Harris (Chester) & Co., Inc. CHHS  0141†  CNS 
Guardian Insurance & Annuity Harris Investors Services, Inc. HRRS  0443†  CNS 
Company, Inc. (The) 4533  Hart (LJ) & Company LJHT  0443†  CNS 
Guardian Insurance & Annuity Hartfield, Titus & Donnelly, LLC HFLD  0443†  CNS 
Company, Inc. (The)/Berkshire 7959  Hartfield, Titus & Donnelly, LLC HFLD  0443∆ 
Guardian Insurance & Annuity Hartford Funds Distributors, LLC 4856 
Company, Inc. (The)/GLIC 7960  Hartford Funds Distributors,
LLC/HIMCO Variable Insurance
Guardian Insurance & Annuity Trust 3130 
Company, Inc./Fund Trading 4637 
Guardian Investor Services LLC 5573 
20 
 
 Alphabetical Reference 
          November 2014 

Hartford Funds Distributors, HSBC Bank USA, N.A./IPB 2122 

LLC/Upromise 5892  HSBC Bank USA, National
Hartford Life Insurance Company Association 2165 
(The) 4501  HSBC Bank,USA, N.A./Buffalo IPS 2049 
Hartford Life Insurance HSBC Securities (USA) Inc. HSBK  0816  0816  CNS 
Company/Life Business 4658  HSBC Securities (USA), Inc./Fixed
Harvard Property Trust, LLC 1284  Income Securities HSBM  0486  0486  CNS 
Harvard Property Trust, LLC 1622  HSBC Securities (USA), Inc./Stock
Loan HSBC  0816∆ 
Harvard Property Trust, LLC 1628 
Hugo Marx & Co., Inc. MARX  6741  TFT 
Harvard Property Trust, LLC 1634 
Hunter Associates Inc. HNTR  0443∆  0443†  CNS 
Harvard Property Trust, LLC 1636 
Hunter Scott Financial, LLC PLCP  0750∆ 
Harvard Property Trust, LLC 3683 
Hunter World Markets, Inc. WRLD  0235†  CNS 
Harvest Capital LLC HACA  0701∆  0701†  CNS 
Huntingon National Bank 2305 
Harvest Financial Corporation HVST  0235∆  0235†  CNS 
Huntington Asset Services, Inc. 1838 
Harvestons Securities, Inc. HARS  0226∆  0226†  CNS 
Huntington Asset Services, Inc. 1839 
Haywood Securities (USA) Inc. HAYV  0279∆  0279†  CNS 
Huntington Asset Services, Inc. 1843 
Haywood Securities Inc. HASF  5058● 
Huntington Asset Services, Inc. 3581 
Hazlett, Burt & Watson, Inc. HAZL  0226∆  0226†  CNS 
Huntington Asset Services, Inc. 3582 
Hazlett, Burt & Watson, Inc. 0252 
Huntington Investment Company HUCO  0226∆  0226†  CNS 
HBK Finance, LP HBKI  0352†  CNS 
Headlands Global Markets, LLC HEAD  0443†  CNS  Huntington National Bank/Traditional
Insurance 5383 
Heartland Investment Associates HIAI  0226†  CNS 
Hutchinson, Shockey, Erley & Co. HUTC  6963  TFT 
Hefren-Tillotson, Inc. HEFR  0443∆  0443†  CNS 
HWJ Capital Partners II, LLC HWJC  0052∆ 
Hefren-Tillotson/Shelby, Kern,
I-Bankers Securities, Inc. MILE  0052∆ 
Frederick and Shelby Div. SKFS  0443†  CNS 
IBERIA Capital Partners L.L.C. IBER  0226∆  0226†  CNS 
Heidtke & Company, Inc. BUZZ  0141†  CNS 
ICAP Corporates LLC GARB  0148  0148  CNS 
Height Securities, LLC HITS  0443∆ 
ICAP Corporates LLC GARC  0501∆    
Heim, Young & Associates, Inc. 6021 
ICAP Corporates, LLC GARQ  0501∆  0161†  CNS 
Henley & Company LLC HENY  0443∆  0443†  CNS 
ICAP Corporates, LLC GARL  0501∆ 
Hennig (Carl M.) Inc. HENN  0235∆  0235†  CNS 
ICD Securities ICDS  0750∆ 
Hennion & Walsh, Inc. NHWI  0141†  CNS 
ICMA-RC Services, LLC 0282 
Heptagon Fund PLC 7084 
ICMA-RC Services, LLC 4942 
Heritage Financial Systems, Inc. HFSB  0235∆  0235†  CNS 
ICON Capital, LLC 3592 
Herndon Plant Oakley HPOL  0141†  CNS 
Icon Distributors, Inc. 5549 
Herold (Bernard) & Co. HERO  0443∆  0443†  CNS 
ICP Securities LLC ICPX  0443†  CNS 
Hewitt Associates LLC 7107 
IEX Services, LLC IEXG  0161∆ 
Hexagon Securities, LLC HXGN  0443†  CNS 
HFI Securities, Inc. HFIS  0141†  CNS  IFC Holding, Inc./Invest Financial
Corporation 0566 
Higgins Capital Management, Inc. HIGG  0235∆  0235†  CNS 
IFC Holdings, Inc. ISFA  0226†  CNS 
High Point Capital Group, Inc. COHI  0873∆  0226†  CNS 
IFC Holdings, Inc. 1062 
Highlander Capital Group, Inc. HIGH  0443†  CNS 
IFMG Securities, Inc. LBSC  0226†  CNS 
Hightower Securities, LLC HTWR  0226†  CNS 
IFS Securities, Inc. IFSG  0100∆ 
Hightower Securities, LLC HTJP  0352∆  0352†  CNS 
IIG Horizons Securities LLC IIGH  0226†  CNS 
HighTower Securities, LLC 6017 
Imperial Capital, LLC IMPC  0443∆  0443†  CNS 
Hill Thompson Magid & Co Inc. HILF  0443†  CNS 
IMS Securities Inc. IMSS  0279∆ 
Hines Securities, Inc. 3584 
Incapital, LLC INCP  0235∆  0235†  CNS 
HM Capital Management LLC 3431 
Incline Investment Management,
Hold Brothers Capital LLC 0430  LLC 1644 
Hollencrest Securities, LLC HLLC  0352∆  0352†  CNS  Independent Bankers' Bank of
Home Financial Services, Inc. VOLS  2447  TFT  Florida IBBF  6778  TFT 
Homestead Funds, Inc. 6553  Independent Brokers LLC INDE  0309∆  0309†  CNS 
Horace Mann Life Insurance Indiana Merchant Banking &
Company 3637  Brokerage Co., Inc. IMBB  0279∆  0279†  CNS 
Hornor, Townsend & Kent, Inc. HOTO  0443†  CNS  Industrial Alliance Securities Inc. MGIS  5008∆ 
Hornor, Townsend & Kent, Inc. 0326 
Industrial and Commerical Bank of
Horwitz & Associates, Inc. HORW  0352∆  China Financial Services LLC ICBK  0388  0388  CNS 
Hovde Group, LLC HOVD  0103∆  Industrial and Commerical Bank of
Howells (M.S.) & Co. HWLS  0443∆  0443†  CNS  China Financial Services LLC/Equity
HRC Investment Services, Inc. HRCS  0443†  CNS  Clearance IBFS  0824  0824  CNS 

21 
 
 Alphabetical Reference 
          November 2014 
Industrial Income Trust Inc. 3495  International Strategy & Investment
Industrial Property Trust Inc. 1246  Group LLC 5591 
Infinex Investments Inc. 0113  International Strategy & Investment
Infinex Investments, Inc. CTAS  0443∆  Group, Inc. ISIG  0352∆  0352†  CNS 
Infinity Financial Services NFTY  0235∆  0235†  CNS  Interpacific Investors Services, Inc. IPAC  0226∆  0226†  CNS 
ING Financial Markets LLC INGG  0270∆  InterTrading USA Securities, Inc. ITUS  0309∆  0309†  CNS 
ING Financial Markets, LLC INGF  0270  Intervest International Equities
ING Financial Partners, Inc. WING  0443†  CNS  Corporation IVST  0443†  CNS 
ING Institutional Plan Services, LLC 7108  Intl FC Stone Securities Inc. FCST  0443∆ 
ING Investment Management INTL Trading, Inc. INTL  0161∆  0161†  CNS 
Services LLC FSFS  0352∆  0352†  CNS  InTrade, LLC ITLC  0238∆ 
ING National Trust Company 2360  Invemed Associates, LLC INVM  0352∆  0352†  CNS 
ING National Trust Company/IFS 5377  Invesco Capital Markets, Inc. VKMI  0692  0692  CNS 
ING Private Wealth Management Invesco Distributors, Inc. 5540 
LLC INGW  0443†  CNS 
Invesco Distributors, Inc./Fund
Ingalls & Snyder, LLC INGS  0124  0124  CNS 
Management Co. 5450 
Inland American Real Estate Trust,
Inc. 1756  Invesco Distributors, Inc./Offshore 6592 
Investacorp, Inc. ARCH  0226∆  0226†  CNS 
Inland Real Estate Investment
Corporation 1872  Investacorp, Inc. INVE  0352∆  0352†  CNS 
Investacorp, Inc. 0138 
Inland Real Estate Investment
Corporation 3835  Investment Center (The) 0318 
Inlet Securities, LLC LLSI  0750∆  0750†  CNS  Investment Center, Inc. (The) ICEN  0443∆  0443†  CNS 
Instinet, LLC ICBX  0067∆  Investment Centers of America, Inc. 0565 
Instinet, LLC INAT  0067∆  Investment Centers of America, Inc. 1868 
Investment Management
Instinet, LLC INBA  0067∆ 
Corporation KCIM  0235∆  0235†  CNS 
Instinet, LLC INHC  0067∆ 
Investment Network, Inc. IVNT  0235∆  0235†  CNS 
Instinet, LLC INMB  0067∆  Investment Partners Asset
Instinet, LLC INML  0067∆  Management 3424 
Instinet, LLC INMP  0067∆  Investment Placement Group IPGR  0443†  CNS 
Instinet, LLC INMU  0067∆  Investment Planners Inc. INPI  0235∆  0235†  CNS 
Instinet, LLC INTU  0067∆  Investment Professionals, Inc. INPR  0443∆  0443†  CNS 
Instinet, LLC INTW  0067∆  Investment Professionals, Inc. SBAM  0443†  CNS 
Instinet, LLC XIST  0067∆  Investment Professionals, Inc. 6052 
Instinet, LLC INAR  0436∆  Investors Capital Corporation ICCP  0443∆  0443†  CNS 
Instinet, LLC INJX  0536∆  Investors Capital Corporation 6016 
Instinet, LLC INCA  0067  Investors Securities Services, LLC ISSC  0443†  CNS 
Institutional Capital Management, Invex, Inc. IVEX  0352∆ 
Inc. ICMH  0235∆  0235†  CNS 
IPO Capital IPOC  5039∆ 
Institutional Investor Trust 3709 
Ironstone Securities Inc. ISSB  0443†  CNS 
Institutional Securities Corporation ISCN  0279∆  0279†  CNS 
Isaak Bond Investment, Inc. IAAK  0279∆  0279†  CNS 
Insurance Technologies, LLC 6407 
ISERoute, LLC SPDR  0100∆ 
Integral Financial, LLC INFI  0279∆ 
ISI Capital, LLC ISIL  0103∆  0103†  CNS 
Integrated Trading and Investments,
Inc. INII  0017∆  Israel A. Englander & Co., LLC IAEC  0551∆ 
Integrity Brokerage Services, Inc. IBSH  0595∆  0595†  CNS  Itau BBA USA Securities Inc. ITAU  0443∆ 
Integrity Brokerage Services, Inc. IBSJ  0595∆  0595†  CNS  Itau Europa Securities Inc. IESI  0443∆  0443†  CNS 
Integrity Funds Distributor, LLC 5657  ITB Capital Management, LLC 1455 
Integrity Life Insurance Company 4549  ITB Securities, LLC ITBS  0750∆  0750†  CNS 
Interactive Brokers Corp. IBCO  0534†  CNS  ITG Canada ITGC  5059∆ 
Interactive Brokers LLC IBKR  0017  ITG, Inc. ITGI  0099 
Interactive Brokers, LLC/Retail ITradedirect.com Corp. ITDC  0750∆  0750†  CNS 
Clearance IBKR  0534  0534  CNS  IVY Securities, Inc. IVYS  0100∆ 
Intercarolina Financial Services, Inc. ICFS  0226†  CNS  J&C Global Securities, LLC MEAT  0052∆ 
Intercontinental Asset Management J. Scott Securities Corp. JSSC  0352†  CNS 
Group, Ltd. ICON  0443†  CNS  J. W. Cole Financial, Inc. JWCF  0226†  CNS 
International Assets Advisory, LLC INTX  0226†  CNS  J.D. Nicholas & Associates, Inc. FRIS  0052∆  0052†  CNS 
International Assets Advisory, LLC INTA  0226†  CNS  J.J.B Hilliard, W.L.Lyons, LLC HLHC  0768†  CNS 
International Correspondent Trading, J.J.B. Hilliard, W.L. Lyons, LLC HDLY  0768  0768  CNS 
Inc. ICTI  0226∆  0226†  CNS 
J.K. Chilton & Associates, Inc. JKCA  0103†  CNS 
22 
 
 Alphabetical Reference 
          November 2014 
J.K. Financial Services, Inc. JKFS  0279∆  0279†  CNS  Jefferies LLC/Jefferies Execution
J.K.R. & Co., Inc. JKRC  0443†  CNS  Services, Inc./Service Bureau WDSB  0536 
J.P. Morgan Clearing Corp. BSSC  0352  0352  CNS  Jefferson National Life Insurance
J.P. Morgan Institutional Company 4573 
Investments, Inc. 4871  Jeffrey Matthews Financial Group,
J.P. Morgan Securities LLC CHSI  0187  0187  CNS  LLC JEFM  0235∆  0235†  CNS 
J.P. Morgan Securities LLC JPMT  0352∆  0352†  CNS  Jeffries Partner Opportunity Fund II,
LLC JHYT  0019∆  0019†  CNS 
J.P. Morgan Securities LLC JPMX  0352∆ 
JH Darbie & Co. Inc. JHDR  0052∆  0052†  CNS 
J.P. Morgan Securities LLC/Chase
JK Securities, Inc. JKSI  0750†  CNS 
Insurance Group 0470 
JMP Securities, LLC JSSF  0352∆  0352†  CNS 
J.P. Morgan Securities LLC/CISC 0432 
JNK Securities Corp. JNKK  0161∆ 
J.P. Morgan Securities LLC/Middle
John Hancock Funds, LLC 5582 
Markets 0686 
J.P. Morgan Securities LLC/NYSE 0060     John Hancock Funds, LLC/MGF
Offshore Lux 5133 
J.P. Morgan Securities
LLC/Oppenheimer 401K 0758  John Hancock Life & Health
Insurance Company/ LTC 5910 
J.P. Morgan Securities LLC/Private
Client Services Div 0406  John Hancock Life Insurance
Company (U.S.A) 4513 
J.P. Morgan Securities LLC/Small
Business 0693  John Hancock Life Insurance
Company (U.S.A) /LTC 5994 
J.P. Morgan Securities, Inc. BEAR  0352∆  0352†  CNS 
J.P. Morgan Securities, Inc. BEST  0352∆  0352†  CNS  John Hancock Life Insurance
Company (U.S.A)/RPS LLC 3343 
J.P. Morgan Securities, Inc. JPME  0352∆ 
J.P. Morgan Securities, Inc. JPMG  0352∆  John Hancock Life Insurance
Company (USA)/Group Pension 4661 
J.P. Morgan Securities, Inc. JPMP  0352∆ 
J.P. Morgan Securities, Inc. JPMS  0352∆  John Hancock Life Insurance
Company (USA)/Insurance 4660 
J.V.B. Financial Group LLC JVBG  0443∆  0443†  CNS 
John Hancock Life Insurance
Jack V. Butterfield Investments
JVBF  0235∆  0235†  CNS  Company (USA)/RPS Seg Funds &
Company
Accounting ET7 4704 
Jackson National Life Insurance
4552  John Hancock Life Insurance
Company
Company of New York 4607 
Jackson National Life Insurance
Company of New York 4584  John Hancock Life Insurance
Company of New York/RPS SEG
Jackson National Life Insurance Funds & Accounting ET7 4705 
Company/Brooke Life 4581 
Johnson Investment Counsel, Inc. 3779 
Jackson Partners & Associates Inc. JPTR  0100∆  0100†  TFT 
Johnson, Rice & Company LLC JRCO  0352∆ 
Jackson Securities LLC JACK  0443†  CNS 
Johnston, Lemon & Co. Incorporated JOLE  0443∆  0443†  CNS 
James Baker & Associates, L.P. BAKR  6069  TFT 
Jones (Edward D.) & Co. EDJO  0057  0057  CNS 
Janco Partners Inc. JANC  0443†  CNS 
Jones Gable & Company LTD./CDS JNGF  5070● 
Jane Street Capital, LLC JASC  0352†  CNS 
JonesTrading JONE  0161∆  0161†  CNS 
Jane Street Execution Services, LLC JSES  0352∆  0352†  CNS 
Joseph Grace JGRC  0103∆ 
Jane Street Markets, LLC JANE  0352∆  0352†  CNS 
Joseph Stone Capital L.L.C. JSCL  0052∆ 
Jane Street Markets, LLC JANS  0352∆ 
JSPT  0352∆  JP Morgan Chase Bank/ADP
Jane Street Markets, LLC
Express Account 0409 
Jane Street Markets, LLC NASJ  0352∆ 
JP Morgan Chase Bank/IA 2357 
Jane Street Markets, LLC JSOP  0551∆  JP Morgan Retirement Plan Services
Janney Montgomery Scott LLC JANY  0374  0374  CNS  LLC 7147 
Janney Montgomery Scott LLC JMSI  0374∆  JPMorgan Chase Bank
Janus Distributors LLC 5781  N.A./JPMorgan Chase Health
Savings 0915 
Janus Distributors LLC/Janus Capital JPMorgan Chase Bank
International Limited 5467  N.A./Worldwide Securities Services
Jaypee International, Inc. JPII  0017∆  Hewitt Accounts 0204 
Jefferies & Co., Inc. BDIR  0352∆  0352†  CNS  JPMorgan Chase Bank, N.A. /
Jefferies Execution Services, Inc. JEFX  0536∆  Custodial Trust Company 2424 
Jefferies LLC JEFF  0019  0019  CNS  JPMorgan Chase Bank,
Jefferies LLC DEFA  0443∆  0443†  CNS  N.A./Winterflood Securities Limited 8120 
Jefferies LLC PJEF  0443∆  0443†  CNS  JPMorgan Chase Bank, National
Jefferies LLC GJEF  0501∆  Association 0902 

