TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATSTRADING.COM
summary
BATS Global Markets proposed a 12-month SEC pilot program to replace the uniform one-penny tick size with dynamic tick sizes of $0.005 for highly liquid securities and $0.05 for less liquid or high-priced ones, while permitting locked markets in the most liquid stocks, to improve price discovery and reduce capital-raising costs for small- and mid-cap companies, with no fraud or enforcement actions identified.
paragraph
BATS Global Markets advocated for a SEC pilot program introducing dynamic tick sizes based on security price and liquidity, proposing a $0.005 minimum tick for highly liquid stocks and $0.05 for less liquid or higher-priced ones, while allowing locked markets in the most liquid securities. The proposal, informed by BATS’s experience with similar structures in Europe, aimed to enhance price formation and reduce transaction costs, particularly for small- and mid-cap companies whose capital raising was hindered by narrow spreads under a uniform penny tick. No regulatory violations, legal charges, or fraudulent activity were indicated in the materials; the documents solely detail market structure recommendations and portfolio holdings.
narrative
BATS Global Markets submitted a formal comment to the SEC in January 2013, proposing a 12-month pilot program to replace the uniform one-penny tick size with dynamic tick sizes tailored to a security’s price and liquidity profile. The proposal recommended a $0.005 minimum tick for highly liquid, low-priced securities and a $0.05 tick for less liquid or higher-priced stocks, while permitting locked markets in the most liquid securities—specifically 259 that met strict volume and spread criteria—to improve price discovery and reduce execution complexity. BATS drew on its experience with dynamic tick sizes implemented across European exchanges, arguing that a one-size-fits-all penny tick had inadvertently discouraged market-making and research coverage for small- and mid-cap companies, thereby increasing their cost of capital. The firm supported the SEC’s broader review under the JOBS Act and emphasized that the pilot would not affect the $0.003/share access fee cap in its initial phase. Eligible securities included major equities like MSFT, AAPL, SPY, and QQQ, with average daily volumes ranging from under 1,000 to over 174 million shares, traded on NYSE, NASDAQ, and NYSE Arca. Supporting documentation included detailed listings of qualifying securities and portfolio holdings of equities, ETFs, preferred shares, and international assets, all of which were purely informational and contained no allegations of misconduct. No regulatory violations, enforcement actions, or fraudulent behavior were referenced in any of the materials; the focus remained exclusively on market structure reform and operational efficiency.
Classified non-corporate(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Parties
bats global markets, inc.the opportunity to comment on the sec roundtable on decimalization
Keywords
comincnyse arcaynasdaqnnysennysearcaycorpnyse mktnnewpfdbancorpetfmktnshs
Extracted insights
Dollar amounts 1
- $100 $100 <$10K
Entities 2
- company bats global markets, inc.
- agency the opportunity to comment on the sec roundtable on decimalization
Triples 9
- BATS Global Markets, Inc. Appreciates The opportunity to comment on the SEC roundtable on decimalization
- BATS Global Markets, Inc. Believes The Commission should consider implementation of a pilot program with dynamic tick sizes based on a security’s price and liquidity profile
- BATS Global Markets, Inc. Believes The Commission should take a similar approach to its current review of tick sizes and should consider implementing a pilot program that includes dynamic tick sizes based on the following
- BATS Global Markets, Inc. Has experience with More dynamic tick sizes in Europe
- BATS Global Markets, Inc. Played a significant role in An industry working group that defined tick sizes based on a security’s trading profile, including price and liquidity characteristics
- The Commission Is examining The issue of tick sizes with an eye toward the possibility of launching a pilot program
- The Jobs Act Requires The Commission to study the issue of wider tick sizes for certain companies
- The Commission’s review Includes analyzing Whether narrower tick sizes might be appropriate for certain lower priced, highly liquid securities
- The Commission’s review Includes analyzing Whether wider tick sizes might be appropriate for certain higher-priced, but very liquid companies
PDF
Text layers
Extracted body text (208,219c)
--- page 1 ---
January 29, 2013
Elizabeth M. Murphy
Secretary
Securities and Exchange Commission
100 F Street, N.E.
Washington, DC 20549-1090
RE: Roundtable on Decimalization
Dear Ms. Murphy:
BATS Global Markets, Inc. (“BATS”) appreciates the opportunity to comment on the
above referenced Securities and Exchange Commission (“SEC” or “Commission”) roundtable on
decimalization. As explained in more detail below, BATS believes the Commission should
consider implementation of a pilot program with dynamic tick sizes based on a security’s price
and liquidity profile, which would include allowing a minimum tick (quoting) increment of ½
cent as well as permitting the display of locked markets in the most highly liquid securities
included in the pilot program, and minimum tick increments of 5 cents for less liquid securities
and certain high priced, liquid securities.
While there is ample, direct evidence that decimalization has led to tighter bid/offer
spreads, resulting in reduced costs to investors, some have suggested that a “one size fits all”
approach to tick sizes may have had the unintended effect of impeding the capital raising ability
of small and middle capitalization companies. The primary concern is that a one-penny tick size
reduces spreads earned by broker-dealers making markets in such securities, providing little
incentive for them to post aggressive markets, particularly in securities of companies that do not
trade frequently. This in turn may create disincentives for broker-dealers to incur the costs
associated with generating research coverage on such companies, with the net result of
increasing the cost of raising capital for certain small and middle capitalization companies that fit
this profile.
The Commission is appropriately examining this issue with an eye toward the possibility
of launching a pilot program to examine the effect of different tick sizes. And, while the Jobs
Act requires the Commission to study this issue from the standpoint of analyzing whether wider
tick sizes for certain companies might make it easier and less costly for them to raise capital and,
hence, encourage more initial public offerings, BATS appreciates that the Commission is taking
a broader, holistic approach to reviewing tick sizes. This holistic review includes analyzing
related issues such as whether narrower tick sizes might be appropriate for certain lower priced,
highly liquid securities where evidence suggests that a one-penny tick may be constraining price
formation. In addition, the Commission’s review includes analyzing whether wider tick sizes
might be appropriate not only for certain small and middle capitalization companies, but also for
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATSTRADING.COM
--- page 2 ---
Elizabeth M. Murphy
January 29, 2013
Page 2 of 5
certain higher-priced, but very liquid companies, where a one-penny change in the quoted price
may be immaterial to the overall cost of execution, but where application of the Order Protection
Rule of Regulation NMS can significantly complicate the manner in which orders, particularly
large orders, are executed.
BATS has consistently supported implementation of more rational tick sizes based on
certain characteristics of the security in question. 1 BATS has experience with more dynamic tick
sizes in Europe, where BATS played a significant role as part of an industry working group that
defined tick sizes based on a security’s trading profile, including price and liquidity
characteristics, which have been adopted by exchanges across Europe. 2 BATS believes that the
Commission should take a similar approach to its current review of tick sizes and should
consider implementing a pilot program that includes dynamic tick sizes based on the following
key considerations by security:
• Quoted Spread
• Effective Spread
• Spread Leeway3
• Price of the Security
• Liquidity
o Average size at the inside
o Average daily volume (ADV)
• Simplicity for investors and brokers
Based on these considerations, BATS is proposing that the Commission implement a 12-
month tick size pilot program for the trading of equity securities for the purpose of determining
the optimal tick size for enabling efficient price discovery, while maintaining low transaction
1
See http://www.sec.gov/spotlight/regnms/jointnmsexemptionrequest043010.pdf (joint petition for
rulemaking submitted by BATS, NYSE and NASDAQ in 2010, requesting that the Commission grant an
exemption to Rule 612 of Regulation NMS to implement a pilot program permitting market participants to
display, rank, and accept sub-penny quotes and orders in certain low-priced securities where evidence
suggested a one-penny minimum tick was constraining price formation); http://www.sec.gov/comments/s7-
02-10/s70210-146.pdf (BATS’ comments to the Commission’s 2010 Equity Market Structure Concept
Release, also containing a similar request for the Commission to grant an exemption to Rule 612 of
Regulation NMS for a pilot program with smaller tick sizes); http://www.sec.gov/comments/sr-nyse-2011-
55/nyse201155-29.pdf (BATS’ comment letter to the NYSE Retail Liquidity Program, which included a
request that the Commission consider a more nuanced review of tick sizes in general focused on a
security’s trading characteristics); and
http://cdn.batstrading.com/resources/newsletters/BATSCEONewsletter71912.pdf (Newsletter from BATS’
CEO Joe Ratterman supporting an industry review of minimum tick sizes).
2
See http://cdn.batstrading.com/resources/participant_resources/BATSEuro_Ticks.pdf
3
Spread leeway is equal to the Average Quoted Spread/Minimum Tick Size – 1 and is a measure of the size
of the minimum tick compared to its average quoted spread. For example, if the minimum tick size is .01
and its average spread is .02, then the spread leeway would be (.02/.01) – 1 = 1. A small spread leeway
indicates that it will be more difficult for liquidity providers to post a new or better bid or offer.
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 3 ---
Elizabeth M. Murphy
January 29, 2013
Page 3 of 5
costs for investors, and improving the efficient access to capital for small and middle
capitalization companies:
Guiding Principles:
• Optimal Spread Leeway is between 1-5 ticks
o A spread leeway of less than 1 (which at a one penny minimum tick size equals a
quoted spread of less than 2 cents) indicates an artificially wide tick size
inhibiting price discovery.
o A spread leeway greater than 9 (which at a one penny minimum tick size equals a
quoted spread of greater than 10 cents) indicates too narrow of a tick size.
• Securities considered to be highly liquid are those securities currently included in the
single stock circuit breaker pilot (or Tier 1 of the soon to be implemented limit up/limit
down pilot) and that have an ADV of at least 2 million shares.
• Locked Markets (zero spread) should be allowed for securities that appear to be
constrained by the current tick size.
• No need to address the $0.003/share access fee cap in the initial pilot as the finest tick
would be $.005/share for securities priced above $1. An access fee cap scaled in
proportion to the tick size is a logical next phase to the pilot if the initial phase generates
positive results for investors.
Proposal 4:
• Allow locked markets in securities if:
o ADV is greater than 2 million shares,
o The security is currently subject to the single stock circuit breaker pilot (or tier 1
of the planned limit up/limit down pilot),
o The average quoted spread is less than or equal to 2 cents,
o The average effective spread is less than 1.5 cents,
o 259 securities qualify (See Appendix 1, lock.pdf)
• Allow $.005 tick size in a security if:
o ADV is greater than 2 million shares,
o The security is currently subject to the single stock circuit breaker pilot (or tier 1
of the planned limit up/limit down pilot),
o The average quoted spread is less than or equal to 1.1 cents,
o The average effective spread is less than 1 cent,
o The average consolidated size at the inside is 10,000 shares.
o The price of the security is less than or equal to $50 (plus the addition of symbol
QQQ, which although priced above $50 is an actively traded security and meets
all the above criteria).
4
Qualifying securities in all groups were determined using data from January 1-25, 2013 and closing prices as of
January 25, 2013.
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 4 ---
Elizabeth M. Murphy
January 29, 2013
Page 4 of 5
o 150 securities qualify (See Appendix #2, halfpenny.pdf)
• Allow $.05 tick ($.01 minimum trading increment to ensure material price
improvement) if:
o The average quoted spread is greater than 10 cents.
o The average effective spread is greater than 5 cents.
o The price of the security is greater than $100 (high-priced), or the ADV is less
than 100,000 shares (low liquidity).
o 2,012 securities qualify (See Appendix #3, nickel.pdf)
The Pilot should exclude a portion of the qualified securities from each of the three symbol
groups above as control samples. Given the large number of qualified securities that could have
a quoting increment of $.05, BATS suggests selecting a small minority (less than 300) of the
qualified securities that are either high-priced or low liquidity to conduct a smaller $.05 quoting
increment pilot with a minimum $.01 trading increment. BATS believes a pilot program based
on the parameters above would be the most effective manner for the Commission and the
industry to determine the potential benefits to the investing public and companies’ access to
capital that may be associated with the implementation of dynamic tick sizes.
An additional benefit associated with the proposed pilot relates to the current prohibition
in Rule 610 of Regulation NMS on displaying locked markets. At the time Regulation NMS was
adopted, the Commission included in Rule 610 a requirement that exchanges maintain and
enforce written rules that require members reasonably to avoid displaying quotes that lock other
protected quotes. The Commission had noted that locked markets can cause confusion regarding
the reliability of the displayed quote. The Commission also recognized that some market
participants believe that locked markets convey useful pricing information and that the ability to
lock quotes can enable markets to efficiently communicate their trading interest. Nonetheless,
the Commission ultimately adopted the locked markets prohibition, noting:
When two market participants are willing to trade at the same quoted price, giving
priority to the first-displayed automated quotation will encourage posting of
quotations and contribute to fair and orderly markets. The basic principle
underlying the NMS is to promote fair competition among markets, but within a
system that also promotes interaction between all of the buyers and sellers in a
particular NMS stock. Allowing market participants simply to ignore accessible
quotations in other markets and routinely display locking and crossing quotations
is inconsistent with this principle. 5
BATS questions the validity today of the Commission’s concerns about locked markets
articulated when Regulation NMS was adopted. Since then, the exchanges have adopted order
handling functionality designed to accept and post on their books orders with a displayed price
that locks another market’s protected quote. In such cases, the exchanges “slide” the displayed
5
Regulation NMS Approval Order, Exchange Act Release No. 51808 (June 9, 2005).
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 5 ---
Elizabeth M. Murphy
January 29, 2013
Page 5 of 5
price of the order until that price would no longer lock a protected quote, and in the meantime
the order typically is ranked at the non-displayed, locking price. BATS slides a material amount
of orders daily that are willing to improve the National Best Bid or Offer but cannot because of
the locked markets prohibition. As such, particularly in highly liquid securities, the market is
effectively routinely locked at various points throughout the trading day, although that lock
cannot be displayed to the public, which in turn may inhibit the public price discovery process
and the ability of broker-dealers to satisfy their best execution obligations.
In addition, much has been said recently about market complexity and the proliferation of
order types in the industry. From BATS’ perspective, at least some of this concern can be traced
to the implementation of the above-described functionality designed solely to comply with the
locked markets prohibition, which BATS believes to be some of the most complex actions
performed by any exchange matching engine. By allowing highly liquid securities with already
tight quoted spreads to lock as part of the pilot program, some of this complexity could be
mitigated while the Commission evaluates the on-going validity of its prior concerns against the
benefits that can inure to investors trading in a zero spread environment.
*****
BATS appreciates the opportunity to comment on the Roundtable on Decimalization.
Please feel free to contact us if you have any questions in connection with matter.
Sincerely,
Chris Isaacson Eric Swanson
SVP & COO Secretary
Cc: The Hon. Elisse B. Walter, Chairman
The Hon. Luis A. Aguilar, Commissioner
The Hon. Troy A. Paredes, Commissioner
The Hon. Daniel Gallagher, Commissioner
John Ramsey, Acting Director, Division of Trading and Markets
James Burns, Deputy Director, Division of Trading and Markets
Craig Lewis, Director and Chief Economist, Division of Risk, Strategy, and Financial
Innovation
Kathleen Hanley, Deputy Director and Deputy Chief Economist, Division of Risk,
Strategy, and Financial Innovation
David Shillman, Associate Director, Division of Trading and Markets
Daniel Gray, Senior Special Counsel, Division of Trading and Markets
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 6 ---
Appendix 1 - Locked Market Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA ALCOA INC COM 20,859,635 NYSE N
ABT ABBOTT LABS COM 14,984,491 NYSE N
ACAS AMERICAN CAP LTD COM 3,489,736 NASDAQ N
ADBE ADOBE SYS INC COM 3,654,246 NASDAQ N
ADI ANALOG DEVICES INC COM 2,501,372 NASDAQ N
ADM ARCHER DANIELS MIDLAND CO COM 3,890,473 NYSE N
AEO AMERICAN EAGLE OUTFITTERS NEW COM 4,240,007 NYSE N
AEP AMERICAN ELEC PWR INC COM 2,704,339 NYSE N
AES AES CORP COM 4,645,861 NYSE N
AGNC AMERICAN CAPITAL AGENCY CORP COM 3,523,332 NASDAQ N
AIG AMERICAN INTL GROUP INC COM NEW 17,536,950 NYSE N
ALL ALLSTATE CORP COM 2,866,827 NYSE N
ALTR ALTERA CORP COM 3,804,755 NASDAQ N
AMAT APPLIED MATLS INC COM 14,474,153 NASDAQ N
AMTD TD AMERITRADE HLDG CORP COM 3,664,168 NYSE N
ANR ALPHA NATURAL RESOURCES INC COM 16,828,356 NYSE N
ASNA ASCENA RETAIL GROUP INC COM 2,209,892 NASDAQ N
ATML ATMEL CORP COM 7,331,212 NASDAQ N
ATVI ACTIVISION BLIZZARD INC COM 6,101,445 NASDAQ N
AVP AVON PRODS INC COM 7,220,422 NYSE N
AXP AMERICAN EXPRESS CO COM 5,890,903 NYSE N
BAC BANK OF AMERICA CORPORATION COM 174,655,517 NYSE N
BBT BB&T CORP COM 4,114,381 NYSE N
BBY BEST BUY INC COM 11,141,745 NYSE N
BK BANK NEW YORK MELLON CORP COM 7,681,931 NYSE N
BMY BRISTOL MYERS SQUIBB CO COM 10,074,409 NYSE N
BRCD BROCADE COMMUNICATIONS SYS INC COM NEW 4,368,983 NASDAQ N
BRCM BROADCOM CORP CL A 6,068,420 NASDAQ N
BSX BOSTON SCIENTIFIC CORP COM 20,699,470 NYSE N
BTU PEABODY ENERGY CORP COM 6,752,213 NYSE N
C CITIGROUP INC COM NEW 39,590,479 NYSE N
CA CA INC COM 4,277,306 NASDAQ N
CAG CONAGRA FOODS INC COM 4,119,857 NYSE N
CAH CARDINAL HEALTH INC COM 2,434,638 NYSE N
CBG CBRE GROUP INC CL A 2,612,174 NYSE N
CBS CBS CORP NEW CL B 9,295,852 NYSE N
CCL CARNIVAL CORP PAIRED CTF 3,987,587 NYSE N
CDNS CADENCE DESIGN SYSTEM INC COM 3,102,556 NASDAQ N
CHK CHESAPEAKE ENERGY CORP COM 15,902,794 NYSE N
CHS CHICOS FAS INC COM 2,993,003 NYSE N
CLWR CLEARWIRE CORP NEW CL A 18,060,419 NASDAQ N
CMCSA COMCAST CORP NEW CL A 11,235,354 NASDAQ N
CMS CMS ENERGY CORP COM 2,094,612 NYSE N
CNP CENTERPOINT ENERGY INC COM 2,693,459 NYSE N
COP CONOCOPHILLIPS COM 5,239,642 NYSE N
CPN CALPINE CORP COM NEW 2,436,461 NYSE N
CPWR COMPUWARE CORP COM 2,132,257 NASDAQ N
CSCO CISCO SYS INC COM 37,319,714 NASDAQ N
--- page 7 ---
CSX CSX CORP COM 10,725,109 NYSE N
CTL CENTURYLINK INC COM 4,066,035 NYSE N
CVC CABLEVISION SYS CORP CL A NY CABLVS 2,860,956 NYSE N
CVS CVS CAREMARK CORPORATION COM 6,079,167 NYSE N
CY CYPRESS SEMICONDUCTOR CORP COM 3,131,397 NASDAQ N
DAL DELTA AIR LINES INC DEL COM NEW 15,655,529 NYSE N
DBC POWERSHARES DB CMDTY IDX TRACK UNIT BEN INT 2,126,696 NYSE Arca Y
DD DU PONT E I DE NEMOURS & CO COM 6,029,127 NYSE N
DDR DDR CORP COM 2,501,266 NYSE N
DELL DELL INC COM 45,808,115 NASDAQ N
DF DEAN FOODS CO NEW COM 2,530,976 NYSE N
DFS DISCOVER FINL SVCS COM 4,790,392 NYSE N
DHI D R HORTON INC COM 4,710,266 NYSE N
DIA SPDR DOW JONES INDL AVRG ETF UT SER 1 5,364,181 NYSE Arca Y
DIS DISNEY WALT CO COM DISNEY 9,080,577 NYSE N
DNR DENBURY RES INC COM NEW 4,853,168 NYSE N
DOW DOW CHEM CO COM 7,645,838 NYSE N
DRE DUKE REALTY CORP COM NEW 5,115,407 NYSE N
EA ELECTRONIC ARTS INC COM 4,055,744 NASDAQ N
EBAY EBAY INC COM 11,942,467 NASDAQ N
EEM ISHARES TR MSCI EMERG MKT 51,095,197 NYSE Arca Y
EFA ISHARES TR MSCI EAFE INDEX 15,255,927 NYSE Arca Y
EMC E M C CORP MASS COM 26,850,943 NYSE N
ENDP ENDO HEALTH SOLUTIONS INC COM 2,019,100 NASDAQ N
EPI WISDOMTREE TRUST INDIA ERNGS FD 3,500,992 NYSE Arca Y
ESRX EXPRESS SCRIPTS HLDG CO COM 5,419,186 NASDAQ N
ETFC E TRADE FINANCIAL CORP COM NEW 5,599,363 NASDAQ N
EWG ISHARES INC MSCI GERMAN 3,449,015 NYSE Arca Y
EWH ISHARES INC MSCI HONG KONG 3,899,103 NYSE Arca Y
EWJ ISHARES INC MSCI JAPAN 35,601,597 NYSE Arca Y
EWT ISHARES INC MSCI TAIWAN 6,373,853 NYSE Arca Y
EWZ ISHARES INC MSCI BRAZIL 10,475,692 NYSE Arca Y
EXC EXELON CORP COM 7,332,318 NYSE N
F FORD MTR CO DEL COM PAR $0.01 56,660,866 NYSE N
FB FACEBOOK INC CL A 74,397,473 NASDAQ N
FCX FREEPORT-MCMORAN COPPER & GOLD COM 14,937,789 NYSE N
FHN FIRST HORIZON NATL CORP COM 4,607,923 NYSE N
FITB FIFTH THIRD BANCORP COM 11,638,445 NASDAQ N
FNFG FIRST NIAGARA FINL GP INC COM 3,775,184 NASDAQ N
FTR FRONTIER COMMUNICATIONS CORP COM 9,273,677 NASDAQ N
FXI ISHARES TR FTSE CHINA25 IDX 15,652,384 NYSE Arca Y
GCI GANNETT INC COM 2,523,745 NYSE N
GDXJ MARKET VECTORS ETF TR JR GOLD MINERS E 3,250,422 NYSE Arca Y
GE GENERAL ELECTRIC CO COM 45,083,259 NYSE N
GGP GENERAL GROWTH PPTYS INC NEW COM 5,995,599 NYSE N
GIS GENERAL MLS INC COM 3,645,888 NYSE N
GLW CORNING INC COM 16,334,389 NYSE N
GM GENERAL MTRS CO COM 12,398,927 NYSE N
GNW GENWORTH FINL INC COM CL A 11,367,252 NYSE N
GRPN GROUPON INC COM CL A 12,612,277 NASDAQ N
GT GOODYEAR TIRE & RUBR CO COM 3,188,519 NASDAQ N
HAL HALLIBURTON CO COM 11,695,388 NYSE N
--- page 8 ---
HAS HASBRO INC COM 2,719,726 NASDAQ N
HBAN HUNTINGTON BANCSHARES INC COM 11,665,510 NASDAQ N
HCBK HUDSON CITY BANCORP COM 3,974,917 NASDAQ N
HIG HARTFORD FINL SVCS GROUP INC COM 5,078,870 NYSE N
HMA HEALTH MGMT ASSOC INC NEW CL A 5,667,063 NYSE N
HOLX HOLOGIC INC COM 2,811,235 NASDAQ N
HPQ HEWLETT PACKARD CO COM 32,799,776 NYSE N
HRB BLOCK H & R INC COM 4,973,942 NYSE N
HST HOST HOTELS & RESORTS INC COM 6,066,197 NYSE N
HTZ HERTZ GLOBAL HOLDINGS INC COM 6,339,507 NYSE N
HUN HUNTSMAN CORP COM 4,453,245 NYSE N
HYG ISHARES TR HIGH YLD CORP 2,927,701 NYSE Arca Y
IAU ISHARES GOLD TRUST ISHARES 5,945,669 NYSE Arca Y
IGT INTERNATIONAL GAME TECHNOLOGY COM 3,750,815 NYSE N
INTC INTEL CORP COM 55,212,466 NASDAQ N
IP INTL PAPER CO COM 3,316,086 NYSE N
IPG INTERPUBLIC GROUP COS INC COM 5,370,021 NYSE N
IVZ INVESCO LTD SHS 3,390,289 NYSE N
IWD ISHARES TR RUSSELL1000VAL 2,038,585 NYSE Arca Y
IWF ISHARES TR RUSSELL1000GRW 2,275,371 NYSE Arca Y
IWM ISHARES TR RUSSELL 2000 35,904,398 NYSE Arca Y
IYR ISHARES TR DJ US REAL EST 7,704,973 NYSE Arca Y
JBL JABIL CIRCUIT INC COM 2,571,047 NYSE N
JCI JOHNSON CTLS INC COM 5,109,346 NYSE N
JDSU JDS UNIPHASE CORP COM PAR $0.001 4,336,300 NASDAQ N
JNJ JOHNSON & JOHNSON COM 9,902,087 NYSE N
JNK SPDR SERIES TRUST BRC HGH YLD BD 4,101,206 NYSE Arca Y
JNPR JUNIPER NETWORKS INC COM 7,040,169 NYSE N
JNS JANUS CAP GROUP INC COM 3,718,014 NYSE N
JPM JPMORGAN CHASE & CO COM 26,172,466 NYSE N
KEY KEYCORP NEW COM 20,895,485 NYSE N
KIM KIMCO RLTY CORP COM 3,098,790 NYSE N
KMI KINDER MORGAN INC DEL COM 4,948,637 NYSE N
KO COCA COLA CO COM 14,441,150 NYSE N
KR KROGER CO COM 3,611,251 NYSE N
KRE SPDR SERIES TRUST S&P REGL BKG 2,723,568 NYSE Arca Y
LINTA LIBERTY INTERACTIVE CORP INT COM SER A 2,671,846 NASDAQ N
LLTC LINEAR TECHNOLOGY CORP COM 3,413,620 NASDAQ N
LNC LINCOLN NATL CORP IND COM 2,650,597 NYSE N
LOW LOWES COS INC COM 9,480,943 NYSE N
LSI LSI CORPORATION COM 7,638,366 NASDAQ N
LUV SOUTHWEST AIRLS CO COM 9,037,945 NYSE N
MAS MASCO CORP COM 4,029,111 NYSE N
MAT MATTEL INC COM 2,827,120 NASDAQ N
MBI MBIA INC COM 2,779,298 NYSE N
MDLZ MONDELEZ INTL INC CL A 13,075,517 NASDAQ N
MDR MCDERMOTT INTL INC COM 2,748,059 NYSE N
MDRX ALLSCRIPTS HEALTHCARE SOLUTNS COM 3,224,457 NASDAQ N
MDT MEDTRONIC INC COM 4,819,752 NYSE N
MET METLIFE INC COM 9,068,553 NYSE N
MFA MFA FINANCIAL INC COM 3,109,571 NYSE N
MGM MGM RESORTS INTERNATIONAL COM 12,307,006 NYSE N
--- page 9 ---
MMC MARSH & MCLENNAN COS INC COM 2,558,316 NYSE N
MO ALTRIA GROUP INC COM 9,302,524 NYSE N
MRK MERCK & CO INC NEW COM 13,841,644 NYSE N
MRO MARATHON OIL CORP COM 4,487,011 NYSE N
MRVL MARVELL TECHNOLOGY GROUP LTD ORD 13,607,724 NASDAQ N
MS MORGAN STANLEY COM NEW 28,360,906 NYSE N
MSFT MICROSOFT CORP COM 55,628,480 NASDAQ N
MU MICRON TECHNOLOGY INC COM 26,098,006 NASDAQ N
MXIM MAXIM INTEGRATED PRODS INC COM 2,974,053 NASDAQ N
MYL MYLAN INC COM 5,364,730 NASDAQ N
NBR NABORS INDUSTRIES LTD SHS 5,266,452 NYSE N
NI NISOURCE INC COM 2,388,620 NYSE N
NIHD NII HLDGS INC CL B NEW 3,867,720 NASDAQ N
NLY ANNALY CAP MGMT INC COM 8,504,007 NYSE N
NRG NRG ENERGY INC COM NEW 4,050,477 NYSE N
NTAP NETAPP INC COM 5,685,703 NASDAQ N
NUAN NUANCE COMMUNICATIONS INC COM 2,215,988 NASDAQ N
NVDA NVIDIA CORP COM 11,195,719 NASDAQ N
NWL NEWELL RUBBERMAID INC COM 2,752,008 NYSE N
NWSA NEWS CORP CL A 15,288,598 NASDAQ N
OIH MARKET VECTORS ETF TR OIL SVCS ETF 3,712,506 NYSE Arca Y
ONNN ON SEMICONDUCTOR CORP COM 7,621,846 NASDAQ N
ORCL ORACLE CORP COM 19,424,321 NASDAQ N
P PANDORA MEDIA INC COM 4,924,499 NYSE N
PAYX PAYCHEX INC COM 2,568,311 NASDAQ N
PBCT PEOPLES UNITED FINANCIAL INC COM 3,243,910 NASDAQ N
PBI PITNEY BOWES INC COM 4,430,304 NYSE N
PCG PG&E CORP COM 2,578,022 NYSE N
PCS METROPCS COMMUNICATIONS INC COM 7,803,878 NYSE N
PCY POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 2,272,248 NYSE Arca Y
PEG PUBLIC SVC ENTERPRISE GROUP COM 2,635,671 NYSE N
PEP PEPSICO INC COM 5,820,294 NYSE N
PFE PFIZER INC COM 34,309,620 NYSE N
PGR PROGRESSIVE CORP OHIO COM 5,738,043 NYSE N
PHM PULTE GROUP INC COM 8,864,877 NYSE N
PLCM POLYCOM INC COM 3,329,186 NASDAQ N
PMCS PMC-SIERRA INC COM 2,262,412 NASDAQ N
POM PEPCO HOLDINGS INC COM 2,784,013 NYSE N
PPL PPL CORP COM 3,564,477 NYSE N
PTEN PATTERSON UTI ENERGY INC COM 2,867,133 NASDAQ N
QCOM QUALCOMM INC COM 11,578,338 NASDAQ N
QQQ POWERSHARES QQQ TRUST UNIT SER 1 35,535,622 NASDAQ Y
RF REGIONS FINL CORP NEW COM 18,874,956 NYSE N
RRD DONNELLEY R R & SONS CO COM 3,186,941 NASDAQ N
RSX MARKET VECTORS ETF TR RUSSIA ETF 3,524,082 NYSE Arca Y
RVBD RIVERBED TECHNOLOGY INC COM 3,657,021 NASDAQ N
S SPRINT NEXTEL CORP COM SER 1 42,585,482 NYSE N
SAI SAIC INC COM 2,810,649 NYSE N
SCHW SCHWAB CHARLES CORP NEW COM 9,947,618 NYSE N
SD SANDRIDGE ENERGY INC COM 8,309,363 NYSE N
SE SPECTRA ENERGY CORP COM 6,112,734 NYSE N
SH PROSHARES TR PSHS SHRT S&P500 2,987,124 NYSE Arca Y
--- page 10 ---
SIRI SIRIUS XM RADIO INC COM 65,267,231 NASDAQ N
SLM SLM CORP COM 3,076,889 NASDAQ N
SLV ISHARES SILVER TRUST ISHARES 11,564,164 NYSE Arca Y
SO SOUTHERN CO COM 5,217,095 NYSE N
SPLS STAPLES INC COM 10,773,176 NASDAQ N
SPR SPIRIT AEROSYSTEMS HLDGS INC COM CL A 2,173,032 NYSE N
SPY SPDR S&P 500 ETF TR TR UNIT 124,803,755 NYSE Arca Y
STI SUNTRUST BKS INC COM 6,444,016 NYSE N
STLD STEEL DYNAMICS INC COM 2,725,092 NASDAQ N
STX SEAGATE TECHNOLOGY PLC SHS 8,870,579 NASDAQ N
SWKS SKYWORKS SOLUTIONS INC COM 4,190,061 NASDAQ N
SWY SAFEWAY INC COM NEW 5,596,245 NYSE N
SYMC SYMANTEC CORP COM 10,033,665 NASDAQ N
SYY SYSCO CORP COM 3,020,236 NYSE N
T AT&T INC COM 28,370,977 NYSE N
TER TERADYNE INC COM 2,799,972 NYSE N
TSN TYSON FOODS INC CL A 4,229,939 NYSE N
TWX TIME WARNER INC COM NEW 5,301,339 NYSE N
TXN TEXAS INSTRS INC COM 8,318,833 NASDAQ N
TYC TYCO INTERNATIONAL LTD SHS 2,993,887 NYSE N
UNG UNITED STATES NATL GAS FUND LP UNIT PAR $0.001 8,593,231 NYSE Arca Y
USB US BANCORP DEL COM NEW 10,527,322 NYSE N
USO UNITED STATES OIL FUND LP UNITS 4,239,093 NYSE Arca Y
VEA VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 3,017,198 NYSE Arca Y
VLO VALERO ENERGY CORP NEW COM 9,370,215 NYSE N
VWO VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF 18,636,100 NYSE Arca Y
VZ VERIZON COMMUNICATIONS INC COM 15,827,484 NYSE N
WAG WALGREEN CO COM 6,668,679 NYSE N
WCRX WARNER CHILCOTT PLC IRELAND SHS A 3,816,202 NASDAQ N
WFC WELLS FARGO & CO NEW COM 25,973,309 NYSE N
WIN WINDSTREAM CORP COM 9,312,372 NASDAQ N
WM WASTE MGMT INC DEL COM 2,734,561 NYSE N
WMB WILLIAMS COS INC DEL COM 6,199,611 NYSE N
WPX WPX ENERGY INC COM 3,432,134 NYSE N
WU WESTERN UN CO COM 9,763,210 NYSE N
WY WEYERHAEUSER CO COM 4,578,173 NYSE N
X UNITED STATES STL CORP NEW COM 7,372,805 NYSE N
XCO EXCO RESOURCES INC COM 3,343,913 NYSE N
XEL XCEL ENERGY INC COM 2,597,816 NYSE N
XHB SPDR SERIES TRUST S&P HOMEBUILD 4,997,559 NYSE Arca Y
XL XL GROUP PLC SHS 2,447,971 NYSE N
XLB SELECT SECTOR SPDR TR SBI MATERIALS 7,665,276 NYSE Arca Y
XLE SELECT SECTOR SPDR TR SBI INT-ENERGY 9,150,169 NYSE Arca Y
XLF SELECT SECTOR SPDR TR SBI INT-FINL 49,277,955 NYSE Arca Y
XLI SELECT SECTOR SPDR TR SBI INT-INDS 8,181,457 NYSE Arca Y
XLK SELECT SECTOR SPDR TR TECHNOLOGY 9,259,932 NYSE Arca Y
XLNX XILINX INC COM 3,359,635 NASDAQ N
XLP SELECT SECTOR SPDR TR SBI CONS STPLS 4,863,511 NYSE Arca Y
XLU SELECT SECTOR SPDR TR SBI INT-UTILS 7,055,037 NYSE Arca Y
XLV SELECT SECTOR SPDR TR SBI HEALTHCARE 5,600,336 NYSE Arca Y
XLY SELECT SECTOR SPDR TR SBI CONS DISCR 4,994,457 NYSE Arca Y
XRX XEROX CORP COM 11,696,661 NYSE N
--- page 11 ---
YHOO YAHOO INC COM 18,521,619 NASDAQ N
ZION ZIONS BANCORPORATION COM 2,303,554 NASDAQ N
ZNGA ZYNGA INC CL A 17,638,437 NASDAQ N
(259 securities)
--- page 12 ---
Appendix #2 - Half Penny Tick Size Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA ALCOA INC COM 20,859,635 NYSE N
ABT ABBOTT LABS COM 14,984,491 NYSE N
ACAS AMERICAN CAP LTD COM 3,489,736 NASDAQ N
ADM ARCHER DANIELS MIDLAND CO COM 3,890,473 NYSE N
AES AES CORP COM 4,645,861 NYSE N
AGNC AMERICAN CAPITAL AGENCY CORP COM 3,523,332 NASDAQ N
AIG AMERICAN INTL GROUP INC COM NEW 17,536,950 NYSE N
AMAT APPLIED MATLS INC COM 14,474,153 NASDAQ N
AMTD TD AMERITRADE HLDG CORP COM 3,664,168 NYSE N
ANR ALPHA NATURAL RESOURCES INC COM 16,828,356 NYSE N
ATML ATMEL CORP COM 7,331,212 NASDAQ N
ATVI ACTIVISION BLIZZARD INC COM 6,101,445 NASDAQ N
AVP AVON PRODS INC COM 7,220,422 NYSE N
BAC BANK OF AMERICA CORPORATION COM 174,655,517 NYSE N
BK BANK NEW YORK MELLON CORP COM 7,681,931 NYSE N
BMY BRISTOL MYERS SQUIBB CO COM 10,074,409 NYSE N
BRCD BROCADE COMMUNICATIONS SYS INC COM NEW 4,368,983 NASDAQ N
BSX BOSTON SCIENTIFIC CORP COM 20,699,470 NYSE N
C CITIGROUP INC COM NEW 39,590,479 NYSE N
CA CA INC COM 4,277,306 NASDAQ N
CAG CONAGRA FOODS INC COM 4,119,857 NYSE N
CDNS CADENCE DESIGN SYSTEM INC COM 3,102,556 NASDAQ N
CHK CHESAPEAKE ENERGY CORP COM 15,902,794 NYSE N
CLWR CLEARWIRE CORP NEW CL A 18,060,419 NASDAQ N
CMCSA COMCAST CORP NEW CL A 11,235,354 NASDAQ N
CMS CMS ENERGY CORP COM 2,094,612 NYSE N
CNP CENTERPOINT ENERGY INC COM 2,693,459 NYSE N
CPWR COMPUWARE CORP COM 2,132,257 NASDAQ N
CSCO CISCO SYS INC COM 37,319,714 NASDAQ N
CSX CSX CORP COM 10,725,109 NYSE N
CY CYPRESS SEMICONDUCTOR CORP COM 3,131,397 NASDAQ N
DAL DELTA AIR LINES INC DEL COM NEW 15,655,529 NYSE N
DBC POWERSHARES DB CMDTY IDX TRACK UNIT BEN INT 2,126,696 NYSE Arca Y
DDR DDR CORP COM 2,501,266 NYSE N
DELL DELL INC COM 45,808,115 NASDAQ N
DNR DENBURY RES INC COM NEW 4,853,168 NYSE N
DRE DUKE REALTY CORP COM NEW 5,115,407 NYSE N
EA ELECTRONIC ARTS INC COM 4,055,744 NASDAQ N
EEM ISHARES TR MSCI EMERG MKT 51,095,197 NYSE Arca Y
EMC E M C CORP MASS COM 26,850,943 NYSE N
EPI WISDOMTREE TRUST INDIA ERNGS FD 3,500,992 NYSE Arca Y
ETFC E TRADE FINANCIAL CORP COM NEW 5,599,363 NASDAQ N
EWG ISHARES INC MSCI GERMAN 3,449,015 NYSE Arca Y
EWJ ISHARES INC MSCI JAPAN 35,601,597 NYSE Arca Y
EWT ISHARES INC MSCI TAIWAN 6,373,853 NYSE Arca Y
EXC EXELON CORP COM 7,332,318 NYSE N
F FORD MTR CO DEL COM PAR $0.01 56,660,866 NYSE N
FCX FREEPORT-MCMORAN COPPER & GOLD COM 14,937,789 NYSE N
--- page 13 ---
FHN FIRST HORIZON NATL CORP COM 4,607,923 NYSE N
FITB FIFTH THIRD BANCORP COM 11,638,445 NASDAQ N
FNFG FIRST NIAGARA FINL GP INC COM 3,775,184 NASDAQ N
FTR FRONTIER COMMUNICATIONS CORP COM 9,273,677 NASDAQ N
FXI ISHARES TR FTSE CHINA25 IDX 15,652,384 NYSE Arca Y
GE GENERAL ELECTRIC CO COM 45,083,259 NYSE N
GGP GENERAL GROWTH PPTYS INC NEW COM 5,995,599 NYSE N
GLW CORNING INC COM 16,334,389 NYSE N
GNW GENWORTH FINL INC COM CL A 11,367,252 NYSE N
GT GOODYEAR TIRE & RUBR CO COM 3,188,519 NASDAQ N
HBAN HUNTINGTON BANCSHARES INC COM 11,665,510 NASDAQ N
HCBK HUDSON CITY BANCORP COM 3,974,917 NASDAQ N
HMA HEALTH MGMT ASSOC INC NEW CL A 5,667,063 NYSE N
HPQ HEWLETT PACKARD CO COM 32,799,776 NYSE N
HRB BLOCK H & R INC COM 4,973,942 NYSE N
HST HOST HOTELS & RESORTS INC COM 6,066,197 NYSE N
HTZ HERTZ GLOBAL HOLDINGS INC COM 6,339,507 NYSE N
HUN HUNTSMAN CORP COM 4,453,245 NYSE N
IAU ISHARES GOLD TRUST ISHARES 5,945,669 NYSE Arca Y
IGT INTERNATIONAL GAME TECHNOLOGY COM 3,750,815 NYSE N
INTC INTEL CORP COM 55,212,466 NASDAQ N
IPG INTERPUBLIC GROUP COS INC COM 5,370,021 NYSE N
JDSU JDS UNIPHASE CORP COM PAR $0.001 4,336,300 NASDAQ N
JNK SPDR SERIES TRUST BRC HGH YLD BD 4,101,206 NYSE Arca Y
JNPR JUNIPER NETWORKS INC COM 7,040,169 NYSE N
JNS JANUS CAP GROUP INC COM 3,718,014 NYSE N
JPM JPMORGAN CHASE & CO COM 26,172,466 NYSE N
KEY KEYCORP NEW COM 20,895,485 NYSE N
KIM KIMCO RLTY CORP COM 3,098,790 NYSE N
KO COCA COLA CO COM 14,441,150 NYSE N
KR KROGER CO COM 3,611,251 NYSE N
LINTA LIBERTY INTERACTIVE CORP INT COM SER A 2,671,846 NASDAQ N
LOW LOWES COS INC COM 9,480,943 NYSE N
LSI LSI CORPORATION COM 7,638,366 NASDAQ N
LUV SOUTHWEST AIRLS CO COM 9,037,945 NYSE N
MDLZ MONDELEZ INTL INC CL A 13,075,517 NASDAQ N
MDR MCDERMOTT INTL INC COM 2,748,059 NYSE N
MDRX ALLSCRIPTS HEALTHCARE SOLUTNS COM 3,224,457 NASDAQ N
