| RBC Capital Markets, LLC | Oct 31 |
| RCS Capital Corp | Dec 31 |
| REALAMERICA CO/NEW | Nov 30 |
| RODMAN & RENSHAW CAPITAL GROUP INC | Dec 31 |
| Royalty Investment Club, Va. LLC | |
| RUBICON FINANCIAL INC | Dec 31 |
| RYAN BECK & CO INC | Dec 31 |
| RYAN BECK HOLDINGS INC | Dec 31 |
| S3 INVESTMENT COMPANY, INC. | Jun 30 |
| SCOTT & STRINGFELLOW, LLC | Dec 31 |
| SHAPIRO BARRY | Dec 31 |
| SIBO HOLDING Ltd | Mar 31 |
| Sidoti & Company, Inc. | Dec 31 |
| SIG INDICES LLLP | |
| SMITH BARNEY HOLDINGS INC | Dec 31 |
| SMITH TIM | Dec 31 |
| SOUNDVIEW TECHNOLOGY GROUP INC | Dec 31 |
| STEWART W P & CO LTD | Dec 31 |
| STOCKTRADE NETWORK INC | Dec 31 |
| STOCKWALK GROUP INC /MN/ | Mar 31 |
| SUMMIT BROKERAGE SERVICES INC / FL | Dec 31 |
| SUMMIT FINANCIAL SERVICES GROUP INC | Dec 31 |
| SW ACQUISTION INC | Dec 31 |
| TARGETS TRUSTS V | |
| TARGETS TRUSTS VI | |
| TARGETS TRUST XII | Dec 31 |
| TARGETS TRUST XIII | Dec 31 |
| TARGETS TRUST XVI | Dec 31 |
| TARGETS TRUST XVII | Dec 31 |
| TARGETS TRUST XXII | Dec 31 |
| TARGETS TRUST XXIII | Dec 31 |
| TARGETS TRUST XXIV | Dec 31 |
| TARGETS TRUST XXVI | Dec 31 |
| TD AMERITRADE HOLDING CORP | Sep 30 |
| TD AMERITRADE Online Holdings Corp. | Sep 30 |
| TELECOM HOLDRS TRUST | Dec 31 |
| THINKORSWIM GROUP INC. | Dec 31 |
| Thomas Weisel Partners Group, Inc. | Dec 31 |
| TIERS ASSET BACKED SECURITIES SER CHAMT TR 1997-7 | Dec 31 |
| TNFG Corp | Dec 31 |
| TRADERIGHT CORP | |
| TRADESTATION GROUP INC | Dec 31 |
| TREASURE FINANCIAL CORP | |
| TUCKER ANTHONY SUTRO | Dec 31 |
| US BANCORP INVESTMENTS INC | Sep 30 |
| VAN DER MOOLEN HOLDING NV | Dec 31 |
| VIRTU ITG HOLDINGS LLC | Dec 31 |
| Virtu KCG Holdings LLC | Dec 31 |
| WADDELL & REED FINANCIAL INC | Dec 31 |
| WATERHOUSE INVESTOR SERVICES INC | Aug 31 |
| WESTAMERICA CORP | Mar 31 |
| WESTECH CAPITAL CORP | Dec 31 |
| WOODSTOCK HOLDINGS INC. | Dec 31 |
| ZIEGLER COMPANIES INC | Dec 31 |