23 
 
 Alphabetical Reference 
          November 2014 

JPMorgan Chase Bank/PB-PCS KMS Financial Services KMSF  0443†  CNS 

Shared Services 6652  KMS Financial Services, Inc. 4835 
JPMorgan Chase Bank/PCS Shared Knight Capital Americas LLC VABD  0295†  CNS 
Services 2255  Knight Capital Americas LLC GFLO  0295∆ 
JPMorgan Chase Bank/TIAA-CREF 2006  Knight Capital Americas LLC NITX  0295∆ 
JPMorgan Distribution Services, Inc. 5599  Knight Capital Americas, L.P. KELG  0295∆ 
JPMorgan Distribution Services, Knight Capital Americas, L.P. KELL  0295∆ 
Inc./JPM Off-Shore Funds 5798  Knight Capital Markets, LLC TRIM  0295∆  0161†  CNS 
JPMorgan Distribution Services, Knight Capital Markets, LLC KCMP  0295∆ 
Inc./NY Advisor 529 Plan 3789  Knight Equity Markets, L.P. NITE  0295∆  0161†  CNS 
JRL Capital Corporation JRLC  0279∆  0279†  CNS  Knight Equity Markets, L.P. NITP  0295∆ 
K.A. Associates Inc. KALA  0352∆  0352†  CNS  Knight Execution & Clearing
K.R. Securities LLC KRCO  0352∆  0352†  CNS  Services LLC DTTX  0295∆ 
Kabrik Trading KBKF  0695∆  Knight Execution & Clearing
Kahn Brothers & Co., Inc. KBCO  0443∆  Services LLC NITD  0295∆ 
Kaiser and Company WYOM  0443†  CNS  Kohn (L.M.) & Company LMKO  0235∆  0235†  CNS 
Kalos Capital Incorporated KALO  0226†  CNS  Kohn (L.M.) & Company 0194 
Kalos Capital, Inc 6926  Koonce Securities Inc. KOSE  0712  0712  CNS 
Kapitall Generation, LLC KAPG  0158∆  Korth (J.W.) & Company, Inc. KRTH  0235∆  0235†  CNS 
Kashner Davidson Securities Kovack Securities Inc. KOVP  0443∆  0443†  CNS 
Corporation KASH  0750∆  0750†  CNS  Kovack Securities, Inc. KOVS  0226∆  0226†  CNS 
KBS Capital Markets Group, LLC 1153  Kovitz Securities, LLC KVTZ  0443†  CNS 
KBS Capital Markets Group, LLC 1611  Kramer Securities Corp. KRAM  0141†  CNS 
KBS Capital Markets Group, LLC 1612  Krueger Brokerage, Inc. KRUG  0235†  CNS 
KBS Capital Markets Group, LLC 1613  Kun-Lun Development Corporation KLDC  0279∆ 
KBS Capital Markets Group, LLC 1617  Kuykendall & Schneider, Inc. KUYK  0309∆  0309†  CNS 
KBS Capital Markets Group, LLC 1621  KW Securities Corp. LAKA  0352†  CNS 
KBS Capital Markets Group, LLC 3872  KW Securities Corporation KWSC  0235∆  0235†  CNS 
KCG Americas LLC NITC  0295  0295  CNS  Kyson & Co KYSN  0103∆ 
KCG Americas LLC LIBE  0443∆  0443†  CNS  L&R Trading L.L.C. LNRT  0501∆  0501†  CNS 
KCG Americas LLC KCGM  0295∆  L.S.Y., Inc. AMIC  0226†  CNS 
Kedem Capital Corp. KEDM  0352∆  0352†  CNS  LaBrunerie Financial Services LABR  0188†  CNS 
Keefe, Bruyette & Woods, Inc. KBWI  0793∆  0793†  CNS  Ladenburg, Thalmann & Co. Inc. LTCO  0226∆  0226†  CNS 
Keeley Investment Corp. KEEL  0226∆  0226†  CNS  Lafayette Investments Incorporated LSPI  0141†  CNS 
Keeley Investment Corp. 5661  Lafferty (R.F.) & Co., Inc. LAFB  0235∆  0235†  CNS 
Kelley (D.M.) & Co. DMKC  0141∆  0141†  CNS  Laidlaw & Company (UK) Ltd. LDLW  0750∆  0750†  CNS 
Kelt (The) Group, LLC TKGA  0226†  CNS  Lake Forest Securities, LLC LAKE  0235∆  0235†  CNS 
Kenneth, Jerome & Co., Inc. KJER  0052∆  0052†  CNS  Lake Street Capital Markets, LLC LSCM  0103∆ 
Kenny Securities Corp. KENY  0443†  CNS  LAM Securities LMSE  0750∆  0750†  CNS 
Kensington Capital Corp. KENS  0309∆  Lamon & Stern Inc. LAMS  0443†  CNS 
Kercheville & Company KERC  0443∆  Lampert Capital Markets Inc. LPCM  0103∆  0103†  CNS 
Kershner Securities, LLC KRSH  0501∆  Lampost Capital, L.C. LAMP  0512∆ 
Kevin Hart Kornfield & Co., Inc. KHKC  0226†  CNS  Lancaster Pollard & Co. LANP  0309∆  0309†  CNS 
Key Bank N.A. 5608  Landolt Securities, Inc. LDOT  0226†  CNS 
Key Investment Services LLC KISL  0443†  CNS  Landolt Securities, Inc. FISN  0226†  CNS 
Key Investment Services LLC 0809  Lantern Investments, Inc. LATN  0443†  CNS 
Key West Investments, LLC KWIL  0052∆  0052†  CNS  Lara, Shull & May, Ltd. LAMA  0235∆  0235†  CNS 
Key West Investments, LLC KEYW  0017∆  LaraDorbecker Securities
Corporation LDSC  0226†  CNS 
KeyBanc Capital Markets Inc. KEYB  0443∆  0443†  CNS 
Larimer Capital Corporation LARC  0235∆  0235†  CNS 
KeyBanc Capital Markets Inc. 0799 
Larkin (Emmett A.) Co., Inc. LARK  0750∆  0750†  CNS 
Keybank National Association 2205 
LaSalle Investment Management,
KGS Alpha Capital Markets LLC KGSA  0443†  CNS  Inc. 1461 
Kildare Capital, Inc. KCAP  0103∆  0103†  CNS  LaSalle St. Securities, LLC 0232 
Kildare Capital, Inc. KILD  0103†  CNS  LaSalle Street Securities, Inc. LASS  0226∆  0226†  CNS 
Kiley Partners, Inc. KCIX  0309∆  0309†  CNS  LATAM Securities LLC LATM  0501∆ 
Kimelman & Baird, LLC KIML  0352∆  0352†  CNS  Latmark Asset Management, LLC 9092 
King (C.L.) & Associates, Inc. KING  0743  0743  CNS  Latour Trading LLC XGWD  0695∆ 
KLR Group, LLC KLRG  0100∆  Latour Trading LLC XGWX  0695∆ 
24 
 
 Alphabetical Reference 
          November 2014 
Lauren & Merlin Inc. LMFI  0235∆  0235†  CNS  Lightspeed Trading, LLC GMOR  0551∆ 
Laurential Bank of Canada/CDS 5001  Lightspeed Trading, LLC LSTE  0873∆ 
LavaFlow, Inc. FLOW  0641  Lime Brokerage LLC LIJP  0352∆  0352†  CNS 
Lavaflow, Inc. LAVA  0501∆  Lime Brokerage LLC LITB  0100∆ 
LavaFlow, Inc. GOTO  0641∆  Lime Brokerage LLC LITE  0103∆ 
Lawson Financial Corporation LWFL  0443∆  0443†  CNS  Lime Brokerage LLC LIWE  0103∆ 
Lazard Asset Management Lime Brokerage LLC LMGP  0103∆ 
Securities LLC 4850  Lime Brokerage LLC LMGT  0103∆ 
Lazard Asset Management Lime Brokerage LLC LBNN  0161∆ 
Securities LLC/Lazard Global Active LIMA  0436∆ 
Lime Brokerage LLC
Funds 5417 
Lime Brokerage LLC JXLI  0536∆ 
Lazard Capital Markets LLC LAZA  0443∆  0443†  CNS 
Lime Brokerage LLC 8199∆ 
Lazard Freres & Co. LLC LAZF  0443∆  0443†  CNS 
Lincoln Benefit Life Company 4559 
LCS Securities, LLC LCSS  0352∆  0352†  CNS 
LDR Capital Management LLC 1865  Lincoln Benefit Life
Leaders Group, Inc. (The) LEAD  0226†  CNS  Company/Administered by SE2
Technology Solutions 4689 
Lebanthal & Co., LLC LBCO  0443∆  0443†  CNS 
Lincoln Benefit Life
Lebenthal & Co., LLC. LBWA  0235∆  Company/Retained Annuitized
Ledgewood Capital Management, Contracts 4771 
LLC LEDG  0443†  CNS 
Lincoln Douglas Investments, LLC LDIL  0226†  CNS 
Leede Financial Markets Inc./CDS LEDE  5071● 
Lincoln Financial Advisors LFAC  0226†  CNS 
Leerink Swann & Company LEER  0443∆  0443†  CNS  Lincoln Financial Securities
Leerink Swann & Company LESW  0443∆  0443†  CNS  Corporation 0211 
Legacy Asset Securities Inc. LASE  0235∆  0235†  CNS  Lincoln Investment LNCL  0443∆ 
Legend Securities, Inc. LEGD  0052∆  0052†  CNS  Lincoln Investment Planning Inc. 0145 
Legg Mason Investor Services, LLC 5749  Lincoln Life & Annuity Company of
Legg Mason Investor Services, New York 4686 
LLC/529 Plans 5570  Lincoln National Life Insurance
Legg Mason Investor Services, Co./Connecticut 4615 
LLC/Citifunds 5834  Lincoln National Life Insurance
Company 4500 
Legg Mason Investor Services,
LLC/Legg Mason Global Funds PLC 5833  Lincoln National Life Insurance
Company/For Annuities (The) 4633 
Leigh Baldwin & Co., LLC 6013 
LEK Securities Corporation LSCI  0512  0512  CNS  Lincoln National Life Insurance
Company/For Life 4634 
Lek Securities Corporation LCHX  0512∆ 
Lemley, Yarling & Co. LEYA  0235∆  0235†  CNS  Lincoln National Life Insurance
Company/II 4685 
Lenox Financial Services Inc. LENX  0279†  CNS 
Leonard Securities, Inc. LEON  0235∆  0235†  CNS  Lincoln Variable Insurance Products
Trust 7111 
Lerner (David) Associates, Inc. DLAE  5144  5144  CNS 
Linkbrokers Derivatives Corporation LINQ  0443†  CNS 
Lesko Securities Inc. LSKO  0226†  CNS 
Lipper Convertibles, L.P. LPCO  0551†  CNS 
Leumi Investment Services, Inc. LISI  0443†  CNS 
Liquidnet, Inc. LQNA  0352∆  0352†  CNS 
Levco Securities, Inc. LEVN  0418†  CNS 
Liquidnet, Inc. LQNB  0352∆  0352†  CNS 
Levinson (S.J.) & Sons LLC SJLS  0501∆ 
Liquidnet, Inc. LQNT  0352∆  0352†  CNS 
Levy, Harkins & Co., Inc. LEVY  0352∆  0352†  CNS 
Liquidnet, Inc. LQNF  0443†  CNS 
Lexington Investment Co. Inc. LEXI  0352∆  0352†  CNS 
Littlewood (L.P.) and Associates, Inc. LTLI  0141†  CNS 
LF Rothschild, LLC LFRO  0235∆  0235†  CNS 
Livermore Trading Group, Inc. LVMR  0100∆ 
Liberty Capital Investment Corp. PURP  0309∆  0309†  CNS 
Livevol Securities, Inc. LVLX  0017∆ 
Liberty Group, LLC JACQ  0226†  CNS 
LLK Insurance Brokerage Services,
Liberty Life Assurance Company of LLC 6009 
Boston 4641  Lloyds Securities Inc. LYSI  0443†  CNS 
Liberty Partners Financial Services,
Locust Street Securities, Inc. LSSM  0443†  CNS 
Inc. LPFS  0235∆  0235†  CNS 
Lodestar Securities Corp. LSTR  0824∆  0824†  CNS 
Liberum Capital Inc. LINC  0352∆  0352†  CNS 
Loeb Partners Corporation/Retail LOBR  0352∆  0352†  CNS 
Libucki & Co., LLC LBKI  0100∆ 
Lieblong & Associates, Inc. LASI  0141†  CNS  Loewen, Ondaatje, McCutcheon
USA Limited LOMU  0235∆  0235†  CNS 
Lifemark Securities Corp. LMAR  0226†  CNS 
Lighthouse Financial Group, LLC LFIN  0161†  CNS  Lombard Odier Transatlantic, Limited
Partnership TRNS  0408 
Lightspeed Trading, LLC INTG  0158∆  0158†  CNS 
Lombard Securities Incorporated LOMB  0279∆  0279†  CNS 
Lightspeed Trading, LLC LSPS  0158∆  0158†  CNS 
Long (S.G.) & Company SGLC  0235∆  0235†  CNS 
25 
 
 Alphabetical Reference 
          November 2014 
Long Island Financial Group, Inc LIFG  0309∆  0309†  CNS  Mainsail Group, LLC 5411 
Longbow Securities, LLC LBOW  0443∆  MAM Global Financial Services LLC 1205 
Loomis Sayles Trust Company, LLC 3755  Managed Account Services, LLC MASE  0141†  CNS 
Loop Capital Markets, LLC LOOP  0443∆  0443†  CNS  Manhattan Beach Trading Financial
Lord Abbett Distributor LLC/Lord Services, Inc. MBTS  0158∆  0158†  CNS 
Abbett Passport Portfolios PLC 1330  Manna Capital Management MFPC  0750∆  0750†  CNS 
Lord Abbett Distributors 5500  Manning & Napier Investor Services,
Inc. 5753 
Loring Ward Securities, Inc. 5672 
Manning (V.M.) & Co., Inc. MANI  0750∆  0750†  CNS 
Louis Capital Markets, L.P. LOUI  0501∆ 
Manufacturers & Traders Trust
Lowell & Company LOWL  0309∆  0309†  CNS  Company MTSD  0922  TFT 
Loyal3 Securities Inc. MKVA  0472 
Manufacturers & Traders Trust
LPL Financial Corporation YLPL  0075  0075  CNS  Company/TPA 2128 
LPL Financial Corporation/LPL
Insurance 4747  Manufacturers and Traders Trust
Company 0990 
LPL Financial, LLC 3477 
Manulife Securities Inc./CDS 5047 
LPS Partners Inc. SILK  0501∆  0279†  CNS 
Maple Securities USA, Inc. MAPL  0269 
LPS Partners Inc. LPSP  0501∆ 
Maplewood Investment Advisors,
LTC Investment Services, Inc. AIAI  0226†  CNS  Inc. MPLW  0226∆  0226†  CNS 
Lucia Securities, LLC HLIX  0235∆  0235†  CNS  Marco Polo Securities Inc. DVNE  0443†  CNS 
Lucia Securities, LLC 6900  Marco Polo Securities Inc. MPSC  0873∆ 
LXM Group LXMG  0824∆  Mariva Capital Markets, LLC BMSA  0443†  CNS 
M Fund Inc. 5425  Mark Boyar & Co., Inc. BOYR  0443†  CNS 
M Holdings Securities, Inc. 0757  Market Street Financial Group LLC 6901 
M&T Securities, Inc. MTDB  0443∆  0443†  CNS  MarketAxess Corporation MKTX  0443†  CNS 
M&T Securities, Inc. 0040  Marsco Investment Corporation MRSC  0287  0287  CNS 
M&T Securities, Inc. BALE  0443∆  Martinez-Ayme Securities AYME  0052∆  0052†  CNS 
M. E. Allison & Co., Inc. MEAL  0226∆  0226†  CNS  Marv Capital Inc. NTCP  0309∆  0309†  CNS 
M. S. Howells & Co. MSHI  0824∆  Mason Securities, Inc. MSIE  0443†  CNS 
M.J. Whitman, LLC / Third Avenue Massachusetts Mutual Life
Capital PLC 5916  Insurance Company 4545 
M.M. Dillon & Co. LLC PFFR  0750∆ 
Massachusetts Mutual Life
MacDougall, MacDougall & MacTier Insurance Company 5844 
Ltd./CDS 5022 
MINV  0235∆  0235†  CNS  Massachusetts Mutual Life
Mack Investments Securities, Inc.
Insurance Company/Administered by
Mackie Research Capital se2 Technology Solutions 3389 
Corporation/CDS MREC  5029∆  Massachusetts Mutual Life
Mackie Research Capital Insurance Company/First Mercantile
Corporation/CDS RECA  5029●  Trust Company 7953 
Massachusetts Mutual Life
Macquarie Asset Management Inc. 3849 
Insurance Company/Fund
Macquarie Capital (USA) Inc. MSUS  0114  Operations 4534 
Macquarie Capital (USA) Inc. MACQ  0114∆  Massachusetts Mutual Life
Macquarie Private Wealth/CDS YKTN  5016∆  Insurance Company/Life Insurance
Products 4768 
Macro Risk Advisors, LLC MRAD  0501∆ 
Massachusetts Mutual Life
Madison Avenue Securities MAVS  0443∆  0443†  CNS  Insurance Company/RS Plans
Madison Avenue Securities, Inc. 6428  Corporate 4662 
Madison Capital Markets, Inc. MACM  0161∆  0161†  CNS  Massachusetts Mutual Life
Madison Investment Advisors, LLC 6577  Insurance Company/RS Plans
Mutual Funds 5919 
Madison Investment Advisors, Massachusetts Mutual Life
LLC/Madison Funds 4987  Insurance Company/RS Plans TEM
Madison Investment Advisors, & NFP 4663 
LLC/Ultra Series Fund 3765  Massachusetts Mutual Life
MWCO  0443†  CNS  Insurance Company/Separate
Madison Williams and Company
Investment Accounts 3697 
Magna Securities Corp. MSCH  0443†  CNS  Massachusetts Mutual Life
Magnus (E.) Oppenheim & Co., Inc. EMOC  0750∆  0750†  CNS  Insurance Company/Tax Exempt
Maia Securities, Inc. MAIA  0235∆  0235†  CNS  and Not for Profit 7966 
Main Street Management Company MSMC  0188†  CNS  Matrix Capital Group, Inc. 5681 
Maine Securities Corporation MSCB  0279∆  Matrix Capital Group, Inc. / The
Mainline West Municipal Securities Monteagle Funds 6697 
LLC MLMS  0279†  CNS 
26 
 
 Alphabetical Reference 
          November 2014 
Matrix Capital Group, Inc./Amidex 6606  Merrill Lynch Pierce Fenner & Smith
Matrix Capital Group, Inc./Foundry Incorporated WVBD  0161∆  0161†  CNS 
Partners 3025  Merrill Lynch Professional Clearing
Corp. PRST  0551  0551  CNS 
Matrix Capital Group, Inc./Nest Egg Merrill Lynch, Pierce, Fenner &
Funds 5694  Smith Inc. MLCO  0161  0161  CNS 
Matrix Capital Group, Inc./Shields & Merrill Lynch, Pierce, Fenner &
Company 5843  Smith Inc. MLTX  0161∆ 
Matrix Capital Group, Inc./Stringer Merrill Lynch, Pierce, Fenner &
Asset Management 7085  Smith Incorporated MLMA  0161∆  0161†  CNS 
Matrix Capital Group, Inc./WP 1320  Merrill Lynch, Pierce, Fenner &
Matthew 25 Fund, Inc. 6637  Smith Incorporated 3098 
Matthews (Joseph) & Co. JMAT  0750∆  Merrill Lynch, Pierce, Fenner &
Maxim Group, LLC MAXM  0443∆  0443†  CNS  Smith Incorporated MLBC  0161∆ 
Maxwell Simon Inc. MXSI  0309∆  0309†  CNS  Merrill Lynch, Pierce, Fenner &
MBS Capital Markets, LLC MBSL  0443†  CNS  Smith Incorporated MLPK  0161∆ 
MBSC Securities Corporation MBSC  0161∆  0161†  CNS  Merrill Lynch, Pierce, Fenner &
MBSC Securities Corporation 5523  Smith Incorporated MLRM  0161∆ 
MBSC Securities Corporation/Mellon Merrill Lynch, Pierce, Fenner &
Bank N.A. (MCM) 6657  Smith Incorporated MLSE  0161∆ 
MBSC Securities Corporation/Mellon Merrill Lynch, Pierce, Fenner &
Bank N.A. (SMAM) 6538  Smith Incorporated MLSK  0161∆ 
MBSC Securities Corporation/Mellon Merrill Lynch, Pierce, Fenner &
Bank, NA (TBC) 6598  Smith Incorporated MLSL  0161∆ 
MBSC Securities Corporation/Mellon Merrill Lynch, Pierce, Fenner &
Global Funds 6615  Smith Incorporated MLTA  0161∆ 
MBSC Securities Corporation/The Merrill Lynch, Pierce, Fenner &
Bank of New York Mellon 5913  Smith Incorporated MLTC  0161∆ 
McCamish Systems, LLC 6403  Merrill Lynch, Pierce, Fenner &
McClurg Capital Corporation MCCL  0443∆  0443†  CNS  Smith Incorporated MLTE  0161∆ 
McCourtney-Breckenridge & Merrill Lynch, Pierce, Fenner &
Company MCTY  0235∆  0235†  CNS  Smith Incorporated MLTI  0161∆ 
McGowan (J.P.) & Company, Inc. JPMC  0443†  CNS 
Merrill Lynch, Pierce, Fenner &
McKelvey (George) Co., Inc. GMCK  0226∆  0226†  CNS  Smith Incorporated MLTJ  0161∆ 
McKenna (D.B.) & Co., Inc. DBMC  0725†  CNS 
Merrill Lynch, Pierce, Fenner &
McKim Capital, Inc. ROND  0750∆  0750†  CNS  Smith Incorporated MLTK  0161∆ 
McLiney & Company MCLI  8039  TFT 
Merrill Lynch, Pierce, Fenner &
McMahan Securities Co. L.P. MMAN  0443†  CNS  Smith Incorporated MLTL  0161∆ 
McMillion Securities, Inc. MCME  0702∆  0702†  CNS 
Merrill Lynch, Pierce, Fenner &
McNicoll, Lewis & Vlak LLC MLVM  0161∆  0161†  CNS  Smith Incorporated MLUA  0161∆ 
MDB Capital Group, LLC MDBC  0226∆  0226†  CNS 
Merrill Lynch, Pierce, Fenner &
Means Investment Company, Inc. MEAN  0226†  CNS  Smith Incorporated MLUB  0161∆ 
MEB Options, LLC MEBO  0695∆ 
Merrill Lynch, Pierce, Fenner &
Meeschaert Capital Markets, Inc. WMEI  0279∆  0279†  CNS  Smith Incorporated MLUC  0161∆ 
Mell (W.H.) Associates, Inc. MELL  0443†  CNS 
Merrill Lynch, Pierce, Fenner &
Melvin Securities, L.L.C. MLVN  0443†  CNS  Smith Incorporated PXCJ  0161∆ 
Mercadien Securities MERC  0235∆  0235†  CNS 
Merrill Lynch, Pierce, Fenner &
Mercator Associates, LLC MERQ  0161†  CNS  Smith Incorporated MLBB  0651∆ 
Mercator Associates, LLC MERQ  0052∆ 
Merrill Lynch, Pierce, Fenner &
Mercer Trust Company 0347  Smith Incorporated/Fixed Income BOFA  0773  0773  CNS 
Mercer Trust Company 7103 
Merrill Lynch, Pierce, Fenner &
Merchant Capital, LLC MCLL  6733  TFT  Smith, Inc. BCEX  0161∆ 
Mercor Securiteis LLC MSLC  0017∆ 
Merrill Lynch, Pierce, Fenner &
Meredith (Robert R.) & Co. MDTH  0443†  CNS  Smith, Inc. MLCA  0161∆ 
Meridian Equity Partners Inc. MERP  0824∆ 
Merrill Lynch, Pierce, Fenner &
Meritus Financial Group, Inc. MEFG  0750∆  0750†  CNS  Smith, Inc. MLCB  0161∆ 
Merlin Securities, LLC MERL  0352∆  0352†  CNS 
Merrill Lynch, Pierce, Fenner &
Merlin Securities, LLC RLIN  0501∆  Smith, Inc. MLCC  0161∆ 