MFA MFA FINANCIAL INC COM 3,109,571 NYSE N
MGM MGM RESORTS INTERNATIONAL COM 12,307,006 NYSE N
MO ALTRIA GROUP INC COM 9,302,524 NYSE N
MRK MERCK & CO INC NEW COM 13,841,644 NYSE N
MRVL MARVELL TECHNOLOGY GROUP LTD ORD 13,607,724 NASDAQ N
MS MORGAN STANLEY COM NEW 28,360,906 NYSE N
MSFT MICROSOFT CORP COM 55,628,480 NASDAQ N
MU MICRON TECHNOLOGY INC COM 26,098,006 NASDAQ N
MYL MYLAN INC COM 5,364,730 NASDAQ N
NBR NABORS INDUSTRIES LTD SHS 5,266,452 NYSE N
NIHD NII HLDGS INC CL B NEW 3,867,720 NASDAQ N
NLY ANNALY CAP MGMT INC COM 8,504,007 NYSE N
NVDA NVIDIA CORP COM 11,195,719 NASDAQ N
NWSA NEWS CORP CL A 15,288,598 NASDAQ N
--- page 14 ---
ONNN ON SEMICONDUCTOR CORP COM 7,621,846 NASDAQ N
ORCL ORACLE CORP COM 19,424,321 NASDAQ N
PAYX PAYCHEX INC COM 2,568,311 NASDAQ N
PBCT PEOPLES UNITED FINANCIAL INC COM 3,243,910 NASDAQ N
PBI PITNEY BOWES INC COM 4,430,304 NYSE N
PCS METROPCS COMMUNICATIONS INC COM 7,803,878 NYSE N
PFE PFIZER INC COM 34,309,620 NYSE N
PGR PROGRESSIVE CORP OHIO COM 5,738,043 NYSE N
PMCS PMC-SIERRA INC COM 2,262,412 NASDAQ N
PPL PPL CORP COM 3,564,477 NYSE N
QQQ POWERSHARES QQQ TRUST UNIT SER 1 35,535,622 NASDAQ Y
RF REGIONS FINL CORP NEW COM 18,874,956 NYSE N
RRD DONNELLEY R R & SONS CO COM 3,186,941 NASDAQ N
RSX MARKET VECTORS ETF TR RUSSIA ETF 3,524,082 NYSE Arca Y
S SPRINT NEXTEL CORP COM SER 1 42,585,482 NYSE N
SAI SAIC INC COM 2,810,649 NYSE N
SCHW SCHWAB CHARLES CORP NEW COM 9,947,618 NYSE N
SD SANDRIDGE ENERGY INC COM 8,309,363 NYSE N
SH PROSHARES TR PSHS SHRT S&P500 2,987,124 NYSE Arca Y
SIRI SIRIUS XM RADIO INC COM 65,267,231 NASDAQ N
SLM SLM CORP COM 3,076,889 NASDAQ N
SLV ISHARES SILVER TRUST ISHARES 11,564,164 NYSE Arca Y
SPLS STAPLES INC COM 10,773,176 NASDAQ N
SYMC SYMANTEC CORP COM 10,033,665 NASDAQ N
T AT&T INC COM 28,370,977 NYSE N
TER TERADYNE INC COM 2,799,972 NYSE N
TSN TYSON FOODS INC CL A 4,229,939 NYSE N
UNG UNITED STATES NATL GAS FUND LP UNIT PAR $0.001 8,593,231 NYSE Arca Y
USB US BANCORP DEL COM NEW 10,527,322 NYSE N
USO UNITED STATES OIL FUND LP UNITS 4,239,093 NYSE Arca Y
VEA VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 3,017,198 NYSE Arca Y
VWO VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF 18,636,100 NYSE Arca Y
VZ VERIZON COMMUNICATIONS INC COM 15,827,484 NYSE N
WCRX WARNER CHILCOTT PLC IRELAND SHS A 3,816,202 NASDAQ N
WFC WELLS FARGO & CO NEW COM 25,973,309 NYSE N
WIN WINDSTREAM CORP COM 9,312,372 NASDAQ N
WU WESTERN UN CO COM 9,763,210 NYSE N
XCO EXCO RESOURCES INC COM 3,343,913 NYSE N
XEL XCEL ENERGY INC COM 2,597,816 NYSE N
XHB SPDR SERIES TRUST S&P HOMEBUILD 4,997,559 NYSE Arca Y
XLB SELECT SECTOR SPDR TR SBI MATERIALS 7,665,276 NYSE Arca Y
XLF SELECT SECTOR SPDR TR SBI INT-FINL 49,277,955 NYSE Arca Y
XLI SELECT SECTOR SPDR TR SBI INT-INDS 8,181,457 NYSE Arca Y
XLK SELECT SECTOR SPDR TR TECHNOLOGY 9,259,932 NYSE Arca Y
XLP SELECT SECTOR SPDR TR SBI CONS STPLS 4,863,511 NYSE Arca Y
XLU SELECT SECTOR SPDR TR SBI INT-UTILS 7,055,037 NYSE Arca Y
XLV SELECT SECTOR SPDR TR SBI HEALTHCARE 5,600,336 NYSE Arca Y
XRX XEROX CORP COM 11,696,661 NYSE N
YHOO YAHOO INC COM 18,521,619 NASDAQ N
ZNGA ZYNGA INC CL A 17,638,437 NASDAQ N
(150 securities)
--- page 15 ---
Appendix #3 - Nickel Tick Size Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA- ALCOA INC PFD $3.75 522 NYSE MKT N
AADR ADVISORSHARES TR BNY GRWTH ADR 2,708 NYSE Arca Y
AAIT ISHARES TR ALCO ASIA INFO 5,283 NASDAQ Y
AAPL APPLE INC COM 23,173,465 NASDAQ N
ABI SAFETY FIRST TR SER 2009-2 GTD CTF DJIA14 3,886 NYSE Arca N
ABV.C COMPANHIA DE BEBIDAS DAS AMERS SPONSORED ADR 34,887 NYSE N
ABW-B ASSOCIATED BANC-CORP DEP SH 1/40 SR B 5,979 NYSE N
ACCU ADVISORSHARES TR ACCUVS GLB OPP 2,487 NYSE Arca Y
ACFC ATLANTIC COAST FINL CORP COM 5,336 NASDAQ N
ACIM SPDR INDEX SHS FDS MSCI ACWI ETF 1,090 NYSE Arca Y
ACNB ACNB CORP COM 3,895 NASDAQ N
ACST ACASTI PHARMA INC CL A SHS 12,143 NASDAQ N
ACU ACME UTD CORP COM 1,355 NYSE MKT N
ACWV ISHARES INC CTR WLD MINVL 56,454 NYSE Arca Y
ACY AEROCENTURY CORP COM 5,487 NYSE MKT N
ADES ADA ES INC COM 76,625 NASDAQ N
ADK-A ADCARE HEALTH SYSTEMS INC PFD-A 10.875% 2,292 NYSE MKT N
ADRA BLDRS INDEX FDS TR ASIA 50 ADR 2,287 NASDAQ Y
ADRD BLDRS INDEX FDS TR DEV MK 100 ADR 5,499 NASDAQ Y
ADZ DEUTSCHE BK AG LDN BRH PSHS AGRI SHR38 2,085 NYSE Arca Y
AE ADAMS RES & ENERGY INC COM NEW 7,710 NYSE MKT N
AEPI AEP INDS INC COM 25,457 NASDAQ N
AETI AMERICAN ELECTRIC TECH INC COM 8,788 NASDAQ N
AFCB ATHENS BANCSHARES CORP COM 4,097 NASDAQ N
AFK MARKET VECTORS ETF TR AFRICA ETF 34,910 NYSE Arca Y
AFOP ALLIANCE FIBER OPTIC PRODS INC COM NEW 19,628 NASDAQ N
AGA DEUTSCHE BK AG LDN BRH PS AGRI DS ETN 7,144 NYSE Arca Y
AGEM EGA EMERGING GLOBAL SHS TR EGSHARE GEM COMP 9,100 NYSE Arca Y
AGF DEUTSCHE BK AG LDN BRH PS AGRI LG ETN 8,743 NYSE Arca Y
AGLS ADVISORSHARES TR ACCUVEST GL LONG 2,397 NYSE Arca Y
AGM FEDERAL AGRIC MTG CORP CL C 33,655 NYSE N
AGM-A FEDERAL AGRIC MTG CORP PFD A 5.875%NON 4,721 NYSE N
AGM.A FEDERAL AGRIC MTG CORP CL A 401 NYSE N
AGNCP AMERICAN CAPITAL AGENCY CORP PFD-A 24,511 NASDAQ N
AGO-B ASSURED GUARNTY MUNI HLDGS INC QUIBS 6.875% 4,748 NYSE N
AGO-F ASSURED GUARNTY MUNI HLDGS INC NT 5.60% 2103 10,781 NYSE N
AGOL ETFS ASIAN GOLD TR PHYS ASAIN GLD 861 NYSE Arca Y
AHB SAFETY FIRST TR SER 2008-3 CTF GLO BSKT13 1,168 NYSE Arca N
AHGP ALLIANCE HOLDINGS GP LP COM UNITS LP 41,986 NASDAQ N
AHL- ASPEN INSURANCE HOLDINGS LTD PFD PRP INC EQ 13,963 NYSE N
AHL-A ASPEN INSURANCE HOLDINGS LTD PFD PER7.401% 8,759 NYSE N
AHPI ALLIED HEALTHCARE PRODS INC COM 2,789 NASDAQ N
AHT-A ASHFORD HOSPITALITY TR INC PFD A 8.55% 2,818 NYSE N
AHT-E ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 9,690 NYSE N
AHY SAFETY FIRST TR SER 2008-4 NT S&P500 13 947 NYSE Arca N
AIM AEROSONIC CORP DEL COM PAR $0.40 2,733 NYSE MKT N
AIQ ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 15,496 NYSE N
AIRT AIR T INC COM 3,081 NASDAQ N
AIV-Z APARTMENT INVT & MGMT CO PFD CL Z 975 NYSE N
AJB SAFETY FIRST TR SER 2009-1 CTF S&P500 14 528 NYSE Arca N
AKO.A EMBOTELLADORA ANDINA S A SPON ADR A 2,086 NYSE N
--- page 16 ---
AKO.B EMBOTELLADORA ANDINA S A SPON ADR B 10,997 NYSE N
ALCO ALICO INC COM 14,617 NASDAQ N
ALCS ALCO STORES INC COM 2,298 NASDAQ N
ALG ALAMO GROUP INC COM 24,066 NYSE N
ALLB ALLIANCE BANCORP INC PA NEW COM 1,145 NASDAQ N
ALNC ALLIANCE FINANCIAL CORP NY COM 6,126 NASDAQ N
ALOG ANALOGIC CORP COM PAR $0.05 84,515 NASDAQ N
ALOT ASTRO-MED INC NEW COM 12,391 NASDAQ N
ALP-N ALABAMA PWR CO PFD CL A 5.2% 5,098 NYSE N
ALP-O ALABAMA PWR CO PFD CL A 5.83% 2,922 NYSE N
ALP-P ALABAMA PWR CO PFD A 5.30% 2,769 NYSE N
ALR-B ALERE INC PERP PFD CONV SE 8,120 NYSE N
ALT ISHARES DIVERSIFIED ALTR TR SH BEN INT 18,325 NYSE Arca Y
ALTI ALTAIR NANOTECHNOLOGIES INC COM PAR $0.001 13,018 NASDAQ N
ALTL ROYAL BK OF SCOTLAND PLC LCAP ALT EXC ETN 140 NYSE Arca Y
ALX ALEXANDERS INC COM 3,108 NYSE N
AMBT AMBIENT CORP COM NEW 5,873 NASDAQ N
AMG AFFILIATED MANAGERS GROUP COM 320,412 NYSE N
AMIC AMERICAN INDEPENDENCE CORP COM NEW 1,274 NASDAQ N
AMID AMERICAN MIDSTREAM PARTNERS LP COM UNITS 29,871 NYSE N
AMM SAFETY FIRST TR SER 2008-2 NT S&P500 13 1,016 NYSE Arca N
AMNB AMERICAN NATL BANKSHARES INC COM 9,957 NASDAQ N
AMOT ALLIED MOTION TECHNOLOGIES INC COM 5,013 NASDAQ N
AMOV AMERICA MOVIL SAB DE CV SPON ADR A SHS 5,612 NASDAQ N
AMPL AMPAL AMERN ISRAEL CORP CL A NEW 15,496 NASDAQ N
AMPS ISHARES TR UTILITIES SECT 18,108 NYSE Arca Y
AMRB AMERICAN RIVER BANKSHARES COM 5,796 NASDAQ N
AMRE AMREIT INC NEW CL B 11,057 NYSE N
AMS AMERICAN SHARED HOSPITAL SVCS COM 20,254 NYSE MKT N
AMZN AMAZON COM INC COM 2,935,964 NASDAQ N
ANAT AMERICAN NATL INS CO COM 19,191 NASDAQ N
ANCB ANCHOR BANCORP WA COM 1,774 NASDAQ N
ANCI AMERICAN CARESOURCE HLDGS INC COM NEW 4,698 NASDAQ N
ANCX ACCESS NATL CORP COM 24,146 NASDAQ N
ANDA ANDINA ACQUISITION CORP COM 212 NASDAQ N
ANEN ANAREN INC COM 33,078 NASDAQ N
ANGL MARKET VECTORS ETF TR FALLN ANGL USD 4,944 NYSE Arca Y
ANH-A ANWORTH MORTGAGE ASSET CP PFD A 8.625% 1,580 NYSE N
ANH-B ANWORTH MORTGAGE ASSET CP PFD B 6.25% 5,166 NYSE N
ANLY ANALYSTS INTL CORP COM NEW 6,355 NASDAQ N
ANNB ANNAPOLIS BANCORP INC COM 5,292 NASDAQ N
ANTP PHAZAR CORP COM 4,798 NASDAQ N
AP AMPCO-PITTSBURGH CORP COM 18,662 NYSE N
APAGF APCO OIL & GAS INTERNATIONAL I SHS 26,584 NASDAQ N
APFC AMERICAN PAC CORP COM 28,685 NASDAQ N
APSA ALTO PALERMO S A SPONSORED ADR 1,847 NASDAQ N
APTS PREFERRED APT CMNTYS INC COM 16,917 NYSE MKT N
APWC ASIA PACIFIC WIRE & CABLE CORP ORD 15,321 NASDAQ N
AQQ AMERICAN SPECTRUM REALTY INC COM NEW 4,154 NYSE MKT N
AQUUU AQUASITION CORP UNIT EX 000017 1,453 NASDAQ N
ARCW ARC GROUP WORLDWIDE INC COM 1,219 NASDAQ N
ARDNA ARDEN GROUP INC CL A 818 NASDAQ N
ARE-E ALEXANDRIA REAL ESTATE EQ INC PFD SER E 5,887 NYSE N
ARI-A APOLLO COML REAL EST FIN INC CUM REDEEMABLE P 4,916 NYSE N
ARKR ARK RESTAURANTS CORP COM 2,818 NASDAQ N
--- page 17 ---
ARL AMERICAN RLTY INVS INC COM 3,218 NYSE N
AROW ARROW FINL CORP COM 38,255 NASDAQ N
ARTNA ARTESIAN RESOURCES CORP CL A 13,279 NASDAQ N
ARTW ARTS WAY MFG INC COM 10,326 NASDAQ N
ASBB ASB BANCORP INC N C COM 3,140 NASDAQ N
ASBCW ASSOCIATED BANC CORP WT EXP 112118 1,013 NASDAQ N
ASBI AMERIANA BANCORP COM 2,312 NASDAQ N
ASCMA ASCENT CAP GROUP INC COM SER A 38,487 NASDAQ N
ASEI AMERICAN SCIENCE & ENGR INC COM 32,580 NASDAQ N
ASFI ASTA FDG INC COM 15,345 NASDAQ N
ASMI ASM INTL N V NY REGISTER SH 27,016 NASDAQ N
ASR GRUPO AEROPORTUARIO DEL SUREST SPON ADR SER B 51,616 NYSE N
ASRVP AMERISERV FINL CAP TR I PFD A GTD 8.45 379 NASDAQ N
ASTE ASTEC INDS INC COM 75,629 NASDAQ N
ASUR ASURE SOFTWARE INC COM 6,984 NASDAQ N
ATAI ATA INC SPONS ADR 4,425 NASDAQ N
ATEA ASTEA INTL INC COM NEW 1,527 NASDAQ N
ATLC ATLANTICUS HLDGS CORP COM 11,080 NASDAQ N
ATLO AMES NATL CORP COM 12,566 NASDAQ N
ATNI ATLANTIC TELE NETWORK INC COM NEW 84,194 NASDAQ N
ATOS ATOSSA GENETICS INC COM 5,752 NASDAQ N
ATRI ATRION CORP COM 3,411 NASDAQ N
ATTU ATTUNITY LTD SHS NEW 35,704 NASDAQ N
ATV ACORN INTL INC SPON ADR 3,668 NYSE N
ATX CROSS A T CO CL A 14,784 NASDAQ N
AU-A ANGLOGOLD ASHANTI HLDGS FIN PL MAND BD CV 13 98,211 NYSE N
AUBN AUBURN NATL BANCORP COM 792 NASDAQ N
AUD PIMCO ETF TR AUSTRALIA BD 12,172 NYSE Arca Y
AUSE WISDOMTREE TRUST AUSTRALIA DIV FD 7,388 NYSE Arca Y
AVCA ADVOCAT INC COM 3,196 NASDAQ N
AVHI AV HOMES INC COM 25,649 NASDAQ N
AWX AVALON HLDGS CORP CL A 1,374 NYSE MKT N
AXDI ISHARES TR MSCI ACWI EX 852 NYSE Arca Y
AXDX ACCELERATE DIAGNOSTICS INC COM 12,431 NASDAQ N
AXEN ISHARES TR ENERGY IDX FD 2,353 NYSE Arca Y
AXFN ISHARES TR MSCI ACWI EX 2,708 NASDAQ Y
AXHE ISHARES TR HLTH CR IDX FD 2,647 NYSE Arca Y
AXID ISHARES TR INDSTRLS IX FD 2,316 NYSE Arca Y
AXIT ISHARES TR INFMTN TCH FD 2,675 NYSE Arca Y
AXJL WISDOMTREE TRUST ASIA PAC EXJP FD 9,093 NYSE Arca Y
AXJS ISHARES TR MSCI A/C ASIA 321 NASDAQ Y
AXMT ISHARES TR MATRLS IDX FD 4,622 NYSE Arca Y
AXR AMREP CORP NEW COM 18,227 NYSE N
AXSL ISHARES TR MSCI ACWI X US 3,136 NYSE Arca Y
AXTE ISHARES TR TELECM SVCS FD 505 NYSE Arca Y
AXUT ISHARES TR UTILTS IDX FD 3,333 NYSE Arca Y
AYT BARCLAYS BK PLC IPATH GEMS ASIA8 1,665 NYSE Arca Y
AZO AUTOZONE INC COM 444,457 NYSE N
BABS SPDR SERIES TRUST BRC BLD AMER BD 28,652 NYSE Arca Y
BABZ PIMCO ETF TR BLD AMER BD FD 14,045 NYSE Arca Y
BAC-E BANK OF AMERICA CORPORATION PFD PER1/1000E 27,943 NYSE N
BAC-L BANK OF AMERICA CORPORATION 7.25%CNV PFD L 8,974 NYSE N
BANC FIRST PACTRUST BANCORP INC COM 15,247 NASDAQ N
BANCL FIRST PACTRUST BANCORP INC SR NT7.5%20 7,608 NASDAQ N
BANF BANCFIRST CORP COM 20,013 NASDAQ N
--- page 18 ---
BANFP BFC CAP TR II PFD TR 7.20% 424 NASDAQ N
BAP CREDICORP LTD COM 209,114 NYSE N
BBDO BANCO BRADESCO S A SPONSORED ADR 803 NYSE N
BBGI BEASLEY BROADCAST GROUP INC CL A 4,604 NASDAQ N
BBNK BRIDGE CAP HLDGS COM 12,521 NASDAQ N
BBRC EGA EMERGING GLOBAL SHS TR EGSHR BYND BRC 1,192 NYSE Arca Y
BBSI BARRETT BUSINESS SERVICES INC COM 60,689 NASDAQ N
BCA.T CORPBANCA SPNSRD ADR TEM 20,391 NYSE N
BCBP BCB BANCORP INC COM 10,589 NASDAQ N
BCH BANCO DE CHILE SPONSORED ADR 20,951 NYSE N
BCOM B COMMUNICATIONS LTD SHS 2,253 NASDAQ N
BCPC BALCHEM CORP COM 89,240 NASDAQ N
BCSB BCSB BANCORP INC COM 918 NASDAQ N
BDCL UBS AG LONDON BRH 2X LEV LNG LKD 80,569 NYSE Arca Y
BDD DEUTSCHE BK AG LONDON BRH MTLS DBL ETN38 6,073 NYSE Arca Y
BDG DEUTSCHE BK AG LONDON BRH MTLS LNG ETN38 94 NYSE Arca Y
BDGE BRIDGE BANCORP INC COM 7,918 NASDAQ N
BDL FLANIGANS ENTERPRISES INC COM 501 NYSE MKT N
BDMS BIRNER DENTAL MGMT SERVICES IN COM NEW 637 NASDAQ N
BDN-E BRANDYWINE RLTY TR PFD-E 5,147 NYSE N
BEE-B STRATEGIC HOTELS & RESORTS INC PFD SER B 7,139 NYSE N
BEE-C STRATEGIC HOTELS & RESORTS INC PFD SER C 11,930 NYSE N
BELFA BEL FUSE INC CL A 2,568 NASDAQ N
BELFB BEL FUSE INC CL B 30,424 NASDAQ N
BERK BERKSHIRE BANCORP INC DEL COM NEW 3,168 NASDAQ N
BF.A BROWN FORMAN CORP CL A 12,321 NYSE N
BFIN BANKFINANCIAL CORP COM 19,313 NASDAQ N
BFS SAUL CTRS INC COM 21,220 NYSE N
BFS-A SAUL CTRS INC PFD 1/100 A 8% 2,857 NYSE N
BFS-B SAUL CTRS INC 1/100PFD SER B 6,132 NYSE N
BGCA BGC PARTNERS INC SR NT 8.125%42 25,227 NYSE N
BGE-B BGE CAP TR II PFD TR 6.20% 6,003 NYSE N
BGH BABSON CAP GLB SHT DURHGH YLD COM 65,097 NYSE N
BH BIGLARI HLDGS INC COM 5,135 NYSE N
BHB BAR HBR BANKSHARES COM 4,346 NYSE MKT N
BHV BLACKROCK VA MUNICIPAL BOND TR COM 4,158 NYSE MKT N
BIB PROSHARES TR PSHS ULT NASB 30,780 NASDAQ Y
BIO BIO RAD LABS INC CL A 53,783 NYSE N
BIO.B BIO RAD LABS INC CL B 182 NYSE N
BIOC BIOCLINICA INC COM 11,711 NASDAQ N
BIR-A BERKSHIRE INCOME RLTY INC PFD SER A 9% 1,773 NYSE MKT N
BIS PROSHARES TR ULTSH NASD BIOT 5,256 NASDAQ Y
BKEPP BLUEKNIGHT ENERGY PARTNERS L P PFD UNIT SER A 5,465 NASDAQ N
BKJ BANCORP NEW JERSEY INC NEW COM 2,972 NYSE MKT N
BKOR OAK RIDGE FINL SVCS INC COM 1,938 NASDAQ N
BKR BAKER MICHAEL CORP COM 28,978 NYSE MKT N
BKSC BANK SOUTH CAROLINA CORP COM 3,776 NASDAQ N
BKYF BANK KY FINL CORP COM 9,603 NASDAQ N
BLH BLACKROCK NY MUNI 2018 TERM TR COM 2,990 NYSE N
BLK BLACKROCK INC COM 915,594 NYSE N
BLMT BSB BANCORP INC MD COM 11,099 NASDAQ N
BLND UBS AG LONDON BRH ETRA CMDY LK42 812 NYSE Arca Y
BLNG BARCLAYS BK PLC IPATH METALETN 261 NYSE Arca Y
BMI BADGER METER INC COM 63,143 NYSE N
BML-G BANK OF AMERICA CORPORATION PFD1/1200 SR1 9,780 NYSE N
--- page 19 ---
BML-J BANK OF AMERICA CORPORATION PFD DP1/1200 4 25,028 NYSE N
BML-N BANK OF AMERICA CORPORATION PFD SR 6 6.7% 3,077 NYSE N
BML-O BANK OF AMERICA CORPORATION DEP1/40TH PFD 7 548 NYSE N
BMR-A BIOMED REALTY TRUST INC PFD 7.375% A 6,420 NYSE N
BMRC BANK OF MARIN BANCORP COM 12,784 NASDAQ N
BNCN BNC BANCORP COM 29,246 NASDAQ N
BOLT BOLT TECHNOLOGY CORP COM 20,517 NASDAQ N
BOM DEUTSCHE BK AG LONDON BRH PS MTL DDL ETN 2,281 NYSE Arca Y
BONO MARKET VECTORS ETF TR LATAM AGGR BD 57,093 NYSE Arca Y
BOS DEUTSCHE BK AG LONDON BRH MTL SHRT ETN38 661 NYSE Arca Y
BOSC BOS BETTER ONLINE SOLUTIONS SHS NEW NIS 80 38,399 NASDAQ N
BOTJ BANK OF THE ST JAMES FINL GP COM 1,393 NASDAQ N
BOVA BANK VA CHESTERFIELD COM NEW 2,415 NASDAQ N
BOXC BROOKFIELD CDA OFFICE PPTYS TR UNIT 274 NYSE N
BPFHW BOSTON PRIVATE FINL HLDGS INC WT EXP 112118 1,796 NASDAQ N
BPHX BLUEPHOENIX SOLUTIONS LTD SHS NEW 7,004 NASDAQ N
BPOPM POPULAR CAP TR II PFD GTD 6.125% 2,449 NASDAQ N
BPOPN POPULAR CAP TR I PFD 6.70% GTD 4,164 NASDAQ N
BPS BLACKROCK PA STRATEGIC MUN TR COM 2,996 NYSE MKT N
BQH BLACKROCK NY MUNICIPAL BOND TR COM 6,229 NYSE N
BRE-D BRE PROPERTIES INC PFD D 6.75% 1,308 NYSE N
BREW CRAFT BREW ALLIANCE INC COM 22,911 NASDAQ N
BRID BRIDGFORD FOODS CORP COM 406 NASDAQ N
BRN BARNWELL INDS INC COM 2,439 NYSE MKT N
BRT BRT RLTY TR SH BEN INT NEW 7,573 NYSE N
BSET BASSETT FURNITURE INDS INC COM 33,774 NASDAQ N
BSRR SIERRA BANCORP COM 19,952 NASDAQ N
BSTC BIOSPECIFICS TECHNOLOGIES CORP COM 6,477 NASDAQ N
BTAL FQF TR QUANT NEUT ANT 1,615 NYSE Arca Y
BTUI BTU INTL INC COM 7,727 NASDAQ N
BUND PIMCO ETF TR GERM BD IDX FD 2,023 NYSE Arca Y
BUNT DEUTSCHE BK AG LONDON BRH PWRSHR 3X GERM 2,314 NYSE Arca Y
BUR BURCON NUTRASCIENCE CORP COM 1,459 NASDAQ N
BVSN BROADVISION INC COM PAR $.001 62,950 NASDAQ N
BVX BOVIE MEDICAL CORP COM 9,504 NYSE MKT N
BWINA BALDWIN & LYONS INC CL A 468 NASDAQ N
BWINB BALDWIN & LYONS INC CL B 17,830 NASDAQ N
BWL.A BOWL AMER INC CL A 411 NYSE MKT N
BWV BARCLAYS BK PLC ETN CBOE SPBUY 2,616 NYSE Arca Y
BXDB BARCLAYS BK PLC SHTB S&P500 14 1,103 NYSE Arca Y
BXDC BARCLAYS BK PLC SHTC S&P500 14 6,245 NYSE Arca Y
BXS-A BANCORPSOUTH CAP TR 1 PFD TR 8.15% 1,459 NYSE N
BXUB BARCLAYS BK PLC LNGB S&P500 14 508 NYSE Arca Y
BXUC BARCLAYS BK PLC LNGC S&P500 14 7,415 NYSE Arca Y
BZC BREEZE EASTERN CORP COM 3,937 NYSE MKT N
BZM BLACKROCK MD MUNICIPAL BOND TR COM 5,318 NYSE MKT N
BZMD BEAZER HOMES USA INC NT SUB7.5%2013 1,985 NYSE N
BZT BEAZER HOMES USA INC TANGIBLE EQTY 16,635 NYSE N
BZU BEAZER HOMES USA INC TNGBLE EQ UNIT 312 NYSE N
C-I CITIGROUP INC DEP SH 1/1000 419 NYSE N
C-M CITIGROUP INC PFD1/1000 SR F 5,621 NYSE N
C-P CITIGROUP INC DEP SHS PFD AA 4,326 NYSE N
CAC CAMDEN NATL CORP COM 16,705 NASDAQ N
CACB CASCADE BANCORP COM NEW 13,787 NASDAQ N
CACC CREDIT ACCEP CORP MICH COM 24,217 NASDAQ N
--- page 20 ---
CACH CACHE INC COM NEW 27,762 NASDAQ N
CAD PIMCO ETF TR CDA BD IDX FD 15,095 NYSE Arca Y
CART CAROLINA TR BK LINCOLNTON NC COM 960 NASDAQ N
CARV CARVER BANCORP INC COM NEW 1,396 NASDAQ N
CARZ FIRST TR EXCHANGE TRADED FD II AUTO INDEX FD 19,277 NASDAQ Y
CASH META FINL GROUP INC COM 6,016 NASDAQ N
CASS CASS INFORMATION SYS INC COM 22,779 NASDAQ N
CAW CCA INDS INC COM 2,974 NYSE MKT N
CBAN COLONY BANKCORP INC COM 10,641 NASDAQ N
CBB-B CINCINNATI BELL INC NEW PFD CV DEP1/20 5,244 NYSE N
CBIN COMMUNITY BK SHS IND INC COM 1,811 NASDAQ N
CBND SPDR SERIES TRUST BRC ISSUER SCORD 17,943 NYSE Arca Y
CBNJ CAPE BANCORP INC COM 15,088 NASDAQ N
CBNK CHICOPEE BANCORP INC COM 5,060 NASDAQ N
CBPO CHINA BIOLOGIC PRODS INC COM 53,486 NASDAQ N
CCBG CAPITAL CITY BK GROUP INC COM 24,230 NASDAQ N
CCF CHASE CORP COM 13,161 NYSE MKT N
CCG-A CAMPUS CREST CMNTYS INC PFD SER A 8% 2,524 NYSE N
CCH COCA COLA HELLENIC BTTLG CO SA SPONSORED ADR 11,741 NYSE N
CCNE CNB FINL CORP PA COM 10,616 NASDAQ N
CCSC COUNTRY STYLE COOKING RESTAURA SPONSORED ADR 40,252 NYSE N
CCUR CONCURRENT COMPUTER CORP NEW COM PAR $.01 39,553 NASDAQ N
CCXE WISDOMTREE TRUST COMM COUNTRY EQ 3,472 NYSE Arca Y
CCXI CHEMOCENTRYX INC COM 15,143 NASDAQ N
CCZ COMCAST HOLDINGS CORP ZONES CV2% PCS 116 NYSE N
CDR-A CEDAR REALTY TRUST INC PFD A 8.875 2,281 NYSE N
CEA CHINA EASTN AIRLS LTD SPON ADR CL H 8,570 NYSE N
CECE CECO ENVIRONMENTAL CORP COM 49,613 NASDAQ N
CEDU CHINAEDU CORP SPONS ADR 4,802 NASDAQ N
CELGZ CELGENE CORP CONTIN VAL RT 69,638 NASDAQ N
CEMB iShares Emerging Markets Corporate Bond Fund 7,642 BATS BZX Y
CEMP CEMPRA INC COM 19,030 NASDAQ N
CEO CNOOC LTD SPONSORED ADR 88,790 NYSE N
CEV EATON VANCE CA MUNI INCOME TR SH BEN INT 16,206 NYSE MKT N
CF CF INDS HLDGS INC COM 1,051,159 NYSE N
CFFC COMMUNITY FINL CORP VA COM 4,428 NASDAQ N
CFFI C & F FINL CORP COM 13,623 NASDAQ N
CFI CULP INC COM 48,174 NYSE N
CFNB CALIFORNIA FIRST NTNL BANCORP COM 3,263 NASDAQ N
CGEI CHINA GROWTH EQUITY INV LTD SHS 953 NASDAQ N
CGX CONSOLIDATED GRAPHICS INC COM 51,279 NYSE N
CHCO CITY HLDG CO COM 47,144 NASDAQ N
CHDN CHURCHILL DOWNS INC COM 42,942 NASDAQ N
CHEV CHEVIOT FINL CORP NEW COM 11,252 NASDAQ N
CHFC CHEMICAL FINL CORP COM 42,331 NASDAQ N
CHFN CHARTER FINL CORP WEST PT GA COM 33,003 NASDAQ N
CHIE GLOBAL X FDS CHINA ENRG ETF 4,418 NYSE Arca Y
CHIM GLOBAL X FDS CHINA MATL ETF 9,541 NYSE Arca Y
CHK-D CHESAPEAKE ENERGY CORP PFD CONV 6,925 NYSE N
CHKE CHEROKEE INC DEL NEW COM 15,790 NASDAQ N
CHLC MARKET VECTORS ETF TR RENMINBI BOND 16,539 NYSE Arca Y
CHMG CHEMUNG FINL CORP COM 2,374 NASDAQ N
CHNR CHINA NATURAL RESOURCES INC COM 3,461 NASDAQ N
CHRM CHARM COMMUNICATIONS INC ADR SHS CL A 11,732 NASDAQ N
CHSCP CHS INC PFD 8% 18,560 NASDAQ N
--- page 21 ---
CHSP-A CHESAPEAKE LODGING TR 7.75% PFD SER A 6,419 NYSE N
CHXF WISDOMTREE TR CHINADIV EX FI 13,760 NASDAQ Y
CIG.C COMPANHIA ENERGETICA DE MINAS SPONSORED ADR 4,042 NYSE N
CISAU CIS ACQUISITION LTD UNIT EX 000017 7,568 NASDAQ N
CITZ CFS BANCORP INC COM 5,565 NASDAQ N
CIX COMPX INTERNATIONAL INC CL A 3,011 NYSE MKT N
CIZN CITIZENS HLDG CO MISS COM 1,666 NASDAQ N
CKH# SEACOR HOLDINGS INC EX DISTRIB 94 NYSE N
CKX CKX LANDS INC COM 1,197 NYSE MKT N
CLB CORE LABORATORIES N V COM 277,946 NYSE N
CLBH CAROLINA BK HLDGS INC GREENSBO COM 6,088 NASDAQ N
CLFD CLEARFIELD INC COM 9,228 NASDAQ N
CLIR CLEARSIGN COMBUSTION CORP COM 12,971 NASDAQ N
CLRX COLLABRX INC COM 8,482 NASDAQ N
CLWT EURO TECH HOLDINGS CO LTD SHS NEW 4,613 NASDAQ N
CMBS ISHARES TR BARCLAYS CMBS 11,068 NYSE Arca Y
CMD PROSHARES TR II ULSHT DJ UBS CMD 359 NYSE Arca Y
CMF ISHARES TR S&P CAL AMTFR MN 25,312 NYSE Arca Y
CMG CHIPOTLE MEXICAN GRILL INC COM 705,857 NYSE N
CMGE CHINA MOBILE GAMES & ENTMT GRP SPONSORED ADR 4,715 NASDAQ N
CMO-A CAPSTEAD MTG CORP PFD A CV $1.60 53 NYSE N
CMS-A CONSUMERS ENERGY CO PFD $4.16 176 NYSE N
CMS-B CONSUMERS ENERGY CO PFD $4.50 380 NYSE N
CMSB CMS BANCORP INC COM 1,586 NASDAQ N
CNBC CENTER BANCORP INC COM 17,657 NASDAQ N
CNBKA CENTURY BANCORP INC MASS CL A NON VTG 4,640 NASDAQ N
CNPF GLOBAL X FDS GLB X CDA PFD 5,328 NYSE Arca Y
CNSI COMVERSE INC COM 98,940 NASDAQ N
CNY MORGAN STANLEY RENMIN/USD ETN 15,669 NYSE Arca Y
CNYD CHINA YIDA HOLDINGS CO COM PAR $0.0001 1,401 NASDAQ N
COBK COLONIAL FINL SVCS INC COM 4,660 NASDAQ N
COBO PROSHARES TR USD COVERED BD 8,756 NYSE Arca Y
COF+ CAPITAL ONE FINL CORP WT EXP 111418 33,264 NYSE N
COKE COCA COLA BOTTLING CO CONS COM 12,947 NASDAQ N
COLX MARKET VECTORS ETF TR COLUMBIA ETF 1,683 NYSE Arca Y
CORE CORE MARK HOLDING CO INC COM 41,667 NASDAQ N
CORP PIMCO ETF TR INV GRD CRP BD 46,831 NYSE Arca Y
CPA COPA HOLDINGS SA CL A 404,542 NYSE N
CPAC CEMENTOS PACASMAYO S A A SPON ADR REP 5 21,635 NYSE N
CPBC COMMUNITY PARTNERS BANCORP COM 1,949 NASDAQ N
CPHC CANTERBURY PARK HOLDING CORP COM 1,497 NASDAQ N
CPK CHESAPEAKE UTILS CORP COM 31,010 NYSE N
CPSI COMPUTER PROGRAMS & SYS INC COM 78,326 NASDAQ N
CRAI CRA INTL INC COM 27,819 NASDAQ N
CRFN CRESCENT FINL BANCSHARES INC COM 5,981 NASDAQ N
CRM SALESFORCE COM INC COM 1,490,248 NYSE N
CRMBU CRUMBS BAKE SHOP INC UNIT 1 COM & 1 W 41 NASDAQ N
CRMT AMERICAS CAR MART INC COM 35,587 NASDAQ N
CROC PROSHARES TR II PROSHS U/SHAUS 820 NYSE Arca Y
CRRB CARROLLTON BANCORP COM 288 NASDAQ N
CRRC COURIER CORP COM 44,359 NASDAQ N
CRT CROSS TIMBERS RTY TR TR UNIT 26,897 NYSE N
CRV COAST DISTR SYS COM 5,400 NYSE MKT N
CRVL CORVEL CORP COM 15,284 NASDAQ N
CSBK CLIFTON SVGS BANCORP INC COM 8,122 NASDAQ N
--- page 22 ---
CSCD CASCADE MICROTECH INC COM 25,269 NASDAQ N
CSM PROSHARES TR PSHS CS 130/30 17,666 NYSE Arca Y
CSPI CSP INC COM 28,078 NASDAQ N
CSRE CSR PLC SPONSORED ADR 4,265 NASDAQ N
CSS CSS INDS INC COM 22,785 NYSE N
CSTE CAESARSTONE SDOT-YAM LTD ORD SHS 65,953 NASDAQ N
CSWC CAPITAL SOUTHWEST CORP COM 7,163 NASDAQ N
CTBI COMMUNITY TR BANCORP INC COM 34,634 NASDAQ N
CTF NUVEEN LG/SHT COMMODITY TOTRTN COM UT BEN INT 49,694 NYSE MKT N
CTIB CTI INDUSTRIES CORP COM NEW 1,705 NASDAQ N
CTNN BARCLAYS BK PLC IPT COTTON ETN 6,338 NYSE Arca Y
CTO CONSOLIDATED TOMOKA LD CO COM 9,283 NYSE MKT N
CTZ-A CITIZENS FDG TR I PREF ENHANC TR 3,632 NYSE N
CUBA HERZFELD CARIBBEAN BASIN FD COM 22,429 NASDAQ N
CUBE-A CUBESMART 7.75% RED PFD SH 3,181 NYSE N
CUNB CU BANCORP CALIF COM 9,018 NASDAQ N
CUO CONTINENTAL MATLS CORP COM PAR $0.25 568 NYSE MKT N
CUPM BARCLAYS BK PLC IPT COPPER ETN 895 NYSE Arca Y
CURE DIREXION SHS ETF TR HEALTHCARE BUL 6,454 NYSE Arca Y
CUZ-B COUSINS PPTYS INC PFD B 7.50% 1,799 NYSE N
CVB CORPORATE BACKED TR CTFS SER 02-6 7.75% 298 NYSE N
CVCO CAVCO INDS INC DEL COM 36,775 NASDAQ N
CVCY CENTRAL VALLEY CMNTY BANCORP COM 8,398 NASDAQ N
CVLY CODORUS VY BANCORP INC COM 3,920 NASDAQ N
CVOL CITIGROUP INC NEW ETN CITI VOL 20 4,746 NYSE Arca Y
CVR CHICAGO RIVET & MACH CO COM 5,465 NYSE MKT N
CVRT POWERSHARES ETF TRUST II CONV PORTFOLIO 12,355 NYSE Arca Y
CVTI COVENANT TRANSN GROUP INC CL A 14,630 NASDAQ N
CVV CVD EQUIPMENT CORP COM 35,640 NASDAQ N
CWBC COMMUNITY WEST BANCSHARES COM 6,974 NASDAQ N
CWEI WILLIAMS CLAYTON ENERGY INC COM 33,694 NASDAQ N
CWHN COMMONWEALTH REIT SR NT 7,691 NYSE N
CWHO COMMONWEALTH REIT SR NT 5.75% 31,137 NYSE N
CWZ CORPORATE BACKED TR CTFS SER 01-27 8.875% 1,625 NYSE N
CYAN CYANOTECH CORP COM PAR $0.02 6,995 NASDAQ N
CYBE CYBEROPTICS CORP COM 4,340 NASDAQ N
CYCCP CYCLACEL PHARMACEUTICALS INC PFD CONV EX 6% 40,188 NASDAQ N
CYD CHINA YUCHAI INTL LTD COM 59,900 NYSE N
CYS-A CYS INVTS INC CUM REDEEMABLE P 6,001 NYSE N
CYTXW CYTORI THERAPEUTICS INC WT EXP 091314 5,272 NASDAQ N
CZFC CITIZENS FIRST CORP COM 6,051 NASDAQ N
CZNC CITIZENS & NORTHN CORP COM 16,104 NASDAQ N
CZWI CITIZENS CMNTY BANCORP INC MD COM 5,250 NASDAQ N
DAEG DAEGIS INC COM 11,022 NASDAQ N
DAIO DATA I O CORP COM 4,829 NASDAQ N
DAVE FAMOUS DAVES AMER INC COM 10,856 NASDAQ N
DBEF DBX ETF TR EAFE CURR HDG 16,854 NYSE Arca Y
DBJP DBX ETF TR JAPAN CURR HDG 9,960 NYSE Arca Y
DBLE DOUBLE EAGLE PETE CO COM PAR $0.10 30,366 NASDAQ N
DBLEP DOUBLE EAGLE PETE CO PFD SER A 2,204 NASDAQ N
DCIN DIGITAL CINEMA DESTINATIONS CP CL A COM 1,028 NASDAQ N
DD-A DU PONT E I DE NEMOURS & CO PFD $3.50 758 NYSE N
DD-B DU PONT E I DE NEMOURS & CO PFD $4.50 1,125 NYSE N
DDP DEUTSCHE BK AG LDN BRH PS CMDTY SH ETN 3,098 NYSE Arca Y
DEE DEUTSCHE BK AG LDN BRH PS CMDT DS ETN 1,035 NYSE Arca Y
--- page 23 ---
DEFL DEUTSCHE BK AG LONDON BRH US DEFLATION 118 NYSE Arca Y
DEL DELTIC TIMBER CORP COM 36,613 NYSE N
DEW WISDOMTREE TRUST GLB EQTY INC FD 14,229 NYSE Arca Y
DFE WISDOMTREE TRUST EUROPE SMCP DV 14,910 NYSE Arca Y
DFF BANK AMER CORP LNK DJ INDSTL 2,278 NYSE Arca N
DFR CIFC CORP COM 12,768 NASDAQ N
DFRG DEL FRISCOS RESTAURANT GROUP I COM 52,620 NASDAQ N
DFT-A DUPONT FABROS TECHNOLOGY INC PERP PFD SER A 4,988 NYSE N
DFT-B DUPONT FABROS TECHNOLOGY INC CUM PERP PFD-B 5,034 NYSE N
DFZ BARRY R G CORP OHIO COM 18,664 NASDAQ N
DGAS DELTA NAT GAS INC COM 10,181 NASDAQ N
DGICA DONEGAL GROUP INC CL A 18,405 NASDAQ N
DGICB DONEGAL GROUP INC CL B 209 NASDAQ N
DGLY DIGITAL ALLY INC COM NEW 1,944 NASDAQ N
DGSE DGSE COMPANIES INC COM 10,374 NYSE MKT N
DGT SPDR SERIES TRUST GLB DOW ETF 5,443 NYSE Arca Y
DHIL DIAMOND HILL INVESTMENT GROUP COM NEW 6,656 NASDAQ N
DIM WISDOMTREE TRUST INTL MIDCAP DV 19,915 NYSE Arca Y
DIRT BARCLAYS BK PLC IPTH AGRIC ETN 783 NYSE Arca Y
DISCB DISCOVERY COMMUNICATNS NEW COM SER B 56 NASDAQ N
DIT AMCON DISTRG CO COM NEW 2,552 NYSE MKT N
DJCO DAILY JOURNAL CORP COM 1,154 NASDAQ N
DKL DELEK LOGISTICS PARTNERS LP COM UNT RP INT 66,966 NYSE N
DL CHINA DISTANCE ED HLDGS LTD SPONS ADR 18,856 NYSE N
DLA DELTA APPAREL INC COM 29,094 NYSE MKT N
DMLP DORCHESTER MINERALS LP COM UNIT 45,318 NASDAQ N
DMO WESTERN ASSET MTG DEF OPPTY FD COM 30,623 NYSE N
DMRC DIGIMARC CORP NEW COM 14,142 NASDAQ N
DNBF DNB FINL CORP COM 2,111 NASDAQ N
DNL WISDOMTREE TRUST GLB EX US GRWTH 23,695 NYSE Arca Y
DNO UNITED STS SHORT OIL FD LP UNITS 18,423 NYSE Arca Y
DNY DENALI FD INC COM 3,275 NYSE N
DOD DEUTSCHE BK AG LONDON ETN DJ HY 2022 10,194 NYSE Arca Y
DOIL CREDIT SUISSE NASSAU BRH VS 3X INV BREN 197 NYSE Arca Y
DOL WISDOMTREE TRUST INTL LRGCAP DV 24,384 NYSE Arca Y
DON WISDOMTREE TRUST MIDCAP DIVI FD 70,280 NYSE Arca Y
DOVR DOVER SADDLERY INC COM 10,599 NASDAQ N
DPU DEUTSCHE BK AG LDN BRH PS CMDT LG ETN 392 NYSE Arca Y
DQ DAQO NEW ENERGY CORP SPNSRD ADR NEW 72,859 NYSE N
DRCO DYNAMICS RESH CORP COM 9,181 NASDAQ N
DRR MORGAN STANLEY SHRT EUR ETN20 12,049 NYSE Arca Y
DRTX DURATA THERAPEUTICS INC COM 40,791 NASDAQ N
DSKX DS HEALTHCARE GROUP INC COM 1,038 NASDAQ N
DSXJ JPMORGAN CHASE & CO DBL SHRT 10YR 224 NYSE Arca Y
DVYA ISHARES INC ASIA PAC30 IDX 8,838 NYSE Arca Y
DVYL UBS AG LONDON BRH ETRACS MP2X DJ 2,635 NYSE Arca Y
DWCH DATAWATCH CORP COM NEW 37,082 NASDAQ N
DWSN DAWSON GEOPHYSICAL CO COM 42,978 NASDAQ N
DWTI CREDIT SUISSE NASSAU BRH VS 3XINV CRUDE 2,702 NYSE Arca Y
DX-A DYNEX CAP INC PFD SER A 2,548 NYSE N
DXPE DXP ENTERPRISES INC NEW COM NEW 52,066 NASDAQ N
DXR DAXOR CORP COM 1,762 NYSE MKT N
DXYN DIXIE GROUP INC CL A 13,552 NASDAQ N
DYNT DYNATRONICS CORP COM NEW 17,024 NASDAQ N
DYY DEUTSCHE BK AG LDN BRH PS CMDT DL ETN 19,183 NYSE Arca Y
--- page 24 ---
DZK DIREXION SHS ETF TR DLY DEV MKT BULL 15,856 NYSE Arca Y
EAC ERICKSON AIR-CRANE INC COM 32,405 NASDAQ N
EAGLU GLOBAL EAGLE ACQUISITION CORP UNIT 1 000012 25 NASDAQ N
EAPS PAX WORLD FDS TR II MSCI ESG IDX 8,739 NYSE Arca Y
EBMT EAGLE BANCORP MONT INC COM 3,569 NASDAQ N
EBOD RENEWABLE ENERGY TRADE BRD COR SHS 2,660 NASDAQ N
EBSB MERIDIAN INTERSTAT BANCORP INC COM 31,428 NASDAQ N
EBTC ENTERPRISE BANCORP INC MASS COM 8,837 NASDAQ N
ECBE ECB BANCORP INC COM 6,770 NYSE MKT N
ECNS ISHARES TR MSCI CHIN SMCP 29,803 NYSE Arca Y
EDAC EDAC TECHNOLOGIES CORP COM 8,774 NASDAQ N
EDEN ISHARES TR MSCI DENMRK CP 3,951 BATS BZX Y
EDF STONE HBR EMERG MRKTS INC FD COM 56,515 NYSE N
EDGW EDGEWATER TECHNOLOGY INC COM 23,214 NASDAQ N
EDT ENTERGY TEXAS INC MTG BD 7.875% 6,508 NYSE N
EDUC EDUCATIONAL DEV CORP COM 4,261 NASDAQ N
EDV VANGUARD WORLD FD EXTENDED DUR 37,678 NYSE Arca Y
EEHB POWERSHARES ETF TR II S&P EMRGHIBETA 1,502 NYSE Arca Y
EEI ECOLOGY & ENVIRONMENT INC CL A 2,879 NASDAQ N
EEME ISHARES INC MSCI EMRG EMEA 2,768 NASDAQ Y
EEML ISHARES TR MSCI EMKT LATN 2,105 NASDAQ Y
EEMS ISHARES INC MSCI EM SML CP 10,041 NYSE Arca Y
EES WISDOMTREE TRUST SMLCAP EARN FD 9,429 NYSE Arca Y
EFM ENTERGY MISS INC 1ST MTG BD 40 5,397 NYSE N
EFNL ISHARES TR MSCI FINLND CP 3,086 BATS BZX Y
EFSC ENTERPRISE FINL SVCS CORP COM 28,791 NASDAQ N
EFUT E FUTURE INFORMATION TECH INC SHS 1,713 NASDAQ N
EGAN EGAIN COMMUNICATIONS COM NEW 48,771 NASDAQ N
EGAS GAS NAT INC COM 19,340 NYSE MKT N
EGL ENGILITY HLDGS INC COM 67,348 NYSE N
EGRW ISHARES INC EMKTS GRW IDX 328 NASDAQ Y
EIA EATON VANCE CALIF MUN BD FD II COM 7,403 NYSE MKT N
EIHI EASTERN INS HLDGS INC COM 13,220 NASDAQ N
EIO EATON VANCE OHIO MUN BD FD COM 3,442 NYSE MKT N
EIP EATON VANCE PA MUN BD FD COM 4,728 NYSE MKT N
EIRL ISHARES TR IRLND CPD INVT 16,304 NYSE Arca Y
EIS ISHARES INC MSCI ISRAEL FD 17,220 NYSE Arca Y
ELB ENTERGY LOUISIANA LLC 1ST MTG BD 9,659 NYSE N
ELLO ELLOMAY CAPITAL LIMITED SHS 1,896 NYSE MKT N
ELR SPDR SERIES TRUST DJ LRG CAP ETF 752 NYSE Arca Y
ELRC ELECTRO RENT CORP COM 35,348 NASDAQ N
ELS-C EQUITY LIFESTYLE PPTYS INC DEP SH REP PFD 24,198 NYSE N
ELSE ELECTRO-SENSORS INC COM 916 NASDAQ N
EMCB WISDOMTREE TR WSDM EMKTBD FD 18,086 NASDAQ Y
EMCD SPDR SER TR SPDR BOFA ML 1,023 NYSE Arca Y
EMCF EMCLAIRE FINL CORP COM 378 NASDAQ N
EMCI EMC INS GROUP INC COM 15,512 NASDAQ N
EMDD EGA EMERGING GLOBAL SHS TR EGSHARE EM DOM 1,929 NYSE Arca Y
EMDI ISHARES INC EMKT CNSM DISC 195 NASDAQ Y
EMEY ISHARES INC EMKT ENRG SECT 2,372 NASDAQ Y
EMFN ISHARES TR MSCI EM MK FNL 4,407 NASDAQ Y
EMFT SPDR INDEX SHS FDS MSCI EM50 ETF 1,667 NYSE Arca Y
EMHY iShares Emerging Markets High Yield Bond Fund 25,141 BATS BZX Y
EMI EATON VANCE MI MUNI INCOME TR SH BEN INT 3,294 NYSE MKT N
EMIF ISHARES TR S&P EMRG INFRS 17,915 NASDAQ Y
--- page 25 ---
EMITF ELBIT IMAGING LTD ORD SHS 2,658 NASDAQ N
EMJ EATON VANCE N J MUN BD FD COM 4,522 NYSE MKT N
EML EASTERN CO COM 10,766 NASDAQ N
EMLB BARCLAYS BK PLC EMRG MK 3X LNG 167 NYSE Arca Y
EMM SPDR SERIES TRUST DJ MID CAP ETF 14,443 NYSE Arca Y
EMMSP EMMIS COMMUNICATIONS CORP PFD CV SER A 142 NASDAQ N
EMMT ISHARES TR MSCI EMG MATS 10,444 NASDAQ Y
EMQ ENTERGY MISS INC MTG 1ST BDS 6% 4,260 NYSE N
EMT EGA EMERGING GLOBAL SHS TR EGSHARE EM METLS 3,168 NYSE Arca Y
ENGN ISHARES TR INDUSTRIAL SCT 1,216 NYSE Arca Y
ENOR ISHARES TR MSCI NORWAY CP 11,223 BATS BZX Y
ENSG ENSIGN GROUP INC COM 46,370 NASDAQ N
EP-C EL PASO ENERGY CAP TR I PFD CV TR SECS 5,486 NYSE N
EPM-A EVOLUTION PETROLEUM CORP PFD-A 8.5% 427 NYSE MKT N
EPR-C EPR PPTYS PFD C CNV 5.75% 7,152 NYSE N
EPR-E EPR PPTYS CONV PFD 9% SR E 4,755 NYSE N
EQIX EQUINIX INC COM NEW 600,020 NASDAQ N
ERA# ERA GROUP INC COM 11,706 NYSE N
ERIE ERIE INDTY CO CL A 35,043 NASDAQ N
ERO BARCLAYS BK PLC IP EUR/USD ETN 200 NYSE Arca Y
ESBF ESB FINL CORP COM 12,398 NASDAQ N
ESBK ELMIRA SVGS BK ELMIRA N Y COM 1,156 NASDAQ N
ESCA ESCALADE INC COM 7,618 NASDAQ N
ESGR ENSTAR GROUP LIMITED SHS 22,270 NASDAQ N
ESLT ELBIT SYS LTD ORD 3,930 NASDAQ N
ESP ESPEY MFG & ELECTRS CORP COM 4,116 NYSE MKT N
ESR ISHARES INC MSCI EMKT EUR 17,334 NYSE Arca Y
ESS ESSEX PPTY TR INC COM 216,354 NYSE N
ESS-H ESSEX PPTY TR INC PFD SER H 5,100 NYSE N
ESSA ESSA BANCORP INC COM 14,748 NASDAQ N
ESTE EARTHSTONE ENERGY INC COM NEW 2,021 NYSE MKT N
ESYS ELECSYS CORP COM 5,731 NASDAQ N
ETF ABERDEEN EMERG MKTS TELE&INFRA COM 8,228 NYSE MKT N
ETUA EUNITS 2 YR US EQTY MKT PTNTR UNIT 4,443 NYSE MKT N
EU WISDOMTREE TRUST EURO DEBT FUND 2,043 NYSE Arca Y
EUFX PROSHARES TR II PROSHS SHT EUR 291 NYSE Arca Y
EVAC EDWARDS GROUP LTD SPONSORED ADR 20,651 NASDAQ N
EVAL ISHARES INC EMKTS VALU IDX 2,589 NASDAQ Y
EVBN EVANS BANCORP INC COM NEW 3,294 NYSE MKT N
EVBS EASTERN VA BANKSHARES INC COM 8,214 NASDAQ N
EVJ EATON VANCE NJ MUNI INCOME TR SH BEN INT 6,679 NYSE MKT N
EVK EVER GLORY INTL GRP INC COM NEW 2,765 NYSE MKT N
EVO EATON VANCE OH MUNI INCOME TR SH BEN INT 5,777 NYSE MKT N
EVOL EVOLVING SYS INC COM NEW 14,943 NASDAQ N
EVP EATON VANCE PA MUNI INCOME TR SH BEN INT 3,641 NYSE MKT N
EWAS ISHARES TR MSCI AUSTRL SM 1,987 BATS BZX Y
EWCS ISHARES TR MSCI CDA SM CP 710 BATS BZX Y
EWEF RYDEX ETF TRUST GUG MSCI EAFE EQ 2,191 NYSE Arca Y
EWEM RYDEX ETF TRUST GUG MSCI EMKT EQ 2,080 NYSE Arca Y
EWHS ISHARES TR MSCI HK SML CP 2,365 NYSE Arca Y
EWSM RYDEX ETF TRUST GUG S&P SC600 EQ 2,675 NYSE Arca Y
EWSS ISHARES TR MSCI SING SMCP 7,728 NYSE Arca Y
EWUS ISHARES TR MSCI UK SM CAP 2,073 BATS BZX Y
EXA EXA CORP COM 56,963 NASDAQ N
EXAC EXACTECH INC COM 35,872 NASDAQ N
--- page 26 ---
EXE CREXENDO INC COM 2,413 NYSE MKT N
EXI ISHARES TR S&P GL INDUSTR 32,791 NYSE Arca Y
EXL-B EXCEL TR INC PFD-B 3,387 NYSE N
EXPO EXPONENT INC COM 25,728 NASDAQ N
EXT WISDOMTREE TRUST TTL EARNING FD 3,521 NYSE Arca Y
EZJ PROSHARES TR UL MSCI JP ETF 10,487 NYSE Arca Y
EZM WISDOMTREE TRUST MDCP EARN FUND 20,068 NYSE Arca Y
EZY WISDOMTREE TRUST LRGECP VALUE FD 2,867 NYSE Arca Y
FAA CLAYMORE EXCHANGE TRD FD TR 2 GUGG AIRLINE ETF 14,555 NYSE Arca Y
FABK FIRST ADVANTAGE BANCORP COM 1,178 NASDAQ N
FBIZ FIRST BUS FINL SVCS INC WIS COM 12,537 NASDAQ N
FBMI FIRSTBANK CORP MICH COM 9,277 NASDAQ N
FBMS FIRST BANCSHARES INC MS COM 2,845 NASDAQ N
FBS-A FIRST PFD CAP TR IV PFD TR 8.15% 3,012 NYSE N
FBSS FAUQUIER BANKSHARES INC VA COM 1,342 NASDAQ N
FBZ FIRST TR EXCH TRD ALPHA FD II BRAZIL ALPHA 4,070 NYSE Arca Y
FC FRANKLIN COVEY CO COM 25,513 NYSE N
FCA FIRST TR EXCH TRD ALPHA FD II CHINA ALPHADEX 12,899 NYSE Arca Y
FCAN FIRST TR EXCH TRD ALPHA FD II CANADA ALPHA 14,936 NYSE Arca Y
FCAP FIRST CAPITAL INC COM 257 NASDAQ N
FCBC FIRST CMNTY BANCSHARES INC NEV COM 29,398 NASDAQ N
FCCO FIRST CMNTY CORP S C COM 1,584 NASDAQ N
FCCY 1ST CONSTITUTION BANCORP COM 1,029 NASDAQ N
FCE.B FOREST CITY ENTERPRISES INC CL B CONV 603 NYSE N
FCH-A FELCOR LODGING TR INC PFD CV A $1.95 20,474 NYSE N
FCH-C FELCOR LODGING TR INC PFD 1/100 C 8% 17,931 NYSE N
FCHI ISHARES TR FTSE CHINA ETF 4,552 NASDAQ Y
FCLF FIRST CLOVER LEAF FIN CORP COM 4,287 NASDAQ N
FCNCA FIRST CTZNS BANCSHARES INC N C CL A 13,107 NASDAQ N
FCTY 1ST CENTURY BANCSHARES INC COM 2,804 NASDAQ N
FCVA FIRST CAPITAL BANCORP VA COM 5,744 NASDAQ N
FCY FOREST CITY ENTERPRISES INC SR NT 2034 15,990 NYSE N
FCZA FIRST CTZNS BANC CORP COM NO PAR 4,256 NASDAQ N
FDEF FIRST DEFIANCE FINL CORP COM 27,748 NASDAQ N
