| FIREBRAND FINANCIAL GROUP INC | Jan 31 |
| FIRST MONTAUK FINANCIAL CORP | Dec 31 |
| FIRST OF MICHIGAN CAPITAL CORP | Sep 30 |
| FIRST TRUST FINANCIAL CORP | Dec 31 |
| FRIEDMAN BILLINGS RAMSEY GROUP INC | Dec 31 |
| Galaxy Digital Holdings Ltd. | |
| GAMCO INVESTORS, INC. ET AL | Dec 31 |
| GILMAN CIOCIA, INC. | Jun 30 |
| GLEACHER & COMPANY, INC. | Dec 31 |
| GLOBAL CAPITAL PARTNERS INC | Mar 31 |
| GLOBALNET FINANCIAL COM INC | Dec 31 |
| GOLDMAN SACHS BANK AG | Dec 31 |
| Grayscale Investments, Inc. | Dec 31 |
| GREENHILL & CO INC | Dec 31 |
| GS Finance Corp. | Nov 30 |
| HAMBRECHT & QUIST GROUP | Sep 30 |
| Hedge Fund Managers (Diversified) II LLC | Dec 31 |
| Hedge Fund Managers (Diversified) LLC | Dec 31 |
| Hilltop Securities Holdings LLC | Jun 30 |
| HOENIG GROUP INC | Dec 31 |
| HUDSON HOLDING CORP | Mar 31 |
| HULL GROUP INC | Dec 31 |
| Imperial Capital Group, Inc. | Dec 31 |
| INCAM AG | Dec 31 |
| INSTINET GROUP INC | Dec 31 |
| InterPrivate III Financial Partners Inc. | Dec 31 |
| INTERSTATE JOHNSON LANE INC | Sep 30 |
| INVESTORS CAPITAL HOLDINGS LTD | Mar 31 |
| INVESTORS GROUP INC | Dec 31 |
| IPO CONNECTION COM | Dec 31 |
| Jefferies Group Capital Finance Inc. | Nov 30 |
| JEFFERIES GROUP INC | Dec 31 |
| Jefferies Group LLC | Nov 30 |
| JESUP & LAMONT, INC. | Dec 31 |
| JJFN HOLDINGS INC | Jun 30 |
| JMP Group Inc. | Dec 31 |
| JMP GROUP LLC | Dec 31 |
| JONES FINANCIAL COMPANIES LLLP | Dec 31 |
| JW CHARLES FINANCIAL SERVICES INC/FL | Dec 31 |
| JWGENESIS FINANCIAL CORP / | Dec 31 |
| KBW, INC. | Dec 31 |
| KEMPER FINANCIAL COMPANIES INC | Dec 31 |
| KENT FINANCIAL SERVICES INC | Dec 31 |
| KIRLIN HOLDING CORP | Dec 31 |
| KNIGHT CAPITAL GROUP LLC | Dec 31 |
| LABRANCHE & CO INC | Dec 31 |
| LABRANCHE GEORGE M L IV | Dec 31 |
| LADENBURG THALMANN FINANCIAL SERVICES INC. | Dec 31 |
| Lehman Brothers Holdings | Nov 30 |
| LEHMAN BROTHERS HOLDINGS CAPITAL TRUST I | Nov 30 |
| LEHMAN BROTHERS HOLDINGS CAPITAL TRUST II | Nov 30 |
| LEHMAN BROTHERS HOLDINGS CAPITAL TRUST III | Nov 30 |
| LEHMAN BROTHERS HOLDINGS CAPITAL TRUST IV | Nov 30 |
| Lehman Brothers Holdings E-Capital LLC I | Dec 31 |
| Lehman Brothers Holdings E-Capital Trust I | Dec 31 |
| LEHMAN BROTHERS HOLDINGS INC. PLAN TRUST | Dec 31 |
| LEHMAN BROTHERS INC// | Nov 30 |
| Liquidnet Holdings, Inc. | Dec 31 |
| MACKENZIE INVESTMENT MANAGEMENT INC | Mar 31 |
| Mango Financial Group Ltd | Dec 31 |
| MAS CAPITAL INC | Dec 31 |
| MAXCOR FINANCIAL GROUP INC | Dec 31 |
| MCDONALD & CO INVESTMENTS INC | Mar 31 |
| MERRILL LYNCH CANADA INC. | |
| Merrill Lynch Capital Trust I | Dec 29 |
| Merrill Lynch Capital Trust III | Dec 31 |
| MERRILL LYNCH & CO., INC. | Dec 31 |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INC. | Dec 31 |
| Merriman Holdings, Inc | Dec 31 |
| MOMENTUM DISTRIBUTION INC | Dec 31 |
| MORGAN KEEGAN INC | Jul 31 |
| MORGAN STANLEY CAPITAL TRUST VI | Dec 31 |
| Morgan Stanley Finance LLC | Dec 31 |
| MORGAN STANLEY FINANCE PLC | Jan 31 |
| MORGAN STANLEY GROUP INC /DE/ | Jan 31 |
| NATIONAL DISCOUNT BROKERS GROUP INC | May 31 |
| NATIONAL SECURITIES CORP/WA/ | Sep 30 |
| NETWORK 1 FINANCIAL GROUP, INC. | Jun 30 |
| NEW YORK BROKER DEUTSCHLAND AG | Dec 31 |
| Nomura America Finance, LLC | Mar 31 |
| North Shore Capital Advisors Corp. | Dec 31 |
| Odysseus (Cayman) Ltd | Dec 31 |
| OLDE FINANCIAL CORP | Dec 31 |
| ONLINETRADINGINC COM CORP | Dec 31 |
| optionsXpress Holdings, Inc. | Dec 31 |
| PAINE WEBBER GROUP INC | Dec 31 |
| PEAK6 CORP | Dec 31 |
| PENSON WORLDWIDE INC | Dec 31 |
| PHARMACEUTICAL HOLDRS TRUST | |
| PLAINFIELD DIRECT INC | |
| Point Center Mortgage Fund I, LLC | Dec 31 |
| PROGRESSIVE ASSET MANAGEMENT INC | Jun 30 |
| PWG CAPITAL TRUST I | Dec 31 |
| PWG CAPITAL TRUST II | Dec 31 |
| PWG CAPITAL TRUST III | Dec 31 |
| PWG CAPITAL TRUST IV | Dec 31 |
| PWG CAPITAL TRUST V | Dec 31 |
| QMIS TBS Capital Group Corp. | Dec 31 |
| QUICK & REILLY GROUP INC /DE/ | Feb 28 |
| RAGEN MACKENZIE GROUP INC | Dec 31 |