27 
 
 Alphabetical Reference 
          November 2014 
Midland National Life Insurance
Merrill Lynch, Pierce, Fenner &
Company 7248 
Smith, Inc. MLCD  0161∆ 
Midland National Life Insurance
Merrill Lynch, Pierce, Fenner & Company/Sammons Retirement
Smith, Inc. MLCG  0161∆  Solutions 4758 
Merrill Lynch, Pierce, Fenner & Mid-Ohio Securities Corp. MIOH  0226†  CNS 
Smith, Inc. MLEL  0161∆  Midwestern Securities Trading
Merrill Lynch, Pierce, Fenner & Company, LLC MSTC  0226†  CNS 
Smith, Inc. MLEX  0161∆  Milkie Ferguson Investments, Inc. MIFI  0226†  CNS 
Merrill Lynch, Pierce, Fenner & Millegan (J.W.), Inc. JWML  0235∆  0235†  CNS 
Smith, Inc. MLTQ  0161∆  Millennium Advisors, LLC MADV  0443†  CNS 
Merrill Lynch, Pierce, Fenner & Miller Tabak & Co., LLC MTCN  0443†  CNS 
Smith, Inc. MLTV  0161∆  Millington Securities, Inc. MTON  0443∆ 
Merrill Lynch, Pierce, Fenner & Mills Value Adviser, Inc. 1208 
Smith, Inc. BCEP  0551∆  Ministry Partners Securities, LLC MINP  0235∆ 
Merrill Lynch, Pierce, Fenner & Minnesota Life Insurance Company 4560 
Smith, Inc./BAI 0424 
Minnesota Life Insurance
Merrimac Corporate Securities, Inc. MERX  0052∆  0052†  CNS  Company/Securian Life Insurance
Merriman Curhan Ford & Company MERI  0443∆  0443†  CNS  Company 4745 
Merrion Securities, LLC MERS  0352∆  0352†  CNS  Minnesota Valley Investments MVII  0235†  CNS 
Mesirow Financial, Inc. MRSW  0727  0727  CNS  Mint Brokers SEMT  0197∆  0197†  CNS 
Mesirow Financial, Inc. MSRO  0226∆  0226†  CNS  Mirae Asset Securities(USA) Inc. MASU  0279∆ 
Mesirow Financial, Inc. MESF  0443∆  0443†  CNS  Mischler Financial Group, Inc. MISL  0161∆  0161†  CNS 
MetLife Insurance Company of Mismi, Inc. MISM  0161†  CNS 
Connecticut 4583  Mission Securities Corporation MSEC  0750∆  0750†  CNS 
MetLife Investors Insurance Mitchell Securities Corporation of
Company 4505  Oregon MORE  0361∆ 
MetLife Investors USA Insurance Mitsubishi UFJ Securities (USA), Inc. MUFG  0076  0076  CNS 
Company 4602  Mizuho Securities (USA) Inc./Fixed
Metlife Securities, Inc. MSII  0443∆  0443†  CNS  Income 2396 
MetLife Securities, Inc. 0484  Mizuho Securities USA Inc. FUJI  0443†  CNS 
Metlife Securities, Inc./Metlife Mizuho Securities USA Inc. MZHO  0892 
Defined Contribution Group 0597  MKM Partners LLC MKMP  0161∆ 
Metlife Securities, Inc./TPA 7131  MML Bay State Life Insurance
Metropolitan Life Insurance Company 4546 
Company 5777  MML Investors Services, LLC GRPS  0226†  CNS 
Meyers Associates, L.P. MYLG  0052∆  0052†  CNS  MML Investors Services, LLC 0255 
Meyers Associates, L.P. MYRS  0750∆  0750†  CNS  MML Investors Services, LLC/MML
MFR Securities, Inc. MFRS  0443†  CNS  Distributors LLC 7975 
MFS Distributors Inc. 5516  MML Investors Services, LLC/MMLD
MFS Heritage Trust Company 6605  Additional Revenue 7984 
MFS International Funds 5840  MML Investors Services, LLC/MMLD
MG Trust Company, LLC 5954  Aviator 7989 
MHA Financial Corp MHAF  0750∆  MML Investors Services, LLC/MMLD
MICG Investment Management MICG  0141†  CNS  FMT Preferred 7982 
Michael J. Liccar & Company, LLC 1280  MML Investors Services, LLC/MMLD
Michael J. Liccar & Company, LLC 1281  Legacy SA 7987 
Michael J. Liccar & Company, LLC 1295  MML Investors Services, LLC/MMLD
Michigan Securities, Inc. MSIM  0226†  CNS  PE 7983 
Mid Atlantic Capital Corp. MACC  0226∆  0226†  CNS  MML Investors Services, LLC/MMLD
Mid Atlantic Capital Corp. 0101  SMF-PL 7980 
Mocho Trading LLC MOKO  0695∆ 
Mid Atlantic Capital Corp./Sungard-
Hinsdale 0102  Modern Woodmen of America 4760 
Mid Atlantic Trust Company 8150  Moloney Securities MOLO  0235∆  0235†  CNS 
Mid Florida Equities, Inc. MOFO  0750∆  Momentum Trading Partners, LLC MPLM  0651∆  0651†  CNS 
Midamerica Financial Services, Inc. MFSI  0052∆  Monarch Bay Associates, LLC MBAY  0052∆ 
Midas Securities Group, Inc. 5890  Monarch Capital Group LLC MNRC  0443∆  0443†  CNS 
Middlegate Securities Ltd. MDGS  0226∆  0226†  CNS  Monarch Financial Corporation of
Midland National Life Insurance America MFCA  0141†  CNS 
Company 4709 

28 
 
 Alphabetical Reference 
          November 2014 

Money Market One Institutional Multitrade Securities LLC MTRN  0443†  CNS 
Investment Dealer MYMK  0443†  CNS  Mundial Financial Group, LLC MULA  0873∆ 
Monness, Crespi, Hardt & Co., Inc. MWCC  0501∆  Mundoval Funds 4902 
Monroe Securities Inc. MONR  0352∆  0352†  CNS  Muniaxis Lebenthal LLC MNXS  0443†  CNS 
Montag & Joselson MOJO  0103†  CNS  Municipal Capital Market Group MCMG  0309∆  0309†  CNS 
Montage Securities, LLC MTSL  0226†  CNS  Municipal Partners MUNP  0443†  CNS 
Montecito Advisors, Inc. MAWI  0103∆  0103†  CNS  Murphy & Durieu MURF  0443∆  0443†  CNS 
Montrose Securities International MSIT  0161∆  Murphy & Durieu MURG  0103∆ 
Moors & Cabot, Inc. MCBT  0141∆  0141†  CNS  Mutual Money Investments, Inc. TRSR  0279†  CNS 
Moors & Cabot, Inc. MCIN  0161∆  0161†  CNS  Mutual of Omaha Investor Services,
Inc. 0398 
Mora WM Securities MORA  0352∆  0352†  CNS 
Morgan Creek Capital Management, Mutual Securities, Inc. CBOL  0226∆  0226†  CNS 
LLC 3681  Mutual Service Corporation MLPL  0075∆ 
Morgan Stanley & Co. Inc. MSED  0050∆  Mutual Trust Co. of America
Securities MTCA  0279∆ 
Morgan Stanley & Co. Inc. MSEK  0050∆ 
MV Securities Group, Inc. MVSG  0226∆  0226†  CNS 
Morgan Stanley & Co. Incorporated MSEA  0050∆ 
MYD Market, Inc MYDM  0595∆  0595†  CNS 
Morgan Stanley & Co. Incorporated MSEB  0050∆ 
Mystockfund Securities, Inc. MSFS  0052∆  0052†  CNS 
Morgan Stanley & Co. LLC MSCO  0050  0050  CNS 
N.A. Investments Services, Inc. NAIS  0443†  CNS 
Morgan Stanley & Co. LLC MSPD  0050∆  0050  CNS 
Nab Securities, LLC NACM  0443∆ 
Morgan Stanley & Co. LLC 5857 
NAFA Capital Markets, LLC NAFA  0309∆  0309†  CNS 
Morgan Stanley & Co. LLC MSEL  0050∆ 
Nanes Delorme Capital
Morgan Stanley & Co. LLC MSEM  0050∆  Management, LLC NDCM  0352∆  0352†  CNS 
Morgan Stanley & Co. LLC MSET  0050∆  NASDAQ Execution Services, LLC BRUT  0568 
Morgan Stanley & Co. LLC MSML  0050∆  NASDAQ Execution Services, LLC NQMR  0050∆ 
Morgan Stanley & Co. LLC MSMP  0050∆  NASDAQ Execution Services, LLC ILND  0520∆ 
Morgan Stanley & Co. LLC MSPL  0050∆  NASDAQ Execution Services, LLC PHLY  0520∆ 
Morgan Stanley & Co. LLC MSRP  0050∆  NASDAQ Execution Services, LLC DARQ  0568∆ 
Morgan Stanley & Co. LLC MSTX  0050∆  NASDAQ Execution Services, LLC INET  0568∆ 
Morgan Stanley & Co. LLC 0050∆  NASDAQ Execution Services, LLC NQRB  0568∆ 
Morgan Stanley & Co. LLC/Advisor NASDAQ Execution Services,
Funds 4970  LLC/Options NQOP  0520 
Morgan Stanley & Co. LLC/Dublin NASDAQ OMX BX, INC NQBX  0163  0163  CNS 
Liquidity 6646  NASDAQ OMX PHLX LLC NQPX  0237 
Morgan Stanley & Co. LLC/Liquidity NASDAQ Stock Market
Funds 5767  LLC/Omnibus Account NSDQ  0759 
Morgan Stanley & Co. LLC/Morgan NASDAQ Stock Market, LLC. (The) CAES  0734 
Stanley Investment Funds 4944  Nathan Hale Capital, LLC TAFI  0443†  CNS 
Morgan Stanley & Co. LLC/Universal National Alliance Securities
Institutional Inc 5512  Corporation NACL  0309∆  0309†  CNS 
Morgan Stanley & Co., Inc. MSNY  0015∆  0015†  CNS  National Alliance Securities
Corporation NASC  0100∆ 
Morgan Stanley & Co., Inc. MSOT  0050∆ 
National Banc Financial Inc. NBKT  5008∆ 
Morgan Stanley & Co., Inc. MSTW  0050∆ 
National Bank Financial of Canada
Morgan Stanley Broker Dealer PTLV  0443∆  0443†  CNS 
Inc.
Services 5232 
National Financial Services
Morgan Stanley Smith Barney LLC DEAN  0015  0015  CNS  Corporation NFSC  0226  0226  CNS 
Morgan Stanley Smith Barney LLC MSPW  0050∆  0050  CNS  National Financial Services LLC XSTM  0226∆ 
Morgan Stanley Smith Barney LLC 1287 
National Integrity Life Insurance
Morgan Wilshire Securities, Inc. MWIL  0235∆  0235†  CNS  Company 4550 
Morgenthau & Associates, Inc. MORG  0750∆  0750†  CNS 
National Life Insurance Company of
Morton Clarke, Inc. MCFM  0226†  CNS  Vermont 4555 
Motif Investing, Inc. MOTF  0158∆  National Planning Corp. 0668 
Mountainview Securities, LLC MVSC  0443∆  National Planning Corporation 3422 
MS Securities Services, Inc. MSSS  0050?  CNS  National Securities Corporation NAPK  0052∆  0052†  CNS 
MTG, LLC MTGO  0158∆  National Securities Corporation NATL  0226∆  0226†  CNS 
MTL Equity Products, Inc. MTLE  0235∆  0235†  CNS  National Securities Corporation 6472 
MUFG Union Bank NA/UBIS 3121  National Security Life and Annuity
MUFG Union Bank, N.A. 2145  Co. 4656 
Multi-Bank Securities, Inc. MTBK  0443†  CNS  Nations Financial Group, Inc. NFGR  0141†  CNS 
Multi-Financial Securities Group MULT  0443†  CNS  Nationwide Fund Distributors, LLC 6559 

29 
 
 Alphabetical Reference 
          November 2014 
Nationwide Investment Services
New York Life Insurance and Annuity
Corp. 0263 
Corporation/Fixed Income 4571 
Nationwide Life & Annuity Insurance Newbridge Securities Corporation BRGE  0052∆  0052†  CNS 
Company 4577 
Newbury Street Capital Limited
Nationwide Life Insurance Partnership NSCB  0443∆  0443†  CNS 
Co./Income Products 4530 
Newcourt Securities, Ltd. NWCT  0309∆ 
Nationwide Life Insurance Newedge Canada/CDS 5003 
Co./Variable Life 4650 
Newedge USA LLC PCAP  0608  0608  CNS 
Nationwide Life Insurance Company 4514 
Newedge USA LLC FMAT  0608∆  0608†  CNS 
Nationwide Life Insurance Newedge USA, LLC FIMU  0608∆ 
Company/Group Annuity 4515 
Newedge USA, LLC NEAT  0608∆ 
Nationwide Life Insurance Newedge USA, LLC NEFO  0608∆ 
Company/Group Trust 7092 
Newedge USA, LLC NEGB  0608∆ 
Nationwide Life Insurance Newedge USA, LLC NELD  0608∆ 
Company/NLICA 4576 
Newedge USA, LLC NENB  0608∆ 
Nationwide Securities, LLC 0605 
Newedge USA, LLC NESP  0608∆ 
Natixis Securities Americas LLC ABLE  0031  0031  CNS 
NewOak Capital Markets LLC NEWO  0443†  CNS 
Navaid Financial Services PHRS  0309∆  0309†  CNS 
Newport Coast Securities NCIS  0052∆  0052†  CNS 
Navigate Advisors LLC NVGT  0388∆  0388†  CNS 
Newport Coast Securities NCSI  0103∆  0103†  CNS 
NBCN, Inc./CDS FMAF  5008● 
Newport Group Securities, Inc. 7218 
NBF Securities (USA) Corp. NBFI  5008∆ 
Nexcore Capital, Inc. NEXC  0750∆ 
Needham & Company, LLC NEED  0352∆  0352†  CNS 
Next Financial Group, Inc. NEXT  0443†  CNS 
Needham & Company, LLC 5587 
NFP Securities, Inc. PSII  0226†  CNS 
Neidiger, Tucker, Bruner, Inc. NTBC  0279∆  0279†  CNS 
NFP Securities, Inc. 0481 
Neiman Funds 5738 
NFSCO - Stock Loan 5157 
Nelnet Capital LLC UFSM  0750∆  0750†  CNS 
NGAM Distribution, L.P. 5542 
Nelnet Capital LLC/College Savings
NGAM Distribution, L.P./Aurora
Group 6583 
Horizons Series 7080 
Nelnet Capital, LLC 5880 
NGAM Distribution, L.P./Loomis
Nelson (Martin) & Co., Inc. MNCO  0279∆  0279†  CNS 
Sayles Funds 5714 
Nelson Securities, Inc. NELS  0235∆  0235†  CNS 
NGAM Distribution, L.P./Natixis
Nelsonreid, Inc. TIGC  0235∆  0235†  CNS 
International funds (Dublin) I 6678 
Nesbitt Thomson Securities, Inc. NTSI  0443†  CNS 
NGAM Distribution, L.P./Natixis
Nestlerode & Co., Inc. NSRD  0235∆  0235†  CNS 
International funds (LUX) I 6677 
Network 1 Financial Securities Inc. NTFN  0052∆  0052†  CNS 
Nicholas Company, Inc. 5590 
Neuberger Berman Management
LLC 5810  Nikoh Securities Corporation NIKH  0750∆  0750†  CNS 
Noble Financial Capital Markets NOBL  0100∆  0443†  CNS 
Neuberger Berman Management
LLC/AMT Funds 5665  Nomura Securities International, Inc. NMRA  0180 
Neuberger Berman Management Nomura Securities International, Inc. NMRB  0180∆ 
LLC/Neuberger Berman Collective Nomura Securities International,
Trusts 6591  Inc./Fixed Income 5222 
Neuberger Berman Management Nordea Investment Funds S.A. 7089 
LLC/Neuberger Berman Investment North Capital Private Securities
Funds 6681  Corporation 1088 
Neuberger Berman, LLC NBLB  0352∆  0352†  CNS 
North Capital Private Securities
New Capital Fund Management
Corporation 3453 
Limited 7941 
North Ridge Securities Corp. NRSC  0443†  CNS 
New Castle Financial Group, Inc NCFS  0052∆  0052†  CNS 
North South Capital LLC NOSO  0443∆ 
New England Securities Corp. 0707 
North Star Investment Services, Inc. ABYL  0226†  CNS 
New England Securities Corporation NESS  0443∆  0443†  CNS 
Northeast Investors Growth Fund 5821 
New Horizons Asset Management
Northeast Investors Trust 5778 
Group, LLC NHMG  0226†  CNS 
Northeast Retirement Services, Inc 7104 
New Vernon Investment
Northeast Securities, Inc. NESC  0443∆  0443†  CNS 
Management LLC 1642 
Northeastern Financial Group Inc. NFGI  0017∆ 
New York Life Insurance and Annuity
Northern Capital Sec. Corp. NORC  0235∆  0235†  CNS 
Corp. 4548 
Northern Lights Distributors, LLC 4915 
New York Life Insurance and Annuity
Corporation/Eagle Strategies 7051  Northern Lights Distributors,
LLC/7Twelve Balanced Portfolio 5604 

30 
 
 Alphabetical Reference 
          November 2014 

Northern Lights Distributors, Northern Lights Distributors,

LLC/Adaptive Allocation Fund 6694  LLC/Crow Point Fund 3322 
Northern Lights Distributors,
Northern Lights Distributors,
4904  LLC/CWC Aggressive Value Small
LLC/AdvisorOne Funds
Cap Fund 5379 
Northern Lights Distributors,
7018  Northern Lights Distributors,
LLC/Aftershock Strategies Fund
LLC/Day Hagan Funds 3317 
Northern Lights Distributors, LLC/AIS
Tactical Asset Allocation Portfolio 3325  Northern Lights Distributors,
LLC/Discretionary Managed Futures
Northern Lights Distributors, LLC/Al Strategy Fund 7095 
Frank Funds 4993 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Dynamic Total Return Fund 3045 
LLC/AlphaCentric Funds 3100 
Northern Lights Distributors,
Northern Lights Distributors, LLC/EAS Funds 5701 
LLC/Altegris Mutual Funds 5333 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Empiric Core Equity Fund 5561 
LLC/AmericaFirst Funds 3314 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Equinox Funds 7948 
LLC/Anfield Funds 3386 
Northern Lights Distributors,
Northern Lights Distributors, LLC/AR LLC/Even Keel Funds 3006 
Capital Funds 7949 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Eventide Funds 3316 
LLC/Armor Funds 1306 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Footprints Discover Value Fund 7030 
LLC/Ascendant Funds 3743 
Northern Lights Distributors,
Northern Lights Distributors, LLC/FVIT Portfolios 1375 
LLC/Astor Funds 5400 
Northern Lights Distributors, Northern Lights Distributors,
LLC/Bandon Isolated Alpha Fixed LLC/Ginkgo Multi-Strategy Fund 3744 
Income Fund 5393  Northern Lights Distributors, LLC/GL
Northern Lights Distributors, Beyond Income Fund 3301 
LLC/Beech Hill Total Return Fund 5129  Northern Lights Distributors,
Northern Lights Distributors, LLC/GMG Defensive Beta Fund 5934 
LLC/Biondo Fund 5477  Northern Lights Distributors,
Northern Lights Distributors, LLC/Good Harbor Funds 7038 
LLC/Boyar Value Fund 5796  Northern Lights Distributors,
Northern Lights Distributors, LLC/Granite Harbor Funds 5396 
LLC/Braver Tactical Opportunity Northern Lights Distributors,
Fund 3339  LLC/Grant Park Managed Futures
Northern Lights Distributors, Strategy Fund 5615 
LLC/BTS Funds 5401  Northern Lights Distributors,
Northern Lights Distributors, LLC/HCM Tactical Growth Fund 3103 
LLC/Camelot Funds 3320  Northern Lights Distributors,
LLC/Horizon Active Asset Allocation
Northern Lights Distributors, Fund 3614 
LLC/Catalyst Funds 5527 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Hundredfold Funds 3767 
LLC/Chadwick & D'Amato Fund 5382 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Inflation Hedges Strategy Fund 3338 
LLC/CMG Funds 6541 
Northern Lights Distributors,
Northern Lights Distributors, LLC/Innealta Funds 3795 
LLC/Compass EMP Funds 6607 
Northern Lights Distributors,
Northern Lights Distributors,
7017  LLC/Investment Partners
LLC/Conductor Global Fund
Opportunities Fund 5414 
Northern Lights Distributors,
5395  Northern Lights Distributors,
LLC/Copeland Funds
LLC/Iron Horse Fund 3724 
Northern Lights Distributors,
LLC/Counterpoint Tactical Income Northern Lights Distributors,
Fund 3145  LLC/Issachar Fund 3033 
Northern Lights Distributors, Northern Lights Distributors,
LLC/Cozad Small Cap Value Fund 3067  LLC/JAG Funds 3603 

31 
 
 Alphabetical Reference 
          November 2014 
Northern Lights Distributors,
Northern Lights Distributors,
3701  LLC/Princeton Futures Strategy
LLC/JNF Portfolios
Fund 5381 
Northern Lights Distributors,
5041  Northern Lights Distributors,
LLC/KCM Macro Trends Fund
LLC/Probabilities Fund 7093 
Northern Lights Distributors, LLC/KF
Griffin Blue Chip and Covered Call Northern Lights Distributors, LLC/PSI
Fund 1313  Funds 5335 
Northern Lights Distributors, Northern Lights Distributors,
LLC/Ladenburg Thalmann LLC/Puerto Rico Growth Fund 6624 
Alternative Strategies Fund 5344  Northern Lights Distributors,
Northern Lights Distributors, LLC/Quantified Funds 7939 
LLC/Larkin Point Equity Preservation Northern Lights Distributors,
Fund 1370  LLC/Redwood Managed Volatility
Northern Lights Distributors, Fund 1365 
LLC/Lifetime Achievement Fund 6514  Northern Lights Distributors,
Northern Lights Distributors, LLC/RESQ Funds 3019 
LLC/Linde Hansen Contrarian Value
Fund 3616  Northern Lights Distributors,
LLC/Roge Partners Funds 4933 
Northern Lights Distributors,
LLC/LJM Funds 7016  Northern Lights Distributors,
LLC/SFG Futures Strategy Fund 3610 
Northern Lights Distributors,
Northern Lights Distributors,
LLC/Longboard Managed Futures 5628 
LLC/Sierra Funds
Strategy Fund 3347 
Northern Lights Distributors,
Northern Lights Distributors, 3397 
LLC/SignalPoint Global Alpha Fund
LLC/Marathon Value Portfolio 5303 
Northern Lights Distributors,
Northern Lights Distributors, 3321 
LLC/SMH Funds
LLC/Mariner Hyman Beck Fund 3794 
Northern Lights Distributors,
Northern Lights Distributors, 3014 
LLC/Spectrum Mutual Funds
LLC/Miller Convertible Funds 5622 
Northern Lights Distributors, Northern Lights Distributors,
LLC/Modern Technology Fund 7015  LLC/Superfund Managed Futures
Strategy Fund 7951 
Northern Lights Distributors,
LLC/Morgan Creek Global Funds 7970  Northern Lights Distributors,
LLC/Sustainable Opportunities Fund 3326 
Northern Lights Distributors,
LLC/Navigator Funds 5394  Northern Lights Distributors,
LLC/Swan Defined Risk Fund 3357 
Northern Lights Distributors,
LLC/Newfound Funds 3068  Northern Lights Distributors,
LLC/Tactical Asset Allocation Fund 7992 
Northern Lights Distributors, Northern Lights Distributors,
LLC/Nile Funds 5359  LLC/Taylor Xplor Managed Futures
Northern Lights Distributors, Strategy Fund 3384 
LLC/North Country Funds 5433  Northern Lights Distributors,
Northern Lights Distributors, LLC/Teberg Funds 4916 
LLC/North Star Funds 3783  Northern Lights Distributors,
Northern Lights Distributors, LLC/Teton Valley Fund 3027 
LLC/OCM Gold Fund 6663  Northern Lights Distributors,
Northern Lights Distributors, LLC/Texas 529 3112 
LLC/OnTrack Core Fund 7050  Northern Lights Distributors,
Northern Lights Distributors, LLC/The Covered Bridge Fund 7991 
LLC/Pacific Financial Funds 5644  Northern Lights Distributors,
Northern Lights Distributors, LLC/The FX Strategy Fund 3722 
LLC/PCS Commodity Strategy Fund 3126  Northern Lights Distributors,
Northern Lights Distributors, LLC/The Giralda Fund 3716 
LLC/Persimmon Long/Short Fund 3617  Northern Lights Distributors,
Northern Lights Distributors, LLC/The Multi-Strategy Growth &
LLC/Pinnacle Tactical Allocation Income Fund 3784 
Fund 7094  Northern Lights Distributors,
Northern Lights Distributors, LLC/The Saratoga Advantage Trust 4959 
LLC/Power Income Fund 5332  Northern Lights Distributors,
Northern Lights Distributors, LLC/Timothy Plan 6518 
LLC/Predex 7128 