FDTS FIRST TR EXCH TRD ALPHA FD II EX US SML CP 472 NYSE Arca Y
FDUS FIDUS INVT CORP COM 56,786 NASDAQ N
FEFN ISHARES TR MSCI FAR EAST 4,034 NASDAQ Y
FEIM FREQUENCY ELECTRS INC COM 11,608 NASDAQ N
FELE FRANKLIN ELEC INC COM 75,287 NASDAQ N
FEMS FIRST TR EXCH TRD ALPHA FD II EM SML CP ALPH 2,477 NYSE Arca Y
FEP FIRST TR EXCH TRD ALPHA FD II EUROPE ALPHA 17,365 NYSE Arca Y
FFBCW FIRST FINL BANCORP OH WT EXP 122318 405 NASDAQ N
FFBH FIRST FED BANCSHARES ARK COM NEW 5,814 NASDAQ N
FFCO FEDFIRST FINL CORP NEW COM 3,719 NASDAQ N
FFKT FARMERS CAP BK CORP COM 13,448 NASDAQ N
FFKY FIRST FINL SVC CORP COM 4,629 NASDAQ N
FFNM FIRST FED NORTHN MICH BANCORP COM 1,359 NASDAQ N
FFR FIRST TR FTSE EPRA/NAREIT DEVL COM 11,686 NYSE Arca Y
FGEM EGA EMERGING GLOBAL SHS TR EGSHARE FINL GEM 985 NYSE Arca Y
FHK FIRST TR EXCH TRD ALPHA FD II HONG KONG ALPH 782 NYSE Arca Y
FILL ISHARES INC MSCI GLB ENERG 503 NYSE Arca Y
FINF PROSHARES TR SHT 30YR TIPS 1,590 NYSE Arca Y
FINU PROSHARES TR ULTRAPRO FINLS 4,084 NYSE Arca Y
FISI FINANCIAL INSTNS INC COM 18,600 NASDAQ N
FITBP FIFTH THIRD BANCORP CNV PFD DEP1/250 88,720 NASDAQ N
--- page 27 ---
FJA PPLUS TR CTF A 7.995%36 287 NYSE N
FJP FIRST TR EXCH TRD ALPHA FD II JAPAN ALPHADEX 2,779 NYSE Arca Y
FKO FIRST TR EXCH TRD ALPHA FD II STH KOREA ALPH 3,444 NYSE Arca Y
FLIC FIRST LONG IS CORP COM 11,802 NASDAQ N
FLM FIRST TR ISE GLOBAL ENGR & CON COM 1,977 NYSE Arca Y
FLML FLAMEL TECHNOLOGIES SA SPONSORED ADR 74,732 NASDAQ N
FLN FIRST TR EXCH TRD ALPHA FD II LATIN AMER ALP 4,838 NYSE Arca Y
FLXS FLEXSTEEL INDS INC COM 14,363 NASDAQ N
FMFC FIRST M & F CORP COM 7,904 NASDAQ N
FMNB FARMERS NATL BANC CORP COM 20,735 NASDAQ N
FMS- FRESENIUS MED CARE AG&CO KGAA SPON ADR PREF 47 NYSE N
FNBN F N B UNITED CORP COM NEW 26,014 NASDAQ N
FNFG-B FIRST NIAGARA FINL GP INC PFD NON CUM SER 16,325 NYSE N
FNHC FEDERATED NATL HLDG CO COM 6,861 NASDAQ N
FNK FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 4,794 NYSE Arca Y
FNLC FIRST BANCORP INC ME COM 17,982 NASDAQ N
FOIL BARCLAYS BK PLC IPTH ALUMN ETN 647 NYSE Arca Y
FONE FIRST TR NASDAQ SMART PHONE IN COM SHS 2,639 NASDAQ Y
FORTY FORMULA SYS 1985 LTD SPONSORED ADR 4,036 NASDAQ N
FOSL FOSSIL INC COM 722,066 NASDAQ N
FPA FIRST TR EXCH TRD ALPHA FD II ASIA EX JAPAN 2,840 NYSE Arca Y
FPC-A FPC CAP I QUIPS A 7.10% 281 NYSE N
FPO-A FIRST POTOMAC RLTY TR CUM RED PFD-A 7,322 NYSE N
FPP FIELDPOINT PETROLEUM CORP COM 9,977 NYSE MKT N
FR-J FIRST INDUSTRIAL REALTY TRUST PFD 1/10000 J 11,399 NYSE N
FR-K FIRST INDUSTRIAL REALTY TRUST PFD K 7.25% 3,507 NYSE N
FRAK MARKET VECTORS ETF TR UNCVTL OIL GAS 11,816 NYSE Arca Y
FRC-A FIRST REP BK SAN FRANCISCO CAL DEP SH PFD A 11,414 NYSE N
FRC-B FIRST REP BK SAN FRANCISCO CAL DEP SHS REPSTG 1 14,175 NYSE N
FRGI FIESTA RESTAURANT GROUP INC COM 64,258 NASDAQ N
FRS FRISCHS RESTAURANTS INC COM 5,148 NYSE MKT N
FSBK FIRST SOUTH BANCORP INC VA COM 9,259 NASDAQ N
FSBW FS BANCORP INC COM 9,381 NASDAQ N
FSCE FIFTH STR FIN CORP SR NT 24 17,920 NYSE N
FSCI FISHER COMMUNICATIONS INC COM 32,162 NASDAQ N
FSFG FIRST SAVINGS FINL GROUP INC COM 2,008 NASDAQ N
FSGI FIRST SEC GROUP INC COM NEW 21,109 NASDAQ N
FSTR FOSTER L B CO COM 39,952 NASDAQ N
FTW FIRST TR EXCH TRD ALPHA FD II TAIWAN ALPHADE 97 NYSE Arca Y
FUD UBS AG JERSEY BRH CMCI FOOD ETN 5,348 NYSE Arca Y
FUE SWEDISH EXPT CR CORP MLCX BIO ETN23 404 NYSE Arca Y
FUNC FIRST UTD CORP COM 4,294 NASDAQ N
FUR-D WINTHROP RLTY TR PFD SHS BEN INT 12,413 NYSE N
FURX FURIEX PHARMACEUTICALS INC COM 38,740 NASDAQ N
FWDB ADVISORSHARES TR MADRONA GLB BD 1,966 NYSE Arca Y
FWDD ADVISORSHARES TR MADRONA DOMESTIC 656 NYSE Arca Y
FWDI ADVISORSHARES TR MADRONA INTL ETF 27,937 NYSE Arca Y
FWV FIRST W VA BANCORP INC COM 269 NYSE MKT N
FXCB FOX CHASE BANCORP INC NEW COM 22,419 NASDAQ N
FXCH CURRENCYSHARES CHINESE RENMINB CHIN RENMINBI 336 NYSE Arca Y
FXS CURRENCYSHARES SWEDISH KRONA T SWEDISH KRONA 2,238 NYSE Arca Y
GAB-G GABELLI EQUITY TR INC PFD-G 1,850 NYSE N
GABC GERMAN AMERN BANCORP INC COM 17,082 NASDAQ N
GAF SPDR INDEX SHS FDS MIDEAST AFRICA 19,366 NYSE Arca Y
GAI GLOBAL TECH ADVANCED INNOVATIO SHS NEW 14,317 NASDAQ N
--- page 28 ---
GAIA GAIAM INC CL A 30,157 NASDAQ N
GAINP GLADSTONE INVT CORP PFD A 7.125% 9,684 NASDAQ N
GALTU GALECTIN THERAPEUTICS INC UNIT EX 000017 918 NASDAQ N
GASZ UBS AG LONDON BRH DLY LNGSHT GAS 40,021 NYSE Arca Y
GAT GEORGIA PWR CO NT SER2008C 48 19,792 NYSE N
GBB BARCLAYS BK PLC IP GBP/USD ETN 252 NYSE Arca Y
GBF ISHARES TR BARCLYS GOVT CR 7,090 NYSE Arca Y
GBL GAMCO INVESTORS INC COM 11,589 NYSE N
GBLI GLOBAL INDEMNITY PLC SHS 14,434 NASDAQ N
GCBC GREENE COUNTY BANCORP INC COM 443 NASDAQ N
GCE GS FIN CORP ETN CLAYMORE37 7,076 NYSE Arca Y
GCV-B GABELLI CONV & INCOME SECS FD PFD SER B 736 NYSE N
GDV-D GABELLI DIVD & INCOME TR PFD SER D 2,766 NYSE N
GEF.B GREIF INC CL B 8,674 NYSE N
GENC GENCOR INDS INC COM 10,501 NASDAQ N
GENT GENTIUM S P A SPONSORED ADR 25,407 NASDAQ N
GEOS GEOSPACE TECHNOLOGIES CORP COM 74,802 NASDAQ N
GERJ MARKET VECTORS ETF TR GERMANY SM CAP 6,624 NYSE Arca Y
GFED GUARANTY FED BANCSHARES INC COM 7,041 NASDAQ N
GFN GENERAL FINANCE CORP COM 32,708 NASDAQ N
GFNCL GENERAL FINANCE CORP UNIT 1 000013 143 NASDAQ N
GFY WESTERN ASSET VAR RT STRG FD COM 21,517 NYSE N
GGEM EGA EMERGING GLOBAL SHS TR CONS GOODS GEM 382 NYSE Arca Y
GGGG GLOBAL X FDS PURE GLD MINERS 2,504 NYSE Arca Y
GGN-A GAMCO GLOBAL GOLD NAT RES & IN 6.625% PFD SER A 3,967 NYSE MKT N
GGOV PROSHARES TR GERMAN SOV/SUB 35 NYSE Arca Y
GGT-B GABELLI MULTIMEDIA TR INC PFD B 6% 2,247 NYSE N
GHM GRAHAM CORP COM 37,685 NYSE MKT N
GHYG iShares Global High Yield Corporate Bond Fund 14,478 BATS BZX Y
GIFI GULF ISLAND FABRICATION INC COM 36,693 NASDAQ N
GIGA GIGA TRONICS INC COM 1,698 NASDAQ N
GII SPDR INDEX SHS FDS MACQU GLBIN100 12,499 NYSE Arca Y
GIY CLAYMORE EXCHANGE TRD FD TR GUGG ENH CRE BN 6,276 NYSE Arca Y
GJD STRATS TR FOR SPRINT SECS STRATS A1 6.5% 3,213 NYSE N
GJH STRATS TR UTD STS CELLULAR CP STRATS 6.375 1,243 NYSE N
GJJ STRATS TR GOLDMAN SACHS GROUP CTF04-8 FLT RT 1,494 NYSE N
GJK STRATS TR J P MORGAN CHASE 04-9 CTF A-1 536 NYSE N
GJO STRATS TR WAL MART STORES INC STRT CTF 05-4 3,659 NYSE N
GJP STRATS TR FOR DOMINION RES INC STRT CTF 05-6 1,703 NYSE N
GJR STRATS TR FOR PROCTR&GAMBL SEC CTF 2006-1 1,530 NYSE N
GJS STRATS TR GOLDMAN SACHS GROUP STRATS CTF 33 2,017 NYSE N
GJT STRATS TR ALLSTATE CORP 06-3 ASSET BKD 2,904 NYSE N
GJV STRATS TR NEWS CORP SECS 2006 CTF 7% CL A-1 1,763 NYSE N
GK G & K SVCS INC CL A 37,520 NASDAQ N
GKK-A GRAMERCY CAP CORP PFD SER A 16,974 NYSE N
GKNT GEEKNET INC COM NEW 7,647 NASDAQ N
GLADP GLADSTONE CAPITAL CORP PFD 2,397 NASDAQ N
GLBS GLOBUS MARITIME LIMITED NEW COM 11,766 NASDAQ N
GLBZ GLEN BURNIE BANCORP COM 2,713 NASDAQ N
GLDC GOLDEN ENTERPRISES INC COM 11,725 NASDAQ N
GLP GLOBAL PARTNERS LP COM UNITS 58,780 NYSE N
GMFS SPDR INDEX SHS FDS S&P SMLCP ASIA 757 NYSE Arca Y
GML SPDR INDEX SHS FDS LATIN AMER ETF 12,755 NYSE Arca Y
GMM SPDR INDEX SHS FDS EMERG MKTS ETF 76,065 NYSE Arca Y
GMMB COLUMBIA ETF TR INTERMED MUN 513 NYSE Arca Y
--- page 29 ---
GMTB COLUMBIA ETF TR CORE BD STRAT 3,408 NYSE Arca Y
GMXR- GMX RES INC PFD SER B 9.25% 8,700 NYSE N
GNE-A GENIE ENERGY LTD PFD-2012-A 1,287 NYSE N
GNI GREAT NORTHN IRON ORE PPTYS CTFS BEN INT 15,958 NYSE N
GOODN GLADSTONE COML CORP PFD SER C 7.125% 1,319 NASDAQ N
GOODO GLADSTONE COML CORP PFD B 7.50% 475 NASDAQ N
GOODP GLADSTONE COML CORP PFD SER A 564 NASDAQ N
GOOG GOOGLE INC CL A 2,686,663 NASDAQ N
GPE-A GEORGIA PWR CO PFD A 6.125% 1,756 NYSE N
GPIC GAMING PARTNERS INTL CORP COM 18,138 NASDAQ N
GRC GORMAN RUPP CO COM 23,171 NYSE MKT N
GREK GLOBAL X FDS FTSE GREECE 20 50,170 NYSE Arca Y
GRES INDEXIQ ETF TR IQ GLB RES ETF 16,078 NYSE Arca Y
GRF EAGLE CAP GROWTH FD INC COM 3,731 NYSE MKT N
GRH-C GREENHUNTER ENERGY INC PFD CUM C 10% 8,732 NYSE MKT N
GRI ALPS ETF TR C&S GLOBL ETF 26,300 NYSE Arca Y
GRID FIRST TR EXCH TRADED FD II NASDQ CLN EDGE 3,150 NASDAQ Y
GRIF GRIFFIN LD & NURSERIES INC CL A 2,213 NASDAQ N
GRN BARCLAYS BANK PLC ETN GLB CARB38 355 NYSE Arca Y
GRT-H GLIMCHER RLTY TR PFD-H 7.5% 11,306 NYSE N
GRWN BARCLAYS BK PLC IPTH SOFTS ETN 147 NYSE Arca Y
GRX-A GABELLI HLTHCARE & WELLNESS TR PFD SER A 2,655 NYSE N
GSBC GREAT SOUTHN BANCORP INC COM 19,154 NASDAQ N
GSC GOLDMAN SACHS GROUP INC SP ENHCMD37ETN 30,102 NYSE Arca Y
GSJK COMPRESSCO PARTNERS L P COM UNIT 12,970 NASDAQ N
GST-A GASTAR EXPLORATION USA INC PFD-A 8.625% 9,220 NYSE MKT N
GTIM GOOD TIMES RESTAURANTS INC COM PAR $.001NEW 50,428 NASDAQ N
GTN.A GRAY TELEVISION INC CL A 3,198 NYSE N
GTPPP GOODYEAR TIRE & RUBR CO PFD CONV 5.875% 34,660 NASDAQ N
GTU CENTRAL GOLDTRUST TR UNIT 37,164 NYSE MKT N
GTWN GEORGETOWN BANCORP INC MD COM 299 NASDAQ N
GUA GULF POWER CO SR NT-2011A51 7,673 NYSE N
GUL GULF POWER CO NT H 5.25% 33 1,246 NYSE N
GULF WISDOMTREE TR MID EAST DIVD 9,706 NASDAQ Y
GUR SPDR INDEX SHS FDS EUROPE ETF 34,157 NYSE Arca Y
GURU GLOBAL X FDS GLB X FTSE NOR 2,984 NYSE Arca Y
GUT-A GABELLI UTIL TR PFD A 5.625% 1,267 NYSE N
GVT COLUMBIA ETF TR COLUMBIA CON LRG 115 NYSE Arca Y
GWO CREDIT SUISSE NASSAU BRH GLB WARM ETN23 94 NYSE Arca Y
GWRU GENESEE & WYO INC UNIT 100115 17,958 NYSE N
GWW GRAINGER W W INC COM 450,539 NYSE N
GXP-A GREAT PLAINS ENERGY INC PFD 3.80% 510 NYSE N
GXP-D GREAT PLAINS ENERGY INC PFD 4.35% 101 NYSE N
GXP-E GREAT PLAINS ENERGY INC PFD 4.50% 192 NYSE N
GYA CABCO SER 2004-1 TR GOLDMAN CTF A1 6.0% 34 2,193 NYSE N
GYB CABCO SER 2004-101 TR GOLDMAN CTF CALL 6.345 19,635 NYSE N
GYC CABCO SER 2004-102 TR SBC CTF FLT RATE 4,285 NYSE N
GYRO GYRODYNE CO AMER INC COM 8,043 NASDAQ N
GZT GAZIT GLOBE LTD SHS 12,109 NYSE N
HALL HALLMARK FINL SVCS INC EC COM NEW 22,851 NASDAQ N
HAST HASTINGS ENTMT INC COM 16,237 NASDAQ N
HAYN HAYNES INTERNATIONAL INC COM NEW 76,994 NASDAQ N
HBA-Z HSBC USA INC NEW PFD $2.8575 635 NYSE N
HBANP HUNTINGTON BANCSHARES INC PFD CONV SER A 803 NASDAQ N
HBC- HARRIS PFD CAP CORP PFD EXCH A 12,552 NYSE N
--- page 30 ---
HBCP HOME BANCORP INC COM 7,894 NASDAQ N
HBK HAMILTON BANCORP INC MD COM 4,725 NASDAQ N
HBNC HORIZON BANCORP IND COM 22,554 NASDAQ N
HBNK HAMPDEN BANCORP INC COM 3,964 NASDAQ N
HBOS HERITAGE FINL GROUP INC COM 18,607 NASDAQ N
HCCI HERITAGE CRYSTAL CLEAN INC COM 31,398 NASDAQ N
HCIIP HOMEOWNERS CHOICE INC 7% PFD SER A 384 NASDAQ N
HCN-I HEALTH CARE REIT INC PFD PER CON I 76,597 NYSE N
HCOM HAWAIIAN TELCOM HOLDCO INC COM 13,375 NASDAQ N
HDG PROSHARES TR HD REPLICATION 32,480 NYSE Arca Y
HDNG HARDINGE INC COM 36,170 NASDAQ N
HE-U HECO CAP TR III QUIPS 6.5% 04 240 NYSE N
HECO HUNTINGTON STRATEGY SHS ECOL STRAT ETF 1,132 NYSE Arca Y
HEDJ WISDOMTREE TR EUROPE HEDGED EQ 10,412 NYSE Arca Y
HEI.A HEICO CORP NEW CL A 30,965 NYSE N
HEP HOLLY ENERGY PARTNERS L P COM UT LTD PTN 56,493 NYSE N
HEVY BARCLAYS BK PLC IPTH INDL MTLS 453 NYSE Arca Y
HFBC HOPFED BANCORP INC COM 8,576 NASDAQ N
HFBL HOME FED BANCORP INC LA NEW COM 2,219 NASDAQ N
HFFC HF FINL CORP COM 8,303 NASDAQ N
HFWA HERITAGE FINL CORP WASH COM 21,438 NASDAQ N
HGEM EGA EMERGING GLOBAL SHS TR HLTH CARE GEMS 10,709 NYSE Arca Y
HGSH CHINA HGS REAL ESTATE INC COM 17,948 NASDAQ N
HIFS HINGHAM INSTN SVGS MASS COM 1,645 NASDAQ N
HJJ SATURNS GOLDMAN SACHS GP 04-4 TR UT A 6.0% 2,369 NYSE N
HJL SATURNS GOLDMAN SACHS CAP I TR UNIT A 6.00 3,378 NYSE N
HJN SATURNS GOLDMAN SACHS CAP 1 05 TR UT A 6.125 1,611 NYSE N
HJR SATURNS 2005-3 LTD BRANDS INC CALL UNIT 7%33 596 NYSE N
HJT STRUCTURED ASSET TR UT 7.375% 06-2 780 NYSE N
HJV SATURNS TR NO 2007-1 NT CL A 7% 13,124 NYSE N
HL-B HECLA MNG CO PFD CV SER B 42 NYSE N
HLM- HILLMAN GROUP CAP TR PFD TR 11.6% 3,281 NYSE MKT N
HMG HMG COURTLAND PPTYS INC COM 20 NYSE MKT N
HMNF HMN FINL INC COM 26,393 NASDAQ N
HMNY HELIOS AND MATHESON INFORMATIO COM NEW 12,629 NASDAQ N
HNH HANDY & HARMAN LTD COM 20,172 NASDAQ N
HNRG HALLADOR ENERGY COMPANY COM 21,687 NASDAQ N
HOFT HOOKER FURNITURE CORP COM 24,959 NASDAQ N
HOMB HOME BANCSHARES INC COM 55,354 NASDAQ N
HOME HOME FED BANCORP INC MD COM 19,080 NASDAQ N
HOTR CHANTICLEER HLDGS INC COM PAR $.0001 N 15,684 NASDAQ N
HOVNP HOVNANIAN ENTERPRISES INC PFD DEP1/1000A 17,873 NASDAQ N
HOVU HOVNANIAN ENTERPRISES INC UNIT 1 021514 6,905 NYSE N
HPCCP HUNTINGTON PREFERRED CAP INC PFD EX PRP C 2,742 NASDAQ N
HPP-B HUDSON PAC PPTYS INC CUM RED PFD-B 62,960 NYSE N
HPTX HYPERION THERAPEUTICS INC COM 96,838 NASDAQ N
HRT ARRHYTHMIA RESH TECHNOLOGY INC COM PAR $0.01 3,993 NYSE MKT N
HSKA HESKA CORP COM RESTRC NEW 7,857 NASDAQ N
HT-A HERSHA HOSPITALITY TR PFD 8% SER A 1,878 NYSE N
HT-B HERSHA HOSPITALITY TR PFD SER B 1,882 NYSE N
HTCO HICKORY TECH CORP COM 16,769 NASDAQ N
HTF HORIZON TECHNOLOGY FIN CORP SR NT 3,121 NYSE N
HTGY HERCULES TECH GROWTH CAP INC SR NT 19 15,366 NYSE N
HTGZ HERCULES TECH GROWTH CAP INC SR NT 7,454 NYSE N
HTLF HEARTLAND FINL USA INC COM 29,997 NASDAQ N
--- page 31 ---
HUB.A HUBBELL INC CL A 1,224 NYSE N
HURC HURCO COMPANIES INC COM 19,787 NASDAQ N
HURN HURON CONSULTING GROUP INC COM 89,558 NASDAQ N
HVT.A HAVERTY FURNITURE INC CL A 171 NYSE N
HWBK HAWTHORN BANCSHARES INC COM 4,735 NASDAQ N
HWG HALLWOOD GROUP INC COM PAR $0.10 1,300 NYSE MKT N
HWKN HAWKINS INC COM 18,719 NASDAQ N
HY HYSTER YALE MATLS HANDLING INC CL A 37,590 NYSE N
HYGS HYDROGENICS CORP NEW COM NEW 6,912 NASDAQ N
HYK CORTS TR GOLDMAN SACHS CAP I CORTS A 6% 6,282 NYSE N
HYL CORTS TR II GOLDMAN SACHS CAP TR CTF A 6% 34 2,488 NYSE N
HYMB SPDR SERIES TRUST NUV HGHYLD MUN 65,897 NYSE Arca Y
HYXU iShares Global ex USD High Yield Corporate Bond Fund 11,614 BATS BZX Y
IBA INDUSTRIAS BACHOCO S A B DE CV SPON ADR B 12,802 NYSE N
IBCPO IBC CAP FIN II PFD TR SECS 972 NASDAQ N
ICAD ICAD INC COM NEW 66,113 NASDAQ N
ICCC IMMUCELL CORP COM PAR $0.10 1,951 NASDAQ N
ICH INVESTORS CAP HLDGS LTD COM 2,905 NYSE MKT N
ICI BARCLAYS BANK PLC CARRY ETN 38 6,071 NYSE Arca Y
ICN WISDOMTREE TRUST INDIAN RUP ETF 4,742 NYSE Arca Y
ICPT INTERCEPT PHARMACEUTICALS INC COM 25,568 NASDAQ N
ICUI ICU MED INC COM 77,704 NASDAQ N
IDHB POWERSHARES ETF TR II S&P INTDEV HIB 8,139 NYSE Arca Y
IDHQ POWERSHARES GLOBAL ETF TRUST DYN DEVINTLOPP 3,005 NYSE Arca Y
IDLV POWERSHARES ETF TR II INTL DEV LOWVL 12,146 NYSE Arca Y
IDSA INDUSTRIAL SVCS AMER INC FLA COM 16,249 NASDAQ N
IDSY I D SYSTEMS INC COM 19,563 NASDAQ N
IDXJ MARKET VECTORS ETF TR INDONESA S CAP 2,815 NYSE Arca Y
IEP ICAHN ENTERPRISES LP DEPOSITARY UNIT 38,362 NASDAQ N
IESC INTEGRATED ELECTRICAL SVC COM 2,805 NASDAQ N
IFAS ISHARES TR EPRA/NAR DEV ASI 18,410 NASDAQ Y
IFEU ISHARES TR EPRA/NAR DEV EUR 1,823 NASDAQ Y
IFNA ISHARES TR EPRA/NAR NA IN 2,311 NASDAQ Y
IFSM ISHARES TR DEV SM CP EX-N 3,084 NASDAQ Y
IGEM EGA EMERGING GLOBAL SHS TR INDLS GEMS 1,060 NYSE Arca Y
IGLD INTERNET GOLD-GOLDEN LINES LTD ORD 3,740 NASDAQ N
IGOV ISHARES TR S&P CITINT TBD 71,644 NASDAQ Y
IGS PROSHARES TR SHT INV GRD CP 590 NYSE Arca Y
IGU PROSHARES TR ULT INV GRD CP 3,691 NYSE Arca Y
IHC INDEPENDENCE HLDG CO NEW COM NEW 6,632 NYSE N
IHS IHS INC CL A 440,645 NYSE N
IHT INNSUITES HOSPITALITY TR SH BEN INT 2,973 NYSE MKT N
IHY MARKET VECTORS ETF TR INTL HI YLD BD 68,743 NYSE Arca Y
IIN INTRICON CORP COM 2,836 NASDAQ N
IIT PT INDOSAT TBK SPONSORED ADR 4,197 NYSE N
IKNX IKONICS CORP COM 1,745 NASDAQ N
ILB PIMCO ETF TR GB ADV INF BD 42,971 NYSE Arca Y
ILTB ISHARES TR CORE L/T USB ETF 36,320 NYSE Arca Y
IMCB INTERMOUNTAIN CMNTY BANCORP COM NEW 309 NASDAQ N
IMH IMPAC MTG HLDGS INC COM NEW 78,485 NYSE MKT N
INCO EGA EMERGING GLOBAL SHS TR INDIA CONSUMER 11,413 NYSE Arca Y
INDA ISHARES TR MSCI INDIA IDX 65,557 BATS BZX Y
INFL DEUTSCHE BK AG LONDON BRH US INFLATN ETN 374 NYSE Arca Y
INN-A SUMMIT HOTEL PPTYS PFD-A 9.25% 2,714 NYSE N
INN-B SUMMIT HOTEL PPTYS PFD B 7.875% 7,196 NYSE N
--- page 32 ---
INOC INNOTRAC CORP COM 7,446 NASDAQ N
INP BARCLAYS BK PLC IPMS INDIA ETN 64,976 NYSE Arca Y
INPH INTERPHASE CORP COM 5,156 NASDAQ N
INR MORGAN STANLEY RUPEE/USD ETN 906 NYSE Arca Y
INSD DIREXION SHS ETF TR LRG CP INSIDER 19 NYSE Arca Y
INTG INTERGROUP CORP COM 1,557 NASDAQ N
INTL INTL FCSTONE INC COM 46,036 NASDAQ N
INTT INTEST CORP COM 5,413 NASDAQ N
INXB INFINITY CROSS BORDER ACQUISIT SHS 100 NASDAQ N
INXBU INFINITY CROSS BORDER ACQUISIT UNIT EX 000016 47 NASDAQ N
IOIL INDEXIQ ETF TR GLB CRUDE OIL 2,163 NYSE Arca Y
IOT INCOME OPPORTUNITY RLTY INVS COM 1,145 NYSE MKT N
IPB INDEXPLUS TR SER 03-1 TR 1,046 NYSE MKT N
IPCC INFINITY PPTY & CAS CORP COM 34,988 NASDAQ N
IPCM IPC THE HOSPITALIST CO INC COM 67,664 NASDAQ N
IPD SPDR INDEX SHS FDS S&P INTL CONS 2,662 NYSE Arca Y
IPF SPDR INDEX SHS FDS INTL FINL ETF 6,624 NYSE Arca Y
IPFF ISHARES TR INT PFD STK FD 25,687 NYSE Arca Y
IPHS INNOPHOS HOLDINGS INC COM 79,867 NASDAQ N
IPK SPDR INDEX SHS FDS INTL TECH ETF 9,922 NYSE Arca Y
IPL-B INTERSTATE PWR & LT CO PFD B 8.375 15,100 NYSE N
IPLT CREDIT SUISSE NASSAU BRH 2X INVER PLATI 628 NYSE Arca Y
IPN SPDR INDEX SHS FDS INTL INDS ETF 8,633 NYSE Arca Y
IPS SPDR INDEX SHS FDS CONSM SPLS ETF 2,795 NYSE Arca Y
IPW SPDR INDEX SHS FDS INTL ENRGY ETF 3,965 NYSE Arca Y
IRC-A INLAND REAL ESTATE CORP PFD SER A 2,496 NYSE N
IRDMU IRIDIUM COMMUNICATIONS INC UNIT EX 021413 174 NASDAQ N
IRDMZ IRIDIUM COMMUNICATIONS INC WT EXP 021415 908 NASDAQ N
IRET- INVESTORS REAL ESTATE TR PFD SER A 8.25% 395 NYSE N
IRET-B INVESTORS REAL ESTATE TR PFD-B 7.95% 5,248 NYSE N
IRIX IRIDEX CORP COM 10,519 NASDAQ N
IROQ IF BANCORP INC COM 2,690 NASDAQ N
IRV SPDR INDEX SHS FDS INTL MTRLS SEC 2,641 NYSE Arca Y
ISH INTERNATIONAL SHIPHOLDING CORP COM NEW 14,678 NYSE N
ISHG ISHARES TR S&PCITI1-3YRTB 18,565 NASDAQ Y
ISIG INSIGNIA SYS INC COM 18,165 NASDAQ N
ISL ABERDEEN ISRAEL FUND INC COM 9,657 NYSE MKT N
ISM SLM CORP NT A CPI LINK 5,713 NASDAQ N
ISNS IMAGE SENSING SYS INC COM 3,171 NASDAQ N
ISRG INTUITIVE SURGICAL INC COM NEW 557,717 NASDAQ N
ISRL ISRAMCO INC COM NEW 567 NASDAQ N
ISSC INNOVATIVE SOLUTIONS & SUPPORT COM 21,456 NASDAQ N
ISTB ISHARES TR CORE STRM USBD 5,816 NYSE Arca Y
ITF ISHARES TR S&P/TOPIX 150 13,298 NYSE Arca Y
ITIC INVESTORS TITLE CO COM 1,660 NASDAQ N
ITIP ISHARES TR INTL INFL LKD 39,883 NYSE Arca Y
ITLT DEUTSCHE BK AG LONDON BRH PWSH 3X ITL TR 1,239 NYSE Arca Y
ITLY DEUTSCHE BK AG LONDON BRH PWSH ITAL TRES 1,352 NYSE Arca Y
ITRN ITURAN LOCATION AND CONTROL SHS 13,042 NASDAQ N
IVOP BARCLAYS BK PLC IPATH LN ENHAN 952 NYSE Arca Y
IX ORIX CORP SPONSORED ADR 19,400 NYSE N
IXN ISHARES TR S&P GBL INF 35,536 NYSE Arca Y
IXUS ISHARES TR CORE MSCITOTAL 28,051 NYSE Arca Y
JACQU COLLABRIUM JAPAN ACQUISITN CP UNIT EX 000017 12 NASDAQ N
JAXB JACKSONVILLE BANCORP INC FLA COM 59,280 NASDAQ N
--- page 33 ---
JBI CORPORATE BACKED TR CTFS NT 7.875%A1 32 2,331 NYSE N
JBJ CORPORATE BACKED TR CTFS 03-4 6.25% 97 5,068 NYSE N
JBK CORPORATE BACKED TR CTFS 04-6 A1 3.50 438 NYSE N
JBN CORPORATE BACKED CALL TR CTFS CORTS A-1 7% 20,670 NYSE N
JBO CORPORATE BACKED TR CTFS 04-7 A1 6.3%34 733 NYSE N
JBR CORPORATE BACKED CALL TR CTFS JCP 06-1CTF A1 6,563 NYSE N
JBSS SANFILIPPO JOHN B & SON INC COM 41,852 NASDAQ N
JCS COMMUNICATIONS SYS INC COM 7,767 NASDAQ N
JCTCF JEWETT CAMERON TRADING LTD COM NEW 5,364 NASDAQ N
JEM BARCLAYS BANK PLC IPATH GEMS INDEX 4,306 NYSE Arca Y
JFBI JEFFERSON BANCSHARES INC TENN COM 2,114 NASDAQ N
JFC J F CHINA REGION FD INC COM 11,402 NYSE N
JFT JPMORGAN CHASE & CO ETN 130/30 23 65 NYSE Arca Y
JGBL DEUTSCHE BK AG LONDON BRH PWRSH JAP GOVT 754 NYSE Arca Y
JGBT DEUTSCHE BK AG LONDON BRH PWSH 3X JAP GV 729 NYSE Arca Y
JHX JAMES HARDIE INDS PLC SPONSORED ADR 3,597 NYSE N
JJN BARCLAYS BK PLC ETN DJUBS NCKL37 8,918 NYSE Arca Y
JJP BARCLAYS BANK PLC ETN DJUBS PMET38 2,966 NYSE Arca Y
JJSF J & J SNACK FOODS CORP COM 45,053 NASDAQ N
JJT BARCLAYS BANK PLC ETN DJUBS TIN 38 1,810 NYSE Arca Y
JJU BARCLAYS BANK PLC ETN DJUBSALUMI38 3,491 NYSE Arca Y
JLS NUVEEN MTG OPPORTUNITY TERM FD COM 49,390 NYSE N
JMT NUVEEN MTG OPPTY TERM FD 2 COM 18,592 NYSE N
JOBS 51JOB INC SP ADR REP COM 62,434 NASDAQ N
JOUT JOHNSON OUTDOORS INC CL A 8,592 NASDAQ N
JPM-O BANK ONE CAPITAL VI PFD SECS 7.2% 3,262 NYSE N
JPP SPDR INDEX SHS FDS RUSS NOMURA PR 11,629 NYSE Arca Y
JPX PROSHARES TR ULTRSH MSCI PAC 614 NYSE Arca Y
JSC SPDR INDEX SHS FDS RUSS NOM SC JP 7,095 NYSE Arca Y
JSM SLM CORP SR NT 6% 121543 23,268 NASDAQ N
JW.B WILEY JOHN & SONS INC CL B 526 NYSE N
JXSB JACKSONVILLE BANCORP INC MD COM 2,055 NASDAQ N
JYN BARCLAYS BANK PLC IPTH JPY/USD ETN 11,919 NYSE Arca Y
JZC CORPORATE BACKED TR CTFS 04-4 CL A-1 6% 4,644 NYSE N
JZJ CORPORATE BACKED TR CTFS 03-18 A1 7.125 616 NYSE N
JZK CORPORATE BACKED TR CTFS 03-17SPRINT A1 1,337 NYSE N
JZL CORPORATE BACKED TR CTFS 03-16 A1 6.25 588 NYSE N
JZT CORPORATE BACKED TR CTFS 03-11 5.875%31 2,221 NYSE N
JZV CORPORATE BACKED TR CTFS 03-10 A-1 7%23 5,032 NYSE N
KAMN KAMAN CORP COM 68,888 NYSE N
KAP KCAP FINL INC SR NT 19 8,933 NYSE N
KBWI POWERSHARES ETF TR II KBW INS PORT 208 NYSE Arca Y
KBWP POWERSHARES ETF TRUST II PRP CAS INS PT 593 NYSE Arca Y
KBWX POWERSHARES ETF TRUST II KBW GLB FIN SC 616 NYSE Arca Y
KCC CORTS TR II PROVIDENT FING CORTS 8.20% 5,208 NYSE N
KCLI KANSAS CITY LIFE INS CO COM 7,120 NASDAQ N
KELYB KELLY SVCS INC CL B 167 NASDAQ N
KEQU KEWAUNEE SCIENTIFIC CORP COM 3,596 NASDAQ N
KEY-G KEYCORP NEW PFD 7.75% SR A 4,068 NYSE N
KF KOREA FD COM NEW 21,740 NYSE N
KFFB KENTUCKY FIRST FED BANCORP COM 4,242 NASDAQ N
KFI KKR FINL HLDGS LLC SR NT 26,135 NYSE N
KIM-H KIMCO RLTY CORP DEP 1/100PFD-H 8,985 NYSE N
KINS KINGSTONE COS INC COM 2,142 NASDAQ N
KIPO KEATING CAPITAL INC COM 11,230 NASDAQ N
--- page 34 ---
KME SPDR SERIES TRUST S&P MTG FIN 1,184 NYSE Arca Y
KMG KMG CHEMICALS INC COM 19,671 NYSE N
KNOW DIREXION SHS ETF TR ALL CP INSIDER 1,172 NYSE Arca Y
KOF COCA COLA FEMSA S A B DE C V SPON ADR REP L 74,650 NYSE N
KONA KONA GRILL INC COM 14,516 NASDAQ N
KONE KINGTONE WIRELESSINFO SOL HLDG SPONSORED ADR NE 2,285 NASDAQ N
KOSS KOSS CORP COM 4,130 NASDAQ N
KRC-G KILROY RLTY CORP PFD SER G 6,022 NYSE N
KRC-H KILROY RLTY CORP PFD-H 43,347 NYSE N
KRG-A KITE RLTY GROUP TR PERP PFD SER A 1,843 NYSE N
KRJ CORTS TR 111 PROVIDENT FING CORTS 8.10% 2,232 NYSE N
KRS PROSHARES TR SHT KBW REGBNK 516 NYSE Arca Y
KRU PROSHARES TR ULT KBW REGBNK 4,789 NYSE Arca Y
KSA CORTS TR PROVIDENT FING TR I CORTS 8.50% 1,318 NYSE N
KSU- KANSAS CITY SOUTHERN PFD 4% 535 NYSE N
KTEC KEY TECHNOLOGY INC COM 4,475 NASDAQ N
KTH CORTS TR PECO ENERGY CAP TRIII CORTS 8.00% 1,226 NYSE N
KTN CREDIT-ENHANCED CORTS TR AON CORTS 8.205% 2,754 NYSE N
KTP CORTS TR J C PENNEY CORTS 7.625% 24,233 NYSE N
KUB KUBOTA CORP ADR 34,685 NYSE N
KVHI KVH INDS INC COM 26,925 NASDAQ N
KWN KENNEDY-WILSON INC SR NT 42 16,133 NYSE N
KWR QUAKER CHEM CORP COM 52,958 NYSE N
KWT MARKET VECTORS ETF TR SOLAR ENRG NEW 12,081 NYSE Arca Y
KXI ISHARES TR S&P GL C STAPL 32,856 NYSE Arca Y
KYAK KAYAK SOFTWARE CORP CL A 60,546 NASDAQ N
KYN-E KAYNE ANDERSON MLP INVSMNT CO PFD CL E 4.25% 4,324 NYSE N
KYO KYOCERA CORP ADR 6,793 NYSE N
KYTH KYTHERA BIOPHARMACEUTICALS INC COM 39,010 NASDAQ N
LABC LOUISANA BANCORP INC NEW COM 7,651 NASDAQ N
LABL MULTI COLOR CORP COM 25,799 NASDAQ N
LAKE LAKELAND INDS INC COM 8,450 NASDAQ N
LANC LANCASTER COLONY CORP COM 72,742 NASDAQ N
LAQ ABERDEEN LATIN AMER EQTY FD COM 15,417 NYSE MKT N
LARK LANDMARK BANCORP INC COM 1,711 NASDAQ N
LATM MARKET VECTORS ETF TR LAT AM SML CAP 3,406 NYSE Arca Y
LAWS LAWSON PRODS INC COM 24,221 NASDAQ N
LBIX LEADING BRANDS INC COM NEW 2,047 NASDAQ N
LBJ DIREXION SHS ETF TR LATN AM BULL3X 9,876 NYSE Arca Y
LBTYB LIBERTY GLOBAL INC COM SER B 359 NASDAQ N
LCNB LCNB CORP COM 2,119 NASDAQ N
LCUT LIFETIME BRANDS INC COM 13,025 NASDAQ N
LD BARCLAYS BANK PLC ETN DJUBSLEAD 38 2,863 NYSE Arca Y
LDF LATIN AMERN DISCOVERY FD INC COM 10,771 NYSE N
LDR LANDAUER INC COM 24,284 NYSE N
LEDD BARCLAYS BK PLC IPTH LEAD ETN 724 NYSE Arca Y
LEMB ISHARES INC EMRG MRK LC BD 56,441 NYSE Arca Y
LGEM EGA EMERGING GLOBAL SHS TR BSC MATLS GEM 4,852 NYSE Arca Y
LGL LGL GROUP INC COM 4,418 NYSE MKT N
LGP LEHIGH GAS PARTNERS LP UT LTD PTN INT 75,100 NYSE N
LHO-G LASALLE HOTEL PPTYS PFD SBI G 7.25 1,496 NYSE N
LHO-H LASALLE HOTEL PPTYS PFD SHS BEN IN 2,216 NYSE N
LINTB LIBERTY INTERACTIVE CORP INT COM SER B 238 NASDAQ N
LION FIDELITY SOUTHERN CORP NEW COM 41,094 NASDAQ N
LIVE LIVEDEAL INC COM NEW 17,146 NASDAQ N
--- page 35 ---
LKFN LAKELAND FINL CORP COM 49,768 NASDAQ N
LMCA LIBERTY MEDIA CORP DELAWARE CL A 1,321,774 NASDAQ N
LMCAD LIBERTY MEDIA CORP DELAWARE CL A 312,974 NASDAQ N
LMCAV LIBERTY MEDIA CORP DELAWARE CL A 937,372 NASDAQ N
LMCB LIBERTY MEDIA CORP DELAWARE CL B 137 NASDAQ N
LMIA LMI AEROSPACE INC COM 34,945 NASDAQ N
LMNR LIMONEIRA CO COM 15,120 NASDAQ N
LNBB LNB BANCORP INC COM 6,893 NASDAQ N
LND BRASILAGRO BRAZILIAN AGRIC REA SPONSORED ADR 1,655 NYSE N
LONG ELONG INC SPONSORED ADR 6,705 NASDAQ N
LPLT CREDIT SUISSE NASSAU BRH 2X LONG PLATIN 1,410 NYSE Arca Y
LPSB LAPORTE BANCORP INC MD COM 17,134 NASDAQ N
LRE LRR ENERGY LP COM 90,253 NYSE N
LSBI LSB FINL CORP COM 694 NASDAQ N
LSBK LAKE SHORE BANCORP INC COM 1,509 NASDAQ N
LSE-B CAPLEASE INC PFD B 8.375% 2,249 NYSE N
LSKY UBS AG LONDON BRH 2XLV ISE CLOUD 44 NYSE Arca Y
LSTK BARCLAYS BK PLC IPTH LIVESTK 298 NYSE Arca Y
LTL PROSHARES TR PSHS UL TELE ETF 366 NYSE Arca Y
LTRE LEARNING TREE INTL INC COM 3,414 NASDAQ N
LVB STEINWAY MUSICAL INSTRS INC COM 19,967 NYSE N
LWAY LIFEWAY FOODS INC COM 16,585 NASDAQ N
LXFR LUXFER HLDGS PLC SPONSORED ADR 23,365 NYSE N
LXP-C LEXINGTON REALTY TRUST PFD CONV SER C 3,197 NYSE N
LXP-D LEXINGTON RLTY TR PFD D 7.55% 1,944 NYSE N
MA MASTERCARD INC CL A 856,106 NYSE N
MAB EATON VANCE MASS MUN BD FD COM 4,289 NYSE MKT N
MAG MAGNETEK INC COM NEW 4,057 NASDAQ N
MAGS MAGAL SECURITY SYS LTD ORD 7,376 NASDAQ N
MARK REMARK MEDIA INC COM 13,073 NASDAQ N
MARPS MARINE PETE TR UNIT BEN INT 3,876 NASDAQ N
MASC MATERIAL SCIENCES CORP COM 29,623 NASDAQ N
MATH ADVISORSHARES TR MEIDELL TCT AD 1,257 NYSE Arca Y
MAYS MAYS J W INC COM 38 NASDAQ N
MBC CITIGROUP FDG INC 3% PPN RUS2000 3,907 NYSE Arca N
MBF CITIGROUP FDG INC CPN3% S&PMID14 231 NYSE Arca N
MBL BANK AMER CORP MITTS IDX DJ13 1,880 NYSE Arca N
MBRG MIDDLEBURG FINANCIAL CORP COM 10,604 NASDAQ N
MBVT MERCHANTS BANCSHARES COM 11,479 NASDAQ N
MBWM MERCANTILE BANK CORP COM 13,699 NASDAQ N
MCBI METROCORP BANCSHARES INC COM 26,402 NASDAQ N
MCBK MADISON CNTY FINL INC COM 3,068 NASDAQ N
MCEP MID CON ENERGY PARTNERS LP COM UNIT REPST 82,255 NASDAQ N
MCF CONTANGO OIL & GAS COMPANY COM NEW 65,167 NYSE MKT N
MCI BABSON CAP CORPORATE INVS COM 24,797 NYSE N
MCP-A MOLYCORP INC DEL PFD CONV SER A 28,975 NYSE N
MCQ MEDLEY CAP CORP SR NT 2,725 NYSE N
MCRI MONARCH CASINO & RESORT INC COM 23,828 NASDAQ N
MDD SPDR INDEX SHS FDS S&PINTL MC ETF 3,519 NYSE Arca Y
MDGN MEDGENICS INC COM NEW 54,579 NYSE MKT N
MDGN+ MEDGENICS INC WT EXP 033116 1,791 NYSE MKT N
MDH MHI HOSPITALITY CORP COM 7,878 NASDAQ N
MEAD MEADE INSTRUMENTS CORP COM NEW 9,645 NASDAQ N
MEAS MEASUREMENT SPECIALTIES INC COM 33,502 NASDAQ N
MEIL METHES ENERGIES INTL LTD COM 810 NASDAQ N
--- page 36 ---
MEIP MEI PHARMA INC COM NEW 24,947 NASDAQ N
MES MARKET VECTORS ETF TR GULF STS ETF 12,649 NYSE Arca Y
METR METRO BANCORP INC PA COM 57,167 NASDAQ N
MFA-A MFA FINANCIAL INC PFD A 8.50% 3,890 NYSE N
MFLR MAYFLOWER BANCORP INC COM 1,665 NASDAQ N
MFNC MACKINAC FINL CORP COM 2,062 NASDAQ N
MFRI MFRI INC COM 7,223 NASDAQ N
MFSF MUTUALFIRST FINL INC COM 9,816 NASDAQ N
MGCD MGC DIAGNOSTICS CORP COM 2,509 NASDAQ N
MGEE MGE ENERGY INC COM 33,186 NASDAQ N
MGJ BANK AMER CORP MITTS SP500 14 4,722 NYSE Arca N
MGPI MGP INGREDIENTS INC NEW COM 20,584 NASDAQ N
MGT MGT CAPITAL INVTS INC COM NEW 20,307 NYSE MKT N
MGYR MAGYAR BANCORP INC COM 1,958 NASDAQ N
MHC CITIGROUP FDG INC 2%CPN S&P500 14 1,206 NYSE Arca N
MHE MASSACHUSETTS HEALTH & ED TXEX SH BEN INT 1,654 NYSE MKT N
MHH MASTECH HOLDINGS INC COM 11,575 NYSE MKT N
MHM BANK AMER CORP MITTS S&P500 15 2,177 NYSE Arca N
MHNA MAIDEN HLDGS NORTH AMER LTD PFD 7,422 NYSE N
MHNB MAIDEN HLDGS NORTH AMER LTD GTD NT 42 12,304 NYSE N
MHO-A M/I HOMES INC PFD 1/1000 A 8,276 NYSE N
MHR-C MAGNUM HUNTER RES CORP DEL PFD PRP C 10.25% 7,221 NYSE MKT N
MHR-D MAGNUM HUNTER RES CORP DEL CUM PFD-D 8% 44,217 NYSE MKT N
MHR-E MAGNUM HUNTER RES CORP DEL DEP 1/1000 PFD 14,886 NYSE MKT N
MHW BANK AMER CORP MITTS DOW 15 1,802 NYSE Arca N
MIDD MIDDLEBY CORP COM 83,363 NASDAQ N
MILL-C MILLER ENERGY RES INC 10.75% PFD SER C 5,567 NYSE N
MITT-A AG MTG INVT TR INC 8.25% PFD SER A 6,402 NYSE N
MIW EATON VANCE MICH MUN BD FD COM 4,646 NYSE MKT N
MJC CITIGROUP FDG INC 3%MIN CPN RUSS14 982 NYSE Arca N
MKC.V MCCORMICK & CO INC COM VTG 1,016 NYSE N
MKF BANK AMER CORP IDX S&P500 13 1,645 NYSE Arca N
MKL MARKEL CORP COM 52,595 NYSE N
MKN CITIGROUP FDG INC DJ AIG COMMDTY 2,150 NYSE Arca N
MKS SATURNS AMERN GEN INSTL CAP A TR UN A 6% 45 5,415 NYSE N
MKTAY MAKITA CORP ADR NEW 8,126 NASDAQ N
MKZ CITIGROUP FDG INC DJCOMMD 3%CP14 1,001 NYSE Arca N
MLA BANK AMER CORP MITTS S&P 13 5,272 NYSE Arca N
MLAB MESA LABS INC COM 11,845 NASDAQ N
MLG METLIFE INC SR NT 5.875% 9,124 NYSE N
MLPS UBS AG JERSEY BRH AG MNTH SHR EX 54,638 NYSE Arca Y
MMD MAINSTAY DEFINEDTERM MN OPP FD COM 87,447 NYSE N
MMF BANK AMER CORP MITTS DJIA 14 4,363 NYSE Arca N
MMTM SPDR SER TR S&P1500MOMTILT 41 NYSE Arca Y
MMUS MAKEMUSIC INC COM NEW 1,667 NASDAQ N
MMYT MAKEMYTRIP LIMITED MAURITIUS SHS 32,195 NASDAQ N
MNA INDEXIQ ETF TR IQ MRGR ARB ETF 10,170 NYSE Arca Y
MNGA MAGNEGAS CORP COM NEW 13,073 NASDAQ N
MNGL BLUE WOLF MONGOLIA HOLDINGS CP SHS 118 NASDAQ N
MNR-A MONMOUTH REAL ESTATE INVT CORP PFD SER A 1,415 NYSE N
MNR-B MONMOUTH REAL ESTATE INVT CORP PFD-B 2,250 NYSE N
MNRKP MONARCH FINANCIAL HOLDINGS INC PERP CONV SER B 432 NASDAQ N
MOCO MOCON INC COM 4,418 NASDAQ N
MOFG MIDWESTONE FINL GROUP INC NEW COM 8,945 NASDAQ N
MOG.B MOOG INC CL B 550 NYSE N
--- page 37 ---
MOL CITIGROUP FDG INC NT 2% GOLD2014 1,182 NYSE Arca N
MOM FQF TR QUANTSHARE MOM 4,188 NYSE Arca Y
MONY ISHARES TR FINANCIALS SEC 3,451 NYSE Arca Y
MORN MORNINGSTAR INC COM 80,761 NASDAQ N
MOU CITIGROUP FDG INC NT RUSS2000 14 3,737 NYSE Arca N
MP-D MISSISSIPPI POWER CO PFD 1/4 5.25% 944 NYSE N
MPAC MOD PAC CORP COM 1,860 NASDAQ N
MPB MID PENN BANCORP INC COM 1,006 NASDAQ N
MPE BANK AMER CORP MITTS S&P500 14 1,974 NYSE Arca N
MPG-A MPG OFFICE TR INC PFD A 7.625% 28,258 NYSE N
MQC BANK AMER CORP MKT S&P500 13 3,541 NYSE Arca N
MRCC MONROE CAP CORP COM 11,074 NASDAQ N
MRH-A MONTPELIER RE HOLDINGS LTD PFD NON CUM 8,053 NYSE N
MRLN MARLIN BUSINESS SVCS CORP COM 23,302 NASDAQ N
MSBF MSB FINANCIAL CORPORATION COM 1,235 NASDAQ N
MSC BANK AMER CORP MITTS DOW 15 4,473 NYSE Arca N
MSEX MIDDLESEX WATER CO COM 31,111 NASDAQ N
MSFG MAINSOURCE FINANCIAL GP INC COM 32,120 NASDAQ N
MSL MIDSOUTH BANCORP INC COM 9,234 NYSE MKT N
MSON MISONIX INC COM 42,517 NASDAQ N
MSTR MICROSTRATEGY INC CL A NEW 95,766 NASDAQ N
MSXX FACTORSHARES TR PF ISE MINING 4,943 NYSE Arca Y
MTB+ M & T BK CORP WT EXP 122318 2,799 NYSE N
MTB- M & T BK CORP PERP PFD-A 56 NYSE N
MTB-C M & T BK CORP PERP PFD-C 132 NYSE N
MTD METTLER TOLEDO INTERNATIONAL COM 172,842 NYSE N
MTEX MANNATECH INC COM NEW 1,980 NASDAQ N
MTR MESA RTY TR UNIT BEN INT 5,907 NYSE N
MTSC MTS SYS CORP COM 65,634 NASDAQ N
MTSI MA COM TECHNOLOGY SOLUTIONS COM 56,989 NASDAQ N
MTY CITIGROUP FDG INC 3% PRIN GLD 14 2,416 NYSE Arca N
MUAB ISHARES TR 2013 S&P AMTFR 6,246 NYSE Arca Y
MUAC ISHARES TR 2014 S&P AMTFR 5,298 NYSE Arca Y
MUAD ISHARES TR 2015 S&P AMTFR 6,047 NYSE Arca Y
MUAE ISHARES TR 2016 S&P AMTFR 7,055 NYSE Arca Y
MUAF ISHARES TR 2017 S&P AMTFR 6,393 NYSE Arca Y
MUK CITIGROUP FDG INC 3%NT S&P500 14 521 NYSE Arca N
MWIV MWI VETERINARY SUPPLY INC COM 44,379 NASDAQ N
MXA MINNESOTA MUN INCOME PTFL INC COM 5,246 NYSE MKT N
MXC MEXCO ENERGY CORP COM 4,303 NYSE MKT N
MXE MEXICO EQUITY & INCOME FD COM 27,008 NYSE N
MXE- MEXICO EQUITY & INCOME FD PFD 29 NYSE N
MXF MEXICO FD INC COM 63,812 NYSE N
MXN FIRST AMERN MINN MUN INC FD II COM 3,423 NYSE MKT N
MYP CITIGROUP FDG INC PRIN3% S&P500 14 886 NYSE Arca N
MZA BLACKROCK MUNIYIELD ARIZ FD IN COM 6,864 NYSE MKT N
NAII NATURAL ALTERNATIVES INTL INC COM NEW 12,348 NASDAQ N
NASB NASB FINL INC COM 4,611 NASDAQ N
NASI PAX WORLD FDS TR II MSCI NOAM ESG 949 NYSE Arca Y
NATH NATHANS FAMOUS INC NEW COM 12,697 NASDAQ N
NATL NATIONAL INTERSTATE CORP COM 24,398 NASDAQ N
NATR NATURES SUNSHINE PRODUCTS INC COM 33,792 NASDAQ N
NAUH NATIONAL AMERN UNIV HLDGS INC COM 19,702 NASDAQ N
NAV-D NAVISTAR INTL CORP PFD SR D CONV 48 NYSE N
NAVG NAVIGATORS GROUP INC COM 27,741 NASDAQ N
--- page 38 ---
NBBC NEWBRIDGE BANCORP COM 36,759 NASDAQ N
NBN NORTHEAST BANCORP COM NEW 7,606 NASDAQ N
NBTF NB & T FINL GROUP INC COM 1,415 NASDAQ N
NC NACCO INDS INC CL A 39,862 NYSE N
NCBC NEW CENTRY BANCORP INC DUNN NC COM 1,534 NASDAQ N
NCT-B NEWCASTLE INVT CORP PFD B 9.75% 6,058 NYSE N
NCT-C NEWCASTLE INVT CORP PFD SER C 945 NYSE N
NCT-D NEWCASTLE INVT CORP PFD D 8.375% 2,232 NYSE N
NECB NORTHEAST CMNTY BANCORP INC COM 10,355 NASDAQ N
NEN NEW ENGLAND RLTY ASSOC LTD PAR DEPOSITRY RCPT 1,457 NYSE MKT N
NEOG NEOGEN CORP COM 96,671 NASDAQ N
NETC NET SERVICOS DE COMUNICACAO SA SPONSD ADR NEW 5,080 NASDAQ N
NETE NET ELEMENT INTL INC COM 6,464 NASDAQ N
NEU NEWMARKET CORP COM 56,447 NYSE N
NEWS NEWSTAR FINANCIAL INC COM 30,880 NASDAQ N
NFLX NETFLIX INC COM 6,216,835 NASDAQ N
NFSB NEWPORT BANCORP INC COM 966 NASDAQ N
NGL NGL ENERGY PARTNERS LP COM UNIT REPST 80,072 NYSE N
NGS NATURAL GAS SERVICES GROUP COM 23,747 NYSE N
NGT EASTERN AMERN NAT GAS TR SPERS RCT UNIT 9,141 NYSE N
NHC NATIONAL HEALTHCARE CORP COM 10,405 NYSE MKT N
NHC-A NATIONAL HEALTHCARE CORP PFD CONV SER A 2,948 NYSE MKT N
NHTB NEW HAMPSHIRE THRIFT BANCSHS COM 3,601 NASDAQ N
NICK NICHOLAS FINANCIAL INC COM NEW 23,738 NASDAQ N
NINE NINETOWNS INTERNET TECH GRP ADR 2,414 NASDAQ N
NINI BARCLAYS BK PLC IPT NICKEL ETN 6 NYSE Arca Y
NKSH NATIONAL BANKSHARES INC VA COM 6,411 NASDAQ N
NMB NUVEEN MASS DIVID ADVANTAG MUN COM SH BEN INT 3,816 NYSE MKT N
NMK-B NIAGARA MOHAWK PWR CORP PFD 3.60% 356 NYSE N
NMK-C NIAGARA MOHAWK PWR CORP PFD 3.90% 152 NYSE N
NOM NUVEEN MO PREM INCOME MUN FD SH BEN INT 3,626 NYSE MKT N
NOVB NORTH VALLEY BANCORP COM NEW 10,485 NASDAQ N
NP NEENAH PAPER INC COM 76,781 NYSE N
NPBCO NPB CAP TR II PFD GTD TR SEC 1,106 NASDAQ N
NPK NATIONAL PRESTO INDS INC COM 24,138 NYSE N
NRC NATIONAL RURAL UTILS COOP FIN SU NT 44DTD6.1 2,925 NYSE N
NRCI NATIONAL RESEARCH CORP COM 16,109 NASDAQ N
NRF-A NORTHSTAR RLTY FIN CORP PFD A 8.75% 6,448 NYSE N
NRGM INERGY MIDSTREAM LP U LTD PARTNERS 71,934 NYSE N
NRIM NORTHRIM BANCORP INC COM 10,410 NASDAQ N
NRT NORTH EUROPEAN OIL RTY TR SH BEN INT 15,760 NYSE N
NRU NATIONAL RURAL UTILS COOP FIN NT 5.95% 2045 7,973 NYSE N
NSEC NATIONAL SEC GROUP INC COM 590 NASDAQ N
NSYS NORTECH SYS INC COM 397 NASDAQ N
NTIC NORTHERN TECH INTL CORP COM 5,398 NASDAQ N
NTK NORTEK INC COM NEW 19,434 NASDAQ N
NTL NORTEL INVERSORA S A SPON ADR PFD B 3,781 NYSE N
NTSC NATIONAL TECHNICAL SYS INC COM 8,952 NASDAQ N
NUCL ISHARES TR S&P NUCIDX ETF 4,770 NASDAQ Y
NUJ NUVEEN NEW JERSEY DIVID COM 7,483 NYSE MKT N
NVEC NVE CORP COM NEW 14,833 NASDAQ N
NVGN NOVOGEN LIMITED SPON ADR 1:25 SH 5,797 NASDAQ N
NVJ NUVEEN OHIO DIVID ADVANTAGE COM 2,455 NYSE MKT N
NVO NOVO-NORDISK A S ADR 268,249 NYSE N
NVR NVR INC COM 35,143 NYSE N
--- page 39 ---
NVSL NAUGATUCK VY FINL CORP MD COM 4,617 NASDAQ N
NWBOW NORTHWEST BIOTHERAPEUTICS INC WT EXP 000017 6,184 NASDAQ N
NWFL NORWOOD FINANCIAL CORP COM 1,785 NASDAQ N
NWLI NATIONAL WESTN LIFE INS CO CL A 2,719 NASDAQ N
NWPX NORTHWEST PIPE CO COM 22,099 NASDAQ N
NYCB-U NEW YORK CMNTY CAP TR V BUNUSES UNIT 3,187 NYSE N
NYF ISHARES TR S&P AMTFREE MUNI 14,418 NYSE Arca Y