32 
 
 Alphabetical Reference 
          November 2014 

Northern Lights Distributors, NW Capital Markets Inc. NWCM  0279∆  0279†  CNS 
LLC/Toews Funds 5906  NY Life Securities, Inc. NYLS  0226†  CNS 
Northern Lights Distributors, NYLIFE Securities, LLC 5539 
LLC/TOPS Portfolios 3711  NYLIFE Securities, LLC/Collective
Northern Lights Distributors, Trust 5787 
LLC/Total Income + Real Estate
NYLife Securities, LLC/New York
Fund 3387 
Life Insurance Company Group
Northern Lights Distributors, Annuity Contracts 5363 
LLC/Tributary Funds 5853  NYPPEX, LLC NYPP  0235∆  0235†  CNS 
Northern Lights Distributors, O N Equity Sales Co. ONES  0443†  CNS 
LLC/Two Oaks Fund 3751  O.N. Equity Sales Company (The) 0092 
Northern Lights Distributors, O.N. Equity Sales Company
LLC/Vertical Capital Income Fund 3769  (The)/Ohio National 4753 
Northern Lights Distributors, Oakmark Funds (The) 4851 
LLC/Vice Funds 7020  OBD Securities LLC OBDS  0695∆ 
Northern Lights Distributors, Oberweis Securites, Inc. OBWS  0226∆  0226†  CNS 
LLC/VRM Funds 3315  Oberweis Securities, Inc. 5697 
Northern Lights Distributors, Obex Securities LLC OBEX  0017∆ 
LLC/Wade Tactical L/S Fund 5939  O'Brien & Shepard, Inc. OBSH  0279∆  0279†  CNS 
Northern Lights Distributors, GSCL  0750∆  0750†  CNS 
Obsidian Financial Group LLC
LLC/West Shore Real Return
Income Fund 1366  Ocean Financial Services, LLC OCEA  0052∆ 
O'Connor & Company Securities Inc. OCON  0103†  CNS 
Northern Lights Distributors, OTGN  5042● 
Octagon Capital Corp./CDS
LLC/Witherspoon Managed Futures
Strategy Fund 3304  Octavus, LLC STRT  0352†  CNS 
OCTEG LLC OCTG  0295∆ 
Northern Lights Distributors,
LLC/WOA All Asset I 3632  Odeon Capital Group LLC ODNC  0443∆  0443†  CNS 
OFG Financial Services Inc. OFGF  0235∆  0235†  CNS 
Northern Lights Distributors,
Ogilvie Security Advisors
LLC/Zeo Strategic Income Fund 3715 
Corporation OTSC  0443†  CNS 
Northern Trust Company (The) 2669  Ohio National Life Insurance
Northern Trust Company (The) 6625  Company 4526 
Northern Trust Company (The) - Old Mission Capital, LLC OLDM  0501∆  0501†  CNS 
Trust Income Collections 0993  Old Mutual Bermuda Business
Northern Trust Company (The)/Sub- Services, Inc 6910 
Advised Collective Funds Trust-LSV 3698  Olivetree USA, LLC OTUS  0443∆ 
Northern Trust Company/Fixed Olmsted & Mulhall, Inc. OLMM  0750∆  0750†  CNS 
Income Investment Fund, a Fund of OCAC  0235∆  0235†  CNS 
Olson, Cross & Alamo LLC
the Chicago Equity Partners Group
Trust 3772  Olstein Associates, Inc. 5775 
Olympia Asset Management, Ltd. RCLF  0235∆  0235†  CNS 
Northern Trust Company/Great Banc
Collective Investment Trust I 6689  Olympus Securities, LLC OLMP  0052∆  0052†  CNS 
Northern Trust Company/Mondrian OM Securities, LLC OMSL  0158∆ 
Wal-Mart Focused International Omega Research Corporation DXSI  0279∆ 
Equity Fund 4900  One America Securities, Inc 5315 
Northern Trust Securities, Inc. NTRC  0226∆  0226†  CNS  OneAmerica Funds, Inc. 5689 
Northland Securities, Inc. NORT  0443∆  0443†  CNS  O'Neil (William) & Co. Inc. ONEL  0161∆  0161†  CNS 
Northstar Financial Partners NSFP  0235∆  0235†  CNS  Online Brokerage Services, Inc. GLBZ  0443†  CNS 
Northwestern Mutual Investment Oppenheimer & Close Inc. POPP  0443†  CNS 
Services, LLC 0171  Oppenheimer & Co., Inc. OPCO  0571  0571  CNS 
Northwestern Mutual Life Insurance Oppenheimer Trust Company 0303 
Company 4590  OppenheimerFunds Distributor, Inc. 5511 
Noyes (David A.) & Co. NOYS  0141†  CNS 
OppenheimerFunds Distributor,
NRP Financial, Inc. OFCC  0352†  CNS  Inc./New Mexico 529 Plan 4941 
NS AM Member, LLC 1489 
OppenheimerFunds Distributor,
NSM Securities, Inc. NSMS  0750∆  0750†  CNS  Inc./Oregon 529 Product 5470 
Nunami Services, LLC NAMB  0330∆  Optionshouse Corporation EZOP  0158∆ 
Nunami Services, LLC NAMI  0695∆  OptionsXpress, Inc. OXPS  0338  0338  CNS 
Nuveen Securities, LLC NVEN  0448  0448  CNS  Optiver US, LLC OPTU  0695∆ 
Nuveen Securities, LLC 5520  Opus Fund Services (USA) LLC 1143 
Nuveen Securities, LLC/Dublin
Opus Fund Services (USA) LLC 1144 
Funds 4828 
33 
 
 Alphabetical Reference 
          November 2014 
Opus Fund Services (USA) LLC 1149  Paradigm Funds 5476 
Opus Fund Services (USA) LLC 1152  Pareto Securities Inc NORP  0443∆  0443†  CNS 
Opus Fund Services (USA) LLC 1164  Pariter Securities, LLC FJRF  0226†  CNS 
Opus Fund Services (USA) LLC 1165  Park Avenue Securities LLC PASC  0443†  CNS 
Opus Fund Services (USA) LLC 1167  Park Avenue Securities, LLC 0496 
Opus Fund Services (USA) LLC 1171  Parker (S.C.) & Co., Inc. PARK  0443†  CNS 
Opus Fund Services (USA) LLC 1172  Parkland Securities, LLC SMNS  0226†  CNS 
Opus Fund Services (USA) LLC 1173  Parkland Securities, LLC 5347 
Opus Fund Services (USA) LLC 1176  Parnassus Investments 5783 
Opus Fund Services (USA) LLC 1177  Paulson Investment Company, Inc. PAUL  0235∆  0235†  CNS 
Opus Fund Services (USA) LLC 1179  Pavilion Global Markets Ltd BROC  0443∆ 
Opus Fund Services (USA) LLC 1182  Payden & Rygel Distributors 5535 
Opus Fund Services (USA) LLC 1183  PCBB Capital Markets, LLC BIGS  0352∆  0352†  CNS 
Opus Fund Services (USA) LLC 1243  PDQ ATS PDQM  0161∆ 
Opus Fund Services (USA) LLC 1285  PDQ ATS, Inc. PDQX  0161∆ 
Opus Fund Services (USA) LLC 1424  Peachtree Capital Corporation PCCA  0226†  CNS 
Opus Fund Services (USA) LLC 1457  Pembrook Capital Management, LLC 1884 
Opus Fund Services (USA) LLC 1470  Penates Group Inc. BOBO  0235∆  0235†  CNS 
Opus Fund Services (USA) LLC 1471  Pencal Administrators, Inc. 6150 
Opus Fund Services (USA) LLC 1498  Penn Investment Group, Inc. (The) PIGS  0443†  CNS 
Opus Fund Services (USA) LLC 1685  Penn Mutual Life Insurance
Company 4572 
Opus Fund Services (USA) LLC 1748 
Pennaluna & Company Inc. PENA  0226∆  0226†  CNS 
Opus Fund Services (USA) LLC 1752 
Pennsylvania Group Incorporated
Opus Fund Services (USA) LLC 2737  (The) PENG  0443†  CNS 
Oriental Financial Services ORTL  0443†  CNS  Penrod Financial Group PENC  0052∆  0052†  CNS 
Orion Trading, LLC OREO  0052∆  PENSCO Trust Company LLC 0579 
Oscar Gruss & Son, Incorporated OGRU  0161∆  0161†  CNS  Penserra Securities, LLC PNSA  0161∆  0161†  CNS 
Oscar Gruss & Son, Incorporated 0420  Penserra Securities, LLC PNSR  0161∆  0161†  CNS 
Oshima & Associates OSHM  0226†  CNS  Pension Planners Securities, Inc. PPSI  0235∆  0235†  CNS 
OTA Limited Partnership OTAA  0551∆  Penson Financial Services, Inc. PFAR  0099∆ 
OTA, LLC OTAM  0050∆  Penson Financial Services, Inc. PITG  0099∆ 
OTA, LLC OTAS  0551∆  Penson Financial Services, Inc. PFCM  0158∆ 
Otkritie Inc. OTKR  0352∆  0352†  CNS  Penson Financial Services, Inc. PEAR  0436∆ 
OTR Global Trading LLC OTRT  0551∆  People's Securities, Inc. PEOP  0220 
P.J. Robb Variable Corporation 6906  Peraza Capital and Investment, LLC PECA  0279∆  0279†  CNS 
Pace (A.J.) & Co., Inc. AJAY  0352∆  Percival Financial Partners, Ltd. PERC  0279∆  0279†  CNS 
Pacific American Securities, LLC PAMS  0443†  CNS  Perdiue Securities, LLC PERD  0100∆ 
Pacific Commonwealth Corporation PCMC  0750∆  Perennial Fund Services, LLC 1238 
Pacific Crest Securities PACS  0226∆  Perennial Fund Services, LLC 3489 
Pacific Financial Associates, Inc. PFAI  0750∆  Performance Trust Capital Partners,
Pacific Global Fund, Inc. 4860  Inc. BBNI  0443†  CNS 
Pacific Investment Securities Corp. PISC  0750∆  Perkins, Smart & Boyd, Inc. PERK  0309∆ 
Pacific Life & Annuity Company 4589  Permac Securities PMAC  0158∆ 
Pacific Life Insurance Company 4532  Pershing Advisor Solutions, LLC PASL  0443∆  0443†  CNS 
Pacific Life Insurance Company/ Life Pershing LLC PERS  0443  0443  CNS 
Division 6545  Pershing LLC PERB  0443∆ 
Pacific Life Insurance Company/Life Pershing LLC PERX  0443∆ 
Division 4616  Pershing LLC, Principal Trading PERT  0443∆ 
Pacific Select Distributors, Inc. 5478  Pershing LLC/BNYM I.S. Trust FBO
Pactual Capital Corp. PCCN  0443†  CNS  Health Savings Accounts Customers 0592 
Palmer Square Capital Management Pershing LLC/BNYM I.S. Trust FBO
LLC 1899  Managers Funds Wrap Program 0657 
Palmieri (Angnardo) & Co., Inc. DPAA  0235∆  0235†  CNS 
Pershing LLC/BNYM I.S. Trust FBO
Paloma Securities PLMA  0352∆  0352†  CNS  Morningstar Wrap Program 0474 
Panamerica Securities PANA  0443†  CNS 
Pershing LLC/Primerica Financial
Pan-American Financial Advisors PAFA  0443†  CNS  Services 0689 
Pangburn Company, The 7145  Peters & Co. Limited/CDS 5014 
Papamarkou Wellner & Co. PAPA  0352∆  Petrie Parkman & Company, Inc. PTRI  0443†  CNS 

34 
 
 Alphabetical Reference 
          November 2014 
PFS Funds 6683  Pond Equities POND  0141†  CNS 
PFS Investment Inc. 0468  Popular Securities, Inc. POPI  6779  TFT 
PGR Securities, LLC PGRS  0443†  CNS  Popular Securities, Inc. POPS  0226†  CNS 
Philadelphia Investors, Ltd. PHIN  0443†  CNS  Popular Securities, Inc. 5687 
Phillips & Company Securities, Inc. PHCO  0443∆  0443†  CNS  Portales Partners, LLC TANA  0443∆ 
PHL Variable Life Insurance Porter Christie Partners, L.P. PCCM  0352∆ 
Company 4582 
Portfolio Advisors A PAAI  0235∆  0235†  CNS 
PHL Variable Life Insurance Portfolio Brokerage Services Inc. PBSI  8052 
Company/Part Advisor 4711 
Portsmouth Financial Services PMFS  0443∆  0443†  CNS 
Phoenix Life and Annuity Company 4759 
Potamus Trading, LLC HPPO  0161∆ 
Phoenix Life Insurance Company 4579 
Powell (Elmer E.) Company POWL  0443∆  0443†  CNS 
Phoenix Life Insurance
Company/Single Premium Deferred Powell Capital Markets, Inc. POCM  0443†  CNS 
Annuities 4538  PPB Advisors, LLC 1833 
PI Financial Corp. USLF  5075∆  Prager, Sealy & Co., LLC PMLC  0443∆  0443†  CNS 
PI Financial Corp./CDS PCFF  5075●  Pragma Securities LLC PRAG  0161∆ 
Pickering Energy Partners, Inc. PICK  0161∆  0161†  CNS  Prebon Financial Products Inc. PFPI  0161∆  0443†  CNS 
Pictet Canada L.P./CDS PICF  5027●  Prebon Financial Products Inc. PBON  0501∆  0501†  CNS 
Pictet Overseas, Inc. PICT  5027∆  Prebon Financial Products Inc. PREB  0501∆ 
Piedmont Fund Services, Inc. 1485  Precision Capital Advisors, LLC 1161 
Piedmont Fund Services, Inc. 1948  Precision Securities LLC PREC  0100∆ 
PIMCO Investments LLC 4991  Precision Securities, LLC PINT  0873∆ 
PIMCO Investments LLC 9234  Precision Securities, LLC CNTR  0103∆ 
Pimco Investments LLC/Fish 5784  Preferred Client Group, Inc. PFCG  0279∆  0279†  CNS 
PIMCO Investments LLC/Global Preferred Product Network, Inc. 4744 
Investor Series 4836  Presidential Bank, FSB 5987 
Pine Securities USA LLC PSUS  0443†  CNS  Presidential Brokerage, Inc. PRSB  0141†  CNS 
Pinnacle Capital Markets, LLC FRWY  0017∆  Presidential Brokerage, Inc. 6904 
Pinnacle Capital Markets, LLC PCMT  0052∆  Pressprich (R.W.) & Company Inc. RWPS  0352∆  0352†  CNS 
Pinnacle Investments LLC/PCM Preste Capital Partners S.A. 1156 
Funds 3075  Primary Capital, LLC PMRY  8072∆ 
Pinnacle Investments, LLC PINA  0226†  CNS  Prime Executions, Inc. SIBO  0100∆ 
Pinnacle Investments, LLC 4925  Prime Global Securities, Inc. PGSI  0443†  CNS 
Pinney Insurance Center, Inc. 6028  Prime Solutions Securities, Inc. STLR  0235∆  0235†  CNS 
Pioneer Investment Management Princeton Securities Group, LLC PRSG  0824∆ 
USA Inc. 5502  Principal Life Insurance Company 4592 
Pioneer Investment Management
USA Inc./Pioneer Funds Principal Life Insurance
International 5743  Company/Pension Division 4665 
Piper Jaffray & Co. PIPR  0311  0311  CNS  Principal Life Insurance
Piper Jaffray & Co. HPWD  0311∆  0311†  CNS  Company/Principal National Life
Piper Jaffray & Co. PIPS  0311∆  Insurance Company 4752 
Piper Jaffray & Co. PIPX  0311∆  Princor Financial Securities, Inc. PFSM  0188∆ 
Pirrone & Co., Inc. PIRR  0443†  CNS  Princor Financial Services 0375 
0489  Princor Financial Services
Planmember Securities Corporation
Corporation 5546 
Planned Investment Co., Inc. PICC  0235∆  0235†  CNS  Princor Financial Services
Planner Securities LLC CASH  0158∆  Corporation /Principal Life Insurance
Plymouth Industrial REIT, Inc. 1867  Company 5607 
PMK Securities & Research, Inc. PMKS  0141†  CNS  Princor Financial Services
PNC Bank N.A. PNCM  2835  TFT  Corporation/PGI 5212 
PNC Bank, N.A. 2616  Princor Financial Services
PNC Bank, N.A./IPS 2317  Corporation/Principal Funds 5836 
PNC Funds Distributor, LLC 5151  Princor Financial Services
PNC Funds Distributor, LLC/PNC Corporation/Union Bond & Trust 4811 
Funds 5879  Princor Financial Services, Inc./M 0175 
PNC Investments PNCC  0226∆  0226†  CNS  Private Client Services, LLC 6011 
PNC Investments PNCI  0768∆  0768†  CNS  Private Portfolio, Inc. PRPO  0443†  CNS 
Podesta & Co. PODE  0235∆  0235†  CNS  Pro Securities, L.L.C. PROS  0873∆ 
Pointe Capital, LLC PRBC  0235∆  0235†  CNS  ProEquities PROE  0443∆  0443†  CNS 
Polar Investment Counsel, Inc. PICI  0279∆  0279†  CNS  ProEquities, Inc. 6326 

35 
 
 Alphabetical Reference 
          November 2014 

ProEquities, Inc./Insurance Prudential Investment Management

Processing Division 7007  Services, LLC 0450 
Professional Asset Management,
Prudential Investment Management
Inc. PAMI  0141†  CNS 
Services, LLC 5805 
Professional Investments Services,
Inc. PFIS  0279∆  0279†  CNS  Prudential Investment Management
Profinancial Inc. PFFI  0279†  CNS  Services, LLC/Worldwide Inv.
ProFunds Distributors, Inc. 4969  Portfolio Funds 5746 
Progressive Asset Management PAMC  0226†  CNS  PSA Equities, Inc. PSAE  0141†  CNS 
Prospera Financial Services ADSO  0141†  CNS  PSG Executions, Inc. PSGX  0501∆ 
Protected Investors of America PIAC  0226∆  0226†  CNS  PTI Securities & Futures L.P. PTIS  0235∆  0235†  CNS 
PTI Securities & Futures L.P. PTIX  0017∆ 
Protective Life and Annuity
Insurance Company 4540  Pulaski Bank PULB  0052†  CNS 
Protective Life Insurance Company 4503  Puma Capital, LLC PUMA  0158∆ 
Puplava Securities, Inc. PUPL  0226∆  0226†  CNS 
Protective Life Insurance Company
of New York 4629  Purshe Kaplan Sterling Investments SARG  0226†  CNS 
Provident Trust Group, LLC 1237  Putnam Retail Management PROG  0226†  CNS 

PRS International Investment Putnam Retail Management Limited

Advisory Services Inc. 3408  Partnership 5505 
PRUCO Life Insurance Company 4597  Putnam Retail Management Limited
Partnership/Embassy Funds 5893 
Pruco Life Insurance Company of
New Jersey/SA VAR Annuity 1341  PWMCO, LLC MPWA  0467 
QTrade Securities Inc./CDS 5009 
Pruco Life Insurance Company of
New Jersey/SA VAR Life 1346  Quad Securities LLC QSEC  0551∆ 
PRUCO Life Insurance Company of Quantex Clearing, LLC QNTX  0294 
NJ 4598  Quantlab Securities LP FQLB  0396∆ 
Pruco Life Insurance Company/SA Quantlab Securities LP FQLS  0396∆ 
VAR Annuity 1339  Quantlab Securities LP ETAI  0873∆ 
Pruco Life Insurance Company/SA Quantlab Securities LP QETC  0873∆ 
VAR Life 1338  QuantRiver Financial, LLC QRQR  0017∆ 
Pruco Securities, LLC PRUC  0226†  CNS  Quantum Edge Derivatives Trading
LLC QEDA  0695∆ 
Prudential Annuities Life Assurance
Quasar Distributors LLC/BlueBay
Corporation 4504 
Funds 3074 
Prudential Annuities Life Assurance
Quasar Distributors LLC/Henderson
Corporation/SA VAR Annuity 1319 
Gartmore Offshore Funds 3083 
Prudential Annuities Life Assurance
Quasar Distributors LLC/Henderson
Corporation/SA VAR Life 1314 
Horizon Offshore Funds 5866 
Prudential Equity Group, LLC PRGL  0141†  CNS 
Quasar Distributors LLC/Longbow
Prudential Insurance Co. (The) 4596 
Capital Funds 3115 
Prudential Insurance Company of
Quasar Distributors LLC/Sound Point
America 4968 
Funds 3079 
Prudential Insurance Company of
Quasar Distributors LLC/Vivaldi
America (The)/Pruco Securities LLC 3124 
Funds
2 3071 
Quasar Distributors LLC/Welton
Prudential Insurance Company Of 3044 
Partners
America/Product Administration By
Se2 1378  Quasar Distributors, LLC 5368 
Quasar Distributors, LLC / CAN Slim
Prudential Insurance Company of 6567 
Funds
America/Prudential Insurance Co. of
America 4733  Quasar Distributors, LLC/Aberdeen
Offshore Funds 4957 
Prudential Insurance Company of Quasar Distributors, LLC/AC One
America/Prudential Ret. Insurance & Funds 3639 
Annuity Corp. 6525 
Prudential Insurance Company of Quasar Distributors, LLC/Academy
America/Prudential Trust Company, Fund Trust 5612 
Inc. 6526  Quasar Distributors, LLC/Advantus
Prudential Insurance Company of Funds 3364 
America/SA VAR Life 1388  Quasar Distributors, LLC/Aegis
Funds 6612 
Prudential Investment Management 5937 
Quasar Distributors, LLC/Akre Funds
Services, LLC PIMS  0226†  CNS 

36 
 
 Alphabetical Reference 
          November 2014 

Quasar Distributors, LLC/Alpha Quasar Distributors, LLC/Davidson

Capital Funds 5365  Funds 5945 
Quasar Distributors, LLC/Alpine
Quasar Distributors, LLC/Dearborn
Funds 5896 
Partners Funds 7060 
Quasar Distributors, LLC/America
Quasar Distributors, LLC/Doubleline
Trust Allegiance Fund 6638 
Funds 5353 
Quasar Distributors, LLC/Angel Oak
Quasar Distributors, LLC/Dow Jones
Funds 3117 
Islamic Index Fund 5566 
Quasar Distributors, LLC/Appleton Quasar Distributors, LLC/DSM
Group Funds 4935  Funds 5952 
Quasar Distributors, LLC/Balter Quasar Distributors, LLC/Edgar
Capital Funds 3021  Lomas Fund 5727 
Quasar Distributors, LLC/Barrett Quasar Distributors, LLC/Evermore
Growth Fund 5480  Value Trust 5407 
Quasar Distributors, LLC/Becker Quasar Distributors, LLC/Fort Pitt
Value Funds 5291  Capital Funds 5887 
Quasar Distributors, LLC/Boston Quasar Distributors, LLC/Frontegra
Common Funds 5350  Small Cap Core Fund 3736 
Quasar Distributors, LLC/Brandes Quasar Distributors, LLC/Fund * X
Dublin Offshore 5911  Upgrader Fund 5666 
Quasar Distributors, LLC/Brandes Quasar Distributors, LLC/Geneva
Investment Trust 5693  Advisors All Cap Growth Fund 6527 
Quasar Distributors, LLC/Bridge Quasar Distributors, LLC/Genworth
Builder Trust 7057  Funds 5864 
Quasar Distributors, LLC/Bridges Quasar Distributors, LLC/Gerstein
Investment Fund 5531  Fisher Funds 5938 
Quasar Distributors, LLC/Bright Rock Quasar Distributors, LLC/Glenmede
Funds 5355  Fund, Inc. 4955 
Quasar Distributors, LLC/Brookfield Quasar Distributors, LLC/Goodhaven
Investment Funds 3734  Fund 3700 
Quasar Distributors, LLC/GPS Funds
Quasar Distributors, LLC/Brown
I 5495 
Advisory Funds 5437 
Quasar Distributors, LLC/GPS Funds
Quasar Distributors, LLC/Buffalo
II 5977 
Funds 4931 
Quasar Distributors, LLC/Bushido Quasar Distributors, LLC/Great
Funds 3360  Lakes Funds 3366 
Quasar Distributors, LLC/Capital Quasar Distributors,
Advisor Growth Fund 5691  LLC/Greenspring Fund 6513 
Quasar Distributors, LLC/Capital Quasar Distributors, LLC/Guinness
Guardian Funds 3002  Atkinson Funds 5754 
Quasar Distributors, LLC/Chase Quasar Distributors, LLC/Harding
Growth Funds 5626  Loevner Funds, Inc. 4981 
Quasar Distributors, LLC/Hatteras
Quasar Distributors, LLC/COHO
Funds 5449 
Partners Funds 7087 
Quasar Distributors, LLC/HCIM Trust 7113 
Quasar Distributors, LLC/Coldstream
Dividend Growth Fund 5327  Quasar Distributors, LLC/Hennessy
Mutual Funds, Inc. 4869 
Quasar Distributors, LLC/Collins
Capital Funds 3306  Quasar Distributors, LLC/Hilton
Capital Funds 7928 
Quasar Distributors, LLC/Congress Quasar Distributors, LLC/Hodges
Asset Management 5741  Fund 5792 
Quasar Distributors, LLC/Consilium Quasar Distributors, LLC/Hotchkis &
Emerging & Frontier Markets Fund 3003  Wiley Funds 4984 
Quasar Distributors, Quasar Distributors, LLC/Huber
LLC/Contravisory Funds 5797  Capital Funds 6530 
Quasar Distributors, Quasar Distributors, LLC/Infinity Q
LLC/Convergence Funds 5406  Funds 3085 
Quasar Distributors, LLC/Cove Quasar Distributors, LLC/Intrepid
Street Funds 3749  Capital Funds 4815 

37 
 
 Alphabetical Reference 
          November 2014 

Quasar Distributors, LLC/Investec Quasar Distributors, LLC/Orinda

Global Strategy Funds 5057  Long Short Equity Fund 5931 
Quasar Distributors, LLC/Investec Quasar Distributors,
Offshore Funds 5755  LLC/O'Shaughnessy Funds 5318 
Quasar Distributors, LLC/IronBridge Quasar Distributors, LLC/Osterweis
Funds 5321  Fund 4840 
Quasar Distributors, LLC/Jacob Quasar Distributors, LLC/Otter Creek
Internet Fund 4960  Funds 3020 
Quasar Distributors, LLC/Jensen Quasar Distributors, LLC/Pension
Portfolio, Inc. 5491  Partners Fund 3367 
Quasar Distributors, LLC/Jordan Quasar Distributors, LLC/Permanent
Opportunity Fund 5917  Portfolio 6627 
Quasar Distributors, LLC/Perritt
Quasar Distributors, LLC/Julius Baer
Funds 5602 
Offshore Funds 5698 
Quasar Distributors, LLC/Pictet
Quasar Distributors, LLC/Julius Baer Funds 5793 
Offshore SSB Funds 7958 
Quasar Distributors, LLC/Poplar
Quasar Distributors, LLC/Kellner
Forest Partners Fund 5404 
Funds 3644 
Quasar Distributors, LLC/Port Street
Quasar Distributors, LLC/Kinetics
Funds 1377 
Mutual funds 6608 
Quasar Distributors, LLC/Portfolio 21 4929 
Quasar Distributors, LLC/Kirr
Marbach Partners Fund, Inc. 6685  Quasar Distributors, LLC/Primary
Trend Fund 5858 
Quasar Distributors, LLC/Lawson
Kroeker Funds 3345  Quasar Distributors,
Quasar Distributors, LLC/LKCM LLC/PRIMECAP Odyssey Funds 4895 
Funds 4883  Quasar Distributors, LLC/Prospector
Quasar Distributors, LLC/LoCorr Funds 5901 
Investment Trust 5569  Quasar Distributors, LLC/Provident
Trust 3371 
Quasar Distributors, LLC/Loeb Quasar Distributors, LLC/Purisma
Capital Funds 7927  Funds 6643 
Quasar Distributors, LLC/Logan Quasar Distributors, LLC/Pzena
Funds 3305  Funds 3041 
Quasar Distributors, LLC/Lotsoff Quasar Distributors, LLC/Rainier
Capital Mgt 5841  Funds 4876 
Quasar Distributors, LLC/MainGate Quasar Distributors, LLC/RBC Funds
MLP Funds 5366  Trust 5413 
Quasar Distributors, LLC/Reinhart
Quasar Distributors, LLC/Marketfield 3307 
Funds
Dublin 1333 
Quasar Distributors, LLC/Rockefeller
Quasar Distributors, LLC/Matrix 3016 
Funds
Advisors Value Fund, Inc. 4908 
Quasar Distributors, LLC/Salem
Quasar Distributors, LLC/McKinley Trust 7010 
Capital Equity Income Fund 7056  Quasar Distributors, LLC/Samson
Quasar Distributors, LLC/MD Sass Funds 3346 
Funds 5918  Quasar Distributors, LLC/Scharf
Quasar Distributors, LLC/Merger Funds 3771 
Fund 6601 
Quasar Distributors, LLC/Schooner
Quasar Distributors, LLC/Monetta 4723 
Growth & Income Fund
Funds 5766 
Quasar Distributors, LLC/Selector
Quasar Distributors, LLC/Morgan 5729 
Management Fund
Dempsey Funds 5354 
Quasar Distributors, LLC/Semper
Quasar Distributors, Funds 7088 
LLC/Muhlenkamp Fund 4986 
Quasar Distributors, LLC/Shenkman
Quasar Distributors, LLC/Mutual.com 5847  Funds 3374 
Quasar Distributors, LLC/Muzinich
Funds 3646  Quasar Distributors, LLC/Shenkman
Offshore Funds 7059 
Quasar Distributors, LLC/Muzinich
Offshore Funds 3058  Quasar Distributors, LLC/Smead
Value Fund 6686 
Quasar Distributors, LLC/New Path Quasar Distributors, LLC/Smith
Funds 3770  Group 1376 
Quasar Distributors, LLC/Nuance
Funds 5369 

38 
 
 Alphabetical Reference 
          November 2014 

Quasar Distributors, LLC/Standard Rafferty Capital Markets, LLC /

Insurance 3719  Sparrow Funds 5908 
Quasar Distributors, LLC/Stone Rafferty Capital Markets,
Ridge Funds 7055  LLC/Berkshire Funds 5899 
Quasar Distributors, LLC/Stone Rafferty Capital Markets, LLC/Chou
Ridge Trust II 3004  America Mutual Fund 5323 
Quasar Distributors, LLC/Strategic Rafferty Capital Markets,
Income Management Funds 5905  LLC/Entrepreneur Shares 5367 
Quasar Distributors, LLC/TCM Small Rafferty Capital Markets,
Cap Growth Fund 4898  LLC/Epiphany Funds 6634 
Quasar Distributors, LLC/The Snow Rafferty Capital Markets, LLC/Hagin
Capital Family of Funds 4976  Keystone Market Neutral Fund 3313 
Quasar Distributors, LLC/Thomas Rafferty Capital Markets,
White Funds 6636  LLC/Leuthold Funds 5656 
Quasar Distributors, LLC/Thompson Rafferty Capital Markets,
IM Funds 5557  LLC/Marketocracy Funds 6682 
Quasar Distributors, LLC/Tiedemann Rafferty Capital Markets, LLC/PIP
Funds 5731  New Generation Fund 3723 
Quasar Distributors, LLC/Tortoise Rafferty Capital Markets,
Core Infrastructure Fund 5168  LLC/Ranger Funds Investment Trust 3775 
Quasar Distributors, LLC/US Bank Rafferty Capital Markets,
Institutional Collective Funds 4695  LLC/Tanaka Funds 5771 
Quasar Distributors, LLC/Villere Rainier Securities, LLC RAIN  0226†  CNS 
Balanced Fund 4886  RAIT Securities RAIT  0161†  CNS 
Quasar Distributors, LLC/Visium Ramat Securities Ltd. RMAT  0352∆  0352†  CNS 
Funds 7054 
Ramirez Tradetrek Securities, LLC TREK  0226†  CNS 
Quasar Distributors, LLC/Wall Street Ramius Securities, LLC RSCO  0443†  CNS 
Fund 6626 
Ramsey (M.) King Securities, Inc. MRKS  0443∆ 
Quasar Distributors, LLC/Wasmer Range Global LLC NAVP  0443∆ 
Schroeder 3043 
Raven Securities Corp. RACX  0100∆ 
Quasar Distributors, LLC/WBI Funds 5326 
Raymond C. Forbes & Co., Inc. RAYF  0161∆  0161†  CNS 
Quasar Distributors, LLC/WisCap
Funds 6674  Raymond James & Associates, Inc. RAJA  0725  0725  CNS 
Quasar Distributors, LLC/YCG Raymond James & Associates,
Funds 7008  Inc./Fl RJFI  0390  0390  CNS 
Raymond James & Associates,
Quattro M Securities Inc. QMSR  0100∆ 
Inc./Raymond James Trust
Queens Road Securities, LLC 4884  Company 5179 
Quest Capital Strategies, Inc. QUET  0235∆  0235†  CNS  Raymond James Ltd./CDS MCMF  5076● 
Questar Capital Corp./Secondary 0527  RBC Capital Markets Corporation DAIN  0235  0235  CNS 
Questar Capital Corporation POOH  0443†  CNS  RBC Capital Markets Corporation RBCD  0235∆  0235†  CNS 
Questrade Inc./CDS 5084  RBC Capital Markets Corporation RBCX  0235∆  0235†  CNS 
Quoin Capital LLC QUOI  0309∆  0309†  CNS  RBC Capital Markets Corporation RBCM  0235∆ 
R H Investment Corporation RHIC  0279∆  0279†  CNS  RBC Capital Markets
R.F. Lafferty & Co., Inc. LAFC  0443∆  0443†  CNS  Corporation/Retail 0071 
R.F. Lafferty & Co., Inc. LAFF  0443∆  0443†  CNS  RBC Capital Markets, LLC GELP  0235∆ 
R.W. Pressprich & Co, Inc RWPC  0443∆  RBC Captial Markets Arbitrage, S.A. RCMA  0235∆ 
R.W. Towt & Associates TOWT  0750∆  0750†  CNS  RBC Centura Securities, Inc. CSIB  0443†  CNS 
RABO  0443∆  RBC Dominion Securities
Rabo Securities USA, Inc.
Corporation RYDS  0235∆ 
Radnor Research & Trading RBC Dominion Securities Inc./CDS RBCF  5002● 
Company, LLC RRTC  0052∆ 
RBS Securities Inc./Equities RBSG  0425 
Rafferty Capital Markets LLC/Clifford RBS Securities, Inc. 0248 
Capital Partners Fund 3050 
RDM Investment Services, Inc. RDMI  0226†  CNS 
Rafferty Capital Markets LLC/PSP RDSC, LLC RDSS  0141†  CNS 
Family of Funds 5637 
Realty Capital Securities, LLC 1042 
Rafferty Capital Markets, LLC JJKS  0161∆  0161†  CNS 
Realty Capital Securities, LLC 1046 
Rafferty Capital Markets, LLC 5726 
Realty Capital Securities, LLC 1053 
Rafferty Capital Markets, LLC RAFF  0161∆ 
Realty Capital Securities, LLC 1093 
Rafferty Capital Markets, LLC / Realty Capital Securities, LLC 1476 
Satuit Funds 5867 
Realty Capital Securities, LLC 1478 
39 
 
 Alphabetical Reference 
          November 2014 
Realty Capital Securities, LLC 1649  Renaissance Capital Greenwich
Funds 5454 
Realty Capital Securities, LLC 1650 
Renaissance Macro Securities, LLC. RMAC  0161∆ 
Realty Capital Securities, LLC 1682 
Rencap Securities, Inc. RENC  0352∆  0352†  CNS 
Realty Capital Securities, LLC 1688 
Rensselaer Securities Corporation RENS  0279†  CNS 
Realty Capital Securities, LLC 1690 
Repex & Co., Inc. RPEX  0352∆  0352†  CNS 
Realty Capital Securities, LLC 1692 
Resource Horizons Group, LLC RHGL  0226†  CNS 
Realty Capital Securities, LLC 1694 
Resource Horizons Group, LLC 0676 
Realty Capital Securities, LLC 1732 
Resource Real Estate, Inc. 1525 
Realty Capital Securities, LLC 1734 
Retirement Resources Investment
Realty Capital Securities, LLC 1758  Corp. RRIC  0235∆ 
Realty Capital Securities, LLC 1759  Reuters Transaction Services LLC AUTX  0100∆ 
Realty Capital Securities, LLC 1761  Revere Securities Corp. KART  0750∆  0750†  CNS 
Realty Capital Securities, LLC 1763  Revere Securities Corp. REVR  0100∆ 
Realty Capital Securities, LLC 1859  Reynolds Funds, Inc. 6573 
Realty Capital Securities, LLC 1860  RFS Partners 4989 
Realty Capital Securities, LLC 2700  R-G Investment Corporation RGIC  0443†  CNS 
Realty Capital Securities, LLC 3833  RGM Securities, LLC HBIF  0695∆ 
Realty Capital Securities, LLC 3834  Rhino Trading Partners, LLC RINO  0443∆  0443†  CNS 
Reassure Life Insurance Company 4608  Rhodes Securities, Inc. RHDS  0141†  CNS 
Red Capital Markets, Inc. PSIN  0443†  CNS  Rice Financial Products Company APEX  0443†  CNS 
Redburn Partners (USA) LP RDBN  2154∆  Rice, Voelker LLC CEON  0512∆  0352†  CNS 
Redsky Financial, LLC REDG  0099∆  Richards, Merrill & Peterson, Inc. RMPI  0141†  CNS 
RedSky Financial, LLC RSKY  0279∆  Rideau (I.C.) Lyons and Co. ICRL  0443†  CNS 
Redsky Financial, LLC RSFO  0695∆  Ridgeway & Conger, Inc. RWCI  0052∆  0052†  CNS 
Redwine & Company, Inc. REWI  0443†  CNS  Ridgewood Associates Inc. NJ RGWD  0141†  CNS 
Reed (S.L.) & Company SLRD  0352∆  0352†  CNS 
Riedl, First Securities Company of
Regal Securities, Inc. RGLS  0235∆  0235†  CNS  Kansas RIED  0235∆  0235†  CNS 
Regal Securities, Inc. RGEL  0309∆  0309†  CNS  Riley (B.) & Co., Inc. RILY  0226∆ 
Regional Brokers, Inc. RBII  0279†  CNS  Riley (E.K.) Investments, LLC EKRI  0141†  CNS 
Regions Bank 6760  RIM Securities LLC ROCM  0443∆ 
Regions Investment Services, Inc. 6359  River Cross Securities, LLLP PRRX  0100∆ 
Regions Securities LLC REGN  0226†  CNS  River Cross Securities, LLLP RCSL  0100∆ 
Reich & Tang Distributors Inc. 5845  Rivernorth Securities, LLC RNSI  0017∆ 
Reid & Rudiger, LLC RRUD  0235∆  0235†  CNS  Riverstone Wealth Management, Inc. RSWM  0141†  CNS 
Reid and Associates REID  0141†  CNS  Riviere Securities Inc. BCLT  0309∆ 
Reinoso & Company, Incorporated ROPK  0443†  CNS  RJJ Pasadena Securities, Inc. RJJZ  0443∆ 
Reliance Standard Life Insurance RJL Capital Group, LLC RJLB  0161∆  0161†  CNS 
Company 4756  RJL Capital Group, LLC RJLC  0824∆ 
Reliance Trust Company 4896  Robeco Trust Company 5325 
Reliance Trust Company 5962  Robert B. Ausdal & Co., Inc. RBAC  0235∆  0235†  CNS 
Reliance Trust Company/MetLife Robert Van Securities, Inc. RVSI  0103†  CNS 
Stable Value Fund 5312  Robert W. Baird & Co. 4905 
Reliance Trust Company/RSG Roberts & Ryan Investments, Inc. RRII  0443†  CNS 
Separate Account 7955  Robertson Stephens Securities SFRS  0226†  CNS 
Reliance Trust Company/SSB&T 3636  Robinhood Financial, LLC. CRFN  0158∆ 
Reliance Trust Company/SWMS1 2042  Robinson & Lukens, Inc. RLUK  7607  7607  CNS 
Reliance Trust Company/SWMS2 2085  Robinson & Robinson, Inc. ROBI  0235∆  0235†  CNS 
Reliance Worldwide Investments,
Robotti & Company, LLC ROBT  0443∆  0443†  CNS 
LLC RWWI  0279∆  0279†  CNS 
Rochdale Securities, LLC ROCH  0443†  CNS 
Reliastar Life Insurance Company 4568 
Rockfleet Financial Services, Inc. RCKF  0309∆  0309†  CNS 
Reliastar Life Insurance Company of
Rockwell Global Capital, LLC ROCK  0235∆  0443†  CNS 
New York 4653 
Reliastar Life Insurance Rockwell Securities LLC RKWS  0235∆  0235†  CNS 
Company/Life & Annuity Product Rodecker & Co. Investment Brokers,
Investment Trading 4652  Inc. RODE  0443†  CNS 
Rodgers Brothers, Inc. ROBO  0235∆  0235†  CNS 
Reliastar Life Insurance
Company/Reliastar New York 4606  Rogo Capital LLC ROGO  0750∆  0750†  CNS 
Romano Brothers and Company ROMO  0141†  CNS 
Reliastar Life Insurance
Company/Reliastar Retirement Plans 4603  Ronin Capital, LLC RONI  0501∆ 