NYH EATON VANCE N Y MUN BD FD II COM 4,658 NYSE MKT N
NYMX NYMOX PHARMACEUTICAL CORP COM 28,153 NASDAQ N
NYV NUVEEN NEW YORK MUN VALUE FD 2 COM 6,620 NYSE MKT N
NZW NUVEEN MI DIV ADV MUNI FD COM SH BEN INT 877 NYSE MKT N
OAK OAKTREE CAP GROUP LLC UNIT CL A 98,737 NYSE N
OBAF OBA FINL SVCS INC COM 2,688 NASDAQ N
OBAS OPTIBASE LTD SHS NEW NIS0.13 266 NASDAQ N
OBCI OCEAN BIO CHEM INC COM 9,242 NASDAQ N
OBT ORBITAL CORP SPONSORED ADR NE 1,231 NYSE MKT N
OCC OPTICAL CABLE CORP COM NEW 7,273 NASDAQ N
OCR-A OMNICARE CAP TR I PIERS 576 NYSE N
OCR-B OMNICARE CAP TR II PFD B TR 4.00% 86,342 NYSE N
ODC OIL DRI CORP AMER COM 9,063 NYSE N
OFC-H CORPORATE OFFICE PPTYS TR PFD H 7.50% 1,708 NYSE N
OFC-J CORPORATE OFFICE PPTYS TR PFD J 7.625% 7,728 NYSE N
OFC-L CORPORATE OFFICE PPTYS TR PFD SER L 31,440 NYSE N
OFED OCONEE FED FINL CORP COM 321 NASDAQ N
OFG-A ORIENTAL FINL GROUP INC PFD A 7.125% 518 NYSE N
OFG-B ORIENTAL FINL GROUP INC PFD SER B 7.0% 983 NYSE N
OFG-D ORIENTAL FINL GROUP INC PERP PFD-D 549 NYSE N
OFLX OMEGA FLEX INC COM 4,477 NASDAQ N
OFS OFS CAP CORP COM 59,620 NASDAQ N
OGEM EGA EMERGING GLOBAL SHS TR EGSHARE ENGY GEM 7,676 NYSE Arca Y
OGXI ONCOGENEX PHARMACEUTICALS INC COM 31,541 NASDAQ N
OILT OILTANKING PARTNERS L P UNIT LTD 21,423 NYSE N
OILZ UBS AG LONDON BRH DLY LNGSHT OIL 9,344 NYSE Arca Y
OKSBP SOUTHWEST CAP TR II GTD TR PFD SECS 1,546 NASDAQ N
OLBK OLD LINE BANCSHARES INC COM 7,506 NASDAQ N
OLP ONE LIBERTY PPTYS INC COM 38,516 NYSE N
OMAB GRUPO AEROPORTUARIO CTR NORTE SPON ADR 28,601 NASDAQ N
ONEF RUSSELL EXCHANGE TRADED FDS TR EQUITY ETF 1,044 NYSE Arca Y
ONEQ FIDELITY COMWLTH TR NDQ CP IDX TRK 12,297 NASDAQ Y
ONFC ONEIDA FINL CORP MD COM 4,451 NASDAQ N
ONG BARCLAYS BK PLC IPTH ENRGY ETN 206 NYSE Arca Y
ONN UBS AG LONDON BRH ETRACS FIS GART 4,521 NYSE Arca Y
ONVI ONVIA INC COM NEW 2,279 NASDAQ N
OPAY OFFICIAL PMTS HLDGS INC COM 21,696 NASDAQ N
OPOF OLD POINT FINL CORP COM 4,912 NASDAQ N
OPY OPPENHEIMER HLDGS INC CL A NON VTG 29,033 NYSE N
ORRF ORRSTOWN FINL SVCS INC COM 11,498 NASDAQ N
OSBCP OLD SECOND CAP TR I PFD TR SEC 10,250 NASDAQ N
OSH ORCHARD SUPPLY HARDWARE STORES CL A 12,130 NASDAQ N
OSHC OCEAN SHORE HLDG CO NEW COM 8,230 NASDAQ N
OSM SLM CORP NT LKD FLT RT 24,423 NASDAQ N
OVBC OHIO VY BANC CORP COM 3,861 NASDAQ N
OVLY OAK VALLEY BANCORP OAKDALE CAL COM 1,623 NASDAQ N
OXGN OXIGENE INC COM PAR$.001 17,454 NASDAQ N
OXLC OXFORD LANE CAP CORP COM 32,977 NASDAQ N
--- page 40 ---
OXLCP OXFORD LANE CAP CORP PFD 2017 4,444 NASDAQ N
PAC GPO AEROPORTUARIO DEL PAC SAB SPON ADR B 58,172 NYSE N
PACQ PRIME ACQUISITION CORP SHS 1,726 NASDAQ N
PAF POWERSHARES GLOBAL ETF TRUST ASIA PAC EX-JP 6,708 NYSE Arca Y
PAGG POWERSHARES ETF TRUST II GLOBL AGRI ETF 18,443 NASDAQ Y
PAMT PARAMETRIC SOUND CORP COM NEW 78,053 NASDAQ N
PATK PATRICK INDS INC COM 87,005 NASDAQ N
PATR PATRIOT TRANSN HLDG INC COM 13,111 NASDAQ N
PBHC PATHFINDER BANCORP INC COM 12 NASDAQ N
PBIB PORTER BANCORP INC COM 15,869 NASDAQ N
PBIP PRUDENTIAL BANCORP INC PA COM 13,598 NASDAQ N
PBM PACIFIC BOOKER MINERALS INC COM 3,563 NYSE MKT N
PBMD PRIMA BIOMED LTD SPON ADR LVL II 702 NASDAQ N
PBSK POAGE BANKSHARES INC COM 1,796 NASDAQ N
PCC PMC COML TR SH BEN INT 11,368 NYSE MKT N
PCG-A PACIFIC GAS & ELEC CO PFD 1ST 6% 2,549 NYSE MKT N
PCG-B PACIFIC GAS & ELEC CO PFD 1ST 5.50% 583 NYSE MKT N
PCG-C PACIFIC GAS & ELEC CO PFD 1ST 5% 1,290 NYSE MKT N
PCG-D PACIFIC GAS & ELEC CO PFD 1ST 5% 4,105 NYSE MKT N
PCG-E PACIFIC GAS & ELEC CO PFD 1 SER A 5% 1,241 NYSE MKT N
PCG-G PACIFIC GAS & ELEC CO PFD 1ST 4.80% 675 NYSE MKT N
PCG-H PACIFIC GAS & ELEC CO PFD 1ST 4.50% 2,366 NYSE MKT N
PCG-I PACIFIC GAS & ELEC CO PFD 1ST 4.36% 2,011 NYSE MKT N
PCLN PRICELINE COM INC COM NEW 568,927 NASDAQ N
PCMI PCM INC COM 17,635 NASDAQ N
PCOM POINTS INTL LTD COM NEW 50,855 NASDAQ N
PCP PRECISION CASTPARTS CORP COM 897,359 NYSE N
PCYO PURECYCLE CORP COM NEW 35,221 NASDAQ N
PDII PDI INC COM 9,927 NASDAQ N
PDN POWERSHARES GLOBAL ETF TRUST EX US SML PORT 47,015 NYSE Arca Y
PDO PYRAMID OIL CO COM 5,875 NYSE MKT N
PE-A PECO ENERGY CO PFD $3.80 392 NYSE N
PE-B PECO ENERGY CO PFD $4.30 199 NYSE N
PE-C PECO ENERGY CO PFD $4.40 251 NYSE N
PE-D PECO ENERGY CO PFD $4.68 75 NYSE N
PEB-A PEBBLEBROOK HOTEL TR PFD-A 7.875% 1,616 NYSE N
PEB-B PEBBLEBROOK HOTEL TR PFD SER B 16,404 NYSE N
PEBK PEOPLES BANCORP N C INC COM 4,820 NASDAQ N
PEBO PEOPLES BANCORP INC COM 13,755 NASDAQ N
PEI-A PENNSYLVANIA RL ESTATE INVT TR 8.25% PFD CL A 5,386 NYSE N
PEK MARKET VECTORS ETF TR CHINA A SHS ETF 47,835 NYSE Arca Y
PENX PENFORD CORP COM 40,586 NASDAQ N
PEOP PEOPLES FED BANCSHARES INC COM 19,376 NASDAQ N
PERF PERFUMANIA HLDGS INC COM NEW 15,343 NASDAQ N
PFBC PREFERRED BK LOS ANGELES CA COM NEW 21,390 NASDAQ N
PFBI PREMIER FINL BANCORP INC COM 9,502 NASDAQ N
PFBX PEOPLES FINL CORP MISS COM 2,772 NASDAQ N
PFG-B PRINCIPAL FINL GROUP INC PFD B 6.518% 5,914 NYSE N
PFH CABCO TR FOR J C PENNEY DEBS CTF TR 7.625% 21,607 NYSE N
PFI POWERSHARES ETF TRUST FINL SECT PORT 7,243 NYSE Arca Y
PFIN P & F INDS INC CL A NEW 41,480 NASDAQ N
PFK PRUDENTIAL FINL INC NT FLT RETL 18 4,411 NYSE N
PFLT PENNANTPARK FLOATING RATE CAP COM 16,453 NASDAQ N
PFX PHOENIX COS INC NEW QUIBS 2032 64,161 NYSE N
PGC PEAPACK-GLADSTONE FINL CORP COM 9,187 NASDAQ N
--- page 41 ---
PGD BARCLAYS BANK PLC IPATH AS GLF CUR 1,197 NYSE Arca Y
PGP PIMCO GLOBAL STOCKSPLS INCM FD COM 60,789 NYSE N
PHA PULTE GROUP INC 7.375% NT 2046 6,297 NYSE N
PHII PHI INC COM VTG 312 NASDAQ N
PHIIK PHI INC COM NON VTG 23,707 NASDAQ N
PHX PANHANDLE OIL AND GAS INC CL A 6,974 NYSE N
PIC POWERSHARES ETF TRUST DYN INS PTF 7,609 NYSE Arca Y
PICK ISHARES INC MSCI GL SL MET 22,293 NYSE Arca Y
PIY PREFERRED PLUS TR CZN-1 TR CTF 1,206 NYSE N
PJA PREFERRED PLUS TR QWS-2 TR CTF 2,112 NYSE N
PJI PPLUS TR CTF GSG-1 A 6% 7,154 NYSE N
PJL PREFERRED PLUS TR VER 1 A TR CTF 4,965 NYSE N
PJS PREFERRED PLUS TR FAR-1 7.55%28 936 NYSE N
PKBK PARKE BANCORP INC COM 8,125 NASDAQ N
PKH PREFERRED PLUS TR QWS-1 TR CTF 1,805 NYSE N
PKK PREFERRED PLUS TR LMG-2 TR CTF 5,172 NYSE N
PKN POWERSHARES ETF TR II GLB NUCLR ENRG 4,949 NYSE Arca Y
PKOH PARK OHIO HLDGS CORP COM 31,835 NASDAQ N
PKOL POWERSHARES ETF TRUST II GLOBL COAL ETF 4,115 NASDAQ Y
PKY-D PARKWAY PPTYS INC PFD SER D 8% 5,474 NYSE N
PL-B PLC CAP TR V TOPRS 6.125 34 3,186 NYSE N
PLBC PLUMAS BANCORP COM 4,441 NASDAQ N
PLD-L PROLOGIS INC PFD SER L 6.5% 1,009 NYSE N
PLD-M PROLOGIS INC PFD M 6.75% 848 NYSE N
PLD-O PROLOGIS INC PFD 7.0% SER 0 928 NYSE N
PLD-P PROLOGIS INC PFD P 6.85% 267 NYSE N
PLD-R PROLOGIS INC PFD SER R 6,995 NYSE N
PLD-S PROLOGIS INC PFD SER S 2,742 NYSE N
PLK POWERSHARES ACTIVE MNG ETF TR LOW DURAT PORT 1,851 NYSE Arca Y
PLMT PALMETTO BANCSHARES INC COM NEW 513 NASDAQ N
PLPC PREFORMED LINE PRODS CO COM 6,088 NASDAQ N
PLPM PLANET PAYMENT INC SHS 25,000 NASDAQ N
PLTM FIRST TR ISE GLBL PLAT INDX FD COM 19,702 NASDAQ Y
PLUS EPLUS INC COM 19,460 NASDAQ N
PMBC PACIFIC MERCANTILE BANCORP COM 17,856 NASDAQ N
PMD PSYCHEMEDICS CORP COM NEW 14,038 NASDAQ N
PMNA POWERSHARES ETF TRUST II MENA FRNTR ETF 8,643 NASDAQ Y
PNBK PATRIOT NATL BANCORP INC COM 5,621 NASDAQ N
PNRA PANERA BREAD CO CL A 403,044 NASDAQ N
PNRG PRIMEENERGY CORP COM 1,192 NASDAQ N
PNTR POINTER TELOCATION LTD SHS 1,381 NASDAQ N
PNX PHOENIX COS INC NEW COM NEW 20,125 NYSE N
POPE POPE RES DEL LTD PARTNERSHIP DEPOSITRY RCPT 3,061 NASDAQ N
POWL POWELL INDS INC COM 30,013 NASDAQ N
PPLT ETFS PLATINUM TR SH BEN INT 76,659 NYSE Arca Y
PPS-A POST PPTYS INC PFD A 8.5% 219 NYSE N
PRAA PORTFOLIO RECOVERY ASSOCS INC COM 93,728 NASDAQ N
PRK PARK NATL CORP COM 19,143 NYSE MKT N
PRLS PEERLESS SYS CORP COM 1,640 NASDAQ N
PRPH PROPHASE LABS INC COM 7,669 NASDAQ N
PSA-O PUBLIC STORAGE DEP SHS PFD-O 10,941 NYSE N
PSAU POWERSHARES ETF TRUST II GLOB GLD&P ETF 5,576 NASDAQ Y
PSB-R PS BUSINESS PKS INC CALIF DEP SHS 1/1000 2,194 NYSE N
PSBH PSB HLDGS INC COM 1,526 NASDAQ N
PSCC POWERSHARES ETF TR II S&P SMCP CONSU 11,474 NASDAQ Y
--- page 42 ---
PSE PIONEER SOUTHWST ENRG PRTNR LP UNIT LP INT 63,812 NYSE N
PSF COHEN & STEERS SLT PFD INCM FD COM 49,439 NYSE N
PSTL POWERSHARES ETF TRUST II GLOBAL STL ETF 1,465 NASDAQ Y
PTD UBS AG JERSEY BRH SHRT PLATN ETN18 35 NYSE Arca Y
PTM UBS AG JERSEY BRH LONG PLATN ETN18 16,819 NYSE Arca Y
PTO POWERSHARES ETF TRUST II COMPLTN PORTFLIO 8,871 NYSE Arca Y
PTR PETROCHINA CO LTD SPONSORED ADR 85,507 NYSE N
PTSI P A M TRANSN SVCS INC COM 2,283 NASDAQ N
PTX PERNIX THERAPEUTICS HLDGS INC COM 20,843 NASDAQ N
PULB PULASKI FINL CORP COM 11,880 NASDAQ N
PVD ADMINISTRADORA FONDOS PENSIONE SPONSORED ADR 11,272 NYSE N
PVTBP PRIVATEBANCORP CAP TR IV PFD TR SECS 7,179 NASDAQ N
PW POWER REIT COM 4,416 NYSE MKT N
PWOD PENNS WOODS BANCORP INC COM 6,029 NASDAQ N
PWX PROVIDENCE & WORCESTER RR CO COM 4,181 NASDAQ N
PXMC POWERSHARES ETF TRUST FND PUR MIDCR PT 1,242 NYSE Arca Y
PYA PPLUS TR LMG-3 CTF CL A 1,164 NYSE N
PYB PPLUS TR GSG-2 A 5.75% 3,790 NYSE N
PYC PPLUS TR GSC-3 TR CTF A 8,763 NYSE N
PYG PPLUS TR SPR-1 TR CTF28 4,510 NYSE N
PYK PPLUS TR TR CTF 6.25% 2,019 NYSE N
PYL PPLUS TR LMG-4 CTF TR 1,130 NYSE N
PYS PPLUS TR RRD-1 CTF CL A 4,410 NYSE N
PYT PPLUS TR GSC 2 CT FL RT 5,549 NYSE N
PYV PPLUS TR JPM-1 TR CTF14 355 NYSE N
PYY PPLUS TR GSC-4 CTF TR A 3,176 NYSE N
PYZ POWERSHARES ETF TRUST BASIC MAT SECT 28,889 NYSE Arca Y
PZB PPLUS TR CTF A LTD1 6.7 2,188 NYSE N
QABA FIRST TR NASDAQ ABA CMNTY BK I UT COM SHS ETF 2,211 NASDAQ Y
QADA QAD INC CL A 12,325 NASDAQ N
QADB QAD INC CL B 2,315 NASDAQ N
QCCO QC HLDGS INC COM 11,529 NASDAQ N
QCRH QCR HOLDINGS INC COM 2,164 NASDAQ N
QEH ADVISORSHARES TR QAM EQTY HEDGE 13,240 NYSE Arca Y
QGEM EGA EMERGING GLOBAL SHS TR TECHNOLOGY GEM 279 NYSE Arca Y
QLTB iShares Baa-Ba Rated Corporate Bond Fund 2,940 BATS BZX Y
QLTC iShares B-Ca Rated Corporate Bond Fund 4,488 BATS BZX Y
QLYS QUALYS INC COM 59,297 NASDAQ N
QQQC GLOBAL X FDS NASDQ CHINA TECH 1,037 NASDAQ Y
RALS PROSHARES TR RAFI LG SHT FD 22,390 NYSE Arca Y
RAND RAND CAP CORP COM 4,041 NASDAQ N
RAS-A RAIT FINANCIAL TRUST PFD A 7.75% 13,720 NYSE N
RAS-B RAIT FINANCIAL TRUST PFD B 8.375% 9,287 NYSE N
RAS-C RAIT FINANCIAL TRUST PFD SBI SER C 5,491 NYSE N
RBCAA REPUBLIC BANCORP KY CL A 42,939 NASDAQ N
RBNF RURBAN FINL CORP COM 5,055 NASDAQ N
RBPAA ROYAL BANCSHARES PA INC CL A 13,271 NASDAQ N
RBS-L ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 46,755 NYSE N
RC GRUPO RADIO CENTRO S A B DE CV SPONSORED ADR 472 NYSE N
RCKY ROCKY BRANDS INC COM 11,741 NASDAQ N
RDA RDA MICROELECTRONICS INC SPONSORED ADR 24,298 NASDAQ N
RDCM RADCOM LTD SHS NEW 7,843 NASDAQ N
RDHL REDHILL BIOPHARMA LTD SPONSORED ADS 135 NASDAQ N
RDIB READING INTERNATIONAL INC CL B 35 NASDAQ N
REG-G REGENCY CTRS CORP 6.0% PFD SER 7 15,079 NYSE N
--- page 43 ---
REGN REGENERON PHARMACEUTICALS COM 757,952 NASDAQ N
REIS REIS INC COM 29,327 NASDAQ N
REMY REMY INTL INC COM 6,024 NASDAQ N
RENT RENTRAK CORP COM 35,030 NASDAQ N
RETL DIREXION SHS ETF TR RETAIL BULL 3X 4,244 NYSE Arca Y
REV REVLON INC CL A NEW 87,836 NYSE N
REW PROSHARES TR PSHS TECHNOLOGY 12,044 NYSE Arca Y
REX REX AMERICAN RESOURCES CORP COM 22,929 NYSE N
REXI RESOURCE AMERICA INC CL A 21,385 NASDAQ N
RFI COHEN & STEERS TOTAL RETURN FD COM 34,099 NYSE N
RGCO RGC RES INC COM 3,875 NASDAQ N
RGDX RESPONSE GENETICS INC COM 10,897 NASDAQ N
RGLS REGULUS THERAPEUTICS INC COM 44,496 NASDAQ N
RGRA ROYAL BK OF SCOTLAND PLC ROGR ENH AGRIC 11,504 NYSE Arca Y
RGRC ROYAL BK OF SCOTLAND PLC ROGRS ENH ETNS 1,722 NYSE Arca Y
RGRE ROYAL BK OF SCOTLAND PLC ROGR ENH ENERG 146 NYSE Arca Y
RGRI ROYAL BK OF SCOTLAND PLC ROGR ENH INMET 7,070 NYSE Arca Y
RHS RYDEX ETF TRUST GUG S&P500 EWCON 7,870 NYSE Arca Y
RINF PROSHARES TR 30YR TIPS/TSY 432 NYSE Arca Y
RING ISHARES INC MSCI GLB GOLD 16,237 NYSE Arca Y
RITT RIT TECHNOLOGIES LTD SHS 3,665 NASDAQ N
RIVR RIVER VY BANCORP COM 294 NASDAQ N
RL RALPH LAUREN CORP CL A 1,052,686 NYSE N
RLH-A RED LION HOTELS CAPITAL TRUST PFD TR 9.5% 829 NYSE N
RLI RLI CORP COM 74,969 NYSE N
RLJE RLJ ENTMT INC COM 9,967 NASDAQ N
RM REGIONAL MGMT CORP COM 16,081 NYSE N
RMB CLAYMORE EXCHANGE TRD FD TR 2 GUGGN CHIN ETF 10,073 NYSE Arca Y
RMCF ROCKY MTN CHOCOLATE FACTORY COM PAR $0.03 9,497 NASDAQ N
RNE MORGAN STANLEY EASTN EUR FD COM 4,151 NYSE N
RNET RIGNET INC COM 38,225 NASDAQ N
RNIN WIRELESS RONIN TECHNOLOGIES IN COM NEW 13,891 NASDAQ N
RNO RHINO RESOURCE PARTNERS LP COM UNIT REPST 44,949 NYSE N
ROG ROGERS CORP COM 96,827 NYSE N
ROIA RADIO ONE INC CL A 2,532 NASDAQ N
ROICU RETAIL OPPORTUNITY INVTS CORP UNIT EX 102314 24 NASDAQ N
ROIQU ROI ACQUISITION CORP UNIT 1 000017 41 NASDAQ N
ROLA BARCLAYS BK PLC RUSS1000 3X LG 37 NYSE Arca Y
ROLL RBC BEARINGS INC COM 86,959 NASDAQ N
ROM PROSHARES TR PSHS ULTRA TECH 15,000 NYSE Arca Y
RPRXW REPROS THERAPEUTICS INC WT EXP020816 A 82 NASDAQ N
RPRXZ REPROS THERAPEUTICS INC WT EXP 020816 139 NASDAQ N
RPT-D RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 10,051 NYSE N
RPX COLUMBIA ETF TR GRWTH EQTY ST 8,643 NYSE Arca Y
RRF WISDOMTREE TR GLB RL RETURN 2,127 NYSE Arca Y
RRMS ROSE ROCK MIDSTREAM L P COM U REP LTD 19,770 NYSE N
RRST RRSAT GLOBAL COMM NTWRK LTD SHS 15,188 NASDAQ N
RSO-A RESOURCE CAP CORP PFD-A 1,035 NYSE N
RSU RYDEX ETF TRUST GUG 2X S&P500ETF 13,170 NYSE Arca Y
RSW RYDEX ETF TRUST GUG INV 2XS&P500 27,930 NYSE Arca Y
RTLA BARCLAYS BK PLC RUSS2000 3X LG 2,370 NYSE Arca Y
RVR WHITE RIVER CAPITAL INC COM 8,044 NYSE MKT N
RWV REVENUESHARES ETF TR NAVELLR A-100 1,705 NYSE Arca Y
RWXL UBS AG LONDON BRH MTH 2X DJ INTL 3,339 NYSE Arca Y
RXD PROSHARES TR PSHS HLTH CARE 1,823 NYSE Arca Y
--- page 44 ---
RXI ISHARES TR S&P GL CONSUME 36,369 NYSE Arca Y
RXL PROSHARES TR PSHS ULT HLTHCRE 5,603 NYSE Arca Y
RYH RYDEX ETF TRUST GUG S&P500EQWTHC 30,015 NYSE Arca Y
SAA PROSHARES TR PSHS ULT SCAP600 3,395 NYSE Arca Y
SAFT SAFETY INS GROUP INC COM 28,946 NASDAQ N
SAL SALISBURY BANCORP INC COM 2,157 NASDAQ N
SAM BOSTON BEER INC CL A 87,172 NYSE N
SAN-A SANTANDER FIN PFD S A UNIPERSN PFD SER 4 6.8% 15,196 NYSE N
SAN-C SANTANDER FIN PFD S A UNIPERSN PFD 6.5% SER 5 26,259 NYSE N
SAN-I SANTANDER FIN PFD S A UNIPERSN PFD I 6.41% 9,288 NYSE N
SANWW S&W SEED CO WT EXP 050315 2,079 NASDAQ N
SAR SARATOGA INVT CORP COM NEW 3,921 NYSE N
SBBX SUSSEX BANCORP COM 915 NASDAQ N
SBLK STAR BULK CARRIERS CORP SHS NEW 14,340 NASDAQ N
SBM PROSHARES TR SHT BASIC MAT 1,535 NYSE Arca Y
SBNYW SIGNATURE BK NEW YORK N Y WT PUR COM STK 29 NASDAQ N
SBR SABINE ROYALTY TR UNIT BEN INT 27,162 NYSE N
SBSA SPANISH BROADCASTING SYS INC CL A NEW 20,828 NASDAQ N
SBV BARCLAYS BK PLC IPTH S&P GSCI 335 NYSE Arca Y
SCBT SCBT FINANCIAL CORP COM 26,722 NASDAQ N
SCC PROSHARES TR PSHS ULCONSM NEW 4,054 NYSE Arca Y
SCE-B SOUTHERN CALIF EDISON CO PFD 4.08% 2,939 NYSE MKT N
SCE-C SOUTHERN CALIF EDISON CO PFD 4.24% 5,140 NYSE MKT N
SCE-D SOUTHERN CALIF EDISON CO PFD 4.32% 2,506 NYSE MKT N
SCE-E SOUTHERN CALIF EDISON CO PFD 4.78% 1,255 NYSE MKT N
SCJ ISHARES INC JAPAN SML CAP 15,780 NYSE Arca Y
SCL STEPAN CO COM 53,945 NYSE N
SCL- STEPAN CO PFD CONV 5.50% 35 NYSE N
SCT BANK AMER CORP TRGT S&P500 14 2,142 NYSE Arca N
SCU SCANA CORP NEW JR SB NT7.7%65 6,861 NYSE N
SCX STARRETT L S CO CL A 5,927 NYSE N
SDA BANK AMER CORP MITTS DOW 15 11,366 NYSE Arca N
SDD PROSHARES TR PSHS ULSH SC 600 6,022 NYSE Arca Y
SDK PROSHARES TR PSHS ULSHT MC GR 100 NYSE Arca Y
SDLP SEADRILL PARTNERS LLC COMUNIT REP LB 86,490 NYSE N
SDO-A SAN DIEGO GAS & ELEC CO PFD 5% 241 NYSE MKT N
SDO-B SAN DIEGO GAS & ELEC CO PFD 4.50% 354 NYSE MKT N
SDO-C SAN DIEGO GAS & ELEC CO PFD 4.40% 6,822 NYSE MKT N
SDO-H SAN DIEGO GAS & ELEC CO PFD $1.82 1,467 NYSE MKT N
SDP PROSHARES TR ULSHRT UTILS FD 4,210 NYSE Arca Y
SDYL UBS AG LONDON BRH ETRACS 2XLVS&P 5,211 NYSE Arca Y
SEMG+ SEMGROUP CORP WT EXP 113014 2,824 NYSE N
SENEA SENECA FOODS CORP NEW CL A 20,767 NASDAQ N
SENEB SENECA FOODS CORP NEW CL B 729 NASDAQ N
SEV SEVCON INC COM 1,828 NASDAQ N
SFBC SOUND FINL BANCORP INC COM 2,309 NASDAQ N
SFI-D ISTAR FINL INC PFD SER D 13,525 NYSE N
SFI-E ISTAR FINL INC PFD E 7.875% 30,976 NYSE N
SFI-I ISTAR FINL INC PFD SER I 11,359 NYSE N
SFK PROSHARES TR PSHS UL1000NEW 470 NYSE Arca Y
SFLA BARCLAYS BK PLC S&P 500 3X LNG 6,255 NYSE Arca Y
SFNC SIMMONS 1ST NATL CORP CL A $1 PAR 32,018 NASDAQ N
SFST SOUTHERN FIRST BANCSHARES INC COM 3,855 NASDAQ N
SGA SAGA COMMUNICATIONS INC CL A NEW 8,615 NYSE MKT N
SGAR BARCLAYS BK PLC IPTH SUGAR ETN 197 NYSE Arca Y
--- page 45 ---
SGB SOUTHWEST GA FINL CORP COM 1,726 NYSE MKT N
SGC SUPERIOR UNIFORM GP INC COM 2,707 NASDAQ N
SGK SCHAWK INC CL A 24,608 NYSE N
SGMA SIGMATRON INTL INC COM 9,752 NASDAQ N
SGNT SAGENT PHARMACEUTICALS INC COM 28,608 NASDAQ N
SGRP SPAR GROUP INC COM 3,672 NASDAQ N
SGYPU SYNERGY PHARMACEUTICALS DEL UNIT 2C1W 120616 224 NASDAQ N
SGYPW SYNERGY PHARMACEUTICALS DEL WT EXP 120616 22,159 NASDAQ N
SHBI SHORE BANCSHARES INC COM 6,650 NASDAQ N
SHI SINOPEC SHANGHAI PETROCHEMICAL SPON ADR H 13,390 NYSE N
SHLO SHILOH INDS INC COM 7,150 NASDAQ N
SHN BANK AMER CORP MITTS DOW 15 2,721 NYSE Arca N
SHO-D SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 13,681 NYSE N
SHOS SEARS HOMETOWN & OUTLET STORES COM 92,309 NASDAQ N
SIBC STATE INVS BANCORP INC COM 2,088 NASDAQ N
SIEB SIEBERT FINL CORP COM 571 NASDAQ N
SIF SIFCO INDS INC COM 4,393 NYSE MKT N
SIFI SI FINL GROUP INC MD COM 14,335 NASDAQ N
SIJ PROSHARES TR PSHS ULTSHT INDL 1,643 NYSE Arca Y
SILC SILICOM LTD ORD 51,874 NASDAQ N
SIVBO SVB CAP II PFD TR GTD 7% 1,600 NASDAQ N
SIZ FQF TR QUANTSHARE SIZ 382 NYSE Arca Y
SJH PROSHARES TR PSHS ULSH2000 VA 173 NYSE Arca Y
SJW SJW CORP COM 27,634 NYSE N
SKK PROSHARES TR PSHS ULSH2000 GR 6,005 NYSE Arca Y
SKY SKYLINE CORP COM 23,354 NYSE N
SLI S L INDS INC COM 4,152 NYSE MKT N
SLMAP SLM CORP PFD A 6.97% 8,222 NASDAQ N
SLMBP SLM CORP PFD SER B 2,299 NASDAQ N
SLP SIMULATIONS PLUS INC COM 12,887 NASDAQ N
SLTC SELECTICA INC COM NEW 10,255 NASDAQ N
SLVP ISHARES INC MSCI GL SILVER 1,849 NYSE Arca Y
SLY SPDR SERIES TRUST S&P 600 SML CAP 22,534 NYSE Arca Y
SLYG SPDR SERIES TRUST S&P 600 SMCP GRW 8,557 NYSE Arca Y
SLYV SPDR SERIES TRUST S&P 600 SMCP VAL 10,191 NYSE Arca Y
SMBC SOUTHERN MO BANCORP INC COM 1,261 NASDAQ N
SMF SALIENT MLP & ENERGY INFRSTRCT COM SH BEN INT 16,857 NYSE N
SMIN ISHARES TR MSCI INDIA SML 12,582 BATS BZX Y
SMM SALIENT MIDSTREAM & MLP FD SH BEN INT 39,129 NYSE N
SMMF SUMMIT FINANCIAL GROUP INC COM 2,896 NASDAQ N
SMPL SIMPLICITY BANCORP COM 18,733 NASDAQ N
SMU BANK AMER CORP MITTS S&P50015 1,738 NYSE Arca N
SNHY SUN HYDRAULICS CORP COM 48,415 NASDAQ N
SNP CHINA PETE & CHEM CORP SPON ADR H SHS 60,196 NYSE N
SNV-T SYNOVUS FINL CORP TANG EQTY UTS 74,075 NYSE N
SOCB SOUTHCOAST FINANCIAL CORP COM 12,700 NASDAQ N
SOFO SONIC FDRY INC COM NEW 3,004 NASDAQ N
SOMH SOMERSET HILLS BANCORP COM 3,034 NASDAQ N
SONA SOUTHERN NATL BANCORP OF VA IN COM 13,434 NASDAQ N
SOR SOURCE CAP INC COM 12,120 NYSE N
SOV-C SANTANDER HLDGS USA INC DEP 1/1000 PFD C 1,235 NYSE N
SPAN SPAN AMER MED SYS INC COM 2,554 NASDAQ N
SPBC SP BANCORP INC COM 1,589 NASDAQ N
SPE- SPECIAL OPPORTUNITIES FD INC PFD 180 NYSE N
SPEX SPHERIX INC COM PAR $0.01 1,734 NASDAQ N
--- page 46 ---
SPG-J SIMON PPTY GROUP INC NEW PFD J 8.375% 450 NYSE N
SPGH UBS AG JERSEY BRH S&P500 GLD ETN 710 NYSE Arca Y
SPPRO SUPERTEL HOSPITALITY INC MD PFD SER B CUM 546 NASDAQ N
SPPRP SUPERTEL HOSPITALITY INC MD PFD CONV SER A 1,536 NASDAQ N
SPRO SMARTPROS LTD COM 10,318 NASDAQ N
SPSC SPS COMM INC COM 59,105 NASDAQ N
SRCE 1ST SOURCE CORP COM 27,435 NASDAQ N
SSBI SUMMIT ST BK SANTA ROSA CALIF COM 7,018 NASDAQ N
SSFN STEWARDSHIP FINL CORP COM 2,052 NASDAQ N
SSG PROSHARES TR PSHS SEMICONDUCT 4,783 NYSE Arca Y
SST SPDR SER TR SHRT TRSRY ETF 2,416 NYSE Arca Y
SSTK SHUTTERSTOCK INC COM 57,318 NYSE N
SSW-C SEASPAN CORP PERP PFD-C9.5% 15,295 NYSE N
STAG-A STAG INDL INC 9% CUM REDEEMABL 2,295 NYSE N
STAN STANDARD PARKING CORP COM 74,179 NASDAQ N
STBZ STATE BK FINL CORP COM 49,791 NASDAQ N
STEL STELLARONE CORP COM 61,120 NASDAQ N
STFC STATE AUTO FINL CORP COM 23,432 NASDAQ N
STI+A SUNTRUST BKS INC WT EXP 123118 1,092 NYSE N
STI-A SUNTRUST BKS INC PFD 1/4000 A 11,021 NYSE N
STL-A STERLING BANCORP TR I PFD GTD TR % 2,042 NYSE N
STN STANTEC INC COM 11,692 NYSE N
STND STANDARD FINL CORP MD COM 778 NASDAQ N
STNR STEINER LEISURE LTD ORD 53,278 NASDAQ N
STRN SUTRON CORP COM 4,852 NASDAQ N
STRS STRATUS PPTYS INC COM NEW 11,698 NASDAQ N
STRT STRATTEC SEC CORP COM 4,716 NASDAQ N
STRZB STARZ LIBRTY CAP COM B 248 NASDAQ N
STZ.B CONSTELLATION BRANDS INC CL B 456 NYSE N
SUB ISHARES TR S&P SH NTL AMTFR 55,853 NYSE Arca Y
SUBK SUFFOLK BANCORP COM 17,811 NASDAQ N
SUI-A SUN CMNTYS INC PFD SER A 7,242 NYSE N
SUPX SUPERTEX INC COM 35,377 NASDAQ N
SUSP SUSSER PETE PARTNERS LP COM U REP LP 60,303 NYSE N
SVBI SEVERN BANCORP ANNAPOLIS MD COM 2,535 NASDAQ N
SVT SERVOTRONICS INC COM 3,128 NYSE MKT N
SVVC FIRSTHAND TECH VALUE FD INC COM 39,924 NASDAQ N
SWU STANLEY BLACK & DECKER INC CORP UNIT 14,972 NYSE N
SXE SOUTHCROSS ENERGY PARTNERS L P COM UNIT LTDPT 39,151 NYSE N
SXI STANDEX INTL CORP COM 30,536 NYSE N
SYBT S Y BANCORP INC COM 37,428 NASDAQ N
SYBTP S Y BANCORP CAP TR II PFD TR SECS 2,206 NASDAQ N
SYNL SYNALLOY CP DEL COM 5,899 NASDAQ N
SYX SYSTEMAX INC COM 19,700 NYSE N
SZK PROSHARES TR PSHS CONSUMR GD 776 NYSE Arca Y
SZO DEUTSCHE BK AG LONDON BRH PS CR OIL SH ETN 1,328 NYSE Arca Y
TACT TRANSACT TECHNOLOGIES INC COM 15,790 NASDAQ N
TAGS TEUCRIUM COMMODITY TR AGRICULTURE FD 510 NYSE Arca Y
TAI TRANSAMERICA INCOME SHS INC COM 13,324 NYSE N
TAP.A MOLSON COORS BREWING CO CL A 338 NYSE N
TARO TARO PHARMACEUTICAL INDS LTD SHS 10,627 NYSE N
TATT TAT TECHNOLOGIES LTD ORD NEW 3,976 NASDAQ N
TAX JTH HLDG INC CL A 13,799 NASDAQ N
TAYCO TAYLOR CAP GROUP INC PERP NO CUM PFD 84,027 NASDAQ N
TAYCP TAYC CAP TR I PFD TR 9.75% 3,214 NASDAQ N
--- page 47 ---
TAYD TAYLOR DEVICES INC COM 9,704 NASDAQ N
TC-T THOMPSON CREEK METALS CO INC TG EQIT U TMED 25,952 NYSE N
TCB+ TCF FINL CORP WT EXP 111418 3,832 NYSE N
TCB-B TCF FINL CORP DEL DEP SHS REPSTG 1 10,441 NYSE N
TCBIL TEXAS CAP BANCSHARES INC SUB NT 6.50%42 2,968 NASDAQ N
TCBK TRICO BANCSHARES COM 41,776 NASDAQ N
TCC TRIANGLE CAP CORP SR NT 2,904 NYSE N
TCCA TRIANGLE CAP CORP SR NT 22 16,470 NYSE N
TCCO TECHNICAL COMMUNICATIONS CORP COM 2,693 NASDAQ N
TCHI ROYAL BK OF SCOTLAND PLC CHINA TRNDP ETF 15,956 NYSE Arca Y
TCI TRANSCONTINENTAL RLTY INVS COM NEW 1,378 NYSE N
TDD DB-X FUNDS DB-X 2010 TARGET 4,388 NYSE Arca Y
TDG TRANSDIGM GROUP INC COM 504,395 NYSE N
TDH DB-X FUNDS DB-X 2020 TARGET 3,639 NYSE Arca Y
TDI TELEPHONE & DATA SYS INC SR NT 2045 4,280 NYSE N
TDN DB-X FUNDS DB-X 2030 TARGET 12,269 NYSE Arca Y
TDV DB-X FUNDS DB-X 2040 TARGET 3,556 NYSE Arca Y
TDX DB-X FUNDS DB-X INDEPENDENC 2,275 NYSE Arca Y
TECUB TECUMSEH PRODS CO CL B 9,025 NASDAQ N
TESS TESSCO TECHNOLOGIES INC COM 64,249 NASDAQ N
TF THAI CAP FD INC COM NEW 8,377 NYSE MKT N
TFCO TUFCO TECHNOLOGIES INC COM 806 NASDAQ N
TFG FIXED INCOME TRUST FOR GOLDMAN CLL CTF CL-A37 1,211 NYSE N
TGEM EGA EMERGING GLOBAL SHS TR TELECOM GEMS 388 NYSE Arca Y
TGR ISHARES TR S&P TARGET RET 3,230 NYSE Arca Y
THFF FIRST FINL CORP IND COM 26,892 NASDAQ N
THRD TF FINL CORP COM 2,262 NASDAQ N
THTI THT HEAT TRANSFER TECHNOLOGY I COM 5,761 NASDAQ N
TIGR TIGERLOGIC CORPORATION COM 8,551 NASDAQ N
TIK TEL INSTR ELECTRS CORP COM NEW 436 NYSE MKT N
TIS ORCHIDS PAPER PRODS CO DEL COM 24,116 NYSE MKT N
TLF TANDY LEATHER FACTORY INC COM 6,593 NASDAQ N
TLL PROSHARES TR PSHS ULSHRT TELE 812 NYSE Arca Y
TLP TRANSMONTAIGNE PARTNERS L P COM UNIT L P 35,837 NYSE N
TLTD FLEXSHARES TR M STAR DEV MKT 26,188 NYSE Arca Y
TLTE FLEXSHARES TR MSTAR EMKT FAC 25,410 NYSE Arca Y
TMNG MANAGEMENT NETWORK GROUP INC COM NEW 12,478 NASDAQ N
TMP TOMPKINS FINANCIAL CORPORATION COM 16,299 NYSE MKT N
TMW SPDR SERIES TRUST DJ TTL MKT ETF 7,141 NYSE Arca Y
TNH TERRA NITROGEN CO L P COM UNIT 38,212 NYSE N
TOFC TOWER FINANCIAL CORP COM 9,891 NASDAQ N
TOK ISHARES TR MSCI KOKUSAI 9,332 NYSE Arca Y
TORM TOR MINERALS INTL INC COM NEW 2,568 NASDAQ N
TPL TEXAS PAC LD TR SUB CTF PROP I T 10,282 NYSE N
TPS PROSHARES TR ULTRASHRT TIPS 6,491 NYSE Arca Y
TRC TEJON RANCH CO COM 42,818 NYSE N
TREE TREE COM INC COM 25,244 NASDAQ N
TRIB TRINITY BIOTECH PLC SPON ADR NEW 68,370 NASDAQ N
TRIO TRIO MERGER CORP COM 24 NASDAQ N
TRMD TORM A/S SPONS ADR NEW 3,198 NASDAQ N
TRNO-A TERRENO RLTY CORP PFD SER A 1,551 NYSE N
TRNS TRANSCAT INC COM 5,241 NASDAQ N
TROVU TROVAGENE INC UNIT EX 123117 1,797 NASDAQ N
TROVW TROVAGENE INC WT EXP 123117 32,483 NASDAQ N
TRR TRC COS INC COM 16,024 NYSE N
--- page 48 ---
TRSY PIMCO ETF TR 15YR US TRS FD 603 NYSE Arca Y
TSBK TIMBERLAND BANCORP INC COM 16,354 NASDAQ N
TSEM TOWER SEMICONDUCTOR LTD SHS NEW 14,330 NASDAQ N
TSH TECHE HLDG CO COM 2,094 NYSE MKT N
TSRO TESARO INC COM 35,054 NASDAQ N
TTFS ADVISORSHARES TR TRIMTABS FLT 2,290 NYSE Arca Y
TUC MAC-GRAY CORP COM 14,329 NYSE N
TWIN TWIN DISC INC COM 61,618 NASDAQ N
TWMC TRANS WORLD ENTMT CORP COM 7,174 NASDAQ N
TWQ PROSHARES TR PSHS ULSHRUS NEW 281 NYSE Arca Y
TWTI ROYAL BK OF SCOTLAND PLC RBS OIL TRNDPL 1,905 NYSE Arca Y
TY- TRI CONTL CORP PFD $2.50 724 NYSE N
TYG TORTOISE ENERGY INFRSTRCTR CP COM 71,556 NYSE N
TYNS DIREXION SHS ETF TR 7-10YR TR BEAR 535 NYSE Arca Y
TZD ISHARES TR S&P TARGET 10 1,737 NYSE Arca Y
TZE ISHARES TR S&P TARGET 15 3,658 NYSE Arca Y
TZF TRUST CTFS 2001-2 BEAR STEARNS TR CTF 7.1%2096 113 NYSE N
TZG ISHARES TR S&P TARGET 20 8,086 NYSE Arca Y
TZI ISHARES TR S&P TARGET 25 5,395 NYSE Arca Y
TZL ISHARES TR S&P TARGET 30 6,115 NYSE Arca Y
TZO ISHARES TR S&P TARGET 35 1,686 NYSE Arca Y
TZV ISHARES TR S&P TARGET 40 4,916 NYSE Arca Y
TZW ISHARES TR TRGT 2045 INDX 551 NYSE Arca Y
TZY ISHARES TR TRGT 2050 INDX 3,706 NYSE Arca Y
UACL UNIVERSAL TRUCKLOAD SVCS INC COM 11,266 NASDAQ N
UAG UBS AG JERSEY BRH CMCI AGRI ETN 3,943 NYSE Arca Y
UBC UBS AG JERSEY BRH LIVESTK ETN 38 2,113 NYSE Arca Y
UBCP UNITED BANCORP INC OHIO COM 6,600 NASDAQ N
UBFO UNITED SECURITY BANCSHARES CA COM 19,888 NASDAQ N
UBM UBS AG JERSEY BRH CMCI INDL ETN 135 NYSE Arca Y
UBN UBS AG JERSEY BRH CMCI ENRGY ETN 88 NYSE Arca Y
UBOH UNITED BANCSHARES INC OHIO COM 2,303 NASDAQ N
UBP URSTADT BIDDLE PPTYS INC COM 740 NYSE N
UBP-C URSTADT BIDDLE PPTYS INC PFD SR C 8.5% 232 NYSE N
UBP-D URSTADT BIDDLE PPTYS INC PFD D 7.5% 542 NYSE N
UBP-F URSTADT BIDDLE PPTYS INC PFD SER F 7.125% 28,158 NYSE N
UBPS UNIVERSAL BUSINESS PMT SOL AC COM 26,933 NASDAQ N
UBR PROSHARES TR ULT MSCI BRAZL 4,064 NYSE Arca Y
UCBA UNITED CMNTY BANCORP IND COM 75,344 NASDAQ N
UCC PROSHARES TR PSHS CONSMR SVCS 1,077 NYSE Arca Y
UCD PROSHARES TR II ULT DJ UBS COMM 6,049 NYSE Arca Y
UEIC UNIVERSAL ELECTRS INC COM 58,434 NASDAQ N
UFCS UNITED FIRE GROUP INC COM 45,083 NASDAQ N
UFI UNIFI INC COM NEW 31,824 NYSE N
UFPI UNIVERSAL FST PRODS INC COM 59,251 NASDAQ N
UFPT UFP TECHNOLOGIES INC COM 9,846 NASDAQ N
UG UNITED GUARDIAN INC COM 2,985 NASDAQ N
UGE PROSHARES TR PSHS CONSMRGOODS 352 NYSE Arca Y
UGEM EGA EMERGING GLOBAL SHS TR UTILITIES GEMS 4,047 NYSE Arca Y
UHAL AMERCO COM 26,256 NASDAQ N
UHT UNIVERSAL HEALTH RLTY INCM TR SH BEN INT 83,939 NYSE N
UIS-A UNISYS CORP PFD SER A 6.25% 6,815 NYSE N
UJB PROSHARES TR ULTRA HIGH YLD 3,068 NYSE Arca Y
UKF PROSHARES TR PSHS ULT1000 GRW 341 NYSE Arca Y
UKK PROSHARES TR PSHS ULT 2000 GR 13,899 NYSE Arca Y
--- page 49 ---
UKW PROSHARES TR PSHS ULT MDCP GR 633 NYSE Arca Y
ULBI ULTRALIFE CORP COM 14,747 NASDAQ N
ULE PROSHARES TR II PSH ULTRA EURO 6,146 NYSE Arca Y
UMDD PROSHARES TR ULTRA MDCAP400 20,887 NYSE Arca Y
UMH-A U M H PROPERTIES INC CV RED PFD-A 2,595 NYSE N
UNAM UNICO AMERN CORP COM 1,146 NASDAQ N
UNB UNION BANKSHARES INC COM 3,503 NASDAQ N
UNF UNIFIRST CORP MASS COM 92,941 NYSE N
UNTK UNITEK GLOBAL SVCS INC COM PAR $.00002 24,701 NASDAQ N
UNTY UNITY BANCORP INC COM 8,389 NASDAQ N
UOIL CREDIT SUISSE NASSAU BRH VS 3XLNG BRENT 508 NYSE Arca Y
UPW PROSHARES TR PSHS ULTRA UTIL 6,102 NYSE Arca Y
URR MORGAN STANLEY LNG EURO ETN20 6,147 NYSE Arca Y
URTH ISHARES INC MSCI WORLD IDX 692 NYSE Arca Y
USAG UNITED STS COMMODITY IDX FDTR COM UTS US AGR 2,171 NYSE Arca Y
USAK USA TRUCK INC COM 13,481 NASDAQ N
USAP UNIVERSAL STAINLESS & ALLOY COM 27,358 NASDAQ N
USATP USA TECHNOLOGIES INC CONV PFD SER A 319 NASDAQ N
USB-A US BANCORP DEL PERP PFD SER A 1,779 NYSE N
USBI UNITED SEC BANCSHARES INC SHS 5,320 NASDAQ N
USCR U S CONCRETE INC COM NEW 71,210 NASDAQ N
USD PROSHARES TR PSHS ULT SEMICDT 45,027 NYSE Arca Y
USLM UNITED STATES LIME & MINERALS COM 4,573 NASDAQ N
USMD USMD HLDGS INC COM 2,530 NASDAQ N
USMI UNITED STS COMMODITY IDX FDTR COM UNIT US ML 225 NYSE Arca Y
USV UBS AG JERSEY BRH CMCI SILVR ETN 6,195 NYSE Arca Y
UTMD UTAH MED PRODS INC COM 4,004 NASDAQ N
UUU UNIVERSAL SEC INSTRS INC COM NEW 6,760 NYSE MKT N
UVG PROSHARES TR PSHS ULT1000 VAL 3,645 NYSE Arca Y
UVSP UNIVEST CORP PA COM 32,175 NASDAQ N
UVT PROSHARES TR PSHS ULT2000 VAL 11,799 NYSE Arca Y
UVU PROSHARES TR PSHS ULT MCP VAL 830 NYSE Arca Y
UWC PROSHARES TR UL RUS3000 ETF 147 NYSE Arca Y
UWTI CREDIT SUISSE NASSAU BRH VS 3XLNGNATGAS 7,111 NYSE Arca Y
UXI PROSHARES TR PSHS ULTRA INDL 6,373 NYSE Arca Y
UXJ PROSHARES TR ULT MSCI PAC 1,798 NYSE Arca Y
VALU VALUE LINE INC COM 3,104 NASDAQ N
VBFC VILLAGE BK & TR FINANCIAL CORP COM 5,810 NASDAQ N
VCF DELAWARE INV CO MUN INC FD INC COM 6,465 NYSE MKT N
VCO VINA CONCHA Y TORO S A SPONSORED ADR 2,728 NYSE N
VEGI ISHARES INC MSCI GLB AGRI 17,698 NYSE Arca Y
VEL-E VIRGINIA ELEC & PWR CO PFD $5 95 NYSE N
VFC V F CORP COM 1,044,537 NYSE N
VGEM EGA EMERGING GLOBAL SHS TR CONSMR SVC GEM 9,792 NYSE Arca Y
VHI VALHI INC NEW COM 29,713 NYSE N
VIA VIACOM INC NEW CL A 44,278 NASDAQ N
VIAS VIASYSTEMS GROUP INC COM PAR$.01 5,543 NASDAQ N
VIDE VIDEO DISPLAY CORP COM 3,929 NASDAQ N
VIFL FOOD TECHNOLOGY SERVICE INC COM NEW 2,361 NASDAQ N
VII VICON INDS INC COM 2,410 NYSE MKT N
VISN VISIONCHINA MEDIA INC SPON ADR NEW 34,765 NASDAQ N
VLAT DIREXION SHS ETF TR S&P LATAM 40VO 188 NYSE Arca Y
VLGEA VILLAGE SUPER MKT INC CL A NEW 19,349 NASDAQ N
VLY-A VNB CAP TR I TOPRS 7.75% 2,955 NYSE N
VMI VALMONT INDS INC COM 136,302 NYSE N
--- page 50 ---
VNO-A VORNADO RLTY TR PFD CONV SER A 6 NYSE N
VRD SPDR SERIES TRUST NUVN S&P VRDO MN 4,515 NYSE Arca Y
VRTA VESTIN REALTY MORTGAGE I INC COM 4,149 NASDAQ N
VRTS VIRTUS INVT PARTNERS INC COM 43,079 NASDAQ N
VSBN VSB BANCORP INC N Y COM 315 NASDAQ N
VSEC VSE CORP COM 10,241 NASDAQ N
VSPR DIREXION SHS ETF TR S&P1500 VOL RS 183 NYSE Arca Y
VSPY DIREXION SHS ETF TR S&P500 VOL RES 2,067 NYSE Arca Y
VSS VANGUARD INTL EQUITY INDEX FD FTSE SMCAP ETF 77,514 NYSE Arca Y
VSTM VERASTEM INC COM 26,244 NASDAQ N
VTNC VITRAN CORP INC COM 52,797 NASDAQ N
VYFC VALLEY FINL CORP VA COM 1,055 NASDAQ N
WACLY WACOAL HOLDINGS CORP ADR 3,830 NASDAQ N
WAFDW WASHINGTON FED INC WT EXP 111418 403 NASDAQ N
WASH WASHINGTON TR BANCORP COM 26,718 NASDAQ N
WAYN WAYNE SVGS BANCSHARES INC NEW COM 848 NASDAQ N
WBK WESTPAC BKG CORP SPONSORED ADR 15,676 NYSE N
WBKC WOLVERINE BANCORP INC COM 2,756 NASDAQ N
WBS+ WEBSTER FINL CORP CONN WT EXP 112118 265 NYSE N
WBS-E WEBSTER FINL CORP CONN DEP SHS PFD-E 98,075 NYSE N
WDFC WD-40 CO COM 48,750 NASDAQ N
WEBK WELLESLEY BANCORP INC COM 1,663 NASDAQ N
WEBM WEBMEDIABRANDS INC COM NEW 5,612 NASDAQ N
WEET BARCLAYS BK PLC IPT GRAINS ETN 1,304 NYSE Arca Y
WEYS WEYCO GROUP INC COM 14,170 NASDAQ N
WF WOORI FIN HLDGS CO LTD ADR 11,051 NYSE N
WFBI WASHINGTONFIRST BANKSHARES INC COM 4,946 NASDAQ N
WFC-L WELLS FARGO & CO NEW PERP PFD CNV A 5,393 NYSE N
WFVK CLAYMORE EXCHANGE TRD FD TR WLSHRE5000 ETF 5,489 NYSE Arca Y
WHG WESTWOOD HLDGS GROUP INC COM 18,810 NYSE N
WHLR WHEELER REAL ESTATE INVT TR COM 7,195 NASDAQ N
WILC G WILLI FOOD INTL LTD ORD 8,542 NASDAQ N
WINA WINMARK CORP COM 11,410 NASDAQ N
WIRE ENCORE WIRE CORP COM 43,682 NASDAQ N
WIS- WISCONSIN PWR & LT CO PFD 4.50% 222 NYSE MKT N
WLB WESTMORELAND COAL CO COM 20,913 NASDAQ N
WLBPZ WESTMORELAND COAL CO PFD DP A CV1/4 98 NASDAQ N
WLDN WILLDAN GROUP INC COM 3,302 NASDAQ N
WLFC WILLIS LEASE FINANCE CORP COM 10,297 NASDAQ N
WLL-A WHITING PETE CORP NEW PERP PFD CONV 242 NYSE N
WMCR CLAYMORE EXCHANGE TRD FD TR WILSHIRE MCRO CP 1,532 NYSE Arca Y
WMK WEIS MKTS INC COM 27,599 NYSE N
WMW DEUTSCHE BK AG LONDON ELE MORN TTL22 23,477 NYSE Arca Y
WNS WNS HOLDINGS LTD SPON ADR 67,974 NYSE N
WPO WASHINGTON POST CO CL B 19,675 NYSE N
WPPGY WPP PLC NEW ADR 60,877 NASDAQ N
WRD WEINGARTEN RLTY INVS NT 8.10%19 8,488 NYSE N
WRI-D WEINGARTEN RLTY INVS PFD 1/30D6.75% 2,926 NYSE N
WRT WINTHROP RLTY TR SR NT 22 5,085 NYSE N
WSB WSB HOLDINGS INC COM 3,283 NASDAQ N
WSBC WESBANCO INC COM 50,734 NASDAQ N
WSBF WATERSTONE FINANCIAL INC COM 46,939 NASDAQ N
WSCI WSI INDS INC COM 22,501 NASDAQ N
WSFS WSFS FINL CORP COM 23,928 NASDAQ N
WSFSL WSFS FINL CORP SR NT 6.25%19 814 NASDAQ N
--- page 51 ---
WSO.B WATSCO INC CL B 51 NYSE MKT N
WSTG WAYSIDE TECHNOLOGY GROUP INC COM 11,325 NASDAQ N
WTBA WEST BANCORPORATION INC CAP STK 20,534 NASDAQ N
WTFCW WINTRUST FINANCIAL CORP WT EXP 121918 212 NASDAQ N
WTM WHITE MTNS INS GROUP LTD COM 6,755 NYSE N
WVFC WVS FINL CORP COM 1,895 NASDAQ N
WVT WARWICK VALLEY TEL CO COM 10,191 NYSE MKT N
WVVI WILLAMETTE VY VINEYARD INC COM 2,676 NASDAQ N
WXSP CLAYMORE EXCHANGE TRD FD TR WLSHRE4500 ETF 198 NYSE Arca Y
XAR SPDR SERIES TRUST AEROSPACE DEF 1,204 NYSE Arca Y
XBKS XENITH BANKSHARES INC COM 15,933 NASDAQ N
XFD CORPORATE BACKED TR CTFS 02-10 A 6.7%97 1,526 NYSE N
XFH CORPORATE BACKED TR CTFS MOT 02-12 8.2 106 NYSE N
XFP CORPORATE BACKED TR CTFS 02-17 6.125%45 16,643 NYSE N
XFR CORPORATE BACKED TR CTFS DB BCK 6.25%97 1,078 NYSE N
XHE SPDR SERIES TRUST HLTH CR EQUIP 3,755 NYSE Arca Y
XKE CORPORATE BACKED TR CTFS SER 01-31 7.75% 2,326 NYSE N
XKO CORPORATE BACKED TR CTFS CP DB 01/37 A1 1,072 NYSE N
XOVR SPDR SER TR SPDR BOFA CRSS 6,902 NYSE Arca Y
XPLR XPLORE TECHNOLOGIES CORP COM PAR $0.001 33,692 NASDAQ N
XSW SPDR SERIES TRUST COMP SOFTWARE 3,080 NYSE Arca Y
XTL SPDR SERIES TRUST S&P TELECOM 666 NYSE Arca Y
XTN SPDR SERIES TRUST S&P TRANSN ETF 5,325 NYSE Arca Y
XVG CORPORATE BACKED TR CTFS 03-7 BA 6.05A1 2,153 NYSE N
Y ALLEGHANY CORP DEL COM 48,785 NYSE N
YCL PROSHARES TR II PSHS ULTRA YEN 9,601 NYSE Arca Y
YORW YORK WTR CO COM 23,414 NASDAQ N
ZA ZUOAN FASHION LTD SPONSORED ADR 24,602 NYSE N
ZB-A ZIONS BANCORPORATION PFD 1/40 SER A 6,290 NYSE N
ZB-F ZIONS BANCORPORATION DEP SHS REPSTG 1 2,973 NYSE N
ZEUS OLYMPIC STEEL INC COM 43,025 NASDAQ N
ZIGO ZYGO CORP COM 23,115 NASDAQ N
ZIONW ZIONS BANCORPORATION WT EXP 052220 6,249 NASDAQ N
ZIONZ ZIONS BANCORPORATION WT EXP 111418 9,643 NASDAQ N
ZROZ PIMCO ETF TR 25YR+ ZERO U S 18,528 NYSE Arca Y
ZZC SEALY CORP SR SECD 3RD 8% 3,791 NYSE N
(2012 securities)OCR text (208,219c · gpumon-ocr-api · 90% conf)
--- page 1 ---
January 29, 2013
Elizabeth M. Murphy
Secretary
Securities and Exchange Commission
100 F Street, N.E.
Washington, DC 20549-1090
RE: Roundtable on Decimalization
Dear Ms. Murphy:
BATS Global Markets, Inc. (“BATS”) appreciates the opportunity to comment on the
above referenced Securities and Exchange Commission (“SEC” or “Commission”) roundtable on
decimalization. As explained in more detail below, BATS believes the Commission should
consider implementation of a pilot program with dynamic tick sizes based on a security’s price
and liquidity profile, which would include allowing a minimum tick (quoting) increment of ½
cent as well as permitting the display of locked markets in the most highly liquid securities
included in the pilot program, and minimum tick increments of 5 cents for less liquid securities
and certain high priced, liquid securities.