40 
 
 Alphabetical Reference 
          November 2014 
Roosevelt & Cross, Incorporated RCRS  0352∆  0352†  CNS  Saperston Asset Management, Inc. SAPA  0141†  CNS 
Rosenblatt Securities Inc. 0233  Saturna Brokerage Services, Inc. 4983 
Rosenblatt Securities Inc. RBLT  0501∆  Saudi American Bank SABF  0161†  CNS 
Rosenblatt Securities Inc. ROSN  0501∆  Sauer Dazey Investments Co. SDIC  0235∆  0235†  CNS 
Ross Sinclaire & Associates, LLC RSAI  0443∆  0443†  CNS  Savoy Capital Management, Inc. SAVY  0235∆  0235†  CNS 
Roth Capital Partners, LLC ROTH  0161∆  0161†  CNS  Saxis Group, Inc. CADG  0501∆ 
Rothschild Investment Corporation RTHS  0443∆  Saxony Securities Inc./Saxony
Rowe (T.) Price Investment Insurance, LLC 3129 
Services, Inc. 5586  Saxony Securities, Inc. 3358 
Royal Alliance Associates, Inc. RAAI  0226†  CNS  Saybrook Capital Corporation SAYB  0103†  CNS 
Royal Alliance Associates, Inc. ROYL  0443∆  0443†  CNS  Scarsdale Equities, LLC SCAR  0443∆ 
Royal Alliance Associates, Inc. 0089  SCF Securities, Inc. SCFA  0226†  CNS 
Royal American Investment Schottenfeld Group LLC SHOT  0501∆ 
Services, Inc. RAIS  0443†  CNS  Schroder Fund Advisors LLC 4956 
Royal Securities Company RYAL  0235∆  0235†  CNS  Schroder Fund Advisors
5663  LLC/Schroder Fund Advisors
Royce Fund Services Inc.
International Division 4853 
RP Capital LLC RPCP  0052†  CNS 
3513  Schwab Retirement Plan Services
RREEF America L.L.C.
Company 7119 
RS Platou Markets, Inc. PLAT  0443∆ 
Schwartz, Gregory J. & Co. Inc. GJSS  0235∆  0235†  CNS 
RSG Capital Corp. RAFI  0750∆ 
Scotia Capital (USA) Inc. SCMC  0096 
Ruane, Cunniff & Goldbarb LLC RCSK  0443∆  0642†  CNS 
Scotia Capital Inc./CDS SCMF  5011● 
Ruane, Cunniff & Goldbarb LLC 3726  Scotia Capital Inc./Hollis
Russell Financial Services, Inc. 5762  Wealth/CDS DCAF  5039● 
Russell Implementation Srvs., Inc. Pt Scottrade, Inc. SCTO  0158∆  0158†  CNS 
of Russell Inv. RSSE  0443∆  0443†  CNS  Scottrade, Inc. SSIC  0705 
Russell Trust Company 4832  Scottsdale Capital Advisors JOHN  8072∆ 
Russell Trust Company 5964  Seaboard Securities, Inc. SEAI  0100∆  0100†  TFT 
Ryan, Beck & Co. RYAN  0443†  CNS  Seaboard Securities, Inc. SEAB  0052∆ 
S. Goldman Capital LLC SGCM  0161∆  0161†  CNS  Seapine Securities, LLC SEPN  0161†  CNS 
S.F. Investments, Inc. SFPS  0443∆  0443†  CNS  Seaport Global Securities LLC SPGS  0161∆  0161†  CNS 
Sabadell Securities USA, Inc. SABS  0443∆  0443†  CNS  Seaport Securities Corp. SEAP  0352∆  0352†  CNS 
Safian Investment Research Inc. SIRI  0352†  CNS  Searle & Co. SERL  0443∆  0443†  CNS 
Safra Securities Corp. SSCO  0443∆  Second Street Securities, Inc. SECS  0161†  CNS 
Sage, Rutty & Co., Inc. SAGE  0141†  CNS  SecondMarket, Inc. GRDK  0443∆  0443†  CNS 
Sagepoint Financial, Inc 0144  Securevest Financial Group MAMA  0352∆  0352†  CNS 
Sagepoint Financial, Inc. AIGN  0226†  CNS  Securities America, Inc. SAIN  0226∆  0226†  CNS 
Sagepoint Financial, Inc. AIGF  0443∆  0443†  CNS  Securities America, Inc. 0590 
Sagepoint Financial, Inc./FAB 0522  Securities Equity Group DOVE  0226†  CNS 
Sagepoint Financial, Inc./FAI 0182  Securities Industry Management
Sagepoint Financial, Inc/ FA2 0556  Corp. SIMC  0443†  CNS 
Securities Management & Research,
SageTrader, LLC SAGW  0103∆ 
Inc. SMRI  0226∆  0226†  CNS 
Sagetrader, LLC BIAD  0551∆ 
Securities Research, Inc. SRFL  0443∆  0443†  CNS 
Samco Capital Markets, Inc. SRAM  0443†  CNS 
Securities Service Network, Inc 0247 
Sammons Financial Network LLC 3608 
Securities Service Network, Inc. SSNI  0226∆  0226†  CNS 
Samsung Securities Services, Inc. SSNY  0651∆  Security Benefit Life Insurance
Samuel A. Ramirez & Company, Inc. RREZ  0352∆  0352†  CNS  Company 4527 
Samuel A. Ramirez & Company, Inc. RRPR  0443†  CNS  Security Capital Brokerage, Inc. SCTI  0443†  CNS 
Samurai Trading, LLC SAMU  0103∆  Security Life of Denver/Mutual Funds 4668 
Sanderlin Securities, LLC SSLC  0309∆  0309†  CNS  Security Research Associates Inc. SRES  0103∆ 
Sanders Morris Harris Inc. SMHJ  0141†  CNS  Seelaus (R.) & Co., Inc. SEEL  0141†  CNS 
Sanders Morris Harris Inc. SMHI  0443∆  0443†  CNS  Segerdahl and Company SEGE  0443†  CNS 
Sandgrain Securities, Inc. GRIN  0443†  CNS  SEI Investments Distribution SEIC  0352∆  0352†  CNS 
Sandler, O'Neill & Partners, L.P. SDLR  0352∆  0352†  CNS  SEI Investments Distribution
Sanford C. Bernstein & Co., LLC BIRM  0013∆  Co./Advisors Inner Circle Fund 5763 
Sanford C. Bernstein & Co., LLC BLAV  0013∆  SEI Investments Distribution
Sanford C. Bernstein & Co., LLC SCBO  0013∆  Co./Advisors Inner Circle Fund II 7052 
Santander Investment Securities Inc. SANT  0443∆  SEI Investments Distribution
Santander Securities Corporation SSPR  0443†  CNS  Co./Bishop Street Funds 5606 

41 
 
 Alphabetical Reference 
          November 2014 
Siebert Brandford Shank & Co., LLC SBSC  0226∆  0226†  CNS 
SEI Investments Distribution
Co./Causeway Capital Management Sierra Equity Group Ltd. BBII  0235∆  0235†  CNS 
Trust 4913  Sierra Income Corporation 1834 
SEI Investments Distribution Co./City Sierra Pacific Securities, LLC SPAC  0309∆  0309†  CNS 
National Rochdale Funds 4990  Sigma Financial Corporation SGFC  0226†  CNS 
SEI Investments Distribution Sigma Financial Corporation 5346 
Co./Community Capital Trust 5748  Signal Securities, Inc. SGNL  0279∆  0279†  CNS 
SEI Investments Distribution Signator Financial Services, Inc. SFCO  0427  0443†  CNS 
Co./FMB Funds 5565  Signator Investors, Inc. JHDI  0226†  CNS 
SEI Investments Distribution Signature Securities SSGC  0226∆  0226†  CNS 
Co./Hancock Horizon Family of 3456 
SignatureFD, LLC
Funds 6691 
SII Investments 0640 
SEI Investments Distribution SIIW  0443†  CNS 
SII Investments, Inc.
Co./RiverPark Funds Trust 5343 
SII Investments, Inc. 1081 
SEI Investments Distribution Co./SEI LEAF  0443∆ 
Silver Leaf Partners, LLC
Institutional Funds 5717 
Simmons & Company International SIMM  0443∆  0443†  CNS 
SEI Investments Distribution Co./TD Simmons First Investment Group,
Asset Management USA Funds Inc. 6539  Inc. SIGI  0309∆  0309†  CNS 
SEI Investments Distribution Sims (Herbert J.) & Co., Inc. HJSC  0443†  CNS 
Co./Wilshire Funds 4875  Sisung Securities Corp. SSNG  0443∆  0443†  CNS 
SEI Investments Distribution Co/New Sky Capital LLC SKYC  0750∆  0750†  CNS 
Covenant Funds 6536  Skyebanc Inc. SKYE  0226†  CNS 
SEI Investments Distribution SL Hare Capital, Inc. SLHC  0103∆  0103†  CNS 
Company/KraneShares Trust 3102  SMBC Nikko Securities America, Inc. 6700 
SEI Investments Distribution SMBC Nikko Securities America, Inc. SUMI  0443∆ 
Company/The KP Funds 1393  Smith (E.H.) Jacobs & Co., Inc. EHSC  0161∆  0161†  CNS 
SEI Private Trust Company 2039  Smith (R.W.) & Associates, Inc. RWSM  0279∆  0279†  CNS 
SEI Private Trust Company 7110 
Smith Hayes Financial Services
SEI Private Trust Company/C/O/ 5708 
Corp./Colorado Bondshares
GWP 2663 
SEI Trust Company 4952  Smith Hayes Financial Services
Corporation SHFS  0226∆  0226†  CNS 
Seibert (J.D.) & Company, Inc. SEIB  0158∆  0158†  CNS 
Seidel & Shaw LLC SEID  0388∆  Smith Hayes Financial Services
Corporation 3705 
Seidel & Shaw, LLC DAVW     0309†  CNS 
Selkirk Investments, Inc. EMPR  0279∆  0279†  CNS  Smith Hayes Financial Services
Corporation 5575 
Sendero Securities, LLC SEND  0352∆ 
Smith, Brown & Groover, Inc. SGBI  0226†  CNS 
Sentinel Brokers Company SEBR  0279∆  0279†  CNS 
Sentinel Financial Services Smith, Moore & Co. SMCO  0235∆  0235†  CNS 
Company 5873  SNC Capital Management Corp. SNCC  0017∆ 
Sequoia Investments, Inc. SEQU  0309∆  0309†  CNS  Snowden Account Services, Inc. SNWS  0443†  CNS 
Seslia Securities SESL  0099∆  Solium Financial Services LLC SOLM  0352∆  0352†  CNS 
Seslia Securities, Inc. SESL  0158†  CNS  Solowey & Co. SLWY  0226∆  0226†  CNS 
Sethi Financial Investments SSFG  0750∆  Solowey & Co. SOLO  8006 
Seton Securiteis Group, Inc. SSGI  0052∆  0443†  CNS  Sorrento Pacific Financial, LLC 0346 
Seven Points Capital, LLC SPTC  0052∆  0052†  CNS  Sorsby Financial Corp. SORS  0235∆  0235†  CNS 
Seven Points Capital, LLC SPNT  0100∆  Source Capital Group, Inc. SORE  0750∆  0750†  CNS 
Seven Points Capital, LLC SEVP  0158∆  Southeast Investments N.A., Inc. SEIN  0226†  CNS 
Seven Points Capital, LLC SPTS  2154∆  Southern Trust Securities, Inc. STSE  0052∆  0052†  CNS 
SF Sentry Securities, Inc. SFSS  0352∆  0352†  CNS  Southlake Capital LLC SLAK  0279∆  0279†  CNS 
SG Americas Securities, LLC SGAS  0286  0286  CNS  Southwest Securities, Inc. SWST  0279  0279  CNS 
SG Americas Securities, LLC SGOV  0286∆  0286†  CNS  Southwest Securities, Inc. 1956 
Shareholders Services Group Inc. SSGR  0443∆  0443†  CNS  Southwest Value Partners
Shay Financial Services, Inc. SHAY  0443∆  0443†  CNS  Enterprise, LLC 1686 
Shearman, Ralston, Inc. RACO  0158∆  0158†  CNS  Southwestern Capital Market, Inc. SCMT  0279†  CNS 
Shelby Cullom Davis & Co., LP DAVI  0226†  CNS  Souza Barros Securities, Inc. SOUZ  0443∆ 
Shufro, Rose & Company, LLC SHRE  0352∆  0352†  CNS  Sovereign Wealth Management
SIA Securities Corp. 5779  Group, Inc. 6940 
Sidoti & Company, LLC SIDC  0100∆  Spartan Securities Group, Ltd. MICA  0052∆ 
Siebert (Muriel) & Co., Inc. SBRT  0226∆  0226†  CNS  Spectrum Asset Management Inc. SAMI  0352∆  0352†  CNS 

42 
 
 Alphabetical Reference 
          November 2014 
Spectrum Capital, Inc. SPCA  0188†  CNS  State Street Bank & Trust Co./Inst'l
Spencer Clarke LLC SPEN  0443†  CNS  Custody 2132 
Spencer Edwards, Inc. SPIN  0750∆  0750†  CNS  State Street Bank & Trust Co./JP
SEDS  0052∆  Morgan Retirement Plan
Spencer Edwards, Inc.
Services/Deluxe Cp 5435 
Spencer Edwards, Inc. SEII  8072∆ 
Spencer Trask Ventures, Inc. STSI  0235∆  0235†  CNS  State Street Bank & Trust Co./JP
Spencer Winston Securities Morgan Retirement Plan
Corporation SPWI  0279∆  0279†  CNS  Services/Hallmark Cards Inc. 2547 
SpiderRock EXS LLC SREX  0100∆  State Street Bank & Trust
Spire Securities, LLC SPLC  0226†  CNS  Co./Lincoln Retirement Services 3752 
SPOT  0501∆  State Street Bank & Trust
Spot Trading
Co./Mainstay 0487 
SQN Capital Management, LLC 1089  State Street Bank & Trust
SQT Trading, LLC SQTF  0695∆  Co./NYLIM/SIP 5953 
SS&C Technologies, Inc. 1283  State Street Bank & Trust
SS&C Technologies, Inc. 1286  Co./Sanford Bernstein Alliance
Capital 6519 
SS&C Technologies, Inc. 1513 
State Street Bank & Trust Co./T.
SS&C Technologies, Inc. 1623  Rowe Price Retirement Plan
SS&C Technologies, Inc. 1624  Services 5968 
SS&C Technologies, Inc. 1626  State Street Bank & Trust
SS&C Technologies, Inc. 1627  Co./Wealth Management Services 2 2955 
SS&C Technologies, Inc. 1629  State Street Bank & Trust Company 2950 
SS&C Technologies, Inc. 1670 
State Street Bank & Trust
SS&C Technologies, Inc. 1754  Company/Hewitt Associates
SS&C Technologies, Inc. 1755  LLC/Wellington Trust Company 3099 
SS&C Technologies, Inc. 2516  State Street Bank & Trust
SS&C Technologies, Inc. 2649  Company/Hewitt Associates/AHRP 7097 
SS&C Technologies, Inc. 2696 
State Street Bank & Trust
SSB - Bank Portfolio STBK  2436  TFT  Company/Hewitt Associates/Estee
SSB-Trust Custody 2319  Lauder 7037 
St Bernard Financial Services, Inc KEEN  0309∆  State Street Bank & Trust
STAAR Investment Trust 6736  Company/Hewitt/Ally 7004 
Stanchart Securities International,
State Street Bank & Trust
Inc. SCFL  0443†  CNS 
Company/ING/State of Minnesota 3689 
Standard Chartered Securities State Street Bank & Trust
(North America) Inc. SCBS  0443∆  Company/JPM Retirement Plan
Standard Credit Securities SCSI  0370∆  0370†  CNS  Services/Bechtel 3629 
Standard Insurance Company 4701  State Street Bank & Trust
Standard Investment Chartered, Inc. STVT  0103∆  Company/JPMorgan/Celanese
Stark (R.M.) & Co., Inc. RMST  0443∆  0443†  CNS  Americas LLC 7022 
Stark Municipal Brokers SPSR  0279†  CNS  State Street Bank & Trust
State Farm VP Management Corp. 4971  Company/JPMorgan/Pacificorp Plus
Employees Savings Plan 3686 
State Street /ACH HR Solutions
2524  State Street Bank & Trust
LLC/Ford Motor Company
Company/NRS Inc./Hanesbrands
State Street Bank & Trust Co./ACS Inc. 3087 
HR Solutions, LLC/DTCC 5966 
State Street Bank & Trust
State Street Bank & Trust Co./ACS Company/NRS/Bechtel NR Program
HR Solutions/Rio Tinto 5329  DC Master Trust 3647 
State Street Bank & Trust State Street Bank & Trust
Co./ACS/Glaxosmithkline 5623  Company/NRS/Halliburton Company 7086 
State Street Bank & Trust Co./ADP- State Street Bank & Trust
Morgan Stanley 5991  Company/NRS/Intel 5197 
State Street Bank & Trust Co./AXA State Street Bank & Trust
Equitable Life Insurance Company 0228  Company/NRS/Lilly 7954 
State Street Bank & Trust State Street Bank & Trust
Co./Blackrock Institutional Trust 2767  Company/NRS/NADART 7078 
State Street Bank & Trust Co./FBO State Street Bank & Trust
Qualified Plans 5165  Company/NRS/SBERA 3353 
State Street Bank & Trust Co./IBT 4946 

43 
 
 Alphabetical Reference 
          November 2014 

State Street Bank & Trust Stockcross Financial Services, Inc. STXG  0445∆ 
Company/NRS/The Hartford 7940  Stockpile Investments, Inc. STKP  0158∆ 
State Street Bank & Trust Stoever,Glass & Company Inc. STOV  0443∆  0443†  CNS 
Company/NRS/The KP Funds 3026  Stofan, Agazzi & Company, Inc. SZZI  0141†  CNS 
Stone & Youngberg LLC STYO  0443†  CNS 
State Street Bank & Trust
Company/NRS/Wichita Retirement Stone Coast Fund Services LLC 1647 
Systems 7066  Stone Coast Fund Services LLC 1775 
Stone Coast Fund Services LLC 1776 
State Street Bank & Trust
Company/Xerox HR Solutions/Xerox Stone Coast Fund Services LLC 1786 
Corp 7965  Stone Coast Fund Services LLC 1787 
State Street Global Markets, LLC SSBS  0189  0189  CNS  Stone Coast Fund Services LLC 1788 
State Street Global Markets, LLC SSLL  0189∆  0189†  CNS  Stone Coast Fund Services LLC 1791 
State Street Global Markets, LLC SSGM  0226∆  0226†  CNS  Stonecastle Securities, LLC SCSS  0161∆  0161†  CNS 
State Street Global Markets, LLC 5641  StormHarbour Securities LP STHR  0352∆  0352†  CNS 
State Street Global Markets, LLC PULX  0189∆  Strand Atkinson Williams & York,
Inc. ATKC  0141†  CNS 
State Street Global Markets,
Strategas Research Partners, LLC STRS  0161∆  0161†  CNS 
LLC/State Street Collective Fund 6511 
Strategic Capital Investments, LLC SCIL  0052∆  0052†  CNS 
State Street/ACS/ConAgra Foods 5100 
Strategic Financial Alliance (The) TSFA  0443†  CNS 
State Trust Capital, LLC 6576 
Stuart Frankel & Co., Inc. STFC  0443∆ 
State Trust Investments, Inc. STTR  0443†  CNS 
Sturdivant & Co STUR  0100∆ 
StateTrust Investments Inc. STTT  0052∆  0052†  CNS 
Steadfast Capital Markets Group, Sturges Company (The) TSCD  0235∆  0235†  CNS 
LLC 1432  Success Trade Securities, Inc STJT  0052∆ 
Steadfast Capital Markets Group, Success Trade Securities, Inc. STSS  0052∆ 
LLC 1464 
Success Trade Securities, Inc. VERN  0052∆ 
Steadfast Capital Markets Group,
LLC 1469  Summer Street Research Partners SUMM  0443∆ 
Steben & Company, Inc. 3841  Summit Brokerage Services, Inc. SUMT  0141∆  0141†  CNS 
SteelPoint Securities, LLC SHIV  0226†  CNS  Summit Brokerage Services, Inc. SMPR  0443†  CNS 
Stephen A. Kohn & Associates, Ltd. SAKL  0226†  CNS  Summit Equities, Inc. SEMQ  0226†  CNS 
Stephens, Inc. SPHN  0419  0419  CNS  Sumridge Partners, LLC SMRD  0352∆  0352†  CNS 
Sterling Enterprise Group, Inc. SEGI  0750∆  0750†  CNS  Sun Life Assurance Company Of
Sterling Grace Municipal Securities Canada (U.S. Branch) 4649 
Co. STGC  0279∆  0279†  CNS 
SLIN  0052†  CNS  Sun Life Assurance Company Of
Sterling Investments
Canada (U.S. Branch)/Sun Life
Sterling Trader Execution Services,
STHL  0873∆  Assurance Company Of Canada
Inc.
(Bermuda Branch) 4522 
Sterling Trader Execution Services,
STRL  0873∆  Sun Life Assurance Company Of
Inc.
Canada (U.S. Branch)/Sun Life
Stern Brothers & Co. SBRO  0443†  CNS  Financial Investments (Bermuda)
Stern Fisher Edwards, Inc. SFEI  0226†  CNS  Ltd. 4647 
Sterne Agee & Leach, Inc SALC  0443∆  0443†  CNS  Sun Trading, LLC SUNI  0396∆ 
Sterne Agee Capital Markets, Inc. FGIS  0750∆  Sun Trading, LLC SUNF  0695∆ 
Sterne Agee Capital Markets, Inc. SACM  0750∆  SunAmerica Capital Services,
Sterne Agee Financial Services SAFS  0750∆  0750†  CNS  Inc./Valic SBLT  0226∆  0226†  CNS 
Sterne Agee Financial Services, Inc. ITCC  0750∆  0750†  CNS  SunGard Brokerage & Securities
Sterne, Agee & Leach, Inc. SALI  0750  0750  CNS  Services LLC 3108 
Steven L. Falk & Associates FALK  0235∆  0235†  CNS  Sungard Brokerage & Securities
Steward Securities Group LLC SSGT  0309∆  Services LLC 6485 
Stewart (W.P.) Securities Limited WPST  0443†  CNS  SunGard Brokerage & Securities
Stifel, Nicolaus & Company Services, LLC ANDZ  0050∆ 
Incorporated STFL  0793  0793  CNS  SunGard Brokerage & Securities
Stifel, Nicolaus & Company, Services, LLC ASSD  0050∆ 
Incorporated TWPL  0161∆  0793†  CNS 
SPWM  0443†  CNS  SunGard Brokerage & Securities
Stillpoint Wealth Management, LLC
Services, LLC FREX  0050∆ 
Stinson Securities, LLC STIN  0103†  CNS 
SKTR  0279∆  0279†  CNS  SunGard Brokerage & Securities
Stock Traders
Services, LLC FRET  0501∆ 
Stock USA Execution Services, Inc ALGO  0873∆ 
SPTD  0052∆  0052†  CNS  SunGard Brokerage & Securities
Stock USA Execution Services, Inc.
Services, LLC SUNB  0501∆ 
Stockcross Financial Services, Inc. STOX  0445  0445  CNS 
Sungard Institutional Brokerage Inc. SIBI  0573†  CNS 
Stockcross Financial Services, Inc. STOS  0226∆  0226†  CNS 

44 
 
 Alphabetical Reference 
          November 2014 
Sunrise Brokers LLC SUBR  0100∆  Securities/CDS
Sunset Financial Services, Inc. SSET  0226†  CNS  TD Waterhouse Canada Inc. #2/CDS GLII  5005● 
Sunstreet Securities, LLC SUST  0235∆  0235†  CNS  TD Waterhouse Canada Inc. #3 5033 
SunTrust Capital Markets, Inc. RHCO  0226∆  0418†  CNS  TD Waterhouse Canada Inc. #5/CDS GLIR  5021● 
SunTrust Investment Services, Inc. SSIN  0226∆  0226†  CNS  TD Waterhouse Canada Inc. #6/ATP GLIP  5062● 
SunTrust Robinson Humphrey Inc. STCM  2095  2095  CNS  TD Waterhouse Canada Inc./CDS GLIS  5036● 
SunTrust Securities, Inc. 0153  TD Waterhouse-ITG Canada/CDS 5035 
Superior Financial Services, Inc. SFSI  0235∆  0235†  CNS  Teachers Advisors, Inc. 5668 
Surety Financial Services MESI  0226†  CNS  Teachers Advisors, Inc./Life Funds 5392 
Surge Trading Inc. SURG  0100∆  Teachers Insurance and Annuity
Susquehanna Capital Group SUSQ  0551∆  0551†  CNS  Association of America 3017 
Susquehanna Financial Group, LLC SUFI  0551∆  0551†  CNS  Teachers Insurance and Annuity
Susquehanna Financial Group, LLP SFGB  0161∆  0161†  CNS  Association of America 4693 
Susquehanna Fixed Income, L.P. SUSF  0551†  CNS  Teachers Insurance And Annuity
Sutter Securities Incorporated SUTT  0443∆  0443†  CNS  Association Of America/Account 2 3110 
Teachers Insurance and Annuity
SVB Securities, Inc./A Non-Bank
SVBS  0158∆  0158†  CNS  Association of America/TIAA-CREF
Affiliate of Silicon Valley Bank
Life 5683 
SW Asset Management, LLC 1132 
Teckmeyer Financial Services TFSL  0235∆  0235†  CNS 
SWBC Investment Services, LLC SWBC  0226†  CNS 
Tejas Securities Group, Inc. TEJS  0158∆  0158†  CNS 
SWBT Securities, Inc. SWTX  0443†  CNS 
Tejas Securities Group, Inc. TSGI  0158∆  0158†  CNS 
Swedbank First Securities, LLC SWFS  0443∆ 
Telemus Investment Brokers, LLC TIBS  0443†  CNS 
Sweney, Cartwright & Company SWEN  7027  7027  CNS 
Telsey Advisory Group LLC TAGC  0161∆  0161†  CNS 
Symetra Life Insurance Company 4609 
Symetra Life Insurance Company 5161  Templeton Sicav
Funds/Franklin/Templeton
Symetra Life Insurance Distributors Inc. 5690 
Company/Symetra Fee Based 3618 
TFS Derivatives Corporation TFSV  0595∆ 
Symphonic Securities LLC SYMP  0443†  CNS 
TGH Securities, Inc. TGHS  0443†  CNS 
Syndicated Capital, Inc. SYCA  0443∆  0443†  CNS 
The Bank of New York Mellon 0901 
Syndicated Capital, Inc. 4881 
The Bank of New York Mellon 1292 
Synovus Securities Inc. CBTD  0226∆  0226†  CNS 
The Bank of New York Mellon 1671 
T. Rowe Price Investment Services,
4911  The Bank of New York Mellon
Inc./SICAV Funds SICAV
/MIDCAP SPDRS 2209 
T. Rowe Price Retirement Plan
Services, Inc. 7117  The Bank of New York Mellon/
TRWN  0443∆  0443†  CNS  Mellon Trust of New England,
T.R. Winston & Company, LLC
National Association 0954 
T.Rowe Price Investment Services
5907  The Bank of New York Mellon/BNYM
Inc./ T.Rowe Price Trust Company
ETF - UIT DTC/NSCC 0963 0963 
T.S Phillips Investments TSPI  0141†  CNS 
TAGS  0443∆  0443†  CNS  The Bank of New York Mellon/Mellon
Taglich Brothers, Inc.
Securities Trust Co. 0904 
Take Charge Financial TCFF  0750∆ 
1293  The Bank of New York Mellon/RRZ
TCA Global Credit Master Fund LP
Public Markets, Inc. RRZP  6033  TFT 
TCAdvisors Network, Inc. TCAN  0443†  CNS 
TCFG  0226†  CNS  The Bank of New York
TCFG Wealth Management, LLC
Mellon/Southtrust Bank of Alabama SALA  6523  TFT 
TCM Capital, Inc. TCMU  0443†  CNS 
TCTD  0750∆  The Bank of New York
TCT Securities & Derivatives, LLC
Mellon/Wealth Management 8275 
TCW Funds Distributors 6563 
The Bond House BHSE  0309∆  0309†  CNS 
TCW Funds Distributors/TCW Funds The Eudora Fund 7096 
(Luxembourg) 3359 
The Fig Group, LLC FIGG  0750∆ 
TD Ameritrade Clearing, Inc. FOMA  0188  0188  CNS 
3867  The Guardian Insurance & Annuity
TD Ameritrade Clearing, Inc.
Company Inc./GIAC 401(K) 4770 
TD Ameritrade Trust Company 5982  The Northern Trust
TD Ameritrade Trust Company 6566  Company/GreatBanc Collective
TD Ameritrade, Inc. TDAR  0188∆  0188†  CNS  Investment Trust IV 3142 
TD Ameritrade, Inc. SWIM  0158∆  The Northern Trust Company/Jacobs
TD Securities (USA) LLC TDPA  0226†  CNS  Levy Small/Mid Value Fund, A Fund
TD Securities (USA) LLC TDSI  0352∆  0352†  CNS  Of The Jacobs Levy Group Trust 7127 
TD Securities (USA) LLC TDNY  0551∆ 
TD Waterhouse - Norstar NSIF  5061● 

45 
 
 Alphabetical Reference 
          November 2014 
TJM Investments, LLC TJMI  0551∆ 
The Northern Trust Company/Sub
Advised Collective Fund Trust - First TMC Bonds, L.L.C. TMCC  0443†  CNS 
State 7126  Tocqueville Securities L.P. 5862 
Tocqueville Securities, L.P. TOCQ  0443∆  0443†  CNS 
The Northern Trust Company/Sub
Advised Collective Fund Trust - Tonge (R.M.) Company TONG  0443†  CNS 
Globeflex 7125  Topeka Capital Markets, Inc. TOPK  0161∆ 
The Northern Trust Company/Sub Tora Trading Services TORR  0501∆ 
Advised Collective Fund Trust - TORX  0284∆ 
Torc Investments and Research LLC
Presima 7118 
The Northern Trust Company/Sub- Torc Investments and Research LLC TORA  0695∆ 
Advised Collective Funds Trust- Torc Investments and Research LLC TORQ  0695∆ 
Pzena 3147  Torino Capital LLC TORI  0235†  CNS 
The Oak Ridge Financial Services Touchstone Securities Inc. 5711 
Group, Inc. OAKR  0235∆  0235†  CNS  Tourmaline Partners, LLC TOUR  0501∆ 
The Prudential Insurance Company Toussaint Capital Partners, LLC TCPX  0443∆  0443†  CNS 
of America/Hartford SA Var Life 3088  TOV Capital Markets, Inc. TOVC  0235∆  0235†  CNS 
The Prudential Insurance Company Tower Fund Services, LLC 1158 
of America/Pru Retirement Non-Reg
Tower Fund Services, LLC 1159 
Trading 3077 
Tower Fund Services, LLC 1631 
The Rockwell Financial Group, Inc. RFRC  0309∆  0309†  CNS 
Tower Square Securities, Inc. TRSQ  0443†  CNS 
The Street, Inc. TSIB  0750∆ 
Tower Square Securities, Inc. TRSQ  0443∆ 
The US Life Ins Co in the City of
Towerhill Long/Short Equity, LLC 3583 
NY/AIG Annuities - Fixed and Index 4664 
Track Data Securities Corporation TDSC  0158∆ 
The US Life Ins Co in the City of
Trade Manage Capital, Inc. YAMN  0443∆  0443†  CNS 
NY/AIG Annuities - Variable 4517 
Tradebot Systems, Inc. TRBT  0083 
The US Life Ins Co in the City of
Tradeking TKNG  0158∆ 
NY/AIG Annuities (SE2) 4536 
Tradelink Securities, LLC TRLN  0551∆ 
The Vertical Trading Group, LLC VGRP  8072∆ 
Trade-PMR, Inc. TPMR  0141†  CNS 
Themis Trading LLC THEM  0161∆ 
Traderfield Securities Inc. TDFS  0052∆ 
Thomas McDonald Partners, LLC TMCD  0141†  CNS 
TradeStar Investments, Inc. TSII  0226∆  0226†  CNS 
Thomas P. Reynolds Securities Ltd REYN  0352∆  0352†  CNS 
TradeStation Securities, Inc. TRAD  0271  0271  CNS 
Thompson Davis & Co., Inc. TDCO  0443∆  0443†  CNS 
Tradestation Securities, Inc. FILL  0352∆  0352†  CNS 
Thompson Davis & Co., Inc. 3836 
Tradier Brokerage, Inc. TBIS  0309∆ 
Thornburg Securities Corporation 5541 
Trading Block AOSD  0158∆ 
Thornburg Securities Trading Block BLOC  0158∆ 
Corporation/Thornburg Global
Tradition Aisel TFAS  0443∆  0443†  CNS 
Investment PLC 3352 
Tradition Asiel Securities Inc. TMBS  0443†  CNS 
Thornton, Farish & Gauntt THFA  6806  TFT 
Thoroughbred Financial Services, Tradition Asiel Securities, Inc. ASEL  0370  0370  CNS 
LLC TBRD  0226†  CNS  Tradition Asiel Securities, Inc. TASE  0443†  CNS 
Thoroughbred Financial Services, Tradition Asiel Securities, Inc. ASLB  0370∆ 
LLC 6903 
Tradition Asiel Securities, Inc. TRAS  0443∆ 
Thrasher & Company TRSH  0309∆  0309†  CNS 
Thrivent Investment Management, Transamerica Advisors Life
Inc. AALC  0226†  CNS  Insurance Company 4728 
Thrivent Investment Management, Transamerica Capital, Inc. 5580 
Inc. 7243  Transamerica Capital,
Thrivent Mutual Funds 5106  Inc./Diversified Funds 6739 
Thurston, Springer, Miller, Herd & Transamerica Capital, Inc./Series
Titak, Inc. TMBI  0235∆  0235†  CNS  Trust Funds 6738 
TIAA-CREF Individual and Transamerica Financial Advisors,
Institutional Services, LLC CREF  0443†  CNS  Inc. 0285 
Transamerica Financial Advisors,
TIAA-CREF Trust Company, FSB 3107 
Inc.//II 0224 
TIB The Independent Bankers Bank TIBD  6412  TFT 
Transamerica Financial Advisors,
Tibra Trading America LLC TTAL  0695∆ 
Inc./World Group Securities, Inc. 0729 
Ticonderoga Securities LLC REND  0226†  CNS 
Transamerica Financial Life
Ticonderoga Securities LLC FORT  0443†  CNS 
Insurance Company 4561 
Timber Hill LLC TMBR  0549  0549  CNS  Transamerica Financial Life
Title Securities, Inc. DIRA  0103∆  Insurance Company / FL, NY
Title Securities, Inc. DIRL  0103∆  Annuity Business 4718 
TJM Investments, LLC MNDX  0161∆ 

46 
 
 Alphabetical Reference 
          November 2014 
Transamerica Financial Life U.S. Bancorp Fund Services, LLC 1967 
Insurance Company / FL, NY Life 2766 
U.S. Bancorp Fund Services, LLC
Business 4719 
Transamerica Financial Life U.S. Bancorp Investments Inc. FBSB  0280  0280  TFT 
Insurance Company/KC NY Life U.S. Bank N.A. 2803 
Business 4683  U.S. Boston Capital Corp. 4919 
Transamerica Financial Life U.S. Brokerage, Inc. USDB  0279∆  0279†  CNS 
Insurance Company/Retirement
U.S. CA Securities LLC USCA  0226∆  0226†  CNS 
Division 4680 
Transamerica Life Insurance U.S. Financial Investments, Inc USFB  0595∆  0595†  CNS 
Company 4566  U.S. Global Investors Funds 5442 
Transamerica Life Insurance U.S. Sterling Securities, Inc. USSI  0309∆  0309†  CNS 
Company /Life Business 4642  UBS Financial Services INC of
Puerto Rico PWPR  0221†  CNS 
Transamerica Life Insurance
Company/Diversified Investors UBS Financial Services Inc. PWJC  0221  0221  CNS 
Securities Corp 4738  UBS Financial Services Inc. 1896 
UBS Financial Services Inc. PTFI  0221∆ 
Transamerica Life Insurance
UBS Global Asset Management (US)
Company/Diversified Investors
Inc. 5795 
Securities Corp 4739 
UBS Global Asset Management
Transamerica Life Insurance
(US), Inc./Offshore Funds 6510 
Company/Retirement Division 5768 
UBS Global Asset Management
Transamerica Life Insurance
(US), Inc./Puerto Rico Fund 5593 
Company/TLIAC 4543 
UBS Global Asset
Transamerica Premier Life Insurance
Management/Group Trust Funds 5603 
Company 4564 
UBS International, Inc. UBII  0221∆  0221†  CNS 
Transamerica Premier Life Insurance UBS Securities Canada Inc./CDS BUNT  5017● 
Company/People Benefit Life
UBS Securities LLC UBSW  0642  0642  CNS 
Insurance Company 4565 
UBS Securities LLC UBSB  0642∆ 
Transcend Capital, LP TRSC  0052∆  0052†  CNS 
UBS Securities, LLC UBSC  0642∆ 
Treasure Financial Corp. TREA  0279∆ 
UBS Securities, LLC UBSG  0642∆ 
Triad Advisors, Inc. TRID  0226†  CNS 
UBS Securities, LLC UBSS  0642∆ 
Triad Advisors, Inc. 6430 
UBS Securities, LLC UBST  0642∆ 
Triad Securities Corp TIAN  0226∆  0226†  CNS 
UBS Securities, LLC UBSX  0642∆ 
Triad Securities Corp TIAB  2154∆ 
Uhlmann Price Securities, LLC UHLM  0235∆ 
Triangle Securities, LLC TRIN  0141†  CNS 
Tricor Financial, LLC TCOR  0226†  CNS  Ultimus Fund Distributors LLC/BPV
Family of Funds 3768 
Trident Partners Ltd. TRIP  0235∆  0235†  CNS 
Ultimus Fund Distributors LLC/EBS
TriLinc Advisors, LLC 1092  Funds 3094 
TriPoint Global Equities, LLC TGEQ  0052∆  0052†  CNS 
Ultimus Fund Distributors
Triune Capital Advisors, LLC TRUN  0750∆  LLC/Wavelength Funds 3052 
Troika Dialog USA, Inc. TRKA  0443∆  0443†  CNS  Ultimus Fund Distributors, LLC 5837 
Trubee, Collins & Co., Inc. TRUB  0141†  CNS 
Ultimus Fund Distributors,
Trust Company of America 5981  LLC/Alphamark Investment Trust 5653 
Trustcore Investments, Inc. TMII  0226†  CNS 
Ultimus Fund Distributors, LLC/Apex
Trustmark National Bank 2852  Funds 3342 
Trustmont Financial Group, Inc. CFGM  0235∆  0235†  CNS 
Ultimus Fund Distributors,
Tryco Securities, Inc. TRCO  0279∆  0279†  CNS  LLC/Barrow Street Funds 7974 
Tullett Liberty Securities Inc. PATR  0624  0624  CNS 
Ultimus Fund Distributors,
Tullett Prebon Financial Services
LLC/Berwyn Funds 5605 
LLC CHPP  0624∆  0624†  CNS 
Ultimus Fund Distributors,
Tuohy Brothers Investment LLC/Cincinnati Asset Management
Research, Inc. TBRO  0103∆  Funds 3395 
Turner (J.P.) & Co. LLC JPTC  0158∆  0158†  CNS  Ultimus Fund Distributors, LLC/CM
Turner (J.P.) & Company, LLC JPTS  0158∆  0158†  CNS  Advisors Family Of Funds 5730 
21st Century Financial Services TWFS  0188†  CNS  Ultimus Fund Distributors,
Twenty-First Securities Corporation TFSC  0235∆  0235†  CNS  LLC/Davenport & Company 5567 
Two Sigma Securities, LLC SOHO  0161∆     Ultimus Fund Distributors, LLC/Edge
U.S Bank N.A./U.S. Bank Municipal Funds 3120 
Securities Group CMMB  2781  2781  CNS  Ultimus Fund Distributors,
U.S. Bancorp Fund Services, LLC 1869  LLC/Flippin Bruce & Porter Funds 5733 

47 
 
 Alphabetical Reference 
          November 2014 

Ultimus Fund Distributors, UMB Distribution Services,

LLC/Gardner Lewis Investment Trust 5888  LLC/Wasatch Advisors Fund Inc. 5773 
Ultimus Fund Distributors, UMB Distribution Services,
LLC/Government Street Funds 5732  LLC/Westport Funds 5598 
Ultimus Fund Distributors, UMB Financial Services, Inc. UMBF  0226∆  0226†  CNS 
LLC/Hussman Strategic Growth 1036 
UMB Fund Services, Inc.
Fund 5479 
UMB Fund Services, Inc. 1155 
Ultimus Fund Distributors, 1239 
UMB Fund Services, Inc.
LLC/Jamestown Funds 5490 
UMB Fund Services, Inc. 1442 
Ultimus Fund Distributors, 1460 
UMB Fund Services, Inc.
LLC/Lyrical Funds 7069 
UMB Fund Services, Inc. 1463 
Ultimus Fund Distributors, LLC/Papp 1472 
UMB Fund Services, Inc.
Investment Trust 5114 
UMB Fund Services, Inc. 1486 
Ultimus Fund Distributors, 1534 
UMB Fund Services, Inc.
LLC/Piedmont Investment Trust 6595 
UMB Fund Services, Inc. 1793 
Ultimus Fund Distributors, LLC/Profit 1794 
UMB Fund Services, Inc.
Funds Investment Trust 6593 
UMB Fund Services, Inc. 1855 
Ultimus Fund Distributors, 1857 
UMB Fund Services, Inc.
LLC/Schwartz Investment Trust 5830 
UMB Fund Services, Inc. 1864 
Ultimus Fund Distributors, 1887 
UMB Fund Services, Inc.
LLC/Stadion Investment Trust 6692 
UMB Fund Services, Inc. 1966 
Ultimus Fund Distributors, 1984 
UMB Fund Services, Inc.
LLC/Stralem Funds 5639 
UMB Fund Services, Inc. 2853 
Ultimus Fund Distributors, LLC/TFS 3132 
UMB Fund Services, Inc.
Capital Investment Trust 5430 
UMB Fund Services, Inc. 3134 
Ultimus Fund Distributors, LLC/The 3410 
UMB Fund Services, Inc.
Cutler Trust 3335 
UMB Fund Services, Inc. 3436 
Ultimus Fund Distributors, LLC/The 3447 
UMB Fund Services, Inc.
First Western Funds 7003 
UMB Fund Services, Inc. 3504 
Ultimus Fund Distributors, LLC/The 3868 
UMB Fund Services, Inc.
Investment House Funds 5558 
UMB Fund Services, Inc. 3869 
Ultimus Fund Distributors, LLC/WST USCO  0052∆  0052†  CNS 
Underhill Securities Corp
Investment Trust 1325 
Unibanco Securities Inc UNIB  0443†  CNS 
Ultralat Corporation ULAT  0443†  CNS 
Unicredit Capital Markets, Inc. BVCM  0443∆  0443†  CNS 
UMB Bank National Association UMBI  2451  2451  TFT 
UMB Bank National Unified Financial Securities, Inc. 4965 
Association/UMB Financial Services, Unified Financial Securities,
Inc. 5988  Inc./1492 Funds 3797 
UMB Bank, N.A. 2450  Unified Financial Securities,
UMB Distribution Services Inc./Angel Oak Family of Funds 5147 
LLC/Aspiriant Funds 3369  Unified Financial Securities, Inc./API
UMB Distribution Services LLC/FPA Trust Fund 4972 
Funds 5851  Unified Financial Securities,
UMB Distribution Services, LLC 4854  Inc./Appleseed Fund 5286 
UMB Distribution Services,
Unified Financial Securities,
LLC/Comerica Collective Investment
Inc./Auer Growth Funds 5290 
Funds 5943 
Unified Financial Securities, Inc./BFS
UMB Distribution Services, Funds 7990 
LLC/Commonwealth International
Series Trust 4878  Unified Financial Securities,
Inc./BRC Funds 7028 
UMB Distribution Services,
LLC/Giant 5 Funds 6534  Unified Financial Securities,
Inc./Cloud Capital Funds 3729 
UMB Distribution Services,
LLC/Green Century Funds 6676  Unified Financial Securities,
Inc./Crawford Funds 5296 
UMB Distribution Services,
LLC/Marsico Investment Funds 5728  Unified Financial Securities,
Inc./Dana Funds 7995 
UMB Distribution Services,
LLC/Stewart Capital Advisors 6599  Unified Financial Securities,
Inc./Dean Family of Funds 4927 
UMB Distribution Services,
LLC/Vericimetry 3761 
48 
 