While there is ample, direct evidence that decimalization has led to tighter bid/offer
spreads, resulting in reduced costs to investors, some have suggested that a “one size fits all”
approach to tick sizes may have had the unintended effect of impeding the capital raising ability
of small and middle capitalization companies. The primary concern is that a one-penny tick size
reduces spreads earned by broker-dealers making markets in such securities, providing little
incentive for them to post aggressive markets, particularly in securities of companies that do not
trade frequently. This in turn may create disincentives for broker-dealers to incur the costs
associated with generating research coverage on such companies, with the net result of
increasing the cost of raising capital for certain small and middle capitalization companies that fit
this profile.
The Commission is appropriately examining this issue with an eye toward the possibility
of launching a pilot program to examine the effect of different tick sizes. And, while the Jobs
Act requires the Commission to study this issue from the standpoint of analyzing whether wider
tick sizes for certain companies might make it easier and less costly for them to raise capital and,
hence, encourage more initial public offerings, BATS appreciates that the Commission is taking
a broader, holistic approach to reviewing tick sizes. This holistic review includes analyzing
related issues such as whether narrower tick sizes might be appropriate for certain lower priced,
highly liquid securities where evidence suggests that a one-penny tick may be constraining price
formation. In addition, the Commission’s review includes analyzing whether wider tick sizes
might be appropriate not only for certain small and middle capitalization companies, but also for
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATSTRADING.COM
--- page 2 ---
Elizabeth M. Murphy
January 29, 2013
Page 2 of 5
certain higher-priced, but very liquid companies, where a one-penny change in the quoted price
may be immaterial to the overall cost of execution, but where application of the Order Protection
Rule of Regulation NMS can significantly complicate the manner in which orders, particularly
large orders, are executed.
BATS has consistently supported implementation of more rational tick sizes based on
certain characteristics of the security in question. 1 BATS has experience with more dynamic tick
sizes in Europe, where BATS played a significant role as part of an industry working group that
defined tick sizes based on a security’s trading profile, including price and liquidity
characteristics, which have been adopted by exchanges across Europe. 2 BATS believes that the
Commission should take a similar approach to its current review of tick sizes and should
consider implementing a pilot program that includes dynamic tick sizes based on the following
key considerations by security:
• Quoted Spread
• Effective Spread
• Spread Leeway3
• Price of the Security
• Liquidity
o Average size at the inside
o Average daily volume (ADV)
• Simplicity for investors and brokers
Based on these considerations, BATS is proposing that the Commission implement a 12-
month tick size pilot program for the trading of equity securities for the purpose of determining
the optimal tick size for enabling efficient price discovery, while maintaining low transaction
1
See http://www.sec.gov/spotlight/regnms/jointnmsexemptionrequest043010.pdf (joint petition for
rulemaking submitted by BATS, NYSE and NASDAQ in 2010, requesting that the Commission grant an
exemption to Rule 612 of Regulation NMS to implement a pilot program permitting market participants to
display, rank, and accept sub-penny quotes and orders in certain low-priced securities where evidence
suggested a one-penny minimum tick was constraining price formation); http://www.sec.gov/comments/s7-
02-10/s70210-146.pdf (BATS’ comments to the Commission’s 2010 Equity Market Structure Concept
Release, also containing a similar request for the Commission to grant an exemption to Rule 612 of
Regulation NMS for a pilot program with smaller tick sizes); http://www.sec.gov/comments/sr-nyse-2011-
55/nyse201155-29.pdf (BATS’ comment letter to the NYSE Retail Liquidity Program, which included a
request that the Commission consider a more nuanced review of tick sizes in general focused on a
security’s trading characteristics); and
http://cdn.batstrading.com/resources/newsletters/BATSCEONewsletter71912.pdf (Newsletter from BATS’
CEO Joe Ratterman supporting an industry review of minimum tick sizes).
2
See http://cdn.batstrading.com/resources/participant_resources/BATSEuro_Ticks.pdf
3
Spread leeway is equal to the Average Quoted Spread/Minimum Tick Size – 1 and is a measure of the size
of the minimum tick compared to its average quoted spread. For example, if the minimum tick size is .01
and its average spread is .02, then the spread leeway would be (.02/.01) – 1 = 1. A small spread leeway
indicates that it will be more difficult for liquidity providers to post a new or better bid or offer.
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 3 ---
Elizabeth M. Murphy
January 29, 2013
Page 3 of 5
costs for investors, and improving the efficient access to capital for small and middle
capitalization companies:
Guiding Principles:
• Optimal Spread Leeway is between 1-5 ticks
o A spread leeway of less than 1 (which at a one penny minimum tick size equals a
quoted spread of less than 2 cents) indicates an artificially wide tick size
inhibiting price discovery.
o A spread leeway greater than 9 (which at a one penny minimum tick size equals a
quoted spread of greater than 10 cents) indicates too narrow of a tick size.
• Securities considered to be highly liquid are those securities currently included in the
single stock circuit breaker pilot (or Tier 1 of the soon to be implemented limit up/limit
down pilot) and that have an ADV of at least 2 million shares.
• Locked Markets (zero spread) should be allowed for securities that appear to be
constrained by the current tick size.
• No need to address the $0.003/share access fee cap in the initial pilot as the finest tick
would be $.005/share for securities priced above $1. An access fee cap scaled in
proportion to the tick size is a logical next phase to the pilot if the initial phase generates
positive results for investors.
Proposal 4:
• Allow locked markets in securities if:
o ADV is greater than 2 million shares,
o The security is currently subject to the single stock circuit breaker pilot (or tier 1
of the planned limit up/limit down pilot),
o The average quoted spread is less than or equal to 2 cents,
o The average effective spread is less than 1.5 cents,
o 259 securities qualify (See Appendix 1, lock.pdf)
• Allow $.005 tick size in a security if:
o ADV is greater than 2 million shares,
o The security is currently subject to the single stock circuit breaker pilot (or tier 1
of the planned limit up/limit down pilot),
o The average quoted spread is less than or equal to 1.1 cents,
o The average effective spread is less than 1 cent,
o The average consolidated size at the inside is 10,000 shares.
o The price of the security is less than or equal to $50 (plus the addition of symbol
QQQ, which although priced above $50 is an actively traded security and meets
all the above criteria).
4
Qualifying securities in all groups were determined using data from January 1-25, 2013 and closing prices as of
January 25, 2013.
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 4 ---
Elizabeth M. Murphy
January 29, 2013
Page 4 of 5
o 150 securities qualify (See Appendix #2, halfpenny.pdf)
• Allow $.05 tick ($.01 minimum trading increment to ensure material price
improvement) if:
o The average quoted spread is greater than 10 cents.
o The average effective spread is greater than 5 cents.
o The price of the security is greater than $100 (high-priced), or the ADV is less
than 100,000 shares (low liquidity).
o 2,012 securities qualify (See Appendix #3, nickel.pdf)
The Pilot should exclude a portion of the qualified securities from each of the three symbol
groups above as control samples. Given the large number of qualified securities that could have
a quoting increment of $.05, BATS suggests selecting a small minority (less than 300) of the
qualified securities that are either high-priced or low liquidity to conduct a smaller $.05 quoting
increment pilot with a minimum $.01 trading increment. BATS believes a pilot program based
on the parameters above would be the most effective manner for the Commission and the
industry to determine the potential benefits to the investing public and companies’ access to
capital that may be associated with the implementation of dynamic tick sizes.
An additional benefit associated with the proposed pilot relates to the current prohibition
in Rule 610 of Regulation NMS on displaying locked markets. At the time Regulation NMS was
adopted, the Commission included in Rule 610 a requirement that exchanges maintain and
enforce written rules that require members reasonably to avoid displaying quotes that lock other
protected quotes. The Commission had noted that locked markets can cause confusion regarding
the reliability of the displayed quote. The Commission also recognized that some market
participants believe that locked markets convey useful pricing information and that the ability to
lock quotes can enable markets to efficiently communicate their trading interest. Nonetheless,
the Commission ultimately adopted the locked markets prohibition, noting:
When two market participants are willing to trade at the same quoted price, giving
priority to the first-displayed automated quotation will encourage posting of
quotations and contribute to fair and orderly markets. The basic principle
underlying the NMS is to promote fair competition among markets, but within a
system that also promotes interaction between all of the buyers and sellers in a
particular NMS stock. Allowing market participants simply to ignore accessible
quotations in other markets and routinely display locking and crossing quotations
is inconsistent with this principle. 5
BATS questions the validity today of the Commission’s concerns about locked markets
articulated when Regulation NMS was adopted. Since then, the exchanges have adopted order
handling functionality designed to accept and post on their books orders with a displayed price
that locks another market’s protected quote. In such cases, the exchanges “slide” the displayed
5
Regulation NMS Approval Order, Exchange Act Release No. 51808 (June 9, 2005).
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 5 ---
Elizabeth M. Murphy
January 29, 2013
Page 5 of 5
price of the order until that price would no longer lock a protected quote, and in the meantime
the order typically is ranked at the non-displayed, locking price. BATS slides a material amount
of orders daily that are willing to improve the National Best Bid or Offer but cannot because of
the locked markets prohibition. As such, particularly in highly liquid securities, the market is
effectively routinely locked at various points throughout the trading day, although that lock
cannot be displayed to the public, which in turn may inhibit the public price discovery process
and the ability of broker-dealers to satisfy their best execution obligations.
In addition, much has been said recently about market complexity and the proliferation of
order types in the industry. From BATS’ perspective, at least some of this concern can be traced
to the implementation of the above-described functionality designed solely to comply with the
locked markets prohibition, which BATS believes to be some of the most complex actions
performed by any exchange matching engine. By allowing highly liquid securities with already
tight quoted spreads to lock as part of the pilot program, some of this complexity could be
mitigated while the Commission evaluates the on-going validity of its prior concerns against the
benefits that can inure to investors trading in a zero spread environment.
*****
BATS appreciates the opportunity to comment on the Roundtable on Decimalization.
Please feel free to contact us if you have any questions in connection with matter.
Sincerely,
Chris Isaacson Eric Swanson
SVP & COO Secretary
Cc: The Hon. Elisse B. Walter, Chairman
The Hon. Luis A. Aguilar, Commissioner
The Hon. Troy A. Paredes, Commissioner
The Hon. Daniel Gallagher, Commissioner
John Ramsey, Acting Director, Division of Trading and Markets
James Burns, Deputy Director, Division of Trading and Markets
Craig Lewis, Director and Chief Economist, Division of Risk, Strategy, and Financial
Innovation
Kathleen Hanley, Deputy Director and Deputy Chief Economist, Division of Risk,
Strategy, and Financial Innovation
David Shillman, Associate Director, Division of Trading and Markets
Daniel Gray, Senior Special Counsel, Division of Trading and Markets
TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM
--- page 6 ---
Appendix 1 - Locked Market Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA ALCOA INC COM 20,859,635 NYSE N
ABT ABBOTT LABS COM 14,984,491 NYSE N
ACAS AMERICAN CAP LTD COM 3,489,736 NASDAQ N
ADBE ADOBE SYS INC COM 3,654,246 NASDAQ N
ADI ANALOG DEVICES INC COM 2,501,372 NASDAQ N
ADM ARCHER DANIELS MIDLAND CO COM 3,890,473 NYSE N
AEO AMERICAN EAGLE OUTFITTERS NEW COM 4,240,007 NYSE N
AEP AMERICAN ELEC PWR INC COM 2,704,339 NYSE N
AES AES CORP COM 4,645,861 NYSE N
AGNC AMERICAN CAPITAL AGENCY CORP COM 3,523,332 NASDAQ N
AIG AMERICAN INTL GROUP INC COM NEW 17,536,950 NYSE N
ALL ALLSTATE CORP COM 2,866,827 NYSE N
ALTR ALTERA CORP COM 3,804,755 NASDAQ N
AMAT APPLIED MATLS INC COM 14,474,153 NASDAQ N
AMTD TD AMERITRADE HLDG CORP COM 3,664,168 NYSE N
ANR ALPHA NATURAL RESOURCES INC COM 16,828,356 NYSE N
ASNA ASCENA RETAIL GROUP INC COM 2,209,892 NASDAQ N
ATML ATMEL CORP COM 7,331,212 NASDAQ N
ATVI ACTIVISION BLIZZARD INC COM 6,101,445 NASDAQ N
AVP AVON PRODS INC COM 7,220,422 NYSE N
AXP AMERICAN EXPRESS CO COM 5,890,903 NYSE N
BAC BANK OF AMERICA CORPORATION COM 174,655,517 NYSE N
BBT BB&T CORP COM 4,114,381 NYSE N
BBY BEST BUY INC COM 11,141,745 NYSE N
BK BANK NEW YORK MELLON CORP COM 7,681,931 NYSE N
BMY BRISTOL MYERS SQUIBB CO COM 10,074,409 NYSE N
BRCD BROCADE COMMUNICATIONS SYS INC COM NEW 4,368,983 NASDAQ N
BRCM BROADCOM CORP CL A 6,068,420 NASDAQ N
BSX BOSTON SCIENTIFIC CORP COM 20,699,470 NYSE N
BTU PEABODY ENERGY CORP COM 6,752,213 NYSE N
C CITIGROUP INC COM NEW 39,590,479 NYSE N
CA CA INC COM 4,277,306 NASDAQ N
CAG CONAGRA FOODS INC COM 4,119,857 NYSE N
CAH CARDINAL HEALTH INC COM 2,434,638 NYSE N
CBG CBRE GROUP INC CL A 2,612,174 NYSE N
CBS CBS CORP NEW CL B 9,295,852 NYSE N
CCL CARNIVAL CORP PAIRED CTF 3,987,587 NYSE N
CDNS CADENCE DESIGN SYSTEM INC COM 3,102,556 NASDAQ N
CHK CHESAPEAKE ENERGY CORP COM 15,902,794 NYSE N
CHS CHICOS FAS INC COM 2,993,003 NYSE N
CLWR CLEARWIRE CORP NEW CL A 18,060,419 NASDAQ N
CMCSA COMCAST CORP NEW CL A 11,235,354 NASDAQ N
CMS CMS ENERGY CORP COM 2,094,612 NYSE N
CNP CENTERPOINT ENERGY INC COM 2,693,459 NYSE N
COP CONOCOPHILLIPS COM 5,239,642 NYSE N
CPN CALPINE CORP COM NEW 2,436,461 NYSE N
CPWR COMPUWARE CORP COM 2,132,257 NASDAQ N
CSCO CISCO SYS INC COM 37,319,714 NASDAQ N
--- page 7 ---
CSX CSX CORP COM 10,725,109 NYSE N
CTL CENTURYLINK INC COM 4,066,035 NYSE N
CVC CABLEVISION SYS CORP CL A NY CABLVS 2,860,956 NYSE N
CVS CVS CAREMARK CORPORATION COM 6,079,167 NYSE N
CY CYPRESS SEMICONDUCTOR CORP COM 3,131,397 NASDAQ N
DAL DELTA AIR LINES INC DEL COM NEW 15,655,529 NYSE N
DBC POWERSHARES DB CMDTY IDX TRACK UNIT BEN INT 2,126,696 NYSE Arca Y
DD DU PONT E I DE NEMOURS & CO COM 6,029,127 NYSE N
DDR DDR CORP COM 2,501,266 NYSE N
DELL DELL INC COM 45,808,115 NASDAQ N
DF DEAN FOODS CO NEW COM 2,530,976 NYSE N
DFS DISCOVER FINL SVCS COM 4,790,392 NYSE N
DHI D R HORTON INC COM 4,710,266 NYSE N
DIA SPDR DOW JONES INDL AVRG ETF UT SER 1 5,364,181 NYSE Arca Y
DIS DISNEY WALT CO COM DISNEY 9,080,577 NYSE N
DNR DENBURY RES INC COM NEW 4,853,168 NYSE N
DOW DOW CHEM CO COM 7,645,838 NYSE N
DRE DUKE REALTY CORP COM NEW 5,115,407 NYSE N
EA ELECTRONIC ARTS INC COM 4,055,744 NASDAQ N
EBAY EBAY INC COM 11,942,467 NASDAQ N
EEM ISHARES TR MSCI EMERG MKT 51,095,197 NYSE Arca Y
EFA ISHARES TR MSCI EAFE INDEX 15,255,927 NYSE Arca Y
EMC E M C CORP MASS COM 26,850,943 NYSE N
ENDP ENDO HEALTH SOLUTIONS INC COM 2,019,100 NASDAQ N
EPI WISDOMTREE TRUST INDIA ERNGS FD 3,500,992 NYSE Arca Y
ESRX EXPRESS SCRIPTS HLDG CO COM 5,419,186 NASDAQ N
ETFC E TRADE FINANCIAL CORP COM NEW 5,599,363 NASDAQ N
EWG ISHARES INC MSCI GERMAN 3,449,015 NYSE Arca Y
EWH ISHARES INC MSCI HONG KONG 3,899,103 NYSE Arca Y
EWJ ISHARES INC MSCI JAPAN 35,601,597 NYSE Arca Y
EWT ISHARES INC MSCI TAIWAN 6,373,853 NYSE Arca Y
EWZ ISHARES INC MSCI BRAZIL 10,475,692 NYSE Arca Y
EXC EXELON CORP COM 7,332,318 NYSE N
F FORD MTR CO DEL COM PAR $0.01 56,660,866 NYSE N
FB FACEBOOK INC CL A 74,397,473 NASDAQ N
FCX FREEPORT-MCMORAN COPPER & GOLD COM 14,937,789 NYSE N
FHN FIRST HORIZON NATL CORP COM 4,607,923 NYSE N
FITB FIFTH THIRD BANCORP COM 11,638,445 NASDAQ N
FNFG FIRST NIAGARA FINL GP INC COM 3,775,184 NASDAQ N
FTR FRONTIER COMMUNICATIONS CORP COM 9,273,677 NASDAQ N
FXI ISHARES TR FTSE CHINA25 IDX 15,652,384 NYSE Arca Y
GCI GANNETT INC COM 2,523,745 NYSE N
GDXJ MARKET VECTORS ETF TR JR GOLD MINERS E 3,250,422 NYSE Arca Y
GE GENERAL ELECTRIC CO COM 45,083,259 NYSE N
GGP GENERAL GROWTH PPTYS INC NEW COM 5,995,599 NYSE N
GIS GENERAL MLS INC COM 3,645,888 NYSE N
GLW CORNING INC COM 16,334,389 NYSE N
GM GENERAL MTRS CO COM 12,398,927 NYSE N
GNW GENWORTH FINL INC COM CL A 11,367,252 NYSE N
GRPN GROUPON INC COM CL A 12,612,277 NASDAQ N
GT GOODYEAR TIRE & RUBR CO COM 3,188,519 NASDAQ N
HAL HALLIBURTON CO COM 11,695,388 NYSE N
--- page 8 ---
HAS HASBRO INC COM 2,719,726 NASDAQ N
HBAN HUNTINGTON BANCSHARES INC COM 11,665,510 NASDAQ N
HCBK HUDSON CITY BANCORP COM 3,974,917 NASDAQ N
HIG HARTFORD FINL SVCS GROUP INC COM 5,078,870 NYSE N
HMA HEALTH MGMT ASSOC INC NEW CL A 5,667,063 NYSE N
HOLX HOLOGIC INC COM 2,811,235 NASDAQ N
HPQ HEWLETT PACKARD CO COM 32,799,776 NYSE N
HRB BLOCK H & R INC COM 4,973,942 NYSE N
HST HOST HOTELS & RESORTS INC COM 6,066,197 NYSE N
HTZ HERTZ GLOBAL HOLDINGS INC COM 6,339,507 NYSE N
HUN HUNTSMAN CORP COM 4,453,245 NYSE N
HYG ISHARES TR HIGH YLD CORP 2,927,701 NYSE Arca Y
IAU ISHARES GOLD TRUST ISHARES 5,945,669 NYSE Arca Y
IGT INTERNATIONAL GAME TECHNOLOGY COM 3,750,815 NYSE N
INTC INTEL CORP COM 55,212,466 NASDAQ N
IP INTL PAPER CO COM 3,316,086 NYSE N
IPG INTERPUBLIC GROUP COS INC COM 5,370,021 NYSE N
IVZ INVESCO LTD SHS 3,390,289 NYSE N
IWD ISHARES TR RUSSELL1000VAL 2,038,585 NYSE Arca Y
IWF ISHARES TR RUSSELL1000GRW 2,275,371 NYSE Arca Y
IWM ISHARES TR RUSSELL 2000 35,904,398 NYSE Arca Y
IYR ISHARES TR DJ US REAL EST 7,704,973 NYSE Arca Y
JBL JABIL CIRCUIT INC COM 2,571,047 NYSE N
JCI JOHNSON CTLS INC COM 5,109,346 NYSE N
JDSU JDS UNIPHASE CORP COM PAR $0.001 4,336,300 NASDAQ N
JNJ JOHNSON & JOHNSON COM 9,902,087 NYSE N
JNK SPDR SERIES TRUST BRC HGH YLD BD 4,101,206 NYSE Arca Y
JNPR JUNIPER NETWORKS INC COM 7,040,169 NYSE N
JNS JANUS CAP GROUP INC COM 3,718,014 NYSE N
JPM JPMORGAN CHASE & CO COM 26,172,466 NYSE N
KEY KEYCORP NEW COM 20,895,485 NYSE N
KIM KIMCO RLTY CORP COM 3,098,790 NYSE N
KMI KINDER MORGAN INC DEL COM 4,948,637 NYSE N
KO COCA COLA CO COM 14,441,150 NYSE N
KR KROGER CO COM 3,611,251 NYSE N
KRE SPDR SERIES TRUST S&P REGL BKG 2,723,568 NYSE Arca Y
LINTA LIBERTY INTERACTIVE CORP INT COM SER A 2,671,846 NASDAQ N
LLTC LINEAR TECHNOLOGY CORP COM 3,413,620 NASDAQ N
LNC LINCOLN NATL CORP IND COM 2,650,597 NYSE N
LOW LOWES COS INC COM 9,480,943 NYSE N
LSI LSI CORPORATION COM 7,638,366 NASDAQ N
LUV SOUTHWEST AIRLS CO COM 9,037,945 NYSE N
MAS MASCO CORP COM 4,029,111 NYSE N
MAT MATTEL INC COM 2,827,120 NASDAQ N
MBI MBIA INC COM 2,779,298 NYSE N
MDLZ MONDELEZ INTL INC CL A 13,075,517 NASDAQ N
MDR MCDERMOTT INTL INC COM 2,748,059 NYSE N
MDRX ALLSCRIPTS HEALTHCARE SOLUTNS COM 3,224,457 NASDAQ N
MDT MEDTRONIC INC COM 4,819,752 NYSE N
MET METLIFE INC COM 9,068,553 NYSE N
MFA MFA FINANCIAL INC COM 3,109,571 NYSE N
MGM MGM RESORTS INTERNATIONAL COM 12,307,006 NYSE N
--- page 9 ---
MMC MARSH & MCLENNAN COS INC COM 2,558,316 NYSE N
MO ALTRIA GROUP INC COM 9,302,524 NYSE N
MRK MERCK & CO INC NEW COM 13,841,644 NYSE N
MRO MARATHON OIL CORP COM 4,487,011 NYSE N
MRVL MARVELL TECHNOLOGY GROUP LTD ORD 13,607,724 NASDAQ N
MS MORGAN STANLEY COM NEW 28,360,906 NYSE N
MSFT MICROSOFT CORP COM 55,628,480 NASDAQ N
MU MICRON TECHNOLOGY INC COM 26,098,006 NASDAQ N
MXIM MAXIM INTEGRATED PRODS INC COM 2,974,053 NASDAQ N
MYL MYLAN INC COM 5,364,730 NASDAQ N
NBR NABORS INDUSTRIES LTD SHS 5,266,452 NYSE N
NI NISOURCE INC COM 2,388,620 NYSE N
NIHD NII HLDGS INC CL B NEW 3,867,720 NASDAQ N
NLY ANNALY CAP MGMT INC COM 8,504,007 NYSE N
NRG NRG ENERGY INC COM NEW 4,050,477 NYSE N
NTAP NETAPP INC COM 5,685,703 NASDAQ N
NUAN NUANCE COMMUNICATIONS INC COM 2,215,988 NASDAQ N
NVDA NVIDIA CORP COM 11,195,719 NASDAQ N
NWL NEWELL RUBBERMAID INC COM 2,752,008 NYSE N
NWSA NEWS CORP CL A 15,288,598 NASDAQ N
OIH MARKET VECTORS ETF TR OIL SVCS ETF 3,712,506 NYSE Arca Y
ONNN ON SEMICONDUCTOR CORP COM 7,621,846 NASDAQ N
ORCL ORACLE CORP COM 19,424,321 NASDAQ N
P PANDORA MEDIA INC COM 4,924,499 NYSE N
PAYX PAYCHEX INC COM 2,568,311 NASDAQ N
PBCT PEOPLES UNITED FINANCIAL INC COM 3,243,910 NASDAQ N
PBI PITNEY BOWES INC COM 4,430,304 NYSE N
PCG PG&E CORP COM 2,578,022 NYSE N
PCS METROPCS COMMUNICATIONS INC COM 7,803,878 NYSE N
PCY POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 2,272,248 NYSE Arca Y
PEG PUBLIC SVC ENTERPRISE GROUP COM 2,635,671 NYSE N
PEP PEPSICO INC COM 5,820,294 NYSE N
PFE PFIZER INC COM 34,309,620 NYSE N
PGR PROGRESSIVE CORP OHIO COM 5,738,043 NYSE N
PHM PULTE GROUP INC COM 8,864,877 NYSE N
PLCM POLYCOM INC COM 3,329,186 NASDAQ N
PMCS PMC-SIERRA INC COM 2,262,412 NASDAQ N
POM PEPCO HOLDINGS INC COM 2,784,013 NYSE N
PPL PPL CORP COM 3,564,477 NYSE N
PTEN PATTERSON UTI ENERGY INC COM 2,867,133 NASDAQ N
QCOM QUALCOMM INC COM 11,578,338 NASDAQ N
QQQ POWERSHARES QQQ TRUST UNIT SER 1 35,535,622 NASDAQ Y
RF REGIONS FINL CORP NEW COM 18,874,956 NYSE N
RRD DONNELLEY R R & SONS CO COM 3,186,941 NASDAQ N
RSX MARKET VECTORS ETF TR RUSSIA ETF 3,524,082 NYSE Arca Y
RVBD RIVERBED TECHNOLOGY INC COM 3,657,021 NASDAQ N
S SPRINT NEXTEL CORP COM SER 1 42,585,482 NYSE N
SAI SAIC INC COM 2,810,649 NYSE N
SCHW SCHWAB CHARLES CORP NEW COM 9,947,618 NYSE N
SD SANDRIDGE ENERGY INC COM 8,309,363 NYSE N
SE SPECTRA ENERGY CORP COM 6,112,734 NYSE N
SH PROSHARES TR PSHS SHRT S&P500 2,987,124 NYSE Arca Y
--- page 10 ---
SIRI SIRIUS XM RADIO INC COM 65,267,231 NASDAQ N
SLM SLM CORP COM 3,076,889 NASDAQ N
SLV ISHARES SILVER TRUST ISHARES 11,564,164 NYSE Arca Y
SO SOUTHERN CO COM 5,217,095 NYSE N
SPLS STAPLES INC COM 10,773,176 NASDAQ N
SPR SPIRIT AEROSYSTEMS HLDGS INC COM CL A 2,173,032 NYSE N
SPY SPDR S&P 500 ETF TR TR UNIT 124,803,755 NYSE Arca Y
STI SUNTRUST BKS INC COM 6,444,016 NYSE N
STLD STEEL DYNAMICS INC COM 2,725,092 NASDAQ N
STX SEAGATE TECHNOLOGY PLC SHS 8,870,579 NASDAQ N
SWKS SKYWORKS SOLUTIONS INC COM 4,190,061 NASDAQ N
SWY SAFEWAY INC COM NEW 5,596,245 NYSE N
SYMC SYMANTEC CORP COM 10,033,665 NASDAQ N
SYY SYSCO CORP COM 3,020,236 NYSE N
T AT&T INC COM 28,370,977 NYSE N
TER TERADYNE INC COM 2,799,972 NYSE N
TSN TYSON FOODS INC CL A 4,229,939 NYSE N
TWX TIME WARNER INC COM NEW 5,301,339 NYSE N
TXN TEXAS INSTRS INC COM 8,318,833 NASDAQ N
TYC TYCO INTERNATIONAL LTD SHS 2,993,887 NYSE N
UNG UNITED STATES NATL GAS FUND LP UNIT PAR $0.001 8,593,231 NYSE Arca Y
USB US BANCORP DEL COM NEW 10,527,322 NYSE N
USO UNITED STATES OIL FUND LP UNITS 4,239,093 NYSE Arca Y
VEA VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 3,017,198 NYSE Arca Y
VLO VALERO ENERGY CORP NEW COM 9,370,215 NYSE N
VWO VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF 18,636,100 NYSE Arca Y
VZ VERIZON COMMUNICATIONS INC COM 15,827,484 NYSE N
WAG WALGREEN CO COM 6,668,679 NYSE N
WCRX WARNER CHILCOTT PLC IRELAND SHS A 3,816,202 NASDAQ N
WFC WELLS FARGO & CO NEW COM 25,973,309 NYSE N
WIN WINDSTREAM CORP COM 9,312,372 NASDAQ N
WM WASTE MGMT INC DEL COM 2,734,561 NYSE N
WMB WILLIAMS COS INC DEL COM 6,199,611 NYSE N
WPX WPX ENERGY INC COM 3,432,134 NYSE N
WU WESTERN UN CO COM 9,763,210 NYSE N
WY WEYERHAEUSER CO COM 4,578,173 NYSE N
X UNITED STATES STL CORP NEW COM 7,372,805 NYSE N
XCO EXCO RESOURCES INC COM 3,343,913 NYSE N
XEL XCEL ENERGY INC COM 2,597,816 NYSE N
XHB SPDR SERIES TRUST S&P HOMEBUILD 4,997,559 NYSE Arca Y
XL XL GROUP PLC SHS 2,447,971 NYSE N
XLB SELECT SECTOR SPDR TR SBI MATERIALS 7,665,276 NYSE Arca Y
XLE SELECT SECTOR SPDR TR SBI INT-ENERGY 9,150,169 NYSE Arca Y
XLF SELECT SECTOR SPDR TR SBI INT-FINL 49,277,955 NYSE Arca Y
XLI SELECT SECTOR SPDR TR SBI INT-INDS 8,181,457 NYSE Arca Y
XLK SELECT SECTOR SPDR TR TECHNOLOGY 9,259,932 NYSE Arca Y
XLNX XILINX INC COM 3,359,635 NASDAQ N
XLP SELECT SECTOR SPDR TR SBI CONS STPLS 4,863,511 NYSE Arca Y
XLU SELECT SECTOR SPDR TR SBI INT-UTILS 7,055,037 NYSE Arca Y
XLV SELECT SECTOR SPDR TR SBI HEALTHCARE 5,600,336 NYSE Arca Y
XLY SELECT SECTOR SPDR TR SBI CONS DISCR 4,994,457 NYSE Arca Y
XRX XEROX CORP COM 11,696,661 NYSE N
--- page 11 ---
YHOO YAHOO INC COM 18,521,619 NASDAQ N
ZION ZIONS BANCORPORATION COM 2,303,554 NASDAQ N
ZNGA ZYNGA INC CL A 17,638,437 NASDAQ N
(259 securities)
--- page 12 ---
Appendix #2 - Half Penny Tick Size Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA ALCOA INC COM 20,859,635 NYSE N
ABT ABBOTT LABS COM 14,984,491 NYSE N
ACAS AMERICAN CAP LTD COM 3,489,736 NASDAQ N
ADM ARCHER DANIELS MIDLAND CO COM 3,890,473 NYSE N
AES AES CORP COM 4,645,861 NYSE N
AGNC AMERICAN CAPITAL AGENCY CORP COM 3,523,332 NASDAQ N
AIG AMERICAN INTL GROUP INC COM NEW 17,536,950 NYSE N
AMAT APPLIED MATLS INC COM 14,474,153 NASDAQ N
AMTD TD AMERITRADE HLDG CORP COM 3,664,168 NYSE N
ANR ALPHA NATURAL RESOURCES INC COM 16,828,356 NYSE N
ATML ATMEL CORP COM 7,331,212 NASDAQ N
ATVI ACTIVISION BLIZZARD INC COM 6,101,445 NASDAQ N
AVP AVON PRODS INC COM 7,220,422 NYSE N
BAC BANK OF AMERICA CORPORATION COM 174,655,517 NYSE N
BK BANK NEW YORK MELLON CORP COM 7,681,931 NYSE N
BMY BRISTOL MYERS SQUIBB CO COM 10,074,409 NYSE N
BRCD BROCADE COMMUNICATIONS SYS INC COM NEW 4,368,983 NASDAQ N
BSX BOSTON SCIENTIFIC CORP COM 20,699,470 NYSE N
C CITIGROUP INC COM NEW 39,590,479 NYSE N
CA CA INC COM 4,277,306 NASDAQ N
CAG CONAGRA FOODS INC COM 4,119,857 NYSE N
CDNS CADENCE DESIGN SYSTEM INC COM 3,102,556 NASDAQ N
CHK CHESAPEAKE ENERGY CORP COM 15,902,794 NYSE N
CLWR CLEARWIRE CORP NEW CL A 18,060,419 NASDAQ N
CMCSA COMCAST CORP NEW CL A 11,235,354 NASDAQ N
CMS CMS ENERGY CORP COM 2,094,612 NYSE N
CNP CENTERPOINT ENERGY INC COM 2,693,459 NYSE N
CPWR COMPUWARE CORP COM 2,132,257 NASDAQ N
CSCO CISCO SYS INC COM 37,319,714 NASDAQ N
CSX CSX CORP COM 10,725,109 NYSE N
CY CYPRESS SEMICONDUCTOR CORP COM 3,131,397 NASDAQ N
DAL DELTA AIR LINES INC DEL COM NEW 15,655,529 NYSE N
DBC POWERSHARES DB CMDTY IDX TRACK UNIT BEN INT 2,126,696 NYSE Arca Y
DDR DDR CORP COM 2,501,266 NYSE N
DELL DELL INC COM 45,808,115 NASDAQ N
DNR DENBURY RES INC COM NEW 4,853,168 NYSE N
DRE DUKE REALTY CORP COM NEW 5,115,407 NYSE N
EA ELECTRONIC ARTS INC COM 4,055,744 NASDAQ N
EEM ISHARES TR MSCI EMERG MKT 51,095,197 NYSE Arca Y
EMC E M C CORP MASS COM 26,850,943 NYSE N
EPI WISDOMTREE TRUST INDIA ERNGS FD 3,500,992 NYSE Arca Y
ETFC E TRADE FINANCIAL CORP COM NEW 5,599,363 NASDAQ N
EWG ISHARES INC MSCI GERMAN 3,449,015 NYSE Arca Y
EWJ ISHARES INC MSCI JAPAN 35,601,597 NYSE Arca Y
EWT ISHARES INC MSCI TAIWAN 6,373,853 NYSE Arca Y
EXC EXELON CORP COM 7,332,318 NYSE N
F FORD MTR CO DEL COM PAR $0.01 56,660,866 NYSE N
FCX FREEPORT-MCMORAN COPPER & GOLD COM 14,937,789 NYSE N
--- page 13 ---
FHN FIRST HORIZON NATL CORP COM 4,607,923 NYSE N
FITB FIFTH THIRD BANCORP COM 11,638,445 NASDAQ N
FNFG FIRST NIAGARA FINL GP INC COM 3,775,184 NASDAQ N
FTR FRONTIER COMMUNICATIONS CORP COM 9,273,677 NASDAQ N
FXI ISHARES TR FTSE CHINA25 IDX 15,652,384 NYSE Arca Y
GE GENERAL ELECTRIC CO COM 45,083,259 NYSE N
GGP GENERAL GROWTH PPTYS INC NEW COM 5,995,599 NYSE N
GLW CORNING INC COM 16,334,389 NYSE N
GNW GENWORTH FINL INC COM CL A 11,367,252 NYSE N
GT GOODYEAR TIRE & RUBR CO COM 3,188,519 NASDAQ N
HBAN HUNTINGTON BANCSHARES INC COM 11,665,510 NASDAQ N
HCBK HUDSON CITY BANCORP COM 3,974,917 NASDAQ N
HMA HEALTH MGMT ASSOC INC NEW CL A 5,667,063 NYSE N
HPQ HEWLETT PACKARD CO COM 32,799,776 NYSE N
HRB BLOCK H & R INC COM 4,973,942 NYSE N
HST HOST HOTELS & RESORTS INC COM 6,066,197 NYSE N
HTZ HERTZ GLOBAL HOLDINGS INC COM 6,339,507 NYSE N
HUN HUNTSMAN CORP COM 4,453,245 NYSE N
IAU ISHARES GOLD TRUST ISHARES 5,945,669 NYSE Arca Y
IGT INTERNATIONAL GAME TECHNOLOGY COM 3,750,815 NYSE N
INTC INTEL CORP COM 55,212,466 NASDAQ N
IPG INTERPUBLIC GROUP COS INC COM 5,370,021 NYSE N
JDSU JDS UNIPHASE CORP COM PAR $0.001 4,336,300 NASDAQ N
JNK SPDR SERIES TRUST BRC HGH YLD BD 4,101,206 NYSE Arca Y
JNPR JUNIPER NETWORKS INC COM 7,040,169 NYSE N
JNS JANUS CAP GROUP INC COM 3,718,014 NYSE N
JPM JPMORGAN CHASE & CO COM 26,172,466 NYSE N
KEY KEYCORP NEW COM 20,895,485 NYSE N
KIM KIMCO RLTY CORP COM 3,098,790 NYSE N
KO COCA COLA CO COM 14,441,150 NYSE N
KR KROGER CO COM 3,611,251 NYSE N
LINTA LIBERTY INTERACTIVE CORP INT COM SER A 2,671,846 NASDAQ N
LOW LOWES COS INC COM 9,480,943 NYSE N
LSI LSI CORPORATION COM 7,638,366 NASDAQ N
LUV SOUTHWEST AIRLS CO COM 9,037,945 NYSE N
MDLZ MONDELEZ INTL INC CL A 13,075,517 NASDAQ N
MDR MCDERMOTT INTL INC COM 2,748,059 NYSE N
MDRX ALLSCRIPTS HEALTHCARE SOLUTNS COM 3,224,457 NASDAQ N
MFA MFA FINANCIAL INC COM 3,109,571 NYSE N
MGM MGM RESORTS INTERNATIONAL COM 12,307,006 NYSE N
MO ALTRIA GROUP INC COM 9,302,524 NYSE N
MRK MERCK & CO INC NEW COM 13,841,644 NYSE N
MRVL MARVELL TECHNOLOGY GROUP LTD ORD 13,607,724 NASDAQ N
MS MORGAN STANLEY COM NEW 28,360,906 NYSE N
MSFT MICROSOFT CORP COM 55,628,480 NASDAQ N
MU MICRON TECHNOLOGY INC COM 26,098,006 NASDAQ N
MYL MYLAN INC COM 5,364,730 NASDAQ N
NBR NABORS INDUSTRIES LTD SHS 5,266,452 NYSE N
NIHD NII HLDGS INC CL B NEW 3,867,720 NASDAQ N
NLY ANNALY CAP MGMT INC COM 8,504,007 NYSE N
NVDA NVIDIA CORP COM 11,195,719 NASDAQ N
NWSA NEWS CORP CL A 15,288,598 NASDAQ N
--- page 14 ---
ONNN ON SEMICONDUCTOR CORP COM 7,621,846 NASDAQ N
ORCL ORACLE CORP COM 19,424,321 NASDAQ N
PAYX PAYCHEX INC COM 2,568,311 NASDAQ N
PBCT PEOPLES UNITED FINANCIAL INC COM 3,243,910 NASDAQ N
PBI PITNEY BOWES INC COM 4,430,304 NYSE N
PCS METROPCS COMMUNICATIONS INC COM 7,803,878 NYSE N
PFE PFIZER INC COM 34,309,620 NYSE N
PGR PROGRESSIVE CORP OHIO COM 5,738,043 NYSE N
PMCS PMC-SIERRA INC COM 2,262,412 NASDAQ N
PPL PPL CORP COM 3,564,477 NYSE N
QQQ POWERSHARES QQQ TRUST UNIT SER 1 35,535,622 NASDAQ Y
RF REGIONS FINL CORP NEW COM 18,874,956 NYSE N
RRD DONNELLEY R R & SONS CO COM 3,186,941 NASDAQ N
RSX MARKET VECTORS ETF TR RUSSIA ETF 3,524,082 NYSE Arca Y
S SPRINT NEXTEL CORP COM SER 1 42,585,482 NYSE N
SAI SAIC INC COM 2,810,649 NYSE N
SCHW SCHWAB CHARLES CORP NEW COM 9,947,618 NYSE N
SD SANDRIDGE ENERGY INC COM 8,309,363 NYSE N
SH PROSHARES TR PSHS SHRT S&P500 2,987,124 NYSE Arca Y
SIRI SIRIUS XM RADIO INC COM 65,267,231 NASDAQ N
SLM SLM CORP COM 3,076,889 NASDAQ N
SLV ISHARES SILVER TRUST ISHARES 11,564,164 NYSE Arca Y
SPLS STAPLES INC COM 10,773,176 NASDAQ N
SYMC SYMANTEC CORP COM 10,033,665 NASDAQ N
T AT&T INC COM 28,370,977 NYSE N
TER TERADYNE INC COM 2,799,972 NYSE N
TSN TYSON FOODS INC CL A 4,229,939 NYSE N
UNG UNITED STATES NATL GAS FUND LP UNIT PAR $0.001 8,593,231 NYSE Arca Y
USB US BANCORP DEL COM NEW 10,527,322 NYSE N
USO UNITED STATES OIL FUND LP UNITS 4,239,093 NYSE Arca Y
VEA VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 3,017,198 NYSE Arca Y
VWO VANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF 18,636,100 NYSE Arca Y
VZ VERIZON COMMUNICATIONS INC COM 15,827,484 NYSE N
WCRX WARNER CHILCOTT PLC IRELAND SHS A 3,816,202 NASDAQ N
WFC WELLS FARGO & CO NEW COM 25,973,309 NYSE N
WIN WINDSTREAM CORP COM 9,312,372 NASDAQ N
WU WESTERN UN CO COM 9,763,210 NYSE N
XCO EXCO RESOURCES INC COM 3,343,913 NYSE N
XEL XCEL ENERGY INC COM 2,597,816 NYSE N
XHB SPDR SERIES TRUST S&P HOMEBUILD 4,997,559 NYSE Arca Y
XLB SELECT SECTOR SPDR TR SBI MATERIALS 7,665,276 NYSE Arca Y
XLF SELECT SECTOR SPDR TR SBI INT-FINL 49,277,955 NYSE Arca Y
XLI SELECT SECTOR SPDR TR SBI INT-INDS 8,181,457 NYSE Arca Y
XLK SELECT SECTOR SPDR TR TECHNOLOGY 9,259,932 NYSE Arca Y
XLP SELECT SECTOR SPDR TR SBI CONS STPLS 4,863,511 NYSE Arca Y
XLU SELECT SECTOR SPDR TR SBI INT-UTILS 7,055,037 NYSE Arca Y
XLV SELECT SECTOR SPDR TR SBI HEALTHCARE 5,600,336 NYSE Arca Y
XRX XEROX CORP COM 11,696,661 NYSE N
YHOO YAHOO INC COM 18,521,619 NASDAQ N
ZNGA ZYNGA INC CL A 17,638,437 NASDAQ N
(150 securities)
--- page 15 ---
Appendix #3 - Nickel Tick Size Pilot Securities
Ticker Company Name January 2013 ADV Listing Exchange ETF
AA- ALCOA INC PFD $3.75 522 NYSE MKT N
AADR ADVISORSHARES TR BNY GRWTH ADR 2,708 NYSE Arca Y
AAIT ISHARES TR ALCO ASIA INFO 5,283 NASDAQ Y
AAPL APPLE INC COM 23,173,465 NASDAQ N
ABI SAFETY FIRST TR SER 2009-2 GTD CTF DJIA14 3,886 NYSE Arca N
ABV.C COMPANHIA DE BEBIDAS DAS AMERS SPONSORED ADR 34,887 NYSE N
ABW-B ASSOCIATED BANC-CORP DEP SH 1/40 SR B 5,979 NYSE N
ACCU ADVISORSHARES TR ACCUVS GLB OPP 2,487 NYSE Arca Y