 Alphabetical Reference 
          November 2014 
(The)
Unified Financial Securities,
Inc./Dreman Fund 5418 
Unified Financial Securities, Universal Life Insurance Company 6497 
Inc./Epicurus Mexico Fixed Income 3393 
UOB Global Capital (Dublin) Limited
Fund 3039 
Upromise Investments, Inc. 5704 
Unified Financial Securities, 3031 
Upromise Investments, Inc./Envision
Inc./FBO Alta Trust 5287 
Upromise Investments, Inc./Phoenix
Unified Financial Securities, 5670 
Platform Account
Inc./FBO Roosevelt Funds 4725 
US Bancorp Fund Services LLC 1038 
Unified Financial Securities, 1449 
US Bancorp Fund Services LLC
Inc./Golub Group 5306 
US Bancorp Fund Services LLC 1451 
Unified Financial Securities, 1452 
US Bancorp Fund Services LLC
Inc./Granite Funds 3790 
US Bancorp Fund Services LLC 1737 
Unified Financial Securities, 1757 
US Bancorp Fund Services LLC
Inc./Green Owl Funds 3774 
US Bancorp Fund Services LLC 1873 
Unified Financial Securities, 1874 
US Bancorp Fund Services LLC
Inc./Hirtle Callaghan Trust 6574 
US Bancorp Fund Services LLC 1880 
Unified Financial Securities, 1942 
US Bancorp Fund Services LLC
Inc./Huntington Fund 5832 
US Bancorp Fund Services LLC 1945 
Unified Financial Securities, 3427 
US Bancorp Fund Services LLC
Inc./Huntington National Bank 3712 
US Bancorp Fund Services LLC 3462 
Unified Financial Securities, Inc./Iron USIC  0226†  CNS 
US Securities International Corp.
Funds 5301 
USAA Financial Advisors, Inc. LIIS  0226†  CNS 
Unified Financial Securities, Inc./LS 0367 
USAA Investment Management Co.
Opportunity Fund 5380 
USAA Investment Management
Unified Financial Securities, Company USAA  0226∆  0226†  CNS 
Inc./Martin Funds 3303  USAA Investment Management
Company 5935 
Unified Financial Securities,
Inc./Meritage Funds 1391  USI Securities, Inc. USIS  0226†  CNS 
Uvest Financial Services Group, Inc. UVST  0443†  CNS 
Unified Financial Securities,
Inc./Spouting Rock Funds 3141  Valdes & Moreno, Inc. TORO  0309∆  0309†  CNS 
Valic Financial Advisors, Inc. 0542 
Unified Financial Securities,
5307  Valic Financial Advisors,
Inc./Symons Funds
Inc./Account 2 0681 
Unified Financial Securities,
5308  Valley Forge Asset Management
Inc./Toreador Funds
Corporation VLYF  0443†  CNS 
Unified Trust Company, National Valley Forge Fund, Inc. 3611 
Association 5983 
Valley National Investments, Inc. VALI  0226†  CNS 
Union Bank and Trust Company Valmark Securities, Inc. VALM  0235∆  0235†  CNS 
Nebraska 2067 
Valmark Securities, Inc. 0121 
Union Bank N.A. UBOC  2851  TFT 
Valores Finamax International, Inc. FINA  0352∆ 
Union Capital Company IVOL  0235∆  0235†  CNS 
Valueworks Limited Partners, LP 1163 
Union Gaming Advisors, LLC UGAM  0443∆ 
Van Clemens & Co., Inc. VCLM  0279∆  0279†  CNS 
UnionBanc Investment Services,
LLC MKTI  0226†  CNS  Van Eck Sec Corp/VIP Trust 4977 
United Bankers Bank UBKR  6732  TFT  Van Eck Securities Corporation 5524 
United Brokerage Services, Inc. UBSI  0141†  CNS  Van Eck Securities Corporation/Van
United Capital Markets, Inc. UCMI  0443∆  0443†  CNS  Eck Switzerland AG 7070 
United Capital Markets, Inc. UCML  0052∆  Van Kampen Funds, Inc. ZEDD  0099∆ 
United Equity Securities, LLC PFML  0226†  CNS  Vanderbilt Securities, LLC VBLT  0226†  CNS 
United First Partners, LLC UFPA  0501∆  Vandham Securities Corp. VNDM  0161∆  0161†  CNS 
Vandham Securities Corp. VNDS  0161∆  0161†  CNS 
United of Omaha Life Insurance
Company 6027  Vanguard Capital VCAP  0443∆  0443†  CNS 
Vanguard Fiduciary Trust Company 5972 
United Planners Financial Services
of America UPLN  0443∆  0443†  CNS  Vanguard Fiduciary Trust
United Planners Financial Services Company/Investment Program
of America 6008  Accounting 1390 
United Realty Trust Incorporated 1773  Vanguard Marketing Corp./Vanguard
Investments Series PLC Funds 4996 
United States Life Insurance
Company in the City of New York 4531  Vanguard Marketing Corporation VGRD  0062  0062  CNS 

49 
 
 Alphabetical Reference 
          November 2014 
Vanguard Marketing Corporation 5772  Voya Retirement Insurance and
Variable Annuity Life Insurance Annuity Company/VOYAVA 4635 
Company (The) 6455  VP Distributors, LLC 5517 
Variant Research Corporation VARI  0352∆  0352†  CNS  VP Distributors, LLC/Virtus Global
Vasiliou & Company Inc. VASL  0352∆  0352†  CNS  Funds PLC 3766 
Vaughan & Co. Securities, Inc. VCSI  0443†  CNS  VP Distributors, LLC/VVIT Series 3764 
VBC Securities VBCS  0279†  CNS  VPE Wertpapierhandelsbank AG VPEW  0158∆  0158†  CNS 
VCA Securities, LP VCAS  0352∆  0352†  CNS  VSR Financial Servcies, Inc. 2615 
VCM Securities, LLC VCMS  0443†  CNS  VSR Financial Services, Inc. VSRF  0141∆  0141†  CNS 
Vectormex WMG, Inc. VMEX  0352∆  0352†  CNS  VTB Capital Inc. VTBI  0443∆ 
Vega-Chi US Limited VEGA  0443†  CNS  W.D. Latimer Company LTD./CDS WDLF  5078● 
Veritas Securities Corp. VRTS  0100∆  W.H. Reaves & Co., Inc REAV  0443∆  0443†  CNS 
Vertical Management Systems, W.P. Carey & Co. LLC 1035 
Inc./TPA 7122 
W.P. Carey & Co. LLC 3663 
Vertical Trading Group, LLC (The) VERT  2154∆  0161†  CNS 
W.P. Carey & Co. LLC 3667 
Vest (H.D.) Investment Securities,
Inc. 0268  W.P. Carey & Co. LLC 3672 
VFG Securities, LLC VFGS  0750∆  0750†  CNS  W.P. Carey & Co. LLC 3678 
vFinance Investments, Inc. VFIN  0226∆  0226†  CNS  W.P. Carey & Co. LLC 3679 
Victor Securities, Inc. PEMA  0551∆  W.R. Hambrecht + Co., LLC HAMR  0235∆  0235†  CNS 
ViewTrade Securities, Inc. VTDT  0158∆  0158†  CNS  W.R. Hambrecht + Co., LLC HMRB  0235†  CNS 
Viewtrade Securities, Inc. VIEW  0595∆  0595†  CNS  W.R. Taylor & Company, LLC WRTC  0750∆  0750†  CNS 
ViewTrade Securities, Inc. VTSB  2154∆  Wachovia Securities Financial
Vining-Sparks IBG, L.P. VSLP  6043  TFT  Network, LLC FNET  0141∆  0141†  CNS 
Virtu Financial BD LLC VRTU  0063  Wachtel & Co., Inc. WACL  0709  0709  TFT 
Virtu Financial BD LLC VIRT  0063∆  Waddell & Reed, Inc. 0687 
Virtu Financial Capital Markets LLC EWTT  0749  Waddell & Reed, Inc. 4879 
Virtus Real Estate, LLC 1799  Wade (G.W.) Asset Management
Vision Brokerage Services, LLC VBSL  0595∆  Company, Inc. GWWD  0226†  CNS 
Vision Financial Markets LLC VSIN  0595  0595  CNS  Wall Street Access WABR  0443∆  0443†  CNS 
Vision Investment Services, Inc. VISI  0443†  CNS  Wall Street Access WSAG  0824∆ 
Vista Securities, Inc. VSTS  0279∆  0279†  CNS  Wall Street Financial Group WSFG  0226†  CNS 
Wall Street Management
Volant Liquidity, LLC BZXL  0695∆ 
Corporation WSMC  0443†  CNS 
Voya Financial Advisors, Inc. 0492 
Wall Street Money Center Corp. WAMC  0750∆ 
Voya Financial Advisors, Inc./LSSI 0465 
Wallach Beth Capital LLC WBET  0161∆ 
Voya Insurance and Annuity
Company 4506  Wallstreet E Financial Services Inc. 0052∆ 
Walnut Street Securities WNUT  0443†  CNS 
Voya Insurance and Annuity
Company/Mutual Funds Trading 4510  Walnut Street Securities, Inc. WNUT  0443∆ 
Walthausen Funds 5595 
Voya Insurance and Annuity
Walton International Group (USA),
Company/Voya Annuity and Asset 4675 
Inc. 3472 
Voya Investments Distributor, LLC 5734 
Wang Investment Associates, Inc. WANG  0279∆  0279†  CNS 
Voya Investments Distributor, Wang Investment Associates, Inc. SOGO  0158∆ 
LLC/Iowa Advisor 529 Plan 7065 
Ward (K.C.) Financial KCWF  0052∆  0052†  CNS 
Voya Investments Distributor, Ward's Financial Services, Inc. WARF  0235†  CNS 
LLC/Voya IODC 5859 
Warner Group Inc. (The) WRGR  0235∆  0235†  CNS 
Voya Investments Distributor, Warren D. Nadel & Company NADL  0235∆  0235†  CNS 
LLC/Wisconsin Tomorrow's Scholar Washington Securities Corporation WSCC  0235∆  0235†  CNS 
529 Plan 3379 
Waterford Investors Services, Inc. WTRI  0235∆  0235†  CNS 
Voya Retirement Advisors, LLC 0291 
Watermill Institutional Trading, LLC WMLL  0501∆ 
Voya Retirement Insurance and Waterstone Financial Group, Inc WFGP  0075∆ 
Annuity Company 4508 
Watkins Financial Services, Inc. SALT  0750∆ 
Voya Retirement Insurance and
Annuity Company/Fund Wayne Hummer Investments LLC WAYN  0141∆  0141†  CNS 
SERV/Trading 4575  Wayne Hummer Investments LLC 0196 
Voya Retirement Insurance and Waypoint Residential, LLC 1482 
Annuity Company/Retirement (Sub) 7026  WBB Securities, LLC WBBC  0226∆  0226†  CNS 
Voya Retirement Insurance and Wealthfront Brokerage Corporation KCBC  0017∆ 
Annuity Company/Voya Annuity 4740  Wealthfront Brokerage Corporation WFBC  0158∆ 
Weckstein (D.) & Co., Inc. WECK  0595∆  0595†  CNS 
50 
 
 Alphabetical Reference 
          November 2014 
Wedbush Morgan Securities, Inc. IBKW  0017∆  Wells Nelson & Associates, LLC WELL  0309∆  0309†  CNS 
Wedbush Morgan Securities, Inc. HBIQ  0103∆  Wentworth Securities, Inc. WWTH  0750∆ 
Wedbush Morgan Securities, Inc. WEDP  0103∆  Wesbanco Securities, Inc. CBII  0443†  CNS 
Wedbush Morgan Securities, Inc. WMGT  0103∆  Wescorp Investment Services, LLC WCIS  0443†  CNS 
Wedbush Morgan Securities, Inc. WMMO  0103∆  West America Securities Corp. WUSA  0750∆ 
Wedbush Morgan Securities, Inc. WMRA  0103∆  Western Equity Group, Inc. WEGP  0235∆  0235†  CNS 
Wedbush Morgan Securities, Inc. WMSR  0103∆  Western Financial Corporation WEFI  0103∆  0103†  CNS 
Wedbush Morgan Securities, Inc. WMLF  0330∆  Western International Securities, Inc. WISW  0103∆  0103†  CNS 
Wedbush Morgan Securities, Inc. WEDE  0355∆  Western International Securities, Inc. WISI  0352∆  0352†  CNS 
Wedbush Morgan Securities, Inc. LIFW  0695∆  Western International Securities, Inc. 0635 
Wedbush Morgan Securities, Inc. WMSS  0695∆  Western Pacific Securities, Inc. WEPA  0750∆ 
Wedbush Securities Inc. WEDB  0103  0103  CNS  Western Reserve Life Assurance
Wedbush Securities Inc. WMIT  0099∆  Company of Ohio 4567 
Wedbush Securities Inc. WBJB  0103∆  Western-Southern Life Assurance 4542 
Wedbush Securities Inc. WBLL  0103∆  Western-Southern Life Assurance
Wedbush Securities Inc. WETF  0103∆  Co/Columbus Life Insurance Co 4614 
Wedbush Securities Inc. WMEU  0103∆  Western-Southern Life Assurance
Wedbush Securities Inc. WMLP  0103∆  Co/Variable Annuity Business 5993 
Wedbush Securities Inc. WMSF  0103∆  Westhoff Cone & Holmstedt WCAH  0309†  CNS 
Wedbush Securities Inc. WMLT  0158∆  Westminster Securities Corporation WSWW  0443†  CNS 
Wedbush Securities Inc. WABN  0396∆  Weston Securities Corporation 5737 
Wedbush Securities Inc. WLSC  0396∆  Westpark Capital, Inc. WPCC  0052∆  0052†  CNS 
Wedbush Securities Inc. WMLK  0512∆  Westport Capital Markets, LLC WCMS  0352∆  0352†  CNS 
Wedbush Securities Inc. WSLT  0695∆  Westport Resources Investment
Wedbush Securities Inc./P3 WSGD  8199  8199  CNS  Services, Inc. WRIS  0443∆  0443†  CNS 
Wedbush Securities Inc./Stock Loan 5166  Westrock Capital Management, Inc. WSRK  0750∆  0750†  CNS 
Wedgewood Partners, Inc. WGWD  0158†  CNS  WFG Investments, Inc. WMBU  0226∆  0226†  CNS 
Weeden & Co. L.P. WEED  0161∆  0161†  CNS  WFG Investments, Inc. 6014 
Weeden Prime Services, LLC. WPSX  0824∆  Wharton Equity Corporation WHAE  0158†  CNS 
Weil Company, Inc. (The) WEIL  0226†  CNS  Whipple (J.N.) Inc. JNWS  0443†  CNS 
Weitz Investment Management, Inc. 5769  Whitaker Securities, LLC WHCG  0443∆  0443†  CNS 
Weller, Anderson & Co., Ltd. WACC  0279†  CNS  Whitaker Securities, LLC WTKR  0443∆  0443†  CNS 
Wellington Shields & Co., LLC WESC  0141∆  0141†  CNS  White Mountain Capital, LLC WMCL  0352∆  0352†  CNS 
Wellington Shields & Co., LLC MDWD  0750∆  0750†  CNS  White, Weld & Co. Securities, LLC WELD  0443∆  0443†  CNS 
Wellington Trust Company, N.A. 6517  Whitehall-Parker Securities, Inc. QWER  0443†  CNS 
Wells Fargo Advisors, LLC WRET  0141∆  0141†  CNS  Whiteweld Trading, LLC WWLD  0647∆ 
Wells Fargo Advisors, LLC 7360  Whitman (M.J.) & Co., Inc. MJWH  0352∆  0352†  CNS 
Wells Fargo Bank N.A./Wells Fargo Whitman (M.J.), LLC 5829 
Collective Funds 5186  Whitney National Bank WTNY  6414  TFT 
Wells Fargo Bank, N.A. 6766  Whotrades, Inc. WHOT  0595∆  0595†  CNS 
Wells Fargo Bank, N.A. 7115  WIC Corp. WHIT  0279†  CNS 
Wells Fargo Bank, N.A./SIG WBNA  2072  2072  CNS  Wilbanks Securities, Inc. WILB  0235∆  0235†  CNS 
Wells Fargo Bank, N.A./Wachovia 0929  Wiley Bros.-Aintree Capital, LLC WBRO  0443∆  0443†  CNS 
Wells Fargo Bank, NA TR William Blair & Company
Recordkeeping Group 2195  LLC/William Blair Investment Funds 3131 
Wells Fargo Bank, National
William Penn Life Insurance
Association 2027 
Company Of New York 7977 
Wells Fargo Brokerage Services,
LLC NORW  0250∆  0250†  CNS  Williams Capital Group, L.P. (The) WLMS  0443∆ 
Wells Fargo Funds Distributor, LLC 5576  Williams Trading, LLC WTCO  0501∆  0050?  CNS 
Willis Securities, Inc. WSEC  0443†  CNS 
Wells Fargo Funds Distributor,
LLC/Wells Fargo(Lux) Worldwide 5936  Willow Cove Investment Group, Inc. WCIG  0750∆  0750†  CNS 
Wells Fargo Institutional Securities, Wilmington Capital Securities, LLC WCSC  0235∆  0235†  CNS 
LLC WFIS  0250∆  0250†  CNS  Wilmington Trust Company 2215 
Wells Fargo Prime Services, LLC WFPB  0250∆  0250†  CNS  Wilmington Trust Company 4894 
Wells Fargo Securities, LLC WCHV  0250  0250  CNS  Wilmington Trust
Wells Fargo Securities, LLC WELX  0250∆  Company/Wilmington Trust
Retirement & Institutional Services
Wells Fargo Securities, LLC WEMM  0250∆ 
Company 0068 
Wells Fargo Securities, LLC WFGO  0352∆ 
Wilmington Trust Company/WTRIS 3311 
51 
 
 Alphabetical Reference 
          November 2014 
TPS YieldQuest Securities, LLC YQST  0279†  CNS 
Wilson-Davis & Co., Inc. WDCO  0283  Young Stovall & Company YOST  0235∆  0235†  CNS 
Wilson-Davis & Company, Inc. WDAC  0279∆  0279†  CNS  Zacks & Company ZACK  0352∆  0352†  CNS 
Windham Financial Services Inc. WFSI  0352∆  0352†  CNS  Zeus Securities, Inc ZEUS  0309∆ 
Windsor, Sheffield & Company, Inc. WISC  0235∆  0226†  CNS  Ziegler (B.C.) & Company BCZC  0443∆  0443†  CNS 
Winslow, Evans & Crocker Inc. WYNS  0443∆  0443†  CNS  Ziegler (B.C.) & Company 0753 
Winslow, Evans & Crocker Inc. 0332  Zions Direct, Inc. ZION  0065  CNS 
Wisconsin Discount Securities Corp. WIDS  0279∆  0279†  CNS  Zions Direct, Inc. ZDNF  0226†  CNS 
WM Financial Services, Inc. MRPH  0226†  CNS  Zions First National Bank ZFNB  2104  2104  TFT 
WM Financial Services, Inc. 4310  ZIV Investment Co. ZIVI  8082  8082  CNS 
WM Smith & Co. WSSS  0443∆  Zoullas (N.B.) Securities, Inc. ZOUL  0352∆ 
WNJ Capital, Inc WNJC  0309∆  0309†  CNS  Zurich American Life Insurance
Wolfe Research Securities WOLF  0100∆  Company 4529 
Wolverine Execution Services LLC WEXM  0161∆  Zurich American Life Insurance
Wolverine Execution Services LLC WEXI  0501∆  Company/Destinations 4578 
Wolverine Execution Services LLC WEXX  0501∆   
Wolverine Execution Services, LLC WEXL  0501∆ 
Wolverine Execution Services, LLC XXEW  0501∆ 
Wolverine Execution Services, LLC WEXA  0695∆ 
Wolverton Securities (USA), Ltd. WTOU  0052∆  0052†  CNS 
Wolverton Securities Ltd./CDS WTOF  5079● 
Woodbury Financial Services, Inc. 0510 
Woodfield Fund Administration, LLC 1651 
Woodfield Fund Administration, LLC 1795 
Woodfield Fund Administration, LLC 1848 
Woodfield Fund Administration, LLC 1851 
Woodfield Fund Administration, LLC 2968 
Woodlands Securities Corp. WODL  0279†  CNS 
Woodmen Financial Services, Inc. 6004 
Woodstock Financial Group Inc. RDNK  0279∆  0279†  CNS 
Woori Investment & Securities
America, Inc. LGSA  0158∆  0443†  CNS 
Worden Capital Management, LLC WORD  0052∆ 
Wordentrade, Inc. WRDN  0017∆ 
Workman Securities Corp. WSCX  0235∆  0235†  CNS 
World Capital Brokerage, Inc. 5676 
World Choice Securities, Inc. WCSO  0052∆  0052†  CNS 
World Equity Group Inc. WEGI  0235∆  0235†  CNS 
World Equity Group, Inc. 0460 
World Equity Group, Inc. WEGE  0443∆ 
World First Financial Services, Inc. MDEB  0141†  CNS 
World Trade Financial Corporation WORL  0052∆  0052†  CNS 
World Trade Financial Corporation WORX  0052∆  0052†  CNS 
WR Rice Financial Services, Inc. WRRF  0750∆  0750†  CNS 
WRP Investments, Inc. WRPI  0750∆  0750†  CNS 
WRP Investments, Inc. 4312 
Wulff Hansen & Co. WHCO  0443†  CNS 
Wunderlich Securities, Inc. WUND  0141∆  0141†  CNS 
Wunderlich Securities, Inc. WNDR  0161∆  0161†  CNS 
Wunderlich Securities, Inc. FUND  0226∆  0226†  CNS 
Wunderlich Securities, Inc. WUNT  0226†  CNS 
Wunderlich Securities, Inc. 0926 
Wynston Hill Capital, LLC EXTF  0235∆  0235†  CNS 
Xambala Capital, LLC XBLA  0103∆ 
XCU Capital Corp. EXCU  0443∆  0443†  CNS 
XEROX HR Solutions, LLC 7102 
XP Securities, LLC XPUS  0443∆ 
Yankee Advisers LLC 1885 

52