ACFC ATLANTIC COAST FINL CORP COM 5,336 NASDAQ N
ACIM SPDR INDEX SHS FDS MSCI ACWI ETF 1,090 NYSE Arca Y
ACNB ACNB CORP COM 3,895 NASDAQ N
ACST ACASTI PHARMA INC CL A SHS 12,143 NASDAQ N
ACU ACME UTD CORP COM 1,355 NYSE MKT N
ACWV ISHARES INC CTR WLD MINVL 56,454 NYSE Arca Y
ACY AEROCENTURY CORP COM 5,487 NYSE MKT N
ADES ADA ES INC COM 76,625 NASDAQ N
ADK-A ADCARE HEALTH SYSTEMS INC PFD-A 10.875% 2,292 NYSE MKT N
ADRA BLDRS INDEX FDS TR ASIA 50 ADR 2,287 NASDAQ Y
ADRD BLDRS INDEX FDS TR DEV MK 100 ADR 5,499 NASDAQ Y
ADZ DEUTSCHE BK AG LDN BRH PSHS AGRI SHR38 2,085 NYSE Arca Y
AE ADAMS RES & ENERGY INC COM NEW 7,710 NYSE MKT N
AEPI AEP INDS INC COM 25,457 NASDAQ N
AETI AMERICAN ELECTRIC TECH INC COM 8,788 NASDAQ N
AFCB ATHENS BANCSHARES CORP COM 4,097 NASDAQ N
AFK MARKET VECTORS ETF TR AFRICA ETF 34,910 NYSE Arca Y
AFOP ALLIANCE FIBER OPTIC PRODS INC COM NEW 19,628 NASDAQ N
AGA DEUTSCHE BK AG LDN BRH PS AGRI DS ETN 7,144 NYSE Arca Y
AGEM EGA EMERGING GLOBAL SHS TR EGSHARE GEM COMP 9,100 NYSE Arca Y
AGF DEUTSCHE BK AG LDN BRH PS AGRI LG ETN 8,743 NYSE Arca Y
AGLS ADVISORSHARES TR ACCUVEST GL LONG 2,397 NYSE Arca Y
AGM FEDERAL AGRIC MTG CORP CL C 33,655 NYSE N
AGM-A FEDERAL AGRIC MTG CORP PFD A 5.875%NON 4,721 NYSE N
AGM.A FEDERAL AGRIC MTG CORP CL A 401 NYSE N
AGNCP AMERICAN CAPITAL AGENCY CORP PFD-A 24,511 NASDAQ N
AGO-B ASSURED GUARNTY MUNI HLDGS INC QUIBS 6.875% 4,748 NYSE N
AGO-F ASSURED GUARNTY MUNI HLDGS INC NT 5.60% 2103 10,781 NYSE N
AGOL ETFS ASIAN GOLD TR PHYS ASAIN GLD 861 NYSE Arca Y
AHB SAFETY FIRST TR SER 2008-3 CTF GLO BSKT13 1,168 NYSE Arca N
AHGP ALLIANCE HOLDINGS GP LP COM UNITS LP 41,986 NASDAQ N
AHL- ASPEN INSURANCE HOLDINGS LTD PFD PRP INC EQ 13,963 NYSE N
AHL-A ASPEN INSURANCE HOLDINGS LTD PFD PER7.401% 8,759 NYSE N
AHPI ALLIED HEALTHCARE PRODS INC COM 2,789 NASDAQ N
AHT-A ASHFORD HOSPITALITY TR INC PFD A 8.55% 2,818 NYSE N
AHT-E ASHFORD HOSPITALITY TR INC 9% CUM PFD SER E 9,690 NYSE N
AHY SAFETY FIRST TR SER 2008-4 NT S&P500 13 947 NYSE Arca N
AIM AEROSONIC CORP DEL COM PAR $0.40 2,733 NYSE MKT N
AIQ ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 15,496 NYSE N
AIRT AIR T INC COM 3,081 NASDAQ N
AIV-Z APARTMENT INVT & MGMT CO PFD CL Z 975 NYSE N
AJB SAFETY FIRST TR SER 2009-1 CTF S&P500 14 528 NYSE Arca N
AKO.A EMBOTELLADORA ANDINA S A SPON ADR A 2,086 NYSE N
--- page 16 ---
AKO.B EMBOTELLADORA ANDINA S A SPON ADR B 10,997 NYSE N
ALCO ALICO INC COM 14,617 NASDAQ N
ALCS ALCO STORES INC COM 2,298 NASDAQ N
ALG ALAMO GROUP INC COM 24,066 NYSE N
ALLB ALLIANCE BANCORP INC PA NEW COM 1,145 NASDAQ N
ALNC ALLIANCE FINANCIAL CORP NY COM 6,126 NASDAQ N
ALOG ANALOGIC CORP COM PAR $0.05 84,515 NASDAQ N
ALOT ASTRO-MED INC NEW COM 12,391 NASDAQ N
ALP-N ALABAMA PWR CO PFD CL A 5.2% 5,098 NYSE N
ALP-O ALABAMA PWR CO PFD CL A 5.83% 2,922 NYSE N
ALP-P ALABAMA PWR CO PFD A 5.30% 2,769 NYSE N
ALR-B ALERE INC PERP PFD CONV SE 8,120 NYSE N
ALT ISHARES DIVERSIFIED ALTR TR SH BEN INT 18,325 NYSE Arca Y
ALTI ALTAIR NANOTECHNOLOGIES INC COM PAR $0.001 13,018 NASDAQ N
ALTL ROYAL BK OF SCOTLAND PLC LCAP ALT EXC ETN 140 NYSE Arca Y
ALX ALEXANDERS INC COM 3,108 NYSE N
AMBT AMBIENT CORP COM NEW 5,873 NASDAQ N
AMG AFFILIATED MANAGERS GROUP COM 320,412 NYSE N
AMIC AMERICAN INDEPENDENCE CORP COM NEW 1,274 NASDAQ N
AMID AMERICAN MIDSTREAM PARTNERS LP COM UNITS 29,871 NYSE N
AMM SAFETY FIRST TR SER 2008-2 NT S&P500 13 1,016 NYSE Arca N
AMNB AMERICAN NATL BANKSHARES INC COM 9,957 NASDAQ N
AMOT ALLIED MOTION TECHNOLOGIES INC COM 5,013 NASDAQ N
AMOV AMERICA MOVIL SAB DE CV SPON ADR A SHS 5,612 NASDAQ N
AMPL AMPAL AMERN ISRAEL CORP CL A NEW 15,496 NASDAQ N
AMPS ISHARES TR UTILITIES SECT 18,108 NYSE Arca Y
AMRB AMERICAN RIVER BANKSHARES COM 5,796 NASDAQ N
AMRE AMREIT INC NEW CL B 11,057 NYSE N
AMS AMERICAN SHARED HOSPITAL SVCS COM 20,254 NYSE MKT N
AMZN AMAZON COM INC COM 2,935,964 NASDAQ N
ANAT AMERICAN NATL INS CO COM 19,191 NASDAQ N
ANCB ANCHOR BANCORP WA COM 1,774 NASDAQ N
ANCI AMERICAN CARESOURCE HLDGS INC COM NEW 4,698 NASDAQ N
ANCX ACCESS NATL CORP COM 24,146 NASDAQ N
ANDA ANDINA ACQUISITION CORP COM 212 NASDAQ N
ANEN ANAREN INC COM 33,078 NASDAQ N
ANGL MARKET VECTORS ETF TR FALLN ANGL USD 4,944 NYSE Arca Y
ANH-A ANWORTH MORTGAGE ASSET CP PFD A 8.625% 1,580 NYSE N
ANH-B ANWORTH MORTGAGE ASSET CP PFD B 6.25% 5,166 NYSE N
ANLY ANALYSTS INTL CORP COM NEW 6,355 NASDAQ N
ANNB ANNAPOLIS BANCORP INC COM 5,292 NASDAQ N
ANTP PHAZAR CORP COM 4,798 NASDAQ N
AP AMPCO-PITTSBURGH CORP COM 18,662 NYSE N
APAGF APCO OIL & GAS INTERNATIONAL I SHS 26,584 NASDAQ N
APFC AMERICAN PAC CORP COM 28,685 NASDAQ N
APSA ALTO PALERMO S A SPONSORED ADR 1,847 NASDAQ N
APTS PREFERRED APT CMNTYS INC COM 16,917 NYSE MKT N
APWC ASIA PACIFIC WIRE & CABLE CORP ORD 15,321 NASDAQ N
AQQ AMERICAN SPECTRUM REALTY INC COM NEW 4,154 NYSE MKT N
AQUUU AQUASITION CORP UNIT EX 000017 1,453 NASDAQ N
ARCW ARC GROUP WORLDWIDE INC COM 1,219 NASDAQ N
ARDNA ARDEN GROUP INC CL A 818 NASDAQ N
ARE-E ALEXANDRIA REAL ESTATE EQ INC PFD SER E 5,887 NYSE N
ARI-A APOLLO COML REAL EST FIN INC CUM REDEEMABLE P 4,916 NYSE N
ARKR ARK RESTAURANTS CORP COM 2,818 NASDAQ N
--- page 17 ---
ARL AMERICAN RLTY INVS INC COM 3,218 NYSE N
AROW ARROW FINL CORP COM 38,255 NASDAQ N
ARTNA ARTESIAN RESOURCES CORP CL A 13,279 NASDAQ N
ARTW ARTS WAY MFG INC COM 10,326 NASDAQ N
ASBB ASB BANCORP INC N C COM 3,140 NASDAQ N
ASBCW ASSOCIATED BANC CORP WT EXP 112118 1,013 NASDAQ N
ASBI AMERIANA BANCORP COM 2,312 NASDAQ N
ASCMA ASCENT CAP GROUP INC COM SER A 38,487 NASDAQ N
ASEI AMERICAN SCIENCE & ENGR INC COM 32,580 NASDAQ N
ASFI ASTA FDG INC COM 15,345 NASDAQ N
ASMI ASM INTL N V NY REGISTER SH 27,016 NASDAQ N
ASR GRUPO AEROPORTUARIO DEL SUREST SPON ADR SER B 51,616 NYSE N
ASRVP AMERISERV FINL CAP TR I PFD A GTD 8.45 379 NASDAQ N
ASTE ASTEC INDS INC COM 75,629 NASDAQ N
ASUR ASURE SOFTWARE INC COM 6,984 NASDAQ N
ATAI ATA INC SPONS ADR 4,425 NASDAQ N
ATEA ASTEA INTL INC COM NEW 1,527 NASDAQ N
ATLC ATLANTICUS HLDGS CORP COM 11,080 NASDAQ N
ATLO AMES NATL CORP COM 12,566 NASDAQ N
ATNI ATLANTIC TELE NETWORK INC COM NEW 84,194 NASDAQ N
ATOS ATOSSA GENETICS INC COM 5,752 NASDAQ N
ATRI ATRION CORP COM 3,411 NASDAQ N
ATTU ATTUNITY LTD SHS NEW 35,704 NASDAQ N
ATV ACORN INTL INC SPON ADR 3,668 NYSE N
ATX CROSS A T CO CL A 14,784 NASDAQ N
AU-A ANGLOGOLD ASHANTI HLDGS FIN PL MAND BD CV 13 98,211 NYSE N
AUBN AUBURN NATL BANCORP COM 792 NASDAQ N
AUD PIMCO ETF TR AUSTRALIA BD 12,172 NYSE Arca Y
AUSE WISDOMTREE TRUST AUSTRALIA DIV FD 7,388 NYSE Arca Y
AVCA ADVOCAT INC COM 3,196 NASDAQ N
AVHI AV HOMES INC COM 25,649 NASDAQ N
AWX AVALON HLDGS CORP CL A 1,374 NYSE MKT N
AXDI ISHARES TR MSCI ACWI EX 852 NYSE Arca Y
AXDX ACCELERATE DIAGNOSTICS INC COM 12,431 NASDAQ N
AXEN ISHARES TR ENERGY IDX FD 2,353 NYSE Arca Y
AXFN ISHARES TR MSCI ACWI EX 2,708 NASDAQ Y
AXHE ISHARES TR HLTH CR IDX FD 2,647 NYSE Arca Y
AXID ISHARES TR INDSTRLS IX FD 2,316 NYSE Arca Y
AXIT ISHARES TR INFMTN TCH FD 2,675 NYSE Arca Y
AXJL WISDOMTREE TRUST ASIA PAC EXJP FD 9,093 NYSE Arca Y
AXJS ISHARES TR MSCI A/C ASIA 321 NASDAQ Y
AXMT ISHARES TR MATRLS IDX FD 4,622 NYSE Arca Y
AXR AMREP CORP NEW COM 18,227 NYSE N
AXSL ISHARES TR MSCI ACWI X US 3,136 NYSE Arca Y
AXTE ISHARES TR TELECM SVCS FD 505 NYSE Arca Y
AXUT ISHARES TR UTILTS IDX FD 3,333 NYSE Arca Y
AYT BARCLAYS BK PLC IPATH GEMS ASIA8 1,665 NYSE Arca Y
AZO AUTOZONE INC COM 444,457 NYSE N
BABS SPDR SERIES TRUST BRC BLD AMER BD 28,652 NYSE Arca Y
BABZ PIMCO ETF TR BLD AMER BD FD 14,045 NYSE Arca Y
BAC-E BANK OF AMERICA CORPORATION PFD PER1/1000E 27,943 NYSE N
BAC-L BANK OF AMERICA CORPORATION 7.25%CNV PFD L 8,974 NYSE N
BANC FIRST PACTRUST BANCORP INC COM 15,247 NASDAQ N
BANCL FIRST PACTRUST BANCORP INC SR NT7.5%20 7,608 NASDAQ N
BANF BANCFIRST CORP COM 20,013 NASDAQ N
--- page 18 ---
BANFP BFC CAP TR II PFD TR 7.20% 424 NASDAQ N
BAP CREDICORP LTD COM 209,114 NYSE N
BBDO BANCO BRADESCO S A SPONSORED ADR 803 NYSE N
BBGI BEASLEY BROADCAST GROUP INC CL A 4,604 NASDAQ N
BBNK BRIDGE CAP HLDGS COM 12,521 NASDAQ N
BBRC EGA EMERGING GLOBAL SHS TR EGSHR BYND BRC 1,192 NYSE Arca Y
BBSI BARRETT BUSINESS SERVICES INC COM 60,689 NASDAQ N
BCA.T CORPBANCA SPNSRD ADR TEM 20,391 NYSE N
BCBP BCB BANCORP INC COM 10,589 NASDAQ N
BCH BANCO DE CHILE SPONSORED ADR 20,951 NYSE N
BCOM B COMMUNICATIONS LTD SHS 2,253 NASDAQ N
BCPC BALCHEM CORP COM 89,240 NASDAQ N
BCSB BCSB BANCORP INC COM 918 NASDAQ N
BDCL UBS AG LONDON BRH 2X LEV LNG LKD 80,569 NYSE Arca Y
BDD DEUTSCHE BK AG LONDON BRH MTLS DBL ETN38 6,073 NYSE Arca Y
BDG DEUTSCHE BK AG LONDON BRH MTLS LNG ETN38 94 NYSE Arca Y
BDGE BRIDGE BANCORP INC COM 7,918 NASDAQ N
BDL FLANIGANS ENTERPRISES INC COM 501 NYSE MKT N
BDMS BIRNER DENTAL MGMT SERVICES IN COM NEW 637 NASDAQ N
BDN-E BRANDYWINE RLTY TR PFD-E 5,147 NYSE N
BEE-B STRATEGIC HOTELS & RESORTS INC PFD SER B 7,139 NYSE N
BEE-C STRATEGIC HOTELS & RESORTS INC PFD SER C 11,930 NYSE N
BELFA BEL FUSE INC CL A 2,568 NASDAQ N
BELFB BEL FUSE INC CL B 30,424 NASDAQ N
BERK BERKSHIRE BANCORP INC DEL COM NEW 3,168 NASDAQ N
BF.A BROWN FORMAN CORP CL A 12,321 NYSE N
BFIN BANKFINANCIAL CORP COM 19,313 NASDAQ N
BFS SAUL CTRS INC COM 21,220 NYSE N
BFS-A SAUL CTRS INC PFD 1/100 A 8% 2,857 NYSE N
BFS-B SAUL CTRS INC 1/100PFD SER B 6,132 NYSE N
BGCA BGC PARTNERS INC SR NT 8.125%42 25,227 NYSE N
BGE-B BGE CAP TR II PFD TR 6.20% 6,003 NYSE N
BGH BABSON CAP GLB SHT DURHGH YLD COM 65,097 NYSE N
BH BIGLARI HLDGS INC COM 5,135 NYSE N
BHB BAR HBR BANKSHARES COM 4,346 NYSE MKT N
BHV BLACKROCK VA MUNICIPAL BOND TR COM 4,158 NYSE MKT N
BIB PROSHARES TR PSHS ULT NASB 30,780 NASDAQ Y
BIO BIO RAD LABS INC CL A 53,783 NYSE N
BIO.B BIO RAD LABS INC CL B 182 NYSE N
BIOC BIOCLINICA INC COM 11,711 NASDAQ N
BIR-A BERKSHIRE INCOME RLTY INC PFD SER A 9% 1,773 NYSE MKT N
BIS PROSHARES TR ULTSH NASD BIOT 5,256 NASDAQ Y
BKEPP BLUEKNIGHT ENERGY PARTNERS L P PFD UNIT SER A 5,465 NASDAQ N
BKJ BANCORP NEW JERSEY INC NEW COM 2,972 NYSE MKT N
BKOR OAK RIDGE FINL SVCS INC COM 1,938 NASDAQ N
BKR BAKER MICHAEL CORP COM 28,978 NYSE MKT N
BKSC BANK SOUTH CAROLINA CORP COM 3,776 NASDAQ N
BKYF BANK KY FINL CORP COM 9,603 NASDAQ N
BLH BLACKROCK NY MUNI 2018 TERM TR COM 2,990 NYSE N
BLK BLACKROCK INC COM 915,594 NYSE N
BLMT BSB BANCORP INC MD COM 11,099 NASDAQ N
BLND UBS AG LONDON BRH ETRA CMDY LK42 812 NYSE Arca Y
BLNG BARCLAYS BK PLC IPATH METALETN 261 NYSE Arca Y
BMI BADGER METER INC COM 63,143 NYSE N
BML-G BANK OF AMERICA CORPORATION PFD1/1200 SR1 9,780 NYSE N
--- page 19 ---
BML-J BANK OF AMERICA CORPORATION PFD DP1/1200 4 25,028 NYSE N
BML-N BANK OF AMERICA CORPORATION PFD SR 6 6.7% 3,077 NYSE N
BML-O BANK OF AMERICA CORPORATION DEP1/40TH PFD 7 548 NYSE N
BMR-A BIOMED REALTY TRUST INC PFD 7.375% A 6,420 NYSE N
BMRC BANK OF MARIN BANCORP COM 12,784 NASDAQ N
BNCN BNC BANCORP COM 29,246 NASDAQ N
BOLT BOLT TECHNOLOGY CORP COM 20,517 NASDAQ N
BOM DEUTSCHE BK AG LONDON BRH PS MTL DDL ETN 2,281 NYSE Arca Y
BONO MARKET VECTORS ETF TR LATAM AGGR BD 57,093 NYSE Arca Y
BOS DEUTSCHE BK AG LONDON BRH MTL SHRT ETN38 661 NYSE Arca Y
BOSC BOS BETTER ONLINE SOLUTIONS SHS NEW NIS 80 38,399 NASDAQ N
BOTJ BANK OF THE ST JAMES FINL GP COM 1,393 NASDAQ N
BOVA BANK VA CHESTERFIELD COM NEW 2,415 NASDAQ N
BOXC BROOKFIELD CDA OFFICE PPTYS TR UNIT 274 NYSE N
BPFHW BOSTON PRIVATE FINL HLDGS INC WT EXP 112118 1,796 NASDAQ N
BPHX BLUEPHOENIX SOLUTIONS LTD SHS NEW 7,004 NASDAQ N
BPOPM POPULAR CAP TR II PFD GTD 6.125% 2,449 NASDAQ N
BPOPN POPULAR CAP TR I PFD 6.70% GTD 4,164 NASDAQ N
BPS BLACKROCK PA STRATEGIC MUN TR COM 2,996 NYSE MKT N
BQH BLACKROCK NY MUNICIPAL BOND TR COM 6,229 NYSE N
BRE-D BRE PROPERTIES INC PFD D 6.75% 1,308 NYSE N
BREW CRAFT BREW ALLIANCE INC COM 22,911 NASDAQ N
BRID BRIDGFORD FOODS CORP COM 406 NASDAQ N
BRN BARNWELL INDS INC COM 2,439 NYSE MKT N
BRT BRT RLTY TR SH BEN INT NEW 7,573 NYSE N
BSET BASSETT FURNITURE INDS INC COM 33,774 NASDAQ N
BSRR SIERRA BANCORP COM 19,952 NASDAQ N
BSTC BIOSPECIFICS TECHNOLOGIES CORP COM 6,477 NASDAQ N
BTAL FQF TR QUANT NEUT ANT 1,615 NYSE Arca Y
BTUI BTU INTL INC COM 7,727 NASDAQ N
BUND PIMCO ETF TR GERM BD IDX FD 2,023 NYSE Arca Y
BUNT DEUTSCHE BK AG LONDON BRH PWRSHR 3X GERM 2,314 NYSE Arca Y
BUR BURCON NUTRASCIENCE CORP COM 1,459 NASDAQ N
BVSN BROADVISION INC COM PAR $.001 62,950 NASDAQ N
BVX BOVIE MEDICAL CORP COM 9,504 NYSE MKT N
BWINA BALDWIN & LYONS INC CL A 468 NASDAQ N
BWINB BALDWIN & LYONS INC CL B 17,830 NASDAQ N
BWL.A BOWL AMER INC CL A 411 NYSE MKT N
BWV BARCLAYS BK PLC ETN CBOE SPBUY 2,616 NYSE Arca Y
BXDB BARCLAYS BK PLC SHTB S&P500 14 1,103 NYSE Arca Y
BXDC BARCLAYS BK PLC SHTC S&P500 14 6,245 NYSE Arca Y
BXS-A BANCORPSOUTH CAP TR 1 PFD TR 8.15% 1,459 NYSE N
BXUB BARCLAYS BK PLC LNGB S&P500 14 508 NYSE Arca Y
BXUC BARCLAYS BK PLC LNGC S&P500 14 7,415 NYSE Arca Y
BZC BREEZE EASTERN CORP COM 3,937 NYSE MKT N
BZM BLACKROCK MD MUNICIPAL BOND TR COM 5,318 NYSE MKT N
BZMD BEAZER HOMES USA INC NT SUB7.5%2013 1,985 NYSE N
BZT BEAZER HOMES USA INC TANGIBLE EQTY 16,635 NYSE N
BZU BEAZER HOMES USA INC TNGBLE EQ UNIT 312 NYSE N
C-I CITIGROUP INC DEP SH 1/1000 419 NYSE N
C-M CITIGROUP INC PFD1/1000 SR F 5,621 NYSE N
C-P CITIGROUP INC DEP SHS PFD AA 4,326 NYSE N
CAC CAMDEN NATL CORP COM 16,705 NASDAQ N
CACB CASCADE BANCORP COM NEW 13,787 NASDAQ N
CACC CREDIT ACCEP CORP MICH COM 24,217 NASDAQ N
--- page 20 ---
CACH CACHE INC COM NEW 27,762 NASDAQ N
CAD PIMCO ETF TR CDA BD IDX FD 15,095 NYSE Arca Y
CART CAROLINA TR BK LINCOLNTON NC COM 960 NASDAQ N
CARV CARVER BANCORP INC COM NEW 1,396 NASDAQ N
CARZ FIRST TR EXCHANGE TRADED FD II AUTO INDEX FD 19,277 NASDAQ Y
CASH META FINL GROUP INC COM 6,016 NASDAQ N
CASS CASS INFORMATION SYS INC COM 22,779 NASDAQ N
CAW CCA INDS INC COM 2,974 NYSE MKT N
CBAN COLONY BANKCORP INC COM 10,641 NASDAQ N
CBB-B CINCINNATI BELL INC NEW PFD CV DEP1/20 5,244 NYSE N
CBIN COMMUNITY BK SHS IND INC COM 1,811 NASDAQ N
CBND SPDR SERIES TRUST BRC ISSUER SCORD 17,943 NYSE Arca Y
CBNJ CAPE BANCORP INC COM 15,088 NASDAQ N
CBNK CHICOPEE BANCORP INC COM 5,060 NASDAQ N
CBPO CHINA BIOLOGIC PRODS INC COM 53,486 NASDAQ N
CCBG CAPITAL CITY BK GROUP INC COM 24,230 NASDAQ N
CCF CHASE CORP COM 13,161 NYSE MKT N
CCG-A CAMPUS CREST CMNTYS INC PFD SER A 8% 2,524 NYSE N
CCH COCA COLA HELLENIC BTTLG CO SA SPONSORED ADR 11,741 NYSE N
CCNE CNB FINL CORP PA COM 10,616 NASDAQ N
CCSC COUNTRY STYLE COOKING RESTAURA SPONSORED ADR 40,252 NYSE N
CCUR CONCURRENT COMPUTER CORP NEW COM PAR $.01 39,553 NASDAQ N
CCXE WISDOMTREE TRUST COMM COUNTRY EQ 3,472 NYSE Arca Y
CCXI CHEMOCENTRYX INC COM 15,143 NASDAQ N
CCZ COMCAST HOLDINGS CORP ZONES CV2% PCS 116 NYSE N
CDR-A CEDAR REALTY TRUST INC PFD A 8.875 2,281 NYSE N
CEA CHINA EASTN AIRLS LTD SPON ADR CL H 8,570 NYSE N
CECE CECO ENVIRONMENTAL CORP COM 49,613 NASDAQ N
CEDU CHINAEDU CORP SPONS ADR 4,802 NASDAQ N
CELGZ CELGENE CORP CONTIN VAL RT 69,638 NASDAQ N
CEMB iShares Emerging Markets Corporate Bond Fund 7,642 BATS BZX Y
CEMP CEMPRA INC COM 19,030 NASDAQ N
CEO CNOOC LTD SPONSORED ADR 88,790 NYSE N
CEV EATON VANCE CA MUNI INCOME TR SH BEN INT 16,206 NYSE MKT N
CF CF INDS HLDGS INC COM 1,051,159 NYSE N
CFFC COMMUNITY FINL CORP VA COM 4,428 NASDAQ N
CFFI C & F FINL CORP COM 13,623 NASDAQ N
CFI CULP INC COM 48,174 NYSE N
CFNB CALIFORNIA FIRST NTNL BANCORP COM 3,263 NASDAQ N
CGEI CHINA GROWTH EQUITY INV LTD SHS 953 NASDAQ N
CGX CONSOLIDATED GRAPHICS INC COM 51,279 NYSE N
CHCO CITY HLDG CO COM 47,144 NASDAQ N
CHDN CHURCHILL DOWNS INC COM 42,942 NASDAQ N
CHEV CHEVIOT FINL CORP NEW COM 11,252 NASDAQ N
CHFC CHEMICAL FINL CORP COM 42,331 NASDAQ N
CHFN CHARTER FINL CORP WEST PT GA COM 33,003 NASDAQ N
CHIE GLOBAL X FDS CHINA ENRG ETF 4,418 NYSE Arca Y
CHIM GLOBAL X FDS CHINA MATL ETF 9,541 NYSE Arca Y
CHK-D CHESAPEAKE ENERGY CORP PFD CONV 6,925 NYSE N
CHKE CHEROKEE INC DEL NEW COM 15,790 NASDAQ N
CHLC MARKET VECTORS ETF TR RENMINBI BOND 16,539 NYSE Arca Y
CHMG CHEMUNG FINL CORP COM 2,374 NASDAQ N
CHNR CHINA NATURAL RESOURCES INC COM 3,461 NASDAQ N
CHRM CHARM COMMUNICATIONS INC ADR SHS CL A 11,732 NASDAQ N
CHSCP CHS INC PFD 8% 18,560 NASDAQ N
--- page 21 ---
CHSP-A CHESAPEAKE LODGING TR 7.75% PFD SER A 6,419 NYSE N
CHXF WISDOMTREE TR CHINADIV EX FI 13,760 NASDAQ Y
CIG.C COMPANHIA ENERGETICA DE MINAS SPONSORED ADR 4,042 NYSE N
CISAU CIS ACQUISITION LTD UNIT EX 000017 7,568 NASDAQ N
CITZ CFS BANCORP INC COM 5,565 NASDAQ N
CIX COMPX INTERNATIONAL INC CL A 3,011 NYSE MKT N
CIZN CITIZENS HLDG CO MISS COM 1,666 NASDAQ N
CKH# SEACOR HOLDINGS INC EX DISTRIB 94 NYSE N
CKX CKX LANDS INC COM 1,197 NYSE MKT N
CLB CORE LABORATORIES N V COM 277,946 NYSE N
CLBH CAROLINA BK HLDGS INC GREENSBO COM 6,088 NASDAQ N
CLFD CLEARFIELD INC COM 9,228 NASDAQ N
CLIR CLEARSIGN COMBUSTION CORP COM 12,971 NASDAQ N
CLRX COLLABRX INC COM 8,482 NASDAQ N
CLWT EURO TECH HOLDINGS CO LTD SHS NEW 4,613 NASDAQ N
CMBS ISHARES TR BARCLAYS CMBS 11,068 NYSE Arca Y
CMD PROSHARES TR II ULSHT DJ UBS CMD 359 NYSE Arca Y
CMF ISHARES TR S&P CAL AMTFR MN 25,312 NYSE Arca Y
CMG CHIPOTLE MEXICAN GRILL INC COM 705,857 NYSE N
CMGE CHINA MOBILE GAMES & ENTMT GRP SPONSORED ADR 4,715 NASDAQ N
CMO-A CAPSTEAD MTG CORP PFD A CV $1.60 53 NYSE N
CMS-A CONSUMERS ENERGY CO PFD $4.16 176 NYSE N
CMS-B CONSUMERS ENERGY CO PFD $4.50 380 NYSE N
CMSB CMS BANCORP INC COM 1,586 NASDAQ N
CNBC CENTER BANCORP INC COM 17,657 NASDAQ N
CNBKA CENTURY BANCORP INC MASS CL A NON VTG 4,640 NASDAQ N
CNPF GLOBAL X FDS GLB X CDA PFD 5,328 NYSE Arca Y
CNSI COMVERSE INC COM 98,940 NASDAQ N
CNY MORGAN STANLEY RENMIN/USD ETN 15,669 NYSE Arca Y
CNYD CHINA YIDA HOLDINGS CO COM PAR $0.0001 1,401 NASDAQ N
COBK COLONIAL FINL SVCS INC COM 4,660 NASDAQ N
COBO PROSHARES TR USD COVERED BD 8,756 NYSE Arca Y
COF+ CAPITAL ONE FINL CORP WT EXP 111418 33,264 NYSE N
COKE COCA COLA BOTTLING CO CONS COM 12,947 NASDAQ N
COLX MARKET VECTORS ETF TR COLUMBIA ETF 1,683 NYSE Arca Y
CORE CORE MARK HOLDING CO INC COM 41,667 NASDAQ N
CORP PIMCO ETF TR INV GRD CRP BD 46,831 NYSE Arca Y
CPA COPA HOLDINGS SA CL A 404,542 NYSE N
CPAC CEMENTOS PACASMAYO S A A SPON ADR REP 5 21,635 NYSE N
CPBC COMMUNITY PARTNERS BANCORP COM 1,949 NASDAQ N
CPHC CANTERBURY PARK HOLDING CORP COM 1,497 NASDAQ N
CPK CHESAPEAKE UTILS CORP COM 31,010 NYSE N
CPSI COMPUTER PROGRAMS & SYS INC COM 78,326 NASDAQ N
CRAI CRA INTL INC COM 27,819 NASDAQ N
CRFN CRESCENT FINL BANCSHARES INC COM 5,981 NASDAQ N
CRM SALESFORCE COM INC COM 1,490,248 NYSE N
CRMBU CRUMBS BAKE SHOP INC UNIT 1 COM & 1 W 41 NASDAQ N
CRMT AMERICAS CAR MART INC COM 35,587 NASDAQ N
CROC PROSHARES TR II PROSHS U/SHAUS 820 NYSE Arca Y
CRRB CARROLLTON BANCORP COM 288 NASDAQ N
CRRC COURIER CORP COM 44,359 NASDAQ N
CRT CROSS TIMBERS RTY TR TR UNIT 26,897 NYSE N
CRV COAST DISTR SYS COM 5,400 NYSE MKT N
CRVL CORVEL CORP COM 15,284 NASDAQ N
CSBK CLIFTON SVGS BANCORP INC COM 8,122 NASDAQ N
--- page 22 ---
CSCD CASCADE MICROTECH INC COM 25,269 NASDAQ N
CSM PROSHARES TR PSHS CS 130/30 17,666 NYSE Arca Y
CSPI CSP INC COM 28,078 NASDAQ N
CSRE CSR PLC SPONSORED ADR 4,265 NASDAQ N
CSS CSS INDS INC COM 22,785 NYSE N
CSTE CAESARSTONE SDOT-YAM LTD ORD SHS 65,953 NASDAQ N
CSWC CAPITAL SOUTHWEST CORP COM 7,163 NASDAQ N
CTBI COMMUNITY TR BANCORP INC COM 34,634 NASDAQ N
CTF NUVEEN LG/SHT COMMODITY TOTRTN COM UT BEN INT 49,694 NYSE MKT N
CTIB CTI INDUSTRIES CORP COM NEW 1,705 NASDAQ N
CTNN BARCLAYS BK PLC IPT COTTON ETN 6,338 NYSE Arca Y
CTO CONSOLIDATED TOMOKA LD CO COM 9,283 NYSE MKT N
CTZ-A CITIZENS FDG TR I PREF ENHANC TR 3,632 NYSE N
CUBA HERZFELD CARIBBEAN BASIN FD COM 22,429 NASDAQ N
CUBE-A CUBESMART 7.75% RED PFD SH 3,181 NYSE N
CUNB CU BANCORP CALIF COM 9,018 NASDAQ N
CUO CONTINENTAL MATLS CORP COM PAR $0.25 568 NYSE MKT N
CUPM BARCLAYS BK PLC IPT COPPER ETN 895 NYSE Arca Y
CURE DIREXION SHS ETF TR HEALTHCARE BUL 6,454 NYSE Arca Y
CUZ-B COUSINS PPTYS INC PFD B 7.50% 1,799 NYSE N
CVB CORPORATE BACKED TR CTFS SER 02-6 7.75% 298 NYSE N
CVCO CAVCO INDS INC DEL COM 36,775 NASDAQ N
CVCY CENTRAL VALLEY CMNTY BANCORP COM 8,398 NASDAQ N
CVLY CODORUS VY BANCORP INC COM 3,920 NASDAQ N
CVOL CITIGROUP INC NEW ETN CITI VOL 20 4,746 NYSE Arca Y
CVR CHICAGO RIVET & MACH CO COM 5,465 NYSE MKT N
CVRT POWERSHARES ETF TRUST II CONV PORTFOLIO 12,355 NYSE Arca Y
CVTI COVENANT TRANSN GROUP INC CL A 14,630 NASDAQ N
CVV CVD EQUIPMENT CORP COM 35,640 NASDAQ N
CWBC COMMUNITY WEST BANCSHARES COM 6,974 NASDAQ N
CWEI WILLIAMS CLAYTON ENERGY INC COM 33,694 NASDAQ N
CWHN COMMONWEALTH REIT SR NT 7,691 NYSE N
CWHO COMMONWEALTH REIT SR NT 5.75% 31,137 NYSE N
CWZ CORPORATE BACKED TR CTFS SER 01-27 8.875% 1,625 NYSE N
CYAN CYANOTECH CORP COM PAR $0.02 6,995 NASDAQ N
CYBE CYBEROPTICS CORP COM 4,340 NASDAQ N
CYCCP CYCLACEL PHARMACEUTICALS INC PFD CONV EX 6% 40,188 NASDAQ N
CYD CHINA YUCHAI INTL LTD COM 59,900 NYSE N
CYS-A CYS INVTS INC CUM REDEEMABLE P 6,001 NYSE N
CYTXW CYTORI THERAPEUTICS INC WT EXP 091314 5,272 NASDAQ N
CZFC CITIZENS FIRST CORP COM 6,051 NASDAQ N
CZNC CITIZENS & NORTHN CORP COM 16,104 NASDAQ N
CZWI CITIZENS CMNTY BANCORP INC MD COM 5,250 NASDAQ N
DAEG DAEGIS INC COM 11,022 NASDAQ N
DAIO DATA I O CORP COM 4,829 NASDAQ N
DAVE FAMOUS DAVES AMER INC COM 10,856 NASDAQ N
DBEF DBX ETF TR EAFE CURR HDG 16,854 NYSE Arca Y
DBJP DBX ETF TR JAPAN CURR HDG 9,960 NYSE Arca Y
DBLE DOUBLE EAGLE PETE CO COM PAR $0.10 30,366 NASDAQ N
DBLEP DOUBLE EAGLE PETE CO PFD SER A 2,204 NASDAQ N
DCIN DIGITAL CINEMA DESTINATIONS CP CL A COM 1,028 NASDAQ N
DD-A DU PONT E I DE NEMOURS & CO PFD $3.50 758 NYSE N
DD-B DU PONT E I DE NEMOURS & CO PFD $4.50 1,125 NYSE N
DDP DEUTSCHE BK AG LDN BRH PS CMDTY SH ETN 3,098 NYSE Arca Y
DEE DEUTSCHE BK AG LDN BRH PS CMDT DS ETN 1,035 NYSE Arca Y
--- page 23 ---
DEFL DEUTSCHE BK AG LONDON BRH US DEFLATION 118 NYSE Arca Y
DEL DELTIC TIMBER CORP COM 36,613 NYSE N
DEW WISDOMTREE TRUST GLB EQTY INC FD 14,229 NYSE Arca Y
DFE WISDOMTREE TRUST EUROPE SMCP DV 14,910 NYSE Arca Y
DFF BANK AMER CORP LNK DJ INDSTL 2,278 NYSE Arca N
DFR CIFC CORP COM 12,768 NASDAQ N
DFRG DEL FRISCOS RESTAURANT GROUP I COM 52,620 NASDAQ N
DFT-A DUPONT FABROS TECHNOLOGY INC PERP PFD SER A 4,988 NYSE N
DFT-B DUPONT FABROS TECHNOLOGY INC CUM PERP PFD-B 5,034 NYSE N
DFZ BARRY R G CORP OHIO COM 18,664 NASDAQ N
DGAS DELTA NAT GAS INC COM 10,181 NASDAQ N
DGICA DONEGAL GROUP INC CL A 18,405 NASDAQ N
DGICB DONEGAL GROUP INC CL B 209 NASDAQ N
DGLY DIGITAL ALLY INC COM NEW 1,944 NASDAQ N
DGSE DGSE COMPANIES INC COM 10,374 NYSE MKT N
DGT SPDR SERIES TRUST GLB DOW ETF 5,443 NYSE Arca Y
DHIL DIAMOND HILL INVESTMENT GROUP COM NEW 6,656 NASDAQ N
DIM WISDOMTREE TRUST INTL MIDCAP DV 19,915 NYSE Arca Y
DIRT BARCLAYS BK PLC IPTH AGRIC ETN 783 NYSE Arca Y
DISCB DISCOVERY COMMUNICATNS NEW COM SER B 56 NASDAQ N
DIT AMCON DISTRG CO COM NEW 2,552 NYSE MKT N
DJCO DAILY JOURNAL CORP COM 1,154 NASDAQ N
DKL DELEK LOGISTICS PARTNERS LP COM UNT RP INT 66,966 NYSE N
DL CHINA DISTANCE ED HLDGS LTD SPONS ADR 18,856 NYSE N
DLA DELTA APPAREL INC COM 29,094 NYSE MKT N
DMLP DORCHESTER MINERALS LP COM UNIT 45,318 NASDAQ N
DMO WESTERN ASSET MTG DEF OPPTY FD COM 30,623 NYSE N
DMRC DIGIMARC CORP NEW COM 14,142 NASDAQ N
DNBF DNB FINL CORP COM 2,111 NASDAQ N
DNL WISDOMTREE TRUST GLB EX US GRWTH 23,695 NYSE Arca Y
DNO UNITED STS SHORT OIL FD LP UNITS 18,423 NYSE Arca Y
DNY DENALI FD INC COM 3,275 NYSE N
DOD DEUTSCHE BK AG LONDON ETN DJ HY 2022 10,194 NYSE Arca Y
DOIL CREDIT SUISSE NASSAU BRH VS 3X INV BREN 197 NYSE Arca Y
DOL WISDOMTREE TRUST INTL LRGCAP DV 24,384 NYSE Arca Y
DON WISDOMTREE TRUST MIDCAP DIVI FD 70,280 NYSE Arca Y
DOVR DOVER SADDLERY INC COM 10,599 NASDAQ N
DPU DEUTSCHE BK AG LDN BRH PS CMDT LG ETN 392 NYSE Arca Y
DQ DAQO NEW ENERGY CORP SPNSRD ADR NEW 72,859 NYSE N
DRCO DYNAMICS RESH CORP COM 9,181 NASDAQ N
DRR MORGAN STANLEY SHRT EUR ETN20 12,049 NYSE Arca Y
DRTX DURATA THERAPEUTICS INC COM 40,791 NASDAQ N
DSKX DS HEALTHCARE GROUP INC COM 1,038 NASDAQ N
DSXJ JPMORGAN CHASE & CO DBL SHRT 10YR 224 NYSE Arca Y
DVYA ISHARES INC ASIA PAC30 IDX 8,838 NYSE Arca Y
DVYL UBS AG LONDON BRH ETRACS MP2X DJ 2,635 NYSE Arca Y
DWCH DATAWATCH CORP COM NEW 37,082 NASDAQ N
DWSN DAWSON GEOPHYSICAL CO COM 42,978 NASDAQ N
DWTI CREDIT SUISSE NASSAU BRH VS 3XINV CRUDE 2,702 NYSE Arca Y
DX-A DYNEX CAP INC PFD SER A 2,548 NYSE N
DXPE DXP ENTERPRISES INC NEW COM NEW 52,066 NASDAQ N
DXR DAXOR CORP COM 1,762 NYSE MKT N
DXYN DIXIE GROUP INC CL A 13,552 NASDAQ N
DYNT DYNATRONICS CORP COM NEW 17,024 NASDAQ N
DYY DEUTSCHE BK AG LDN BRH PS CMDT DL ETN 19,183 NYSE Arca Y
--- page 24 ---
DZK DIREXION SHS ETF TR DLY DEV MKT BULL 15,856 NYSE Arca Y
EAC ERICKSON AIR-CRANE INC COM 32,405 NASDAQ N
EAGLU GLOBAL EAGLE ACQUISITION CORP UNIT 1 000012 25 NASDAQ N
EAPS PAX WORLD FDS TR II MSCI ESG IDX 8,739 NYSE Arca Y
EBMT EAGLE BANCORP MONT INC COM 3,569 NASDAQ N
EBOD RENEWABLE ENERGY TRADE BRD COR SHS 2,660 NASDAQ N
EBSB MERIDIAN INTERSTAT BANCORP INC COM 31,428 NASDAQ N
EBTC ENTERPRISE BANCORP INC MASS COM 8,837 NASDAQ N
ECBE ECB BANCORP INC COM 6,770 NYSE MKT N
ECNS ISHARES TR MSCI CHIN SMCP 29,803 NYSE Arca Y
EDAC EDAC TECHNOLOGIES CORP COM 8,774 NASDAQ N
EDEN ISHARES TR MSCI DENMRK CP 3,951 BATS BZX Y
EDF STONE HBR EMERG MRKTS INC FD COM 56,515 NYSE N
EDGW EDGEWATER TECHNOLOGY INC COM 23,214 NASDAQ N
EDT ENTERGY TEXAS INC MTG BD 7.875% 6,508 NYSE N
EDUC EDUCATIONAL DEV CORP COM 4,261 NASDAQ N
EDV VANGUARD WORLD FD EXTENDED DUR 37,678 NYSE Arca Y
EEHB POWERSHARES ETF TR II S&P EMRGHIBETA 1,502 NYSE Arca Y
EEI ECOLOGY & ENVIRONMENT INC CL A 2,879 NASDAQ N
EEME ISHARES INC MSCI EMRG EMEA 2,768 NASDAQ Y
EEML ISHARES TR MSCI EMKT LATN 2,105 NASDAQ Y
EEMS ISHARES INC MSCI EM SML CP 10,041 NYSE Arca Y
EES WISDOMTREE TRUST SMLCAP EARN FD 9,429 NYSE Arca Y
EFM ENTERGY MISS INC 1ST MTG BD 40 5,397 NYSE N
EFNL ISHARES TR MSCI FINLND CP 3,086 BATS BZX Y
EFSC ENTERPRISE FINL SVCS CORP COM 28,791 NASDAQ N
EFUT E FUTURE INFORMATION TECH INC SHS 1,713 NASDAQ N
EGAN EGAIN COMMUNICATIONS COM NEW 48,771 NASDAQ N
EGAS GAS NAT INC COM 19,340 NYSE MKT N
EGL ENGILITY HLDGS INC COM 67,348 NYSE N
EGRW ISHARES INC EMKTS GRW IDX 328 NASDAQ Y
EIA EATON VANCE CALIF MUN BD FD II COM 7,403 NYSE MKT N
EIHI EASTERN INS HLDGS INC COM 13,220 NASDAQ N
EIO EATON VANCE OHIO MUN BD FD COM 3,442 NYSE MKT N
EIP EATON VANCE PA MUN BD FD COM 4,728 NYSE MKT N
EIRL ISHARES TR IRLND CPD INVT 16,304 NYSE Arca Y
EIS ISHARES INC MSCI ISRAEL FD 17,220 NYSE Arca Y
ELB ENTERGY LOUISIANA LLC 1ST MTG BD 9,659 NYSE N
ELLO ELLOMAY CAPITAL LIMITED SHS 1,896 NYSE MKT N
ELR SPDR SERIES TRUST DJ LRG CAP ETF 752 NYSE Arca Y
ELRC ELECTRO RENT CORP COM 35,348 NASDAQ N
ELS-C EQUITY LIFESTYLE PPTYS INC DEP SH REP PFD 24,198 NYSE N
ELSE ELECTRO-SENSORS INC COM 916 NASDAQ N
EMCB WISDOMTREE TR WSDM EMKTBD FD 18,086 NASDAQ Y
EMCD SPDR SER TR SPDR BOFA ML 1,023 NYSE Arca Y
EMCF EMCLAIRE FINL CORP COM 378 NASDAQ N
EMCI EMC INS GROUP INC COM 15,512 NASDAQ N
EMDD EGA EMERGING GLOBAL SHS TR EGSHARE EM DOM 1,929 NYSE Arca Y
EMDI ISHARES INC EMKT CNSM DISC 195 NASDAQ Y
EMEY ISHARES INC EMKT ENRG SECT 2,372 NASDAQ Y
EMFN ISHARES TR MSCI EM MK FNL 4,407 NASDAQ Y
EMFT SPDR INDEX SHS FDS MSCI EM50 ETF 1,667 NYSE Arca Y
EMHY iShares Emerging Markets High Yield Bond Fund 25,141 BATS BZX Y
EMI EATON VANCE MI MUNI INCOME TR SH BEN INT 3,294 NYSE MKT N
EMIF ISHARES TR S&P EMRG INFRS 17,915 NASDAQ Y
--- page 25 ---
EMITF ELBIT IMAGING LTD ORD SHS 2,658 NASDAQ N
EMJ EATON VANCE N J MUN BD FD COM 4,522 NYSE MKT N
EML EASTERN CO COM 10,766 NASDAQ N
EMLB BARCLAYS BK PLC EMRG MK 3X LNG 167 NYSE Arca Y
EMM SPDR SERIES TRUST DJ MID CAP ETF 14,443 NYSE Arca Y
EMMSP EMMIS COMMUNICATIONS CORP PFD CV SER A 142 NASDAQ N
EMMT ISHARES TR MSCI EMG MATS 10,444 NASDAQ Y
EMQ ENTERGY MISS INC MTG 1ST BDS 6% 4,260 NYSE N
EMT EGA EMERGING GLOBAL SHS TR EGSHARE EM METLS 3,168 NYSE Arca Y
ENGN ISHARES TR INDUSTRIAL SCT 1,216 NYSE Arca Y
ENOR ISHARES TR MSCI NORWAY CP 11,223 BATS BZX Y
ENSG ENSIGN GROUP INC COM 46,370 NASDAQ N
EP-C EL PASO ENERGY CAP TR I PFD CV TR SECS 5,486 NYSE N
EPM-A EVOLUTION PETROLEUM CORP PFD-A 8.5% 427 NYSE MKT N
EPR-C EPR PPTYS PFD C CNV 5.75% 7,152 NYSE N
EPR-E EPR PPTYS CONV PFD 9% SR E 4,755 NYSE N
EQIX EQUINIX INC COM NEW 600,020 NASDAQ N
ERA# ERA GROUP INC COM 11,706 NYSE N
ERIE ERIE INDTY CO CL A 35,043 NASDAQ N
ERO BARCLAYS BK PLC IP EUR/USD ETN 200 NYSE Arca Y
ESBF ESB FINL CORP COM 12,398 NASDAQ N
ESBK ELMIRA SVGS BK ELMIRA N Y COM 1,156 NASDAQ N
ESCA ESCALADE INC COM 7,618 NASDAQ N
ESGR ENSTAR GROUP LIMITED SHS 22,270 NASDAQ N
ESLT ELBIT SYS LTD ORD 3,930 NASDAQ N
ESP ESPEY MFG & ELECTRS CORP COM 4,116 NYSE MKT N
ESR ISHARES INC MSCI EMKT EUR 17,334 NYSE Arca Y
ESS ESSEX PPTY TR INC COM 216,354 NYSE N
ESS-H ESSEX PPTY TR INC PFD SER H 5,100 NYSE N
ESSA ESSA BANCORP INC COM 14,748 NASDAQ N
ESTE EARTHSTONE ENERGY INC COM NEW 2,021 NYSE MKT N
ESYS ELECSYS CORP COM 5,731 NASDAQ N
ETF ABERDEEN EMERG MKTS TELE&INFRA COM 8,228 NYSE MKT N
ETUA EUNITS 2 YR US EQTY MKT PTNTR UNIT 4,443 NYSE MKT N
EU WISDOMTREE TRUST EURO DEBT FUND 2,043 NYSE Arca Y
EUFX PROSHARES TR II PROSHS SHT EUR 291 NYSE Arca Y
EVAC EDWARDS GROUP LTD SPONSORED ADR 20,651 NASDAQ N
EVAL ISHARES INC EMKTS VALU IDX 2,589 NASDAQ Y
EVBN EVANS BANCORP INC COM NEW 3,294 NYSE MKT N
EVBS EASTERN VA BANKSHARES INC COM 8,214 NASDAQ N
EVJ EATON VANCE NJ MUNI INCOME TR SH BEN INT 6,679 NYSE MKT N
EVK EVER GLORY INTL GRP INC COM NEW 2,765 NYSE MKT N
EVO EATON VANCE OH MUNI INCOME TR SH BEN INT 5,777 NYSE MKT N
EVOL EVOLVING SYS INC COM NEW 14,943 NASDAQ N
EVP EATON VANCE PA MUNI INCOME TR SH BEN INT 3,641 NYSE MKT N
EWAS ISHARES TR MSCI AUSTRL SM 1,987 BATS BZX Y
EWCS ISHARES TR MSCI CDA SM CP 710 BATS BZX Y
EWEF RYDEX ETF TRUST GUG MSCI EAFE EQ 2,191 NYSE Arca Y
EWEM RYDEX ETF TRUST GUG MSCI EMKT EQ 2,080 NYSE Arca Y
EWHS ISHARES TR MSCI HK SML CP 2,365 NYSE Arca Y
EWSM RYDEX ETF TRUST GUG S&P SC600 EQ 2,675 NYSE Arca Y
EWSS ISHARES TR MSCI SING SMCP 7,728 NYSE Arca Y
EWUS ISHARES TR MSCI UK SM CAP 2,073 BATS BZX Y
EXA EXA CORP COM 56,963 NASDAQ N
EXAC EXACTECH INC COM 35,872 NASDAQ N
--- page 26 ---
EXE CREXENDO INC COM 2,413 NYSE MKT N
EXI ISHARES TR S&P GL INDUSTR 32,791 NYSE Arca Y
EXL-B EXCEL TR INC PFD-B 3,387 NYSE N
EXPO EXPONENT INC COM 25,728 NASDAQ N
EXT WISDOMTREE TRUST TTL EARNING FD 3,521 NYSE Arca Y
EZJ PROSHARES TR UL MSCI JP ETF 10,487 NYSE Arca Y
EZM WISDOMTREE TRUST MDCP EARN FUND 20,068 NYSE Arca Y
EZY WISDOMTREE TRUST LRGECP VALUE FD 2,867 NYSE Arca Y
FAA CLAYMORE EXCHANGE TRD FD TR 2 GUGG AIRLINE ETF 14,555 NYSE Arca Y
FABK FIRST ADVANTAGE BANCORP COM 1,178 NASDAQ N
FBIZ FIRST BUS FINL SVCS INC WIS COM 12,537 NASDAQ N
FBMI FIRSTBANK CORP MICH COM 9,277 NASDAQ N
FBMS FIRST BANCSHARES INC MS COM 2,845 NASDAQ N
FBS-A FIRST PFD CAP TR IV PFD TR 8.15% 3,012 NYSE N
FBSS FAUQUIER BANKSHARES INC VA COM 1,342 NASDAQ N
FBZ FIRST TR EXCH TRD ALPHA FD II BRAZIL ALPHA 4,070 NYSE Arca Y
FC FRANKLIN COVEY CO COM 25,513 NYSE N
FCA FIRST TR EXCH TRD ALPHA FD II CHINA ALPHADEX 12,899 NYSE Arca Y
FCAN FIRST TR EXCH TRD ALPHA FD II CANADA ALPHA 14,936 NYSE Arca Y
FCAP FIRST CAPITAL INC COM 257 NASDAQ N
FCBC FIRST CMNTY BANCSHARES INC NEV COM 29,398 NASDAQ N
FCCO FIRST CMNTY CORP S C COM 1,584 NASDAQ N
FCCY 1ST CONSTITUTION BANCORP COM 1,029 NASDAQ N
FCE.B FOREST CITY ENTERPRISES INC CL B CONV 603 NYSE N
FCH-A FELCOR LODGING TR INC PFD CV A $1.95 20,474 NYSE N
FCH-C FELCOR LODGING TR INC PFD 1/100 C 8% 17,931 NYSE N
FCHI ISHARES TR FTSE CHINA ETF 4,552 NASDAQ Y
FCLF FIRST CLOVER LEAF FIN CORP COM 4,287 NASDAQ N
FCNCA FIRST CTZNS BANCSHARES INC N C CL A 13,107 NASDAQ N
FCTY 1ST CENTURY BANCSHARES INC COM 2,804 NASDAQ N
FCVA FIRST CAPITAL BANCORP VA COM 5,744 NASDAQ N
FCY FOREST CITY ENTERPRISES INC SR NT 2034 15,990 NYSE N
FCZA FIRST CTZNS BANC CORP COM NO PAR 4,256 NASDAQ N
FDEF FIRST DEFIANCE FINL CORP COM 27,748 NASDAQ N
FDTS FIRST TR EXCH TRD ALPHA FD II EX US SML CP 472 NYSE Arca Y
FDUS FIDUS INVT CORP COM 56,786 NASDAQ N
FEFN ISHARES TR MSCI FAR EAST 4,034 NASDAQ Y
FEIM FREQUENCY ELECTRS INC COM 11,608 NASDAQ N
FELE FRANKLIN ELEC INC COM 75,287 NASDAQ N
FEMS FIRST TR EXCH TRD ALPHA FD II EM SML CP ALPH 2,477 NYSE Arca Y
FEP FIRST TR EXCH TRD ALPHA FD II EUROPE ALPHA 17,365 NYSE Arca Y
FFBCW FIRST FINL BANCORP OH WT EXP 122318 405 NASDAQ N
FFBH FIRST FED BANCSHARES ARK COM NEW 5,814 NASDAQ N
FFCO FEDFIRST FINL CORP NEW COM 3,719 NASDAQ N
FFKT FARMERS CAP BK CORP COM 13,448 NASDAQ N
FFKY FIRST FINL SVC CORP COM 4,629 NASDAQ N
FFNM FIRST FED NORTHN MICH BANCORP COM 1,359 NASDAQ N
FFR FIRST TR FTSE EPRA/NAREIT DEVL COM 11,686 NYSE Arca Y
FGEM EGA EMERGING GLOBAL SHS TR EGSHARE FINL GEM 985 NYSE Arca Y
FHK FIRST TR EXCH TRD ALPHA FD II HONG KONG ALPH 782 NYSE Arca Y
FILL ISHARES INC MSCI GLB ENERG 503 NYSE Arca Y
FINF PROSHARES TR SHT 30YR TIPS 1,590 NYSE Arca Y
FINU PROSHARES TR ULTRAPRO FINLS 4,084 NYSE Arca Y
FISI FINANCIAL INSTNS INC COM 18,600 NASDAQ N
FITBP FIFTH THIRD BANCORP CNV PFD DEP1/250 88,720 NASDAQ N
--- page 27 ---
FJA PPLUS TR CTF A 7.995%36 287 NYSE N
FJP FIRST TR EXCH TRD ALPHA FD II JAPAN ALPHADEX 2,779 NYSE Arca Y
FKO FIRST TR EXCH TRD ALPHA FD II STH KOREA ALPH 3,444 NYSE Arca Y
FLIC FIRST LONG IS CORP COM 11,802 NASDAQ N
FLM FIRST TR ISE GLOBAL ENGR & CON COM 1,977 NYSE Arca Y
FLML FLAMEL TECHNOLOGIES SA SPONSORED ADR 74,732 NASDAQ N
FLN FIRST TR EXCH TRD ALPHA FD II LATIN AMER ALP 4,838 NYSE Arca Y
FLXS FLEXSTEEL INDS INC COM 14,363 NASDAQ N
FMFC FIRST M & F CORP COM 7,904 NASDAQ N
FMNB FARMERS NATL BANC CORP COM 20,735 NASDAQ N
FMS- FRESENIUS MED CARE AG&CO KGAA SPON ADR PREF 47 NYSE N
FNBN F N B UNITED CORP COM NEW 26,014 NASDAQ N
FNFG-B FIRST NIAGARA FINL GP INC PFD NON CUM SER 16,325 NYSE N
FNHC FEDERATED NATL HLDG CO COM 6,861 NASDAQ N
FNK FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 4,794 NYSE Arca Y
FNLC FIRST BANCORP INC ME COM 17,982 NASDAQ N
FOIL BARCLAYS BK PLC IPTH ALUMN ETN 647 NYSE Arca Y
FONE FIRST TR NASDAQ SMART PHONE IN COM SHS 2,639 NASDAQ Y
FORTY FORMULA SYS 1985 LTD SPONSORED ADR 4,036 NASDAQ N
FOSL FOSSIL INC COM 722,066 NASDAQ N
FPA FIRST TR EXCH TRD ALPHA FD II ASIA EX JAPAN 2,840 NYSE Arca Y
FPC-A FPC CAP I QUIPS A 7.10% 281 NYSE N
FPO-A FIRST POTOMAC RLTY TR CUM RED PFD-A 7,322 NYSE N
FPP FIELDPOINT PETROLEUM CORP COM 9,977 NYSE MKT N
FR-J FIRST INDUSTRIAL REALTY TRUST PFD 1/10000 J 11,399 NYSE N
FR-K FIRST INDUSTRIAL REALTY TRUST PFD K 7.25% 3,507 NYSE N
FRAK MARKET VECTORS ETF TR UNCVTL OIL GAS 11,816 NYSE Arca Y
FRC-A FIRST REP BK SAN FRANCISCO CAL DEP SH PFD A 11,414 NYSE N
FRC-B FIRST REP BK SAN FRANCISCO CAL DEP SHS REPSTG 1 14,175 NYSE N
FRGI FIESTA RESTAURANT GROUP INC COM 64,258 NASDAQ N
FRS FRISCHS RESTAURANTS INC COM 5,148 NYSE MKT N
FSBK FIRST SOUTH BANCORP INC VA COM 9,259 NASDAQ N
FSBW FS BANCORP INC COM 9,381 NASDAQ N
FSCE FIFTH STR FIN CORP SR NT 24 17,920 NYSE N
FSCI FISHER COMMUNICATIONS INC COM 32,162 NASDAQ N
FSFG FIRST SAVINGS FINL GROUP INC COM 2,008 NASDAQ N
FSGI FIRST SEC GROUP INC COM NEW 21,109 NASDAQ N
FSTR FOSTER L B CO COM 39,952 NASDAQ N
FTW FIRST TR EXCH TRD ALPHA FD II TAIWAN ALPHADE 97 NYSE Arca Y
FUD UBS AG JERSEY BRH CMCI FOOD ETN 5,348 NYSE Arca Y
FUE SWEDISH EXPT CR CORP MLCX BIO ETN23 404 NYSE Arca Y
FUNC FIRST UTD CORP COM 4,294 NASDAQ N
FUR-D WINTHROP RLTY TR PFD SHS BEN INT 12,413 NYSE N
FURX FURIEX PHARMACEUTICALS INC COM 38,740 NASDAQ N
FWDB ADVISORSHARES TR MADRONA GLB BD 1,966 NYSE Arca Y
FWDD ADVISORSHARES TR MADRONA DOMESTIC 656 NYSE Arca Y
FWDI ADVISORSHARES TR MADRONA INTL ETF 27,937 NYSE Arca Y
FWV FIRST W VA BANCORP INC COM 269 NYSE MKT N
FXCB FOX CHASE BANCORP INC NEW COM 22,419 NASDAQ N
FXCH CURRENCYSHARES CHINESE RENMINB CHIN RENMINBI 336 NYSE Arca Y
FXS CURRENCYSHARES SWEDISH KRONA T SWEDISH KRONA 2,238 NYSE Arca Y
GAB-G GABELLI EQUITY TR INC PFD-G 1,850 NYSE N
GABC GERMAN AMERN BANCORP INC COM 17,082 NASDAQ N
GAF SPDR INDEX SHS FDS MIDEAST AFRICA 19,366 NYSE Arca Y
GAI GLOBAL TECH ADVANCED INNOVATIO SHS NEW 14,317 NASDAQ N
--- page 28 ---
GAIA GAIAM INC CL A 30,157 NASDAQ N
GAINP GLADSTONE INVT CORP PFD A 7.125% 9,684 NASDAQ N
GALTU GALECTIN THERAPEUTICS INC UNIT EX 000017 918 NASDAQ N
GASZ UBS AG LONDON BRH DLY LNGSHT GAS 40,021 NYSE Arca Y
GAT GEORGIA PWR CO NT SER2008C 48 19,792 NYSE N
GBB BARCLAYS BK PLC IP GBP/USD ETN 252 NYSE Arca Y
GBF ISHARES TR BARCLYS GOVT CR 7,090 NYSE Arca Y
GBL GAMCO INVESTORS INC COM 11,589 NYSE N
GBLI GLOBAL INDEMNITY PLC SHS 14,434 NASDAQ N
GCBC GREENE COUNTY BANCORP INC COM 443 NASDAQ N
GCE GS FIN CORP ETN CLAYMORE37 7,076 NYSE Arca Y
GCV-B GABELLI CONV & INCOME SECS FD PFD SER B 736 NYSE N
GDV-D GABELLI DIVD & INCOME TR PFD SER D 2,766 NYSE N
GEF.B GREIF INC CL B 8,674 NYSE N
GENC GENCOR INDS INC COM 10,501 NASDAQ N
GENT GENTIUM S P A SPONSORED ADR 25,407 NASDAQ N
GEOS GEOSPACE TECHNOLOGIES CORP COM 74,802 NASDAQ N
GERJ MARKET VECTORS ETF TR GERMANY SM CAP 6,624 NYSE Arca Y
GFED GUARANTY FED BANCSHARES INC COM 7,041 NASDAQ N
GFN GENERAL FINANCE CORP COM 32,708 NASDAQ N
GFNCL GENERAL FINANCE CORP UNIT 1 000013 143 NASDAQ N
GFY WESTERN ASSET VAR RT STRG FD COM 21,517 NYSE N
GGEM EGA EMERGING GLOBAL SHS TR CONS GOODS GEM 382 NYSE Arca Y
GGGG GLOBAL X FDS PURE GLD MINERS 2,504 NYSE Arca Y
GGN-A GAMCO GLOBAL GOLD NAT RES & IN 6.625% PFD SER A 3,967 NYSE MKT N
GGOV PROSHARES TR GERMAN SOV/SUB 35 NYSE Arca Y
GGT-B GABELLI MULTIMEDIA TR INC PFD B 6% 2,247 NYSE N
GHM GRAHAM CORP COM 37,685 NYSE MKT N
GHYG iShares Global High Yield Corporate Bond Fund 14,478 BATS BZX Y
GIFI GULF ISLAND FABRICATION INC COM 36,693 NASDAQ N
GIGA GIGA TRONICS INC COM 1,698 NASDAQ N
GII SPDR INDEX SHS FDS MACQU GLBIN100 12,499 NYSE Arca Y
GIY CLAYMORE EXCHANGE TRD FD TR GUGG ENH CRE BN 6,276 NYSE Arca Y
GJD STRATS TR FOR SPRINT SECS STRATS A1 6.5% 3,213 NYSE N
GJH STRATS TR UTD STS CELLULAR CP STRATS 6.375 1,243 NYSE N
GJJ STRATS TR GOLDMAN SACHS GROUP CTF04-8 FLT RT 1,494 NYSE N
GJK STRATS TR J P MORGAN CHASE 04-9 CTF A-1 536 NYSE N
GJO STRATS TR WAL MART STORES INC STRT CTF 05-4 3,659 NYSE N
GJP STRATS TR FOR DOMINION RES INC STRT CTF 05-6 1,703 NYSE N
GJR STRATS TR FOR PROCTR&GAMBL SEC CTF 2006-1 1,530 NYSE N
GJS STRATS TR GOLDMAN SACHS GROUP STRATS CTF 33 2,017 NYSE N
GJT STRATS TR ALLSTATE CORP 06-3 ASSET BKD 2,904 NYSE N
GJV STRATS TR NEWS CORP SECS 2006 CTF 7% CL A-1 1,763 NYSE N
GK G & K SVCS INC CL A 37,520 NASDAQ N
GKK-A GRAMERCY CAP CORP PFD SER A 16,974 NYSE N
GKNT GEEKNET INC COM NEW 7,647 NASDAQ N
GLADP GLADSTONE CAPITAL CORP PFD 2,397 NASDAQ N
GLBS GLOBUS MARITIME LIMITED NEW COM 11,766 NASDAQ N
GLBZ GLEN BURNIE BANCORP COM 2,713 NASDAQ N
GLDC GOLDEN ENTERPRISES INC COM 11,725 NASDAQ N
GLP GLOBAL PARTNERS LP COM UNITS 58,780 NYSE N
GMFS SPDR INDEX SHS FDS S&P SMLCP ASIA 757 NYSE Arca Y
GML SPDR INDEX SHS FDS LATIN AMER ETF 12,755 NYSE Arca Y
GMM SPDR INDEX SHS FDS EMERG MKTS ETF 76,065 NYSE Arca Y
GMMB COLUMBIA ETF TR INTERMED MUN 513 NYSE Arca Y
--- page 29 ---
GMTB COLUMBIA ETF TR CORE BD STRAT 3,408 NYSE Arca Y
GMXR- GMX RES INC PFD SER B 9.25% 8,700 NYSE N
GNE-A GENIE ENERGY LTD PFD-2012-A 1,287 NYSE N
GNI GREAT NORTHN IRON ORE PPTYS CTFS BEN INT 15,958 NYSE N
GOODN GLADSTONE COML CORP PFD SER C 7.125% 1,319 NASDAQ N
GOODO GLADSTONE COML CORP PFD B 7.50% 475 NASDAQ N
GOODP GLADSTONE COML CORP PFD SER A 564 NASDAQ N
GOOG GOOGLE INC CL A 2,686,663 NASDAQ N
GPE-A GEORGIA PWR CO PFD A 6.125% 1,756 NYSE N
GPIC GAMING PARTNERS INTL CORP COM 18,138 NASDAQ N
GRC GORMAN RUPP CO COM 23,171 NYSE MKT N
GREK GLOBAL X FDS FTSE GREECE 20 50,170 NYSE Arca Y
GRES INDEXIQ ETF TR IQ GLB RES ETF 16,078 NYSE Arca Y
GRF EAGLE CAP GROWTH FD INC COM 3,731 NYSE MKT N
GRH-C GREENHUNTER ENERGY INC PFD CUM C 10% 8,732 NYSE MKT N
GRI ALPS ETF TR C&S GLOBL ETF 26,300 NYSE Arca Y
GRID FIRST TR EXCH TRADED FD II NASDQ CLN EDGE 3,150 NASDAQ Y
GRIF GRIFFIN LD & NURSERIES INC CL A 2,213 NASDAQ N
GRN BARCLAYS BANK PLC ETN GLB CARB38 355 NYSE Arca Y
GRT-H GLIMCHER RLTY TR PFD-H 7.5% 11,306 NYSE N
GRWN BARCLAYS BK PLC IPTH SOFTS ETN 147 NYSE Arca Y
GRX-A GABELLI HLTHCARE & WELLNESS TR PFD SER A 2,655 NYSE N
GSBC GREAT SOUTHN BANCORP INC COM 19,154 NASDAQ N
GSC GOLDMAN SACHS GROUP INC SP ENHCMD37ETN 30,102 NYSE Arca Y
GSJK COMPRESSCO PARTNERS L P COM UNIT 12,970 NASDAQ N
GST-A GASTAR EXPLORATION USA INC PFD-A 8.625% 9,220 NYSE MKT N
GTIM GOOD TIMES RESTAURANTS INC COM PAR $.001NEW 50,428 NASDAQ N
GTN.A GRAY TELEVISION INC CL A 3,198 NYSE N
GTPPP GOODYEAR TIRE & RUBR CO PFD CONV 5.875% 34,660 NASDAQ N
GTU CENTRAL GOLDTRUST TR UNIT 37,164 NYSE MKT N
GTWN GEORGETOWN BANCORP INC MD COM 299 NASDAQ N
GUA GULF POWER CO SR NT-2011A51 7,673 NYSE N
GUL GULF POWER CO NT H 5.25% 33 1,246 NYSE N
GULF WISDOMTREE TR MID EAST DIVD 9,706 NASDAQ Y
GUR SPDR INDEX SHS FDS EUROPE ETF 34,157 NYSE Arca Y
GURU GLOBAL X FDS GLB X FTSE NOR 2,984 NYSE Arca Y
GUT-A GABELLI UTIL TR PFD A 5.625% 1,267 NYSE N
GVT COLUMBIA ETF TR COLUMBIA CON LRG 115 NYSE Arca Y
GWO CREDIT SUISSE NASSAU BRH GLB WARM ETN23 94 NYSE Arca Y
GWRU GENESEE & WYO INC UNIT 100115 17,958 NYSE N
GWW GRAINGER W W INC COM 450,539 NYSE N
GXP-A GREAT PLAINS ENERGY INC PFD 3.80% 510 NYSE N
GXP-D GREAT PLAINS ENERGY INC PFD 4.35% 101 NYSE N
GXP-E GREAT PLAINS ENERGY INC PFD 4.50% 192 NYSE N
GYA CABCO SER 2004-1 TR GOLDMAN CTF A1 6.0% 34 2,193 NYSE N
GYB CABCO SER 2004-101 TR GOLDMAN CTF CALL 6.345 19,635 NYSE N
GYC CABCO SER 2004-102 TR SBC CTF FLT RATE 4,285 NYSE N
GYRO GYRODYNE CO AMER INC COM 8,043 NASDAQ N
GZT GAZIT GLOBE LTD SHS 12,109 NYSE N
HALL HALLMARK FINL SVCS INC EC COM NEW 22,851 NASDAQ N
HAST HASTINGS ENTMT INC COM 16,237 NASDAQ N
HAYN HAYNES INTERNATIONAL INC COM NEW 76,994 NASDAQ N
HBA-Z HSBC USA INC NEW PFD $2.8575 635 NYSE N
HBANP HUNTINGTON BANCSHARES INC PFD CONV SER A 803 NASDAQ N
HBC- HARRIS PFD CAP CORP PFD EXCH A 12,552 NYSE N
--- page 30 ---
HBCP HOME BANCORP INC COM 7,894 NASDAQ N
HBK HAMILTON BANCORP INC MD COM 4,725 NASDAQ N
HBNC HORIZON BANCORP IND COM 22,554 NASDAQ N
HBNK HAMPDEN BANCORP INC COM 3,964 NASDAQ N
HBOS HERITAGE FINL GROUP INC COM 18,607 NASDAQ N
HCCI HERITAGE CRYSTAL CLEAN INC COM 31,398 NASDAQ N
HCIIP HOMEOWNERS CHOICE INC 7% PFD SER A 384 NASDAQ N
HCN-I HEALTH CARE REIT INC PFD PER CON I 76,597 NYSE N
HCOM HAWAIIAN TELCOM HOLDCO INC COM 13,375 NASDAQ N
HDG PROSHARES TR HD REPLICATION 32,480 NYSE Arca Y
HDNG HARDINGE INC COM 36,170 NASDAQ N
HE-U HECO CAP TR III QUIPS 6.5% 04 240 NYSE N
HECO HUNTINGTON STRATEGY SHS ECOL STRAT ETF 1,132 NYSE Arca Y
HEDJ WISDOMTREE TR EUROPE HEDGED EQ 10,412 NYSE Arca Y
HEI.A HEICO CORP NEW CL A 30,965 NYSE N
HEP HOLLY ENERGY PARTNERS L P COM UT LTD PTN 56,493 NYSE N
HEVY BARCLAYS BK PLC IPTH INDL MTLS 453 NYSE Arca Y
HFBC HOPFED BANCORP INC COM 8,576 NASDAQ N
HFBL HOME FED BANCORP INC LA NEW COM 2,219 NASDAQ N
HFFC HF FINL CORP COM 8,303 NASDAQ N
HFWA HERITAGE FINL CORP WASH COM 21,438 NASDAQ N
HGEM EGA EMERGING GLOBAL SHS TR HLTH CARE GEMS 10,709 NYSE Arca Y
HGSH CHINA HGS REAL ESTATE INC COM 17,948 NASDAQ N
HIFS HINGHAM INSTN SVGS MASS COM 1,645 NASDAQ N
HJJ SATURNS GOLDMAN SACHS GP 04-4 TR UT A 6.0% 2,369 NYSE N
HJL SATURNS GOLDMAN SACHS CAP I TR UNIT A 6.00 3,378 NYSE N
HJN SATURNS GOLDMAN SACHS CAP 1 05 TR UT A 6.125 1,611 NYSE N
HJR SATURNS 2005-3 LTD BRANDS INC CALL UNIT 7%33 596 NYSE N
HJT STRUCTURED ASSET TR UT 7.375% 06-2 780 NYSE N
HJV SATURNS TR NO 2007-1 NT CL A 7% 13,124 NYSE N
HL-B HECLA MNG CO PFD CV SER B 42 NYSE N
HLM- HILLMAN GROUP CAP TR PFD TR 11.6% 3,281 NYSE MKT N
HMG HMG COURTLAND PPTYS INC COM 20 NYSE MKT N
HMNF HMN FINL INC COM 26,393 NASDAQ N
HMNY HELIOS AND MATHESON INFORMATIO COM NEW 12,629 NASDAQ N
HNH HANDY & HARMAN LTD COM 20,172 NASDAQ N
HNRG HALLADOR ENERGY COMPANY COM 21,687 NASDAQ N
HOFT HOOKER FURNITURE CORP COM 24,959 NASDAQ N
HOMB HOME BANCSHARES INC COM 55,354 NASDAQ N
HOME HOME FED BANCORP INC MD COM 19,080 NASDAQ N
HOTR CHANTICLEER HLDGS INC COM PAR $.0001 N 15,684 NASDAQ N
HOVNP HOVNANIAN ENTERPRISES INC PFD DEP1/1000A 17,873 NASDAQ N
HOVU HOVNANIAN ENTERPRISES INC UNIT 1 021514 6,905 NYSE N
HPCCP HUNTINGTON PREFERRED CAP INC PFD EX PRP C 2,742 NASDAQ N
HPP-B HUDSON PAC PPTYS INC CUM RED PFD-B 62,960 NYSE N
HPTX HYPERION THERAPEUTICS INC COM 96,838 NASDAQ N
HRT ARRHYTHMIA RESH TECHNOLOGY INC COM PAR $0.01 3,993 NYSE MKT N
HSKA HESKA CORP COM RESTRC NEW 7,857 NASDAQ N
HT-A HERSHA HOSPITALITY TR PFD 8% SER A 1,878 NYSE N
HT-B HERSHA HOSPITALITY TR PFD SER B 1,882 NYSE N
HTCO HICKORY TECH CORP COM 16,769 NASDAQ N
HTF HORIZON TECHNOLOGY FIN CORP SR NT 3,121 NYSE N
HTGY HERCULES TECH GROWTH CAP INC SR NT 19 15,366 NYSE N
HTGZ HERCULES TECH GROWTH CAP INC SR NT 7,454 NYSE N
HTLF HEARTLAND FINL USA INC COM 29,997 NASDAQ N
--- page 31 ---
HUB.A HUBBELL INC CL A 1,224 NYSE N
HURC HURCO COMPANIES INC COM 19,787 NASDAQ N
HURN HURON CONSULTING GROUP INC COM 89,558 NASDAQ N
HVT.A HAVERTY FURNITURE INC CL A 171 NYSE N
HWBK HAWTHORN BANCSHARES INC COM 4,735 NASDAQ N
HWG HALLWOOD GROUP INC COM PAR $0.10 1,300 NYSE MKT N
HWKN HAWKINS INC COM 18,719 NASDAQ N
HY HYSTER YALE MATLS HANDLING INC CL A 37,590 NYSE N
HYGS HYDROGENICS CORP NEW COM NEW 6,912 NASDAQ N
HYK CORTS TR GOLDMAN SACHS CAP I CORTS A 6% 6,282 NYSE N
HYL CORTS TR II GOLDMAN SACHS CAP TR CTF A 6% 34 2,488 NYSE N
HYMB SPDR SERIES TRUST NUV HGHYLD MUN 65,897 NYSE Arca Y
HYXU iShares Global ex USD High Yield Corporate Bond Fund 11,614 BATS BZX Y
IBA INDUSTRIAS BACHOCO S A B DE CV SPON ADR B 12,802 NYSE N
IBCPO IBC CAP FIN II PFD TR SECS 972 NASDAQ N
ICAD ICAD INC COM NEW 66,113 NASDAQ N
ICCC IMMUCELL CORP COM PAR $0.10 1,951 NASDAQ N
ICH INVESTORS CAP HLDGS LTD COM 2,905 NYSE MKT N
ICI BARCLAYS BANK PLC CARRY ETN 38 6,071 NYSE Arca Y
ICN WISDOMTREE TRUST INDIAN RUP ETF 4,742 NYSE Arca Y
ICPT INTERCEPT PHARMACEUTICALS INC COM 25,568 NASDAQ N
ICUI ICU MED INC COM 77,704 NASDAQ N
IDHB POWERSHARES ETF TR II S&P INTDEV HIB 8,139 NYSE Arca Y
IDHQ POWERSHARES GLOBAL ETF TRUST DYN DEVINTLOPP 3,005 NYSE Arca Y
IDLV POWERSHARES ETF TR II INTL DEV LOWVL 12,146 NYSE Arca Y
IDSA INDUSTRIAL SVCS AMER INC FLA COM 16,249 NASDAQ N
IDSY I D SYSTEMS INC COM 19,563 NASDAQ N
IDXJ MARKET VECTORS ETF TR INDONESA S CAP 2,815 NYSE Arca Y
IEP ICAHN ENTERPRISES LP DEPOSITARY UNIT 38,362 NASDAQ N
IESC INTEGRATED ELECTRICAL SVC COM 2,805 NASDAQ N
IFAS ISHARES TR EPRA/NAR DEV ASI 18,410 NASDAQ Y
IFEU ISHARES TR EPRA/NAR DEV EUR 1,823 NASDAQ Y
IFNA ISHARES TR EPRA/NAR NA IN 2,311 NASDAQ Y
IFSM ISHARES TR DEV SM CP EX-N 3,084 NASDAQ Y
IGEM EGA EMERGING GLOBAL SHS TR INDLS GEMS 1,060 NYSE Arca Y
IGLD INTERNET GOLD-GOLDEN LINES LTD ORD 3,740 NASDAQ N
IGOV ISHARES TR S&P CITINT TBD 71,644 NASDAQ Y
IGS PROSHARES TR SHT INV GRD CP 590 NYSE Arca Y
IGU PROSHARES TR ULT INV GRD CP 3,691 NYSE Arca Y
IHC INDEPENDENCE HLDG CO NEW COM NEW 6,632 NYSE N
IHS IHS INC CL A 440,645 NYSE N
IHT INNSUITES HOSPITALITY TR SH BEN INT 2,973 NYSE MKT N
IHY MARKET VECTORS ETF TR INTL HI YLD BD 68,743 NYSE Arca Y
IIN INTRICON CORP COM 2,836 NASDAQ N
IIT PT INDOSAT TBK SPONSORED ADR 4,197 NYSE N
IKNX IKONICS CORP COM 1,745 NASDAQ N
ILB PIMCO ETF TR GB ADV INF BD 42,971 NYSE Arca Y
ILTB ISHARES TR CORE L/T USB ETF 36,320 NYSE Arca Y
IMCB INTERMOUNTAIN CMNTY BANCORP COM NEW 309 NASDAQ N
IMH IMPAC MTG HLDGS INC COM NEW 78,485 NYSE MKT N
INCO EGA EMERGING GLOBAL SHS TR INDIA CONSUMER 11,413 NYSE Arca Y
INDA ISHARES TR MSCI INDIA IDX 65,557 BATS BZX Y
INFL DEUTSCHE BK AG LONDON BRH US INFLATN ETN 374 NYSE Arca Y
INN-A SUMMIT HOTEL PPTYS PFD-A 9.25% 2,714 NYSE N
INN-B SUMMIT HOTEL PPTYS PFD B 7.875% 7,196 NYSE N
--- page 32 ---
INOC INNOTRAC CORP COM 7,446 NASDAQ N
INP BARCLAYS BK PLC IPMS INDIA ETN 64,976 NYSE Arca Y
INPH INTERPHASE CORP COM 5,156 NASDAQ N
INR MORGAN STANLEY RUPEE/USD ETN 906 NYSE Arca Y
INSD DIREXION SHS ETF TR LRG CP INSIDER 19 NYSE Arca Y
INTG INTERGROUP CORP COM 1,557 NASDAQ N
INTL INTL FCSTONE INC COM 46,036 NASDAQ N
INTT INTEST CORP COM 5,413 NASDAQ N
INXB INFINITY CROSS BORDER ACQUISIT SHS 100 NASDAQ N
INXBU INFINITY CROSS BORDER ACQUISIT UNIT EX 000016 47 NASDAQ N
IOIL INDEXIQ ETF TR GLB CRUDE OIL 2,163 NYSE Arca Y
IOT INCOME OPPORTUNITY RLTY INVS COM 1,145 NYSE MKT N
IPB INDEXPLUS TR SER 03-1 TR 1,046 NYSE MKT N
IPCC INFINITY PPTY & CAS CORP COM 34,988 NASDAQ N
IPCM IPC THE HOSPITALIST CO INC COM 67,664 NASDAQ N
IPD SPDR INDEX SHS FDS S&P INTL CONS 2,662 NYSE Arca Y
IPF SPDR INDEX SHS FDS INTL FINL ETF 6,624 NYSE Arca Y
IPFF ISHARES TR INT PFD STK FD 25,687 NYSE Arca Y
IPHS INNOPHOS HOLDINGS INC COM 79,867 NASDAQ N
IPK SPDR INDEX SHS FDS INTL TECH ETF 9,922 NYSE Arca Y
IPL-B INTERSTATE PWR & LT CO PFD B 8.375 15,100 NYSE N
IPLT CREDIT SUISSE NASSAU BRH 2X INVER PLATI 628 NYSE Arca Y
IPN SPDR INDEX SHS FDS INTL INDS ETF 8,633 NYSE Arca Y
IPS SPDR INDEX SHS FDS CONSM SPLS ETF 2,795 NYSE Arca Y
IPW SPDR INDEX SHS FDS INTL ENRGY ETF 3,965 NYSE Arca Y
IRC-A INLAND REAL ESTATE CORP PFD SER A 2,496 NYSE N
IRDMU IRIDIUM COMMUNICATIONS INC UNIT EX 021413 174 NASDAQ N
IRDMZ IRIDIUM COMMUNICATIONS INC WT EXP 021415 908 NASDAQ N
IRET- INVESTORS REAL ESTATE TR PFD SER A 8.25% 395 NYSE N
IRET-B INVESTORS REAL ESTATE TR PFD-B 7.95% 5,248 NYSE N
IRIX IRIDEX CORP COM 10,519 NASDAQ N
IROQ IF BANCORP INC COM 2,690 NASDAQ N
IRV SPDR INDEX SHS FDS INTL MTRLS SEC 2,641 NYSE Arca Y
ISH INTERNATIONAL SHIPHOLDING CORP COM NEW 14,678 NYSE N
ISHG ISHARES TR S&PCITI1-3YRTB 18,565 NASDAQ Y
ISIG INSIGNIA SYS INC COM 18,165 NASDAQ N
ISL ABERDEEN ISRAEL FUND INC COM 9,657 NYSE MKT N
ISM SLM CORP NT A CPI LINK 5,713 NASDAQ N
ISNS IMAGE SENSING SYS INC COM 3,171 NASDAQ N
ISRG INTUITIVE SURGICAL INC COM NEW 557,717 NASDAQ N
ISRL ISRAMCO INC COM NEW 567 NASDAQ N
ISSC INNOVATIVE SOLUTIONS & SUPPORT COM 21,456 NASDAQ N
ISTB ISHARES TR CORE STRM USBD 5,816 NYSE Arca Y
ITF ISHARES TR S&P/TOPIX 150 13,298 NYSE Arca Y
ITIC INVESTORS TITLE CO COM 1,660 NASDAQ N
ITIP ISHARES TR INTL INFL LKD 39,883 NYSE Arca Y
ITLT DEUTSCHE BK AG LONDON BRH PWSH 3X ITL TR 1,239 NYSE Arca Y
ITLY DEUTSCHE BK AG LONDON BRH PWSH ITAL TRES 1,352 NYSE Arca Y
ITRN ITURAN LOCATION AND CONTROL SHS 13,042 NASDAQ N
IVOP BARCLAYS BK PLC IPATH LN ENHAN 952 NYSE Arca Y
IX ORIX CORP SPONSORED ADR 19,400 NYSE N
IXN ISHARES TR S&P GBL INF 35,536 NYSE Arca Y
IXUS ISHARES TR CORE MSCITOTAL 28,051 NYSE Arca Y
JACQU COLLABRIUM JAPAN ACQUISITN CP UNIT EX 000017 12 NASDAQ N
JAXB JACKSONVILLE BANCORP INC FLA COM 59,280 NASDAQ N
--- page 33 ---
JBI CORPORATE BACKED TR CTFS NT 7.875%A1 32 2,331 NYSE N
JBJ CORPORATE BACKED TR CTFS 03-4 6.25% 97 5,068 NYSE N
JBK CORPORATE BACKED TR CTFS 04-6 A1 3.50 438 NYSE N
JBN CORPORATE BACKED CALL TR CTFS CORTS A-1 7% 20,670 NYSE N
JBO CORPORATE BACKED TR CTFS 04-7 A1 6.3%34 733 NYSE N
JBR CORPORATE BACKED CALL TR CTFS JCP 06-1CTF A1 6,563 NYSE N
JBSS SANFILIPPO JOHN B & SON INC COM 41,852 NASDAQ N
JCS COMMUNICATIONS SYS INC COM 7,767 NASDAQ N
JCTCF JEWETT CAMERON TRADING LTD COM NEW 5,364 NASDAQ N
JEM BARCLAYS BANK PLC IPATH GEMS INDEX 4,306 NYSE Arca Y
JFBI JEFFERSON BANCSHARES INC TENN COM 2,114 NASDAQ N
JFC J F CHINA REGION FD INC COM 11,402 NYSE N
JFT JPMORGAN CHASE & CO ETN 130/30 23 65 NYSE Arca Y
JGBL DEUTSCHE BK AG LONDON BRH PWRSH JAP GOVT 754 NYSE Arca Y
JGBT DEUTSCHE BK AG LONDON BRH PWSH 3X JAP GV 729 NYSE Arca Y
JHX JAMES HARDIE INDS PLC SPONSORED ADR 3,597 NYSE N
JJN BARCLAYS BK PLC ETN DJUBS NCKL37 8,918 NYSE Arca Y
JJP BARCLAYS BANK PLC ETN DJUBS PMET38 2,966 NYSE Arca Y
JJSF J & J SNACK FOODS CORP COM 45,053 NASDAQ N
JJT BARCLAYS BANK PLC ETN DJUBS TIN 38 1,810 NYSE Arca Y
JJU BARCLAYS BANK PLC ETN DJUBSALUMI38 3,491 NYSE Arca Y
JLS NUVEEN MTG OPPORTUNITY TERM FD COM 49,390 NYSE N
JMT NUVEEN MTG OPPTY TERM FD 2 COM 18,592 NYSE N
JOBS 51JOB INC SP ADR REP COM 62,434 NASDAQ N
JOUT JOHNSON OUTDOORS INC CL A 8,592 NASDAQ N
JPM-O BANK ONE CAPITAL VI PFD SECS 7.2% 3,262 NYSE N
JPP SPDR INDEX SHS FDS RUSS NOMURA PR 11,629 NYSE Arca Y
JPX PROSHARES TR ULTRSH MSCI PAC 614 NYSE Arca Y
JSC SPDR INDEX SHS FDS RUSS NOM SC JP 7,095 NYSE Arca Y
JSM SLM CORP SR NT 6% 121543 23,268 NASDAQ N
JW.B WILEY JOHN & SONS INC CL B 526 NYSE N
JXSB JACKSONVILLE BANCORP INC MD COM 2,055 NASDAQ N
JYN BARCLAYS BANK PLC IPTH JPY/USD ETN 11,919 NYSE Arca Y
JZC CORPORATE BACKED TR CTFS 04-4 CL A-1 6% 4,644 NYSE N
JZJ CORPORATE BACKED TR CTFS 03-18 A1 7.125 616 NYSE N
JZK CORPORATE BACKED TR CTFS 03-17SPRINT A1 1,337 NYSE N
JZL CORPORATE BACKED TR CTFS 03-16 A1 6.25 588 NYSE N
JZT CORPORATE BACKED TR CTFS 03-11 5.875%31 2,221 NYSE N
JZV CORPORATE BACKED TR CTFS 03-10 A-1 7%23 5,032 NYSE N
KAMN KAMAN CORP COM 68,888 NYSE N
KAP KCAP FINL INC SR NT 19 8,933 NYSE N
KBWI POWERSHARES ETF TR II KBW INS PORT 208 NYSE Arca Y
KBWP POWERSHARES ETF TRUST II PRP CAS INS PT 593 NYSE Arca Y
KBWX POWERSHARES ETF TRUST II KBW GLB FIN SC 616 NYSE Arca Y
KCC CORTS TR II PROVIDENT FING CORTS 8.20% 5,208 NYSE N
KCLI KANSAS CITY LIFE INS CO COM 7,120 NASDAQ N
KELYB KELLY SVCS INC CL B 167 NASDAQ N
KEQU KEWAUNEE SCIENTIFIC CORP COM 3,596 NASDAQ N
KEY-G KEYCORP NEW PFD 7.75% SR A 4,068 NYSE N
KF KOREA FD COM NEW 21,740 NYSE N
KFFB KENTUCKY FIRST FED BANCORP COM 4,242 NASDAQ N
KFI KKR FINL HLDGS LLC SR NT 26,135 NYSE N
KIM-H KIMCO RLTY CORP DEP 1/100PFD-H 8,985 NYSE N
KINS KINGSTONE COS INC COM 2,142 NASDAQ N
KIPO KEATING CAPITAL INC COM 11,230 NASDAQ N
--- page 34 ---
KME SPDR SERIES TRUST S&P MTG FIN 1,184 NYSE Arca Y
KMG KMG CHEMICALS INC COM 19,671 NYSE N
KNOW DIREXION SHS ETF TR ALL CP INSIDER 1,172 NYSE Arca Y
KOF COCA COLA FEMSA S A B DE C V SPON ADR REP L 74,650 NYSE N
KONA KONA GRILL INC COM 14,516 NASDAQ N
KONE KINGTONE WIRELESSINFO SOL HLDG SPONSORED ADR NE 2,285 NASDAQ N
KOSS KOSS CORP COM 4,130 NASDAQ N
KRC-G KILROY RLTY CORP PFD SER G 6,022 NYSE N
KRC-H KILROY RLTY CORP PFD-H 43,347 NYSE N
KRG-A KITE RLTY GROUP TR PERP PFD SER A 1,843 NYSE N
KRJ CORTS TR 111 PROVIDENT FING CORTS 8.10% 2,232 NYSE N
KRS PROSHARES TR SHT KBW REGBNK 516 NYSE Arca Y
KRU PROSHARES TR ULT KBW REGBNK 4,789 NYSE Arca Y
KSA CORTS TR PROVIDENT FING TR I CORTS 8.50% 1,318 NYSE N
KSU- KANSAS CITY SOUTHERN PFD 4% 535 NYSE N
KTEC KEY TECHNOLOGY INC COM 4,475 NASDAQ N
KTH CORTS TR PECO ENERGY CAP TRIII CORTS 8.00% 1,226 NYSE N
KTN CREDIT-ENHANCED CORTS TR AON CORTS 8.205% 2,754 NYSE N
KTP CORTS TR J C PENNEY CORTS 7.625% 24,233 NYSE N
KUB KUBOTA CORP ADR 34,685 NYSE N
KVHI KVH INDS INC COM 26,925 NASDAQ N
KWN KENNEDY-WILSON INC SR NT 42 16,133 NYSE N
KWR QUAKER CHEM CORP COM 52,958 NYSE N
KWT MARKET VECTORS ETF TR SOLAR ENRG NEW 12,081 NYSE Arca Y
KXI ISHARES TR S&P GL C STAPL 32,856 NYSE Arca Y
KYAK KAYAK SOFTWARE CORP CL A 60,546 NASDAQ N
KYN-E KAYNE ANDERSON MLP INVSMNT CO PFD CL E 4.25% 4,324 NYSE N
KYO KYOCERA CORP ADR 6,793 NYSE N
KYTH KYTHERA BIOPHARMACEUTICALS INC COM 39,010 NASDAQ N
LABC LOUISANA BANCORP INC NEW COM 7,651 NASDAQ N
LABL MULTI COLOR CORP COM 25,799 NASDAQ N
LAKE LAKELAND INDS INC COM 8,450 NASDAQ N
LANC LANCASTER COLONY CORP COM 72,742 NASDAQ N
LAQ ABERDEEN LATIN AMER EQTY FD COM 15,417 NYSE MKT N
LARK LANDMARK BANCORP INC COM 1,711 NASDAQ N
LATM MARKET VECTORS ETF TR LAT AM SML CAP 3,406 NYSE Arca Y
LAWS LAWSON PRODS INC COM 24,221 NASDAQ N
LBIX LEADING BRANDS INC COM NEW 2,047 NASDAQ N
LBJ DIREXION SHS ETF TR LATN AM BULL3X 9,876 NYSE Arca Y
LBTYB LIBERTY GLOBAL INC COM SER B 359 NASDAQ N
LCNB LCNB CORP COM 2,119 NASDAQ N
LCUT LIFETIME BRANDS INC COM 13,025 NASDAQ N
LD BARCLAYS BANK PLC ETN DJUBSLEAD 38 2,863 NYSE Arca Y
LDF LATIN AMERN DISCOVERY FD INC COM 10,771 NYSE N
LDR LANDAUER INC COM 24,284 NYSE N
LEDD BARCLAYS BK PLC IPTH LEAD ETN 724 NYSE Arca Y
LEMB ISHARES INC EMRG MRK LC BD 56,441 NYSE Arca Y
LGEM EGA EMERGING GLOBAL SHS TR BSC MATLS GEM 4,852 NYSE Arca Y
LGL LGL GROUP INC COM 4,418 NYSE MKT N
LGP LEHIGH GAS PARTNERS LP UT LTD PTN INT 75,100 NYSE N
LHO-G LASALLE HOTEL PPTYS PFD SBI G 7.25 1,496 NYSE N
LHO-H LASALLE HOTEL PPTYS PFD SHS BEN IN 2,216 NYSE N
LINTB LIBERTY INTERACTIVE CORP INT COM SER B 238 NASDAQ N
LION FIDELITY SOUTHERN CORP NEW COM 41,094 NASDAQ N
LIVE LIVEDEAL INC COM NEW 17,146 NASDAQ N
--- page 35 ---
LKFN LAKELAND FINL CORP COM 49,768 NASDAQ N
LMCA LIBERTY MEDIA CORP DELAWARE CL A 1,321,774 NASDAQ N
LMCAD LIBERTY MEDIA CORP DELAWARE CL A 312,974 NASDAQ N
LMCAV LIBERTY MEDIA CORP DELAWARE CL A 937,372 NASDAQ N
LMCB LIBERTY MEDIA CORP DELAWARE CL B 137 NASDAQ N
LMIA LMI AEROSPACE INC COM 34,945 NASDAQ N
LMNR LIMONEIRA CO COM 15,120 NASDAQ N
LNBB LNB BANCORP INC COM 6,893 NASDAQ N
LND BRASILAGRO BRAZILIAN AGRIC REA SPONSORED ADR 1,655 NYSE N
LONG ELONG INC SPONSORED ADR 6,705 NASDAQ N
LPLT CREDIT SUISSE NASSAU BRH 2X LONG PLATIN 1,410 NYSE Arca Y
LPSB LAPORTE BANCORP INC MD COM 17,134 NASDAQ N
LRE LRR ENERGY LP COM 90,253 NYSE N
LSBI LSB FINL CORP COM 694 NASDAQ N
LSBK LAKE SHORE BANCORP INC COM 1,509 NASDAQ N
LSE-B CAPLEASE INC PFD B 8.375% 2,249 NYSE N
LSKY UBS AG LONDON BRH 2XLV ISE CLOUD 44 NYSE Arca Y
LSTK BARCLAYS BK PLC IPTH LIVESTK 298 NYSE Arca Y
LTL PROSHARES TR PSHS UL TELE ETF 366 NYSE Arca Y
LTRE LEARNING TREE INTL INC COM 3,414 NASDAQ N
LVB STEINWAY MUSICAL INSTRS INC COM 19,967 NYSE N
LWAY LIFEWAY FOODS INC COM 16,585 NASDAQ N
LXFR LUXFER HLDGS PLC SPONSORED ADR 23,365 NYSE N
LXP-C LEXINGTON REALTY TRUST PFD CONV SER C 3,197 NYSE N
LXP-D LEXINGTON RLTY TR PFD D 7.55% 1,944 NYSE N
MA MASTERCARD INC CL A 856,106 NYSE N
MAB EATON VANCE MASS MUN BD FD COM 4,289 NYSE MKT N
MAG MAGNETEK INC COM NEW 4,057 NASDAQ N
MAGS MAGAL SECURITY SYS LTD ORD 7,376 NASDAQ N
MARK REMARK MEDIA INC COM 13,073 NASDAQ N
MARPS MARINE PETE TR UNIT BEN INT 3,876 NASDAQ N
MASC MATERIAL SCIENCES CORP COM 29,623 NASDAQ N
MATH ADVISORSHARES TR MEIDELL TCT AD 1,257 NYSE Arca Y
MAYS MAYS J W INC COM 38 NASDAQ N
MBC CITIGROUP FDG INC 3% PPN RUS2000 3,907 NYSE Arca N
MBF CITIGROUP FDG INC CPN3% S&PMID14 231 NYSE Arca N
MBL BANK AMER CORP MITTS IDX DJ13 1,880 NYSE Arca N
MBRG MIDDLEBURG FINANCIAL CORP COM 10,604 NASDAQ N
MBVT MERCHANTS BANCSHARES COM 11,479 NASDAQ N
MBWM MERCANTILE BANK CORP COM 13,699 NASDAQ N
MCBI METROCORP BANCSHARES INC COM 26,402 NASDAQ N
MCBK MADISON CNTY FINL INC COM 3,068 NASDAQ N
MCEP MID CON ENERGY PARTNERS LP COM UNIT REPST 82,255 NASDAQ N
MCF CONTANGO OIL & GAS COMPANY COM NEW 65,167 NYSE MKT N
MCI BABSON CAP CORPORATE INVS COM 24,797 NYSE N
MCP-A MOLYCORP INC DEL PFD CONV SER A 28,975 NYSE N
MCQ MEDLEY CAP CORP SR NT 2,725 NYSE N
MCRI MONARCH CASINO & RESORT INC COM 23,828 NASDAQ N
MDD SPDR INDEX SHS FDS S&PINTL MC ETF 3,519 NYSE Arca Y
MDGN MEDGENICS INC COM NEW 54,579 NYSE MKT N
MDGN+ MEDGENICS INC WT EXP 033116 1,791 NYSE MKT N
MDH MHI HOSPITALITY CORP COM 7,878 NASDAQ N
MEAD MEADE INSTRUMENTS CORP COM NEW 9,645 NASDAQ N
MEAS MEASUREMENT SPECIALTIES INC COM 33,502 NASDAQ N
MEIL METHES ENERGIES INTL LTD COM 810 NASDAQ N
--- page 36 ---
MEIP MEI PHARMA INC COM NEW 24,947 NASDAQ N
MES MARKET VECTORS ETF TR GULF STS ETF 12,649 NYSE Arca Y
METR METRO BANCORP INC PA COM 57,167 NASDAQ N
MFA-A MFA FINANCIAL INC PFD A 8.50% 3,890 NYSE N
MFLR MAYFLOWER BANCORP INC COM 1,665 NASDAQ N
MFNC MACKINAC FINL CORP COM 2,062 NASDAQ N
MFRI MFRI INC COM 7,223 NASDAQ N
MFSF MUTUALFIRST FINL INC COM 9,816 NASDAQ N
MGCD MGC DIAGNOSTICS CORP COM 2,509 NASDAQ N
MGEE MGE ENERGY INC COM 33,186 NASDAQ N
MGJ BANK AMER CORP MITTS SP500 14 4,722 NYSE Arca N
MGPI MGP INGREDIENTS INC NEW COM 20,584 NASDAQ N
MGT MGT CAPITAL INVTS INC COM NEW 20,307 NYSE MKT N
MGYR MAGYAR BANCORP INC COM 1,958 NASDAQ N
MHC CITIGROUP FDG INC 2%CPN S&P500 14 1,206 NYSE Arca N
MHE MASSACHUSETTS HEALTH & ED TXEX SH BEN INT 1,654 NYSE MKT N
MHH MASTECH HOLDINGS INC COM 11,575 NYSE MKT N
MHM BANK AMER CORP MITTS S&P500 15 2,177 NYSE Arca N
MHNA MAIDEN HLDGS NORTH AMER LTD PFD 7,422 NYSE N
MHNB MAIDEN HLDGS NORTH AMER LTD GTD NT 42 12,304 NYSE N
MHO-A M/I HOMES INC PFD 1/1000 A 8,276 NYSE N
MHR-C MAGNUM HUNTER RES CORP DEL PFD PRP C 10.25% 7,221 NYSE MKT N
MHR-D MAGNUM HUNTER RES CORP DEL CUM PFD-D 8% 44,217 NYSE MKT N
MHR-E MAGNUM HUNTER RES CORP DEL DEP 1/1000 PFD 14,886 NYSE MKT N
MHW BANK AMER CORP MITTS DOW 15 1,802 NYSE Arca N
MIDD MIDDLEBY CORP COM 83,363 NASDAQ N
MILL-C MILLER ENERGY RES INC 10.75% PFD SER C 5,567 NYSE N
MITT-A AG MTG INVT TR INC 8.25% PFD SER A 6,402 NYSE N
MIW EATON VANCE MICH MUN BD FD COM 4,646 NYSE MKT N
MJC CITIGROUP FDG INC 3%MIN CPN RUSS14 982 NYSE Arca N
MKC.V MCCORMICK & CO INC COM VTG 1,016 NYSE N
MKF BANK AMER CORP IDX S&P500 13 1,645 NYSE Arca N
MKL MARKEL CORP COM 52,595 NYSE N
MKN CITIGROUP FDG INC DJ AIG COMMDTY 2,150 NYSE Arca N
MKS SATURNS AMERN GEN INSTL CAP A TR UN A 6% 45 5,415 NYSE N
MKTAY MAKITA CORP ADR NEW 8,126 NASDAQ N
MKZ CITIGROUP FDG INC DJCOMMD 3%CP14 1,001 NYSE Arca N
MLA BANK AMER CORP MITTS S&P 13 5,272 NYSE Arca N
MLAB MESA LABS INC COM 11,845 NASDAQ N
MLG METLIFE INC SR NT 5.875% 9,124 NYSE N
MLPS UBS AG JERSEY BRH AG MNTH SHR EX 54,638 NYSE Arca Y
MMD MAINSTAY DEFINEDTERM MN OPP FD COM 87,447 NYSE N
MMF BANK AMER CORP MITTS DJIA 14 4,363 NYSE Arca N
MMTM SPDR SER TR S&P1500MOMTILT 41 NYSE Arca Y
MMUS MAKEMUSIC INC COM NEW 1,667 NASDAQ N
MMYT MAKEMYTRIP LIMITED MAURITIUS SHS 32,195 NASDAQ N
MNA INDEXIQ ETF TR IQ MRGR ARB ETF 10,170 NYSE Arca Y
MNGA MAGNEGAS CORP COM NEW 13,073 NASDAQ N
MNGL BLUE WOLF MONGOLIA HOLDINGS CP SHS 118 NASDAQ N
MNR-A MONMOUTH REAL ESTATE INVT CORP PFD SER A 1,415 NYSE N
MNR-B MONMOUTH REAL ESTATE INVT CORP PFD-B 2,250 NYSE N
MNRKP MONARCH FINANCIAL HOLDINGS INC PERP CONV SER B 432 NASDAQ N
MOCO MOCON INC COM 4,418 NASDAQ N
MOFG MIDWESTONE FINL GROUP INC NEW COM 8,945 NASDAQ N
MOG.B MOOG INC CL B 550 NYSE N
--- page 37 ---
MOL CITIGROUP FDG INC NT 2% GOLD2014 1,182 NYSE Arca N
MOM FQF TR QUANTSHARE MOM 4,188 NYSE Arca Y
MONY ISHARES TR FINANCIALS SEC 3,451 NYSE Arca Y
MORN MORNINGSTAR INC COM 80,761 NASDAQ N
MOU CITIGROUP FDG INC NT RUSS2000 14 3,737 NYSE Arca N
MP-D MISSISSIPPI POWER CO PFD 1/4 5.25% 944 NYSE N
MPAC MOD PAC CORP COM 1,860 NASDAQ N
MPB MID PENN BANCORP INC COM 1,006 NASDAQ N
MPE BANK AMER CORP MITTS S&P500 14 1,974 NYSE Arca N
MPG-A MPG OFFICE TR INC PFD A 7.625% 28,258 NYSE N
MQC BANK AMER CORP MKT S&P500 13 3,541 NYSE Arca N
MRCC MONROE CAP CORP COM 11,074 NASDAQ N
MRH-A MONTPELIER RE HOLDINGS LTD PFD NON CUM 8,053 NYSE N
MRLN MARLIN BUSINESS SVCS CORP COM 23,302 NASDAQ N
MSBF MSB FINANCIAL CORPORATION COM 1,235 NASDAQ N
MSC BANK AMER CORP MITTS DOW 15 4,473 NYSE Arca N
MSEX MIDDLESEX WATER CO COM 31,111 NASDAQ N
MSFG MAINSOURCE FINANCIAL GP INC COM 32,120 NASDAQ N
MSL MIDSOUTH BANCORP INC COM 9,234 NYSE MKT N
MSON MISONIX INC COM 42,517 NASDAQ N
MSTR MICROSTRATEGY INC CL A NEW 95,766 NASDAQ N
MSXX FACTORSHARES TR PF ISE MINING 4,943 NYSE Arca Y
MTB+ M & T BK CORP WT EXP 122318 2,799 NYSE N
MTB- M & T BK CORP PERP PFD-A 56 NYSE N
MTB-C M & T BK CORP PERP PFD-C 132 NYSE N
MTD METTLER TOLEDO INTERNATIONAL COM 172,842 NYSE N
MTEX MANNATECH INC COM NEW 1,980 NASDAQ N
MTR MESA RTY TR UNIT BEN INT 5,907 NYSE N
MTSC MTS SYS CORP COM 65,634 NASDAQ N
MTSI MA COM TECHNOLOGY SOLUTIONS COM 56,989 NASDAQ N
MTY CITIGROUP FDG INC 3% PRIN GLD 14 2,416 NYSE Arca N
MUAB ISHARES TR 2013 S&P AMTFR 6,246 NYSE Arca Y
MUAC ISHARES TR 2014 S&P AMTFR 5,298 NYSE Arca Y
MUAD ISHARES TR 2015 S&P AMTFR 6,047 NYSE Arca Y
MUAE ISHARES TR 2016 S&P AMTFR 7,055 NYSE Arca Y
MUAF ISHARES TR 2017 S&P AMTFR 6,393 NYSE Arca Y
MUK CITIGROUP FDG INC 3%NT S&P500 14 521 NYSE Arca N
MWIV MWI VETERINARY SUPPLY INC COM 44,379 NASDAQ N
MXA MINNESOTA MUN INCOME PTFL INC COM 5,246 NYSE MKT N
MXC MEXCO ENERGY CORP COM 4,303 NYSE MKT N
MXE MEXICO EQUITY & INCOME FD COM 27,008 NYSE N
MXE- MEXICO EQUITY & INCOME FD PFD 29 NYSE N
MXF MEXICO FD INC COM 63,812 NYSE N
MXN FIRST AMERN MINN MUN INC FD II COM 3,423 NYSE MKT N
MYP CITIGROUP FDG INC PRIN3% S&P500 14 886 NYSE Arca N
MZA BLACKROCK MUNIYIELD ARIZ FD IN COM 6,864 NYSE MKT N
NAII NATURAL ALTERNATIVES INTL INC COM NEW 12,348 NASDAQ N
NASB NASB FINL INC COM 4,611 NASDAQ N
NASI PAX WORLD FDS TR II MSCI NOAM ESG 949 NYSE Arca Y
NATH NATHANS FAMOUS INC NEW COM 12,697 NASDAQ N
NATL NATIONAL INTERSTATE CORP COM 24,398 NASDAQ N
NATR NATURES SUNSHINE PRODUCTS INC COM 33,792 NASDAQ N
NAUH NATIONAL AMERN UNIV HLDGS INC COM 19,702 NASDAQ N
NAV-D NAVISTAR INTL CORP PFD SR D CONV 48 NYSE N
NAVG NAVIGATORS GROUP INC COM 27,741 NASDAQ N
--- page 38 ---
NBBC NEWBRIDGE BANCORP COM 36,759 NASDAQ N
NBN NORTHEAST BANCORP COM NEW 7,606 NASDAQ N
NBTF NB & T FINL GROUP INC COM 1,415 NASDAQ N
NC NACCO INDS INC CL A 39,862 NYSE N
NCBC NEW CENTRY BANCORP INC DUNN NC COM 1,534 NASDAQ N
NCT-B NEWCASTLE INVT CORP PFD B 9.75% 6,058 NYSE N
NCT-C NEWCASTLE INVT CORP PFD SER C 945 NYSE N
NCT-D NEWCASTLE INVT CORP PFD D 8.375% 2,232 NYSE N
NECB NORTHEAST CMNTY BANCORP INC COM 10,355 NASDAQ N
NEN NEW ENGLAND RLTY ASSOC LTD PAR DEPOSITRY RCPT 1,457 NYSE MKT N
NEOG NEOGEN CORP COM 96,671 NASDAQ N
NETC NET SERVICOS DE COMUNICACAO SA SPONSD ADR NEW 5,080 NASDAQ N
NETE NET ELEMENT INTL INC COM 6,464 NASDAQ N
NEU NEWMARKET CORP COM 56,447 NYSE N
NEWS NEWSTAR FINANCIAL INC COM 30,880 NASDAQ N
NFLX NETFLIX INC COM 6,216,835 NASDAQ N
NFSB NEWPORT BANCORP INC COM 966 NASDAQ N
NGL NGL ENERGY PARTNERS LP COM UNIT REPST 80,072 NYSE N
NGS NATURAL GAS SERVICES GROUP COM 23,747 NYSE N
NGT EASTERN AMERN NAT GAS TR SPERS RCT UNIT 9,141 NYSE N
NHC NATIONAL HEALTHCARE CORP COM 10,405 NYSE MKT N
NHC-A NATIONAL HEALTHCARE CORP PFD CONV SER A 2,948 NYSE MKT N
NHTB NEW HAMPSHIRE THRIFT BANCSHS COM 3,601 NASDAQ N
NICK NICHOLAS FINANCIAL INC COM NEW 23,738 NASDAQ N
NINE NINETOWNS INTERNET TECH GRP ADR 2,414 NASDAQ N
NINI BARCLAYS BK PLC IPT NICKEL ETN 6 NYSE Arca Y
NKSH NATIONAL BANKSHARES INC VA COM 6,411 NASDAQ N
NMB NUVEEN MASS DIVID ADVANTAG MUN COM SH BEN INT 3,816 NYSE MKT N
NMK-B NIAGARA MOHAWK PWR CORP PFD 3.60% 356 NYSE N
NMK-C NIAGARA MOHAWK PWR CORP PFD 3.90% 152 NYSE N
NOM NUVEEN MO PREM INCOME MUN FD SH BEN INT 3,626 NYSE MKT N
NOVB NORTH VALLEY BANCORP COM NEW 10,485 NASDAQ N
NP NEENAH PAPER INC COM 76,781 NYSE N
NPBCO NPB CAP TR II PFD GTD TR SEC 1,106 NASDAQ N
NPK NATIONAL PRESTO INDS INC COM 24,138 NYSE N
NRC NATIONAL RURAL UTILS COOP FIN SU NT 44DTD6.1 2,925 NYSE N
NRCI NATIONAL RESEARCH CORP COM 16,109 NASDAQ N
NRF-A NORTHSTAR RLTY FIN CORP PFD A 8.75% 6,448 NYSE N
NRGM INERGY MIDSTREAM LP U LTD PARTNERS 71,934 NYSE N
NRIM NORTHRIM BANCORP INC COM 10,410 NASDAQ N
NRT NORTH EUROPEAN OIL RTY TR SH BEN INT 15,760 NYSE N
NRU NATIONAL RURAL UTILS COOP FIN NT 5.95% 2045 7,973 NYSE N
NSEC NATIONAL SEC GROUP INC COM 590 NASDAQ N
NSYS NORTECH SYS INC COM 397 NASDAQ N
NTIC NORTHERN TECH INTL CORP COM 5,398 NASDAQ N
NTK NORTEK INC COM NEW 19,434 NASDAQ N
NTL NORTEL INVERSORA S A SPON ADR PFD B 3,781 NYSE N
NTSC NATIONAL TECHNICAL SYS INC COM 8,952 NASDAQ N
NUCL ISHARES TR S&P NUCIDX ETF 4,770 NASDAQ Y
NUJ NUVEEN NEW JERSEY DIVID COM 7,483 NYSE MKT N
NVEC NVE CORP COM NEW 14,833 NASDAQ N
NVGN NOVOGEN LIMITED SPON ADR 1:25 SH 5,797 NASDAQ N
NVJ NUVEEN OHIO DIVID ADVANTAGE COM 2,455 NYSE MKT N
NVO NOVO-NORDISK A S ADR 268,249 NYSE N
NVR NVR INC COM 35,143 NYSE N
--- page 39 ---
NVSL NAUGATUCK VY FINL CORP MD COM 4,617 NASDAQ N
NWBOW NORTHWEST BIOTHERAPEUTICS INC WT EXP 000017 6,184 NASDAQ N
NWFL NORWOOD FINANCIAL CORP COM 1,785 NASDAQ N
NWLI NATIONAL WESTN LIFE INS CO CL A 2,719 NASDAQ N
NWPX NORTHWEST PIPE CO COM 22,099 NASDAQ N
NYCB-U NEW YORK CMNTY CAP TR V BUNUSES UNIT 3,187 NYSE N
NYF ISHARES TR S&P AMTFREE MUNI 14,418 NYSE Arca Y
NYH EATON VANCE N Y MUN BD FD II COM 4,658 NYSE MKT N
NYMX NYMOX PHARMACEUTICAL CORP COM 28,153 NASDAQ N
NYV NUVEEN NEW YORK MUN VALUE FD 2 COM 6,620 NYSE MKT N
NZW NUVEEN MI DIV ADV MUNI FD COM SH BEN INT 877 NYSE MKT N
OAK OAKTREE CAP GROUP LLC UNIT CL A 98,737 NYSE N
OBAF OBA FINL SVCS INC COM 2,688 NASDAQ N
OBAS OPTIBASE LTD SHS NEW NIS0.13 266 NASDAQ N
OBCI OCEAN BIO CHEM INC COM 9,242 NASDAQ N
OBT ORBITAL CORP SPONSORED ADR NE 1,231 NYSE MKT N
OCC OPTICAL CABLE CORP COM NEW 7,273 NASDAQ N
OCR-A OMNICARE CAP TR I PIERS 576 NYSE N
OCR-B OMNICARE CAP TR II PFD B TR 4.00% 86,342 NYSE N
ODC OIL DRI CORP AMER COM 9,063 NYSE N
OFC-H CORPORATE OFFICE PPTYS TR PFD H 7.50% 1,708 NYSE N
OFC-J CORPORATE OFFICE PPTYS TR PFD J 7.625% 7,728 NYSE N
OFC-L CORPORATE OFFICE PPTYS TR PFD SER L 31,440 NYSE N
OFED OCONEE FED FINL CORP COM 321 NASDAQ N
OFG-A ORIENTAL FINL GROUP INC PFD A 7.125% 518 NYSE N
OFG-B ORIENTAL FINL GROUP INC PFD SER B 7.0% 983 NYSE N
OFG-D ORIENTAL FINL GROUP INC PERP PFD-D 549 NYSE N
OFLX OMEGA FLEX INC COM 4,477 NASDAQ N
OFS OFS CAP CORP COM 59,620 NASDAQ N
OGEM EGA EMERGING GLOBAL SHS TR EGSHARE ENGY GEM 7,676 NYSE Arca Y
OGXI ONCOGENEX PHARMACEUTICALS INC COM 31,541 NASDAQ N
OILT OILTANKING PARTNERS L P UNIT LTD 21,423 NYSE N
OILZ UBS AG LONDON BRH DLY LNGSHT OIL 9,344 NYSE Arca Y
OKSBP SOUTHWEST CAP TR II GTD TR PFD SECS 1,546 NASDAQ N
OLBK OLD LINE BANCSHARES INC COM 7,506 NASDAQ N
OLP ONE LIBERTY PPTYS INC COM 38,516 NYSE N
OMAB GRUPO AEROPORTUARIO CTR NORTE SPON ADR 28,601 NASDAQ N
ONEF RUSSELL EXCHANGE TRADED FDS TR EQUITY ETF 1,044 NYSE Arca Y
ONEQ FIDELITY COMWLTH TR NDQ CP IDX TRK 12,297 NASDAQ Y
ONFC ONEIDA FINL CORP MD COM 4,451 NASDAQ N
ONG BARCLAYS BK PLC IPTH ENRGY ETN 206 NYSE Arca Y
ONN UBS AG LONDON BRH ETRACS FIS GART 4,521 NYSE Arca Y
ONVI ONVIA INC COM NEW 2,279 NASDAQ N
OPAY OFFICIAL PMTS HLDGS INC COM 21,696 NASDAQ N
OPOF OLD POINT FINL CORP COM 4,912 NASDAQ N
OPY OPPENHEIMER HLDGS INC CL A NON VTG 29,033 NYSE N
ORRF ORRSTOWN FINL SVCS INC COM 11,498 NASDAQ N
OSBCP OLD SECOND CAP TR I PFD TR SEC 10,250 NASDAQ N
OSH ORCHARD SUPPLY HARDWARE STORES CL A 12,130 NASDAQ N
OSHC OCEAN SHORE HLDG CO NEW COM 8,230 NASDAQ N
OSM SLM CORP NT LKD FLT RT 24,423 NASDAQ N
OVBC OHIO VY BANC CORP COM 3,861 NASDAQ N
OVLY OAK VALLEY BANCORP OAKDALE CAL COM 1,623 NASDAQ N
OXGN OXIGENE INC COM PAR$.001 17,454 NASDAQ N
OXLC OXFORD LANE CAP CORP COM 32,977 NASDAQ N
--- page 40 ---
OXLCP OXFORD LANE CAP CORP PFD 2017 4,444 NASDAQ N
PAC GPO AEROPORTUARIO DEL PAC SAB SPON ADR B 58,172 NYSE N
PACQ PRIME ACQUISITION CORP SHS 1,726 NASDAQ N
PAF POWERSHARES GLOBAL ETF TRUST ASIA PAC EX-JP 6,708 NYSE Arca Y
PAGG POWERSHARES ETF TRUST II GLOBL AGRI ETF 18,443 NASDAQ Y
PAMT PARAMETRIC SOUND CORP COM NEW 78,053 NASDAQ N
PATK PATRICK INDS INC COM 87,005 NASDAQ N
PATR PATRIOT TRANSN HLDG INC COM 13,111 NASDAQ N
PBHC PATHFINDER BANCORP INC COM 12 NASDAQ N
PBIB PORTER BANCORP INC COM 15,869 NASDAQ N
PBIP PRUDENTIAL BANCORP INC PA COM 13,598 NASDAQ N
PBM PACIFIC BOOKER MINERALS INC COM 3,563 NYSE MKT N
PBMD PRIMA BIOMED LTD SPON ADR LVL II 702 NASDAQ N
PBSK POAGE BANKSHARES INC COM 1,796 NASDAQ N
PCC PMC COML TR SH BEN INT 11,368 NYSE MKT N
PCG-A PACIFIC GAS & ELEC CO PFD 1ST 6% 2,549 NYSE MKT N
PCG-B PACIFIC GAS & ELEC CO PFD 1ST 5.50% 583 NYSE MKT N
PCG-C PACIFIC GAS & ELEC CO PFD 1ST 5% 1,290 NYSE MKT N
PCG-D PACIFIC GAS & ELEC CO PFD 1ST 5% 4,105 NYSE MKT N
PCG-E PACIFIC GAS & ELEC CO PFD 1 SER A 5% 1,241 NYSE MKT N
PCG-G PACIFIC GAS & ELEC CO PFD 1ST 4.80% 675 NYSE MKT N
PCG-H PACIFIC GAS & ELEC CO PFD 1ST 4.50% 2,366 NYSE MKT N
PCG-I PACIFIC GAS & ELEC CO PFD 1ST 4.36% 2,011 NYSE MKT N
PCLN PRICELINE COM INC COM NEW 568,927 NASDAQ N
PCMI PCM INC COM 17,635 NASDAQ N
PCOM POINTS INTL LTD COM NEW 50,855 NASDAQ N
PCP PRECISION CASTPARTS CORP COM 897,359 NYSE N
PCYO PURECYCLE CORP COM NEW 35,221 NASDAQ N
PDII PDI INC COM 9,927 NASDAQ N
PDN POWERSHARES GLOBAL ETF TRUST EX US SML PORT 47,015 NYSE Arca Y
PDO PYRAMID OIL CO COM 5,875 NYSE MKT N
PE-A PECO ENERGY CO PFD $3.80 392 NYSE N
PE-B PECO ENERGY CO PFD $4.30 199 NYSE N
PE-C PECO ENERGY CO PFD $4.40 251 NYSE N
PE-D PECO ENERGY CO PFD $4.68 75 NYSE N
PEB-A PEBBLEBROOK HOTEL TR PFD-A 7.875% 1,616 NYSE N
PEB-B PEBBLEBROOK HOTEL TR PFD SER B 16,404 NYSE N
PEBK PEOPLES BANCORP N C INC COM 4,820 NASDAQ N
PEBO PEOPLES BANCORP INC COM 13,755 NASDAQ N
PEI-A PENNSYLVANIA RL ESTATE INVT TR 8.25% PFD CL A 5,386 NYSE N
PEK MARKET VECTORS ETF TR CHINA A SHS ETF 47,835 NYSE Arca Y
PENX PENFORD CORP COM 40,586 NASDAQ N
PEOP PEOPLES FED BANCSHARES INC COM 19,376 NASDAQ N
PERF PERFUMANIA HLDGS INC COM NEW 15,343 NASDAQ N
PFBC PREFERRED BK LOS ANGELES CA COM NEW 21,390 NASDAQ N
PFBI PREMIER FINL BANCORP INC COM 9,502 NASDAQ N
PFBX PEOPLES FINL CORP MISS COM 2,772 NASDAQ N
PFG-B PRINCIPAL FINL GROUP INC PFD B 6.518% 5,914 NYSE N
PFH CABCO TR FOR J C PENNEY DEBS CTF TR 7.625% 21,607 NYSE N
PFI POWERSHARES ETF TRUST FINL SECT PORT 7,243 NYSE Arca Y
PFIN P & F INDS INC CL A NEW 41,480 NASDAQ N
PFK PRUDENTIAL FINL INC NT FLT RETL 18 4,411 NYSE N
PFLT PENNANTPARK FLOATING RATE CAP COM 16,453 NASDAQ N
PFX PHOENIX COS INC NEW QUIBS 2032 64,161 NYSE N
PGC PEAPACK-GLADSTONE FINL CORP COM 9,187 NASDAQ N
--- page 41 ---
PGD BARCLAYS BANK PLC IPATH AS GLF CUR 1,197 NYSE Arca Y
PGP PIMCO GLOBAL STOCKSPLS INCM FD COM 60,789 NYSE N
PHA PULTE GROUP INC 7.375% NT 2046 6,297 NYSE N
PHII PHI INC COM VTG 312 NASDAQ N
PHIIK PHI INC COM NON VTG 23,707 NASDAQ N
PHX PANHANDLE OIL AND GAS INC CL A 6,974 NYSE N
PIC POWERSHARES ETF TRUST DYN INS PTF 7,609 NYSE Arca Y
PICK ISHARES INC MSCI GL SL MET 22,293 NYSE Arca Y
PIY PREFERRED PLUS TR CZN-1 TR CTF 1,206 NYSE N
PJA PREFERRED PLUS TR QWS-2 TR CTF 2,112 NYSE N
PJI PPLUS TR CTF GSG-1 A 6% 7,154 NYSE N
PJL PREFERRED PLUS TR VER 1 A TR CTF 4,965 NYSE N
PJS PREFERRED PLUS TR FAR-1 7.55%28 936 NYSE N
PKBK PARKE BANCORP INC COM 8,125 NASDAQ N
PKH PREFERRED PLUS TR QWS-1 TR CTF 1,805 NYSE N
PKK PREFERRED PLUS TR LMG-2 TR CTF 5,172 NYSE N
PKN POWERSHARES ETF TR II GLB NUCLR ENRG 4,949 NYSE Arca Y
PKOH PARK OHIO HLDGS CORP COM 31,835 NASDAQ N
PKOL POWERSHARES ETF TRUST II GLOBL COAL ETF 4,115 NASDAQ Y
PKY-D PARKWAY PPTYS INC PFD SER D 8% 5,474 NYSE N
PL-B PLC CAP TR V TOPRS 6.125 34 3,186 NYSE N
PLBC PLUMAS BANCORP COM 4,441 NASDAQ N
PLD-L PROLOGIS INC PFD SER L 6.5% 1,009 NYSE N
PLD-M PROLOGIS INC PFD M 6.75% 848 NYSE N
PLD-O PROLOGIS INC PFD 7.0% SER 0 928 NYSE N
PLD-P PROLOGIS INC PFD P 6.85% 267 NYSE N
PLD-R PROLOGIS INC PFD SER R 6,995 NYSE N
PLD-S PROLOGIS INC PFD SER S 2,742 NYSE N
PLK POWERSHARES ACTIVE MNG ETF TR LOW DURAT PORT 1,851 NYSE Arca Y
PLMT PALMETTO BANCSHARES INC COM NEW 513 NASDAQ N
PLPC PREFORMED LINE PRODS CO COM 6,088 NASDAQ N
PLPM PLANET PAYMENT INC SHS 25,000 NASDAQ N
PLTM FIRST TR ISE GLBL PLAT INDX FD COM 19,702 NASDAQ Y
PLUS EPLUS INC COM 19,460 NASDAQ N
PMBC PACIFIC MERCANTILE BANCORP COM 17,856 NASDAQ N
PMD PSYCHEMEDICS CORP COM NEW 14,038 NASDAQ N
PMNA POWERSHARES ETF TRUST II MENA FRNTR ETF 8,643 NASDAQ Y
PNBK PATRIOT NATL BANCORP INC COM 5,621 NASDAQ N
PNRA PANERA BREAD CO CL A 403,044 NASDAQ N
PNRG PRIMEENERGY CORP COM 1,192 NASDAQ N
PNTR POINTER TELOCATION LTD SHS 1,381 NASDAQ N
PNX PHOENIX COS INC NEW COM NEW 20,125 NYSE N
POPE POPE RES DEL LTD PARTNERSHIP DEPOSITRY RCPT 3,061 NASDAQ N
POWL POWELL INDS INC COM 30,013 NASDAQ N
PPLT ETFS PLATINUM TR SH BEN INT 76,659 NYSE Arca Y
PPS-A POST PPTYS INC PFD A 8.5% 219 NYSE N
PRAA PORTFOLIO RECOVERY ASSOCS INC COM 93,728 NASDAQ N
PRK PARK NATL CORP COM 19,143 NYSE MKT N
PRLS PEERLESS SYS CORP COM 1,640 NASDAQ N
PRPH PROPHASE LABS INC COM 7,669 NASDAQ N
PSA-O PUBLIC STORAGE DEP SHS PFD-O 10,941 NYSE N
PSAU POWERSHARES ETF TRUST II GLOB GLD&P ETF 5,576 NASDAQ Y
PSB-R PS BUSINESS PKS INC CALIF DEP SHS 1/1000 2,194 NYSE N
PSBH PSB HLDGS INC COM 1,526 NASDAQ N
PSCC POWERSHARES ETF TR II S&P SMCP CONSU 11,474 NASDAQ Y
--- page 42 ---
PSE PIONEER SOUTHWST ENRG PRTNR LP UNIT LP INT 63,812 NYSE N
PSF COHEN & STEERS SLT PFD INCM FD COM 49,439 NYSE N
PSTL POWERSHARES ETF TRUST II GLOBAL STL ETF 1,465 NASDAQ Y
PTD UBS AG JERSEY BRH SHRT PLATN ETN18 35 NYSE Arca Y
PTM UBS AG JERSEY BRH LONG PLATN ETN18 16,819 NYSE Arca Y
PTO POWERSHARES ETF TRUST II COMPLTN PORTFLIO 8,871 NYSE Arca Y
PTR PETROCHINA CO LTD SPONSORED ADR 85,507 NYSE N
PTSI P A M TRANSN SVCS INC COM 2,283 NASDAQ N
PTX PERNIX THERAPEUTICS HLDGS INC COM 20,843 NASDAQ N
PULB PULASKI FINL CORP COM 11,880 NASDAQ N
PVD ADMINISTRADORA FONDOS PENSIONE SPONSORED ADR 11,272 NYSE N
PVTBP PRIVATEBANCORP CAP TR IV PFD TR SECS 7,179 NASDAQ N
PW POWER REIT COM 4,416 NYSE MKT N
PWOD PENNS WOODS BANCORP INC COM 6,029 NASDAQ N
PWX PROVIDENCE & WORCESTER RR CO COM 4,181 NASDAQ N
PXMC POWERSHARES ETF TRUST FND PUR MIDCR PT 1,242 NYSE Arca Y
PYA PPLUS TR LMG-3 CTF CL A 1,164 NYSE N
PYB PPLUS TR GSG-2 A 5.75% 3,790 NYSE N
PYC PPLUS TR GSC-3 TR CTF A 8,763 NYSE N
PYG PPLUS TR SPR-1 TR CTF28 4,510 NYSE N
PYK PPLUS TR TR CTF 6.25% 2,019 NYSE N
PYL PPLUS TR LMG-4 CTF TR 1,130 NYSE N
PYS PPLUS TR RRD-1 CTF CL A 4,410 NYSE N
PYT PPLUS TR GSC 2 CT FL RT 5,549 NYSE N
PYV PPLUS TR JPM-1 TR CTF14 355 NYSE N
PYY PPLUS TR GSC-4 CTF TR A 3,176 NYSE N
PYZ POWERSHARES ETF TRUST BASIC MAT SECT 28,889 NYSE Arca Y
PZB PPLUS TR CTF A LTD1 6.7 2,188 NYSE N
QABA FIRST TR NASDAQ ABA CMNTY BK I UT COM SHS ETF 2,211 NASDAQ Y
QADA QAD INC CL A 12,325 NASDAQ N
QADB QAD INC CL B 2,315 NASDAQ N
QCCO QC HLDGS INC COM 11,529 NASDAQ N
QCRH QCR HOLDINGS INC COM 2,164 NASDAQ N
QEH ADVISORSHARES TR QAM EQTY HEDGE 13,240 NYSE Arca Y
QGEM EGA EMERGING GLOBAL SHS TR TECHNOLOGY GEM 279 NYSE Arca Y
QLTB iShares Baa-Ba Rated Corporate Bond Fund 2,940 BATS BZX Y
QLTC iShares B-Ca Rated Corporate Bond Fund 4,488 BATS BZX Y
QLYS QUALYS INC COM 59,297 NASDAQ N
QQQC GLOBAL X FDS NASDQ CHINA TECH 1,037 NASDAQ Y
RALS PROSHARES TR RAFI LG SHT FD 22,390 NYSE Arca Y
RAND RAND CAP CORP COM 4,041 NASDAQ N
RAS-A RAIT FINANCIAL TRUST PFD A 7.75% 13,720 NYSE N
RAS-B RAIT FINANCIAL TRUST PFD B 8.375% 9,287 NYSE N
RAS-C RAIT FINANCIAL TRUST PFD SBI SER C 5,491 NYSE N
RBCAA REPUBLIC BANCORP KY CL A 42,939 NASDAQ N
RBNF RURBAN FINL CORP COM 5,055 NASDAQ N
RBPAA ROYAL BANCSHARES PA INC CL A 13,271 NASDAQ N
RBS-L ROYAL BK SCOTLAND GROUP PLC SP ADR L RP PF 46,755 NYSE N
RC GRUPO RADIO CENTRO S A B DE CV SPONSORED ADR 472 NYSE N
RCKY ROCKY BRANDS INC COM 11,741 NASDAQ N
RDA RDA MICROELECTRONICS INC SPONSORED ADR 24,298 NASDAQ N
RDCM RADCOM LTD SHS NEW 7,843 NASDAQ N
RDHL REDHILL BIOPHARMA LTD SPONSORED ADS 135 NASDAQ N
RDIB READING INTERNATIONAL INC CL B 35 NASDAQ N
REG-G REGENCY CTRS CORP 6.0% PFD SER 7 15,079 NYSE N
--- page 43 ---
REGN REGENERON PHARMACEUTICALS COM 757,952 NASDAQ N
REIS REIS INC COM 29,327 NASDAQ N
REMY REMY INTL INC COM 6,024 NASDAQ N
RENT RENTRAK CORP COM 35,030 NASDAQ N
RETL DIREXION SHS ETF TR RETAIL BULL 3X 4,244 NYSE Arca Y
REV REVLON INC CL A NEW 87,836 NYSE N
REW PROSHARES TR PSHS TECHNOLOGY 12,044 NYSE Arca Y
REX REX AMERICAN RESOURCES CORP COM 22,929 NYSE N
REXI RESOURCE AMERICA INC CL A 21,385 NASDAQ N
RFI COHEN & STEERS TOTAL RETURN FD COM 34,099 NYSE N
RGCO RGC RES INC COM 3,875 NASDAQ N
RGDX RESPONSE GENETICS INC COM 10,897 NASDAQ N
RGLS REGULUS THERAPEUTICS INC COM 44,496 NASDAQ N
RGRA ROYAL BK OF SCOTLAND PLC ROGR ENH AGRIC 11,504 NYSE Arca Y
RGRC ROYAL BK OF SCOTLAND PLC ROGRS ENH ETNS 1,722 NYSE Arca Y
RGRE ROYAL BK OF SCOTLAND PLC ROGR ENH ENERG 146 NYSE Arca Y
RGRI ROYAL BK OF SCOTLAND PLC ROGR ENH INMET 7,070 NYSE Arca Y
RHS RYDEX ETF TRUST GUG S&P500 EWCON 7,870 NYSE Arca Y
RINF PROSHARES TR 30YR TIPS/TSY 432 NYSE Arca Y
RING ISHARES INC MSCI GLB GOLD 16,237 NYSE Arca Y
RITT RIT TECHNOLOGIES LTD SHS 3,665 NASDAQ N
RIVR RIVER VY BANCORP COM 294 NASDAQ N
RL RALPH LAUREN CORP CL A 1,052,686 NYSE N
RLH-A RED LION HOTELS CAPITAL TRUST PFD TR 9.5% 829 NYSE N
RLI RLI CORP COM 74,969 NYSE N
RLJE RLJ ENTMT INC COM 9,967 NASDAQ N
RM REGIONAL MGMT CORP COM 16,081 NYSE N
RMB CLAYMORE EXCHANGE TRD FD TR 2 GUGGN CHIN ETF 10,073 NYSE Arca Y
RMCF ROCKY MTN CHOCOLATE FACTORY COM PAR $0.03 9,497 NASDAQ N
RNE MORGAN STANLEY EASTN EUR FD COM 4,151 NYSE N
RNET RIGNET INC COM 38,225 NASDAQ N
RNIN WIRELESS RONIN TECHNOLOGIES IN COM NEW 13,891 NASDAQ N
RNO RHINO RESOURCE PARTNERS LP COM UNIT REPST 44,949 NYSE N
ROG ROGERS CORP COM 96,827 NYSE N
ROIA RADIO ONE INC CL A 2,532 NASDAQ N
ROICU RETAIL OPPORTUNITY INVTS CORP UNIT EX 102314 24 NASDAQ N
ROIQU ROI ACQUISITION CORP UNIT 1 000017 41 NASDAQ N
ROLA BARCLAYS BK PLC RUSS1000 3X LG 37 NYSE Arca Y
ROLL RBC BEARINGS INC COM 86,959 NASDAQ N
ROM PROSHARES TR PSHS ULTRA TECH 15,000 NYSE Arca Y
RPRXW REPROS THERAPEUTICS INC WT EXP020816 A 82 NASDAQ N
RPRXZ REPROS THERAPEUTICS INC WT EXP 020816 139 NASDAQ N
RPT-D RAMCO-GERSHENSON PPTYS TR PERP PFD-D CV 10,051 NYSE N
RPX COLUMBIA ETF TR GRWTH EQTY ST 8,643 NYSE Arca Y
RRF WISDOMTREE TR GLB RL RETURN 2,127 NYSE Arca Y
RRMS ROSE ROCK MIDSTREAM L P COM U REP LTD 19,770 NYSE N
RRST RRSAT GLOBAL COMM NTWRK LTD SHS 15,188 NASDAQ N
RSO-A RESOURCE CAP CORP PFD-A 1,035 NYSE N
RSU RYDEX ETF TRUST GUG 2X S&P500ETF 13,170 NYSE Arca Y
RSW RYDEX ETF TRUST GUG INV 2XS&P500 27,930 NYSE Arca Y
RTLA BARCLAYS BK PLC RUSS2000 3X LG 2,370 NYSE Arca Y
RVR WHITE RIVER CAPITAL INC COM 8,044 NYSE MKT N
RWV REVENUESHARES ETF TR NAVELLR A-100 1,705 NYSE Arca Y
RWXL UBS AG LONDON BRH MTH 2X DJ INTL 3,339 NYSE Arca Y
RXD PROSHARES TR PSHS HLTH CARE 1,823 NYSE Arca Y
--- page 44 ---
RXI ISHARES TR S&P GL CONSUME 36,369 NYSE Arca Y
RXL PROSHARES TR PSHS ULT HLTHCRE 5,603 NYSE Arca Y
RYH RYDEX ETF TRUST GUG S&P500EQWTHC 30,015 NYSE Arca Y
SAA PROSHARES TR PSHS ULT SCAP600 3,395 NYSE Arca Y
SAFT SAFETY INS GROUP INC COM 28,946 NASDAQ N
SAL SALISBURY BANCORP INC COM 2,157 NASDAQ N
SAM BOSTON BEER INC CL A 87,172 NYSE N
SAN-A SANTANDER FIN PFD S A UNIPERSN PFD SER 4 6.8% 15,196 NYSE N
SAN-C SANTANDER FIN PFD S A UNIPERSN PFD 6.5% SER 5 26,259 NYSE N
SAN-I SANTANDER FIN PFD S A UNIPERSN PFD I 6.41% 9,288 NYSE N
SANWW S&W SEED CO WT EXP 050315 2,079 NASDAQ N
SAR SARATOGA INVT CORP COM NEW 3,921 NYSE N
SBBX SUSSEX BANCORP COM 915 NASDAQ N
SBLK STAR BULK CARRIERS CORP SHS NEW 14,340 NASDAQ N
SBM PROSHARES TR SHT BASIC MAT 1,535 NYSE Arca Y
SBNYW SIGNATURE BK NEW YORK N Y WT PUR COM STK 29 NASDAQ N
SBR SABINE ROYALTY TR UNIT BEN INT 27,162 NYSE N
SBSA SPANISH BROADCASTING SYS INC CL A NEW 20,828 NASDAQ N
SBV BARCLAYS BK PLC IPTH S&P GSCI 335 NYSE Arca Y
SCBT SCBT FINANCIAL CORP COM 26,722 NASDAQ N
SCC PROSHARES TR PSHS ULCONSM NEW 4,054 NYSE Arca Y
SCE-B SOUTHERN CALIF EDISON CO PFD 4.08% 2,939 NYSE MKT N
SCE-C SOUTHERN CALIF EDISON CO PFD 4.24% 5,140 NYSE MKT N
SCE-D SOUTHERN CALIF EDISON CO PFD 4.32% 2,506 NYSE MKT N
SCE-E SOUTHERN CALIF EDISON CO PFD 4.78% 1,255 NYSE MKT N
SCJ ISHARES INC JAPAN SML CAP 15,780 NYSE Arca Y
SCL STEPAN CO COM 53,945 NYSE N
SCL- STEPAN CO PFD CONV 5.50% 35 NYSE N
SCT BANK AMER CORP TRGT S&P500 14 2,142 NYSE Arca N
SCU SCANA CORP NEW JR SB NT7.7%65 6,861 NYSE N
SCX STARRETT L S CO CL A 5,927 NYSE N
SDA BANK AMER CORP MITTS DOW 15 11,366 NYSE Arca N
SDD PROSHARES TR PSHS ULSH SC 600 6,022 NYSE Arca Y
SDK PROSHARES TR PSHS ULSHT MC GR 100 NYSE Arca Y
SDLP SEADRILL PARTNERS LLC COMUNIT REP LB 86,490 NYSE N
SDO-A SAN DIEGO GAS & ELEC CO PFD 5% 241 NYSE MKT N
SDO-B SAN DIEGO GAS & ELEC CO PFD 4.50% 354 NYSE MKT N
SDO-C SAN DIEGO GAS & ELEC CO PFD 4.40% 6,822 NYSE MKT N
SDO-H SAN DIEGO GAS & ELEC CO PFD $1.82 1,467 NYSE MKT N
SDP PROSHARES TR ULSHRT UTILS FD 4,210 NYSE Arca Y
SDYL UBS AG LONDON BRH ETRACS 2XLVS&P 5,211 NYSE Arca Y
SEMG+ SEMGROUP CORP WT EXP 113014 2,824 NYSE N
SENEA SENECA FOODS CORP NEW CL A 20,767 NASDAQ N
SENEB SENECA FOODS CORP NEW CL B 729 NASDAQ N
SEV SEVCON INC COM 1,828 NASDAQ N
SFBC SOUND FINL BANCORP INC COM 2,309 NASDAQ N
SFI-D ISTAR FINL INC PFD SER D 13,525 NYSE N
SFI-E ISTAR FINL INC PFD E 7.875% 30,976 NYSE N
SFI-I ISTAR FINL INC PFD SER I 11,359 NYSE N
SFK PROSHARES TR PSHS UL1000NEW 470 NYSE Arca Y
SFLA BARCLAYS BK PLC S&P 500 3X LNG 6,255 NYSE Arca Y
SFNC SIMMONS 1ST NATL CORP CL A $1 PAR 32,018 NASDAQ N
SFST SOUTHERN FIRST BANCSHARES INC COM 3,855 NASDAQ N
SGA SAGA COMMUNICATIONS INC CL A NEW 8,615 NYSE MKT N
SGAR BARCLAYS BK PLC IPTH SUGAR ETN 197 NYSE Arca Y
--- page 45 ---
SGB SOUTHWEST GA FINL CORP COM 1,726 NYSE MKT N
SGC SUPERIOR UNIFORM GP INC COM 2,707 NASDAQ N
SGK SCHAWK INC CL A 24,608 NYSE N
SGMA SIGMATRON INTL INC COM 9,752 NASDAQ N
SGNT SAGENT PHARMACEUTICALS INC COM 28,608 NASDAQ N
SGRP SPAR GROUP INC COM 3,672 NASDAQ N
SGYPU SYNERGY PHARMACEUTICALS DEL UNIT 2C1W 120616 224 NASDAQ N
SGYPW SYNERGY PHARMACEUTICALS DEL WT EXP 120616 22,159 NASDAQ N
SHBI SHORE BANCSHARES INC COM 6,650 NASDAQ N
SHI SINOPEC SHANGHAI PETROCHEMICAL SPON ADR H 13,390 NYSE N
SHLO SHILOH INDS INC COM 7,150 NASDAQ N
SHN BANK AMER CORP MITTS DOW 15 2,721 NYSE Arca N
SHO-D SUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D 13,681 NYSE N
SHOS SEARS HOMETOWN & OUTLET STORES COM 92,309 NASDAQ N
SIBC STATE INVS BANCORP INC COM 2,088 NASDAQ N
SIEB SIEBERT FINL CORP COM 571 NASDAQ N
SIF SIFCO INDS INC COM 4,393 NYSE MKT N
SIFI SI FINL GROUP INC MD COM 14,335 NASDAQ N
SIJ PROSHARES TR PSHS ULTSHT INDL 1,643 NYSE Arca Y
SILC SILICOM LTD ORD 51,874 NASDAQ N
SIVBO SVB CAP II PFD TR GTD 7% 1,600 NASDAQ N
SIZ FQF TR QUANTSHARE SIZ 382 NYSE Arca Y
SJH PROSHARES TR PSHS ULSH2000 VA 173 NYSE Arca Y
SJW SJW CORP COM 27,634 NYSE N
SKK PROSHARES TR PSHS ULSH2000 GR 6,005 NYSE Arca Y
SKY SKYLINE CORP COM 23,354 NYSE N
SLI S L INDS INC COM 4,152 NYSE MKT N
SLMAP SLM CORP PFD A 6.97% 8,222 NASDAQ N
SLMBP SLM CORP PFD SER B 2,299 NASDAQ N
SLP SIMULATIONS PLUS INC COM 12,887 NASDAQ N
SLTC SELECTICA INC COM NEW 10,255 NASDAQ N
SLVP ISHARES INC MSCI GL SILVER 1,849 NYSE Arca Y
SLY SPDR SERIES TRUST S&P 600 SML CAP 22,534 NYSE Arca Y
SLYG SPDR SERIES TRUST S&P 600 SMCP GRW 8,557 NYSE Arca Y
SLYV SPDR SERIES TRUST S&P 600 SMCP VAL 10,191 NYSE Arca Y
SMBC SOUTHERN MO BANCORP INC COM 1,261 NASDAQ N
SMF SALIENT MLP & ENERGY INFRSTRCT COM SH BEN INT 16,857 NYSE N
SMIN ISHARES TR MSCI INDIA SML 12,582 BATS BZX Y
SMM SALIENT MIDSTREAM & MLP FD SH BEN INT 39,129 NYSE N
SMMF SUMMIT FINANCIAL GROUP INC COM 2,896 NASDAQ N
SMPL SIMPLICITY BANCORP COM 18,733 NASDAQ N
SMU BANK AMER CORP MITTS S&P50015 1,738 NYSE Arca N
SNHY SUN HYDRAULICS CORP COM 48,415 NASDAQ N
SNP CHINA PETE & CHEM CORP SPON ADR H SHS 60,196 NYSE N
SNV-T SYNOVUS FINL CORP TANG EQTY UTS 74,075 NYSE N
SOCB SOUTHCOAST FINANCIAL CORP COM 12,700 NASDAQ N
SOFO SONIC FDRY INC COM NEW 3,004 NASDAQ N
SOMH SOMERSET HILLS BANCORP COM 3,034 NASDAQ N
SONA SOUTHERN NATL BANCORP OF VA IN COM 13,434 NASDAQ N
SOR SOURCE CAP INC COM 12,120 NYSE N
SOV-C SANTANDER HLDGS USA INC DEP 1/1000 PFD C 1,235 NYSE N
SPAN SPAN AMER MED SYS INC COM 2,554 NASDAQ N
SPBC SP BANCORP INC COM 1,589 NASDAQ N
SPE- SPECIAL OPPORTUNITIES FD INC PFD 180 NYSE N
SPEX SPHERIX INC COM PAR $0.01 1,734 NASDAQ N
--- page 46 ---
SPG-J SIMON PPTY GROUP INC NEW PFD J 8.375% 450 NYSE N
SPGH UBS AG JERSEY BRH S&P500 GLD ETN 710 NYSE Arca Y
SPPRO SUPERTEL HOSPITALITY INC MD PFD SER B CUM 546 NASDAQ N
SPPRP SUPERTEL HOSPITALITY INC MD PFD CONV SER A 1,536 NASDAQ N
SPRO SMARTPROS LTD COM 10,318 NASDAQ N
SPSC SPS COMM INC COM 59,105 NASDAQ N
SRCE 1ST SOURCE CORP COM 27,435 NASDAQ N
SSBI SUMMIT ST BK SANTA ROSA CALIF COM 7,018 NASDAQ N
SSFN STEWARDSHIP FINL CORP COM 2,052 NASDAQ N
SSG PROSHARES TR PSHS SEMICONDUCT 4,783 NYSE Arca Y
SST SPDR SER TR SHRT TRSRY ETF 2,416 NYSE Arca Y
SSTK SHUTTERSTOCK INC COM 57,318 NYSE N
SSW-C SEASPAN CORP PERP PFD-C9.5% 15,295 NYSE N
STAG-A STAG INDL INC 9% CUM REDEEMABL 2,295 NYSE N
STAN STANDARD PARKING CORP COM 74,179 NASDAQ N
STBZ STATE BK FINL CORP COM 49,791 NASDAQ N
STEL STELLARONE CORP COM 61,120 NASDAQ N
STFC STATE AUTO FINL CORP COM 23,432 NASDAQ N
STI+A SUNTRUST BKS INC WT EXP 123118 1,092 NYSE N
STI-A SUNTRUST BKS INC PFD 1/4000 A 11,021 NYSE N
STL-A STERLING BANCORP TR I PFD GTD TR % 2,042 NYSE N
STN STANTEC INC COM 11,692 NYSE N
STND STANDARD FINL CORP MD COM 778 NASDAQ N
STNR STEINER LEISURE LTD ORD 53,278 NASDAQ N
STRN SUTRON CORP COM 4,852 NASDAQ N
STRS STRATUS PPTYS INC COM NEW 11,698 NASDAQ N
STRT STRATTEC SEC CORP COM 4,716 NASDAQ N
STRZB STARZ LIBRTY CAP COM B 248 NASDAQ N
STZ.B CONSTELLATION BRANDS INC CL B 456 NYSE N
SUB ISHARES TR S&P SH NTL AMTFR 55,853 NYSE Arca Y
SUBK SUFFOLK BANCORP COM 17,811 NASDAQ N
SUI-A SUN CMNTYS INC PFD SER A 7,242 NYSE N
SUPX SUPERTEX INC COM 35,377 NASDAQ N
SUSP SUSSER PETE PARTNERS LP COM U REP LP 60,303 NYSE N
SVBI SEVERN BANCORP ANNAPOLIS MD COM 2,535 NASDAQ N
SVT SERVOTRONICS INC COM 3,128 NYSE MKT N
SVVC FIRSTHAND TECH VALUE FD INC COM 39,924 NASDAQ N
SWU STANLEY BLACK & DECKER INC CORP UNIT 14,972 NYSE N
SXE SOUTHCROSS ENERGY PARTNERS L P COM UNIT LTDPT 39,151 NYSE N
SXI STANDEX INTL CORP COM 30,536 NYSE N
SYBT S Y BANCORP INC COM 37,428 NASDAQ N
SYBTP S Y BANCORP CAP TR II PFD TR SECS 2,206 NASDAQ N
SYNL SYNALLOY CP DEL COM 5,899 NASDAQ N
SYX SYSTEMAX INC COM 19,700 NYSE N
SZK PROSHARES TR PSHS CONSUMR GD 776 NYSE Arca Y
SZO DEUTSCHE BK AG LONDON BRH PS CR OIL SH ETN 1,328 NYSE Arca Y
TACT TRANSACT TECHNOLOGIES INC COM 15,790 NASDAQ N
TAGS TEUCRIUM COMMODITY TR AGRICULTURE FD 510 NYSE Arca Y
TAI TRANSAMERICA INCOME SHS INC COM 13,324 NYSE N
TAP.A MOLSON COORS BREWING CO CL A 338 NYSE N
TARO TARO PHARMACEUTICAL INDS LTD SHS 10,627 NYSE N
TATT TAT TECHNOLOGIES LTD ORD NEW 3,976 NASDAQ N
TAX JTH HLDG INC CL A 13,799 NASDAQ N
TAYCO TAYLOR CAP GROUP INC PERP NO CUM PFD 84,027 NASDAQ N
TAYCP TAYC CAP TR I PFD TR 9.75% 3,214 NASDAQ N
--- page 47 ---
TAYD TAYLOR DEVICES INC COM 9,704 NASDAQ N
TC-T THOMPSON CREEK METALS CO INC TG EQIT U TMED 25,952 NYSE N
TCB+ TCF FINL CORP WT EXP 111418 3,832 NYSE N
TCB-B TCF FINL CORP DEL DEP SHS REPSTG 1 10,441 NYSE N
TCBIL TEXAS CAP BANCSHARES INC SUB NT 6.50%42 2,968 NASDAQ N
TCBK TRICO BANCSHARES COM 41,776 NASDAQ N
TCC TRIANGLE CAP CORP SR NT 2,904 NYSE N
TCCA TRIANGLE CAP CORP SR NT 22 16,470 NYSE N
TCCO TECHNICAL COMMUNICATIONS CORP COM 2,693 NASDAQ N
TCHI ROYAL BK OF SCOTLAND PLC CHINA TRNDP ETF 15,956 NYSE Arca Y
TCI TRANSCONTINENTAL RLTY INVS COM NEW 1,378 NYSE N
TDD DB-X FUNDS DB-X 2010 TARGET 4,388 NYSE Arca Y
TDG TRANSDIGM GROUP INC COM 504,395 NYSE N
TDH DB-X FUNDS DB-X 2020 TARGET 3,639 NYSE Arca Y
TDI TELEPHONE & DATA SYS INC SR NT 2045 4,280 NYSE N
TDN DB-X FUNDS DB-X 2030 TARGET 12,269 NYSE Arca Y
TDV DB-X FUNDS DB-X 2040 TARGET 3,556 NYSE Arca Y
TDX DB-X FUNDS DB-X INDEPENDENC 2,275 NYSE Arca Y
TECUB TECUMSEH PRODS CO CL B 9,025 NASDAQ N
TESS TESSCO TECHNOLOGIES INC COM 64,249 NASDAQ N
TF THAI CAP FD INC COM NEW 8,377 NYSE MKT N
TFCO TUFCO TECHNOLOGIES INC COM 806 NASDAQ N
TFG FIXED INCOME TRUST FOR GOLDMAN CLL CTF CL-A37 1,211 NYSE N
TGEM EGA EMERGING GLOBAL SHS TR TELECOM GEMS 388 NYSE Arca Y
TGR ISHARES TR S&P TARGET RET 3,230 NYSE Arca Y
THFF FIRST FINL CORP IND COM 26,892 NASDAQ N
THRD TF FINL CORP COM 2,262 NASDAQ N
THTI THT HEAT TRANSFER TECHNOLOGY I COM 5,761 NASDAQ N
TIGR TIGERLOGIC CORPORATION COM 8,551 NASDAQ N
TIK TEL INSTR ELECTRS CORP COM NEW 436 NYSE MKT N
TIS ORCHIDS PAPER PRODS CO DEL COM 24,116 NYSE MKT N
TLF TANDY LEATHER FACTORY INC COM 6,593 NASDAQ N
TLL PROSHARES TR PSHS ULSHRT TELE 812 NYSE Arca Y
TLP TRANSMONTAIGNE PARTNERS L P COM UNIT L P 35,837 NYSE N
TLTD FLEXSHARES TR M STAR DEV MKT 26,188 NYSE Arca Y
TLTE FLEXSHARES TR MSTAR EMKT FAC 25,410 NYSE Arca Y
TMNG MANAGEMENT NETWORK GROUP INC COM NEW 12,478 NASDAQ N
TMP TOMPKINS FINANCIAL CORPORATION COM 16,299 NYSE MKT N
TMW SPDR SERIES TRUST DJ TTL MKT ETF 7,141 NYSE Arca Y
TNH TERRA NITROGEN CO L P COM UNIT 38,212 NYSE N
TOFC TOWER FINANCIAL CORP COM 9,891 NASDAQ N
TOK ISHARES TR MSCI KOKUSAI 9,332 NYSE Arca Y
TORM TOR MINERALS INTL INC COM NEW 2,568 NASDAQ N
TPL TEXAS PAC LD TR SUB CTF PROP I T 10,282 NYSE N
TPS PROSHARES TR ULTRASHRT TIPS 6,491 NYSE Arca Y
TRC TEJON RANCH CO COM 42,818 NYSE N
TREE TREE COM INC COM 25,244 NASDAQ N
TRIB TRINITY BIOTECH PLC SPON ADR NEW 68,370 NASDAQ N
TRIO TRIO MERGER CORP COM 24 NASDAQ N
TRMD TORM A/S SPONS ADR NEW 3,198 NASDAQ N
TRNO-A TERRENO RLTY CORP PFD SER A 1,551 NYSE N
TRNS TRANSCAT INC COM 5,241 NASDAQ N
TROVU TROVAGENE INC UNIT EX 123117 1,797 NASDAQ N
TROVW TROVAGENE INC WT EXP 123117 32,483 NASDAQ N
TRR TRC COS INC COM 16,024 NYSE N
--- page 48 ---
TRSY PIMCO ETF TR 15YR US TRS FD 603 NYSE Arca Y
TSBK TIMBERLAND BANCORP INC COM 16,354 NASDAQ N
TSEM TOWER SEMICONDUCTOR LTD SHS NEW 14,330 NASDAQ N
TSH TECHE HLDG CO COM 2,094 NYSE MKT N
TSRO TESARO INC COM 35,054 NASDAQ N
TTFS ADVISORSHARES TR TRIMTABS FLT 2,290 NYSE Arca Y
TUC MAC-GRAY CORP COM 14,329 NYSE N
TWIN TWIN DISC INC COM 61,618 NASDAQ N
TWMC TRANS WORLD ENTMT CORP COM 7,174 NASDAQ N
TWQ PROSHARES TR PSHS ULSHRUS NEW 281 NYSE Arca Y
TWTI ROYAL BK OF SCOTLAND PLC RBS OIL TRNDPL 1,905 NYSE Arca Y
TY- TRI CONTL CORP PFD $2.50 724 NYSE N
TYG TORTOISE ENERGY INFRSTRCTR CP COM 71,556 NYSE N
TYNS DIREXION SHS ETF TR 7-10YR TR BEAR 535 NYSE Arca Y
TZD ISHARES TR S&P TARGET 10 1,737 NYSE Arca Y
TZE ISHARES TR S&P TARGET 15 3,658 NYSE Arca Y
TZF TRUST CTFS 2001-2 BEAR STEARNS TR CTF 7.1%2096 113 NYSE N
TZG ISHARES TR S&P TARGET 20 8,086 NYSE Arca Y
TZI ISHARES TR S&P TARGET 25 5,395 NYSE Arca Y
TZL ISHARES TR S&P TARGET 30 6,115 NYSE Arca Y
TZO ISHARES TR S&P TARGET 35 1,686 NYSE Arca Y
TZV ISHARES TR S&P TARGET 40 4,916 NYSE Arca Y
TZW ISHARES TR TRGT 2045 INDX 551 NYSE Arca Y
TZY ISHARES TR TRGT 2050 INDX 3,706 NYSE Arca Y
UACL UNIVERSAL TRUCKLOAD SVCS INC COM 11,266 NASDAQ N
UAG UBS AG JERSEY BRH CMCI AGRI ETN 3,943 NYSE Arca Y
UBC UBS AG JERSEY BRH LIVESTK ETN 38 2,113 NYSE Arca Y
UBCP UNITED BANCORP INC OHIO COM 6,600 NASDAQ N
UBFO UNITED SECURITY BANCSHARES CA COM 19,888 NASDAQ N
UBM UBS AG JERSEY BRH CMCI INDL ETN 135 NYSE Arca Y
UBN UBS AG JERSEY BRH CMCI ENRGY ETN 88 NYSE Arca Y
UBOH UNITED BANCSHARES INC OHIO COM 2,303 NASDAQ N
UBP URSTADT BIDDLE PPTYS INC COM 740 NYSE N
UBP-C URSTADT BIDDLE PPTYS INC PFD SR C 8.5% 232 NYSE N
UBP-D URSTADT BIDDLE PPTYS INC PFD D 7.5% 542 NYSE N
UBP-F URSTADT BIDDLE PPTYS INC PFD SER F 7.125% 28,158 NYSE N
UBPS UNIVERSAL BUSINESS PMT SOL AC COM 26,933 NASDAQ N
UBR PROSHARES TR ULT MSCI BRAZL 4,064 NYSE Arca Y
UCBA UNITED CMNTY BANCORP IND COM 75,344 NASDAQ N
UCC PROSHARES TR PSHS CONSMR SVCS 1,077 NYSE Arca Y
UCD PROSHARES TR II ULT DJ UBS COMM 6,049 NYSE Arca Y
UEIC UNIVERSAL ELECTRS INC COM 58,434 NASDAQ N
UFCS UNITED FIRE GROUP INC COM 45,083 NASDAQ N
UFI UNIFI INC COM NEW 31,824 NYSE N
UFPI UNIVERSAL FST PRODS INC COM 59,251 NASDAQ N
UFPT UFP TECHNOLOGIES INC COM 9,846 NASDAQ N
UG UNITED GUARDIAN INC COM 2,985 NASDAQ N
UGE PROSHARES TR PSHS CONSMRGOODS 352 NYSE Arca Y
UGEM EGA EMERGING GLOBAL SHS TR UTILITIES GEMS 4,047 NYSE Arca Y
UHAL AMERCO COM 26,256 NASDAQ N
UHT UNIVERSAL HEALTH RLTY INCM TR SH BEN INT 83,939 NYSE N
UIS-A UNISYS CORP PFD SER A 6.25% 6,815 NYSE N
UJB PROSHARES TR ULTRA HIGH YLD 3,068 NYSE Arca Y
UKF PROSHARES TR PSHS ULT1000 GRW 341 NYSE Arca Y
UKK PROSHARES TR PSHS ULT 2000 GR 13,899 NYSE Arca Y
--- page 49 ---
UKW PROSHARES TR PSHS ULT MDCP GR 633 NYSE Arca Y
ULBI ULTRALIFE CORP COM 14,747 NASDAQ N
ULE PROSHARES TR II PSH ULTRA EURO 6,146 NYSE Arca Y
UMDD PROSHARES TR ULTRA MDCAP400 20,887 NYSE Arca Y
UMH-A U M H PROPERTIES INC CV RED PFD-A 2,595 NYSE N
UNAM UNICO AMERN CORP COM 1,146 NASDAQ N
UNB UNION BANKSHARES INC COM 3,503 NASDAQ N
UNF UNIFIRST CORP MASS COM 92,941 NYSE N
UNTK UNITEK GLOBAL SVCS INC COM PAR $.00002 24,701 NASDAQ N
UNTY UNITY BANCORP INC COM 8,389 NASDAQ N
UOIL CREDIT SUISSE NASSAU BRH VS 3XLNG BRENT 508 NYSE Arca Y
UPW PROSHARES TR PSHS ULTRA UTIL 6,102 NYSE Arca Y
URR MORGAN STANLEY LNG EURO ETN20 6,147 NYSE Arca Y
URTH ISHARES INC MSCI WORLD IDX 692 NYSE Arca Y
USAG UNITED STS COMMODITY IDX FDTR COM UTS US AGR 2,171 NYSE Arca Y
USAK USA TRUCK INC COM 13,481 NASDAQ N
USAP UNIVERSAL STAINLESS & ALLOY COM 27,358 NASDAQ N
USATP USA TECHNOLOGIES INC CONV PFD SER A 319 NASDAQ N
USB-A US BANCORP DEL PERP PFD SER A 1,779 NYSE N
USBI UNITED SEC BANCSHARES INC SHS 5,320 NASDAQ N
USCR U S CONCRETE INC COM NEW 71,210 NASDAQ N
USD PROSHARES TR PSHS ULT SEMICDT 45,027 NYSE Arca Y
USLM UNITED STATES LIME & MINERALS COM 4,573 NASDAQ N
USMD USMD HLDGS INC COM 2,530 NASDAQ N
USMI UNITED STS COMMODITY IDX FDTR COM UNIT US ML 225 NYSE Arca Y
USV UBS AG JERSEY BRH CMCI SILVR ETN 6,195 NYSE Arca Y
UTMD UTAH MED PRODS INC COM 4,004 NASDAQ N
UUU UNIVERSAL SEC INSTRS INC COM NEW 6,760 NYSE MKT N
UVG PROSHARES TR PSHS ULT1000 VAL 3,645 NYSE Arca Y
UVSP UNIVEST CORP PA COM 32,175 NASDAQ N
UVT PROSHARES TR PSHS ULT2000 VAL 11,799 NYSE Arca Y
UVU PROSHARES TR PSHS ULT MCP VAL 830 NYSE Arca Y
UWC PROSHARES TR UL RUS3000 ETF 147 NYSE Arca Y
UWTI CREDIT SUISSE NASSAU BRH VS 3XLNGNATGAS 7,111 NYSE Arca Y
UXI PROSHARES TR PSHS ULTRA INDL 6,373 NYSE Arca Y
UXJ PROSHARES TR ULT MSCI PAC 1,798 NYSE Arca Y
VALU VALUE LINE INC COM 3,104 NASDAQ N
VBFC VILLAGE BK & TR FINANCIAL CORP COM 5,810 NASDAQ N
VCF DELAWARE INV CO MUN INC FD INC COM 6,465 NYSE MKT N
VCO VINA CONCHA Y TORO S A SPONSORED ADR 2,728 NYSE N
VEGI ISHARES INC MSCI GLB AGRI 17,698 NYSE Arca Y
VEL-E VIRGINIA ELEC & PWR CO PFD $5 95 NYSE N
VFC V F CORP COM 1,044,537 NYSE N
VGEM EGA EMERGING GLOBAL SHS TR CONSMR SVC GEM 9,792 NYSE Arca Y
VHI VALHI INC NEW COM 29,713 NYSE N
VIA VIACOM INC NEW CL A 44,278 NASDAQ N
VIAS VIASYSTEMS GROUP INC COM PAR$.01 5,543 NASDAQ N
VIDE VIDEO DISPLAY CORP COM 3,929 NASDAQ N
VIFL FOOD TECHNOLOGY SERVICE INC COM NEW 2,361 NASDAQ N
VII VICON INDS INC COM 2,410 NYSE MKT N
VISN VISIONCHINA MEDIA INC SPON ADR NEW 34,765 NASDAQ N
VLAT DIREXION SHS ETF TR S&P LATAM 40VO 188 NYSE Arca Y
VLGEA VILLAGE SUPER MKT INC CL A NEW 19,349 NASDAQ N
VLY-A VNB CAP TR I TOPRS 7.75% 2,955 NYSE N
VMI VALMONT INDS INC COM 136,302 NYSE N
--- page 50 ---
VNO-A VORNADO RLTY TR PFD CONV SER A 6 NYSE N
VRD SPDR SERIES TRUST NUVN S&P VRDO MN 4,515 NYSE Arca Y
VRTA VESTIN REALTY MORTGAGE I INC COM 4,149 NASDAQ N
VRTS VIRTUS INVT PARTNERS INC COM 43,079 NASDAQ N
VSBN VSB BANCORP INC N Y COM 315 NASDAQ N
VSEC VSE CORP COM 10,241 NASDAQ N
VSPR DIREXION SHS ETF TR S&P1500 VOL RS 183 NYSE Arca Y
VSPY DIREXION SHS ETF TR S&P500 VOL RES 2,067 NYSE Arca Y
VSS VANGUARD INTL EQUITY INDEX FD FTSE SMCAP ETF 77,514 NYSE Arca Y
VSTM VERASTEM INC COM 26,244 NASDAQ N
VTNC VITRAN CORP INC COM 52,797 NASDAQ N
VYFC VALLEY FINL CORP VA COM 1,055 NASDAQ N
WACLY WACOAL HOLDINGS CORP ADR 3,830 NASDAQ N
WAFDW WASHINGTON FED INC WT EXP 111418 403 NASDAQ N
WASH WASHINGTON TR BANCORP COM 26,718 NASDAQ N
WAYN WAYNE SVGS BANCSHARES INC NEW COM 848 NASDAQ N
WBK WESTPAC BKG CORP SPONSORED ADR 15,676 NYSE N
WBKC WOLVERINE BANCORP INC COM 2,756 NASDAQ N
WBS+ WEBSTER FINL CORP CONN WT EXP 112118 265 NYSE N
WBS-E WEBSTER FINL CORP CONN DEP SHS PFD-E 98,075 NYSE N
WDFC WD-40 CO COM 48,750 NASDAQ N
WEBK WELLESLEY BANCORP INC COM 1,663 NASDAQ N
WEBM WEBMEDIABRANDS INC COM NEW 5,612 NASDAQ N
WEET BARCLAYS BK PLC IPT GRAINS ETN 1,304 NYSE Arca Y
WEYS WEYCO GROUP INC COM 14,170 NASDAQ N
WF WOORI FIN HLDGS CO LTD ADR 11,051 NYSE N
WFBI WASHINGTONFIRST BANKSHARES INC COM 4,946 NASDAQ N
WFC-L WELLS FARGO & CO NEW PERP PFD CNV A 5,393 NYSE N
WFVK CLAYMORE EXCHANGE TRD FD TR WLSHRE5000 ETF 5,489 NYSE Arca Y
WHG WESTWOOD HLDGS GROUP INC COM 18,810 NYSE N
WHLR WHEELER REAL ESTATE INVT TR COM 7,195 NASDAQ N
WILC G WILLI FOOD INTL LTD ORD 8,542 NASDAQ N
WINA WINMARK CORP COM 11,410 NASDAQ N
WIRE ENCORE WIRE CORP COM 43,682 NASDAQ N
WIS- WISCONSIN PWR & LT CO PFD 4.50% 222 NYSE MKT N
WLB WESTMORELAND COAL CO COM 20,913 NASDAQ N
WLBPZ WESTMORELAND COAL CO PFD DP A CV1/4 98 NASDAQ N
WLDN WILLDAN GROUP INC COM 3,302 NASDAQ N
WLFC WILLIS LEASE FINANCE CORP COM 10,297 NASDAQ N
WLL-A WHITING PETE CORP NEW PERP PFD CONV 242 NYSE N
WMCR CLAYMORE EXCHANGE TRD FD TR WILSHIRE MCRO CP 1,532 NYSE Arca Y
WMK WEIS MKTS INC COM 27,599 NYSE N
WMW DEUTSCHE BK AG LONDON ELE MORN TTL22 23,477 NYSE Arca Y
WNS WNS HOLDINGS LTD SPON ADR 67,974 NYSE N
WPO WASHINGTON POST CO CL B 19,675 NYSE N
WPPGY WPP PLC NEW ADR 60,877 NASDAQ N
WRD WEINGARTEN RLTY INVS NT 8.10%19 8,488 NYSE N
WRI-D WEINGARTEN RLTY INVS PFD 1/30D6.75% 2,926 NYSE N
WRT WINTHROP RLTY TR SR NT 22 5,085 NYSE N
WSB WSB HOLDINGS INC COM 3,283 NASDAQ N
WSBC WESBANCO INC COM 50,734 NASDAQ N
WSBF WATERSTONE FINANCIAL INC COM 46,939 NASDAQ N
WSCI WSI INDS INC COM 22,501 NASDAQ N
WSFS WSFS FINL CORP COM 23,928 NASDAQ N
WSFSL WSFS FINL CORP SR NT 6.25%19 814 NASDAQ N
--- page 51 ---
WSO.B WATSCO INC CL B 51 NYSE MKT N
WSTG WAYSIDE TECHNOLOGY GROUP INC COM 11,325 NASDAQ N
WTBA WEST BANCORPORATION INC CAP STK 20,534 NASDAQ N
WTFCW WINTRUST FINANCIAL CORP WT EXP 121918 212 NASDAQ N
WTM WHITE MTNS INS GROUP LTD COM 6,755 NYSE N
WVFC WVS FINL CORP COM 1,895 NASDAQ N
WVT WARWICK VALLEY TEL CO COM 10,191 NYSE MKT N
WVVI WILLAMETTE VY VINEYARD INC COM 2,676 NASDAQ N
WXSP CLAYMORE EXCHANGE TRD FD TR WLSHRE4500 ETF 198 NYSE Arca Y
XAR SPDR SERIES TRUST AEROSPACE DEF 1,204 NYSE Arca Y
XBKS XENITH BANKSHARES INC COM 15,933 NASDAQ N
XFD CORPORATE BACKED TR CTFS 02-10 A 6.7%97 1,526 NYSE N
XFH CORPORATE BACKED TR CTFS MOT 02-12 8.2 106 NYSE N
XFP CORPORATE BACKED TR CTFS 02-17 6.125%45 16,643 NYSE N
XFR CORPORATE BACKED TR CTFS DB BCK 6.25%97 1,078 NYSE N
XHE SPDR SERIES TRUST HLTH CR EQUIP 3,755 NYSE Arca Y
XKE CORPORATE BACKED TR CTFS SER 01-31 7.75% 2,326 NYSE N
XKO CORPORATE BACKED TR CTFS CP DB 01/37 A1 1,072 NYSE N
XOVR SPDR SER TR SPDR BOFA CRSS 6,902 NYSE Arca Y
XPLR XPLORE TECHNOLOGIES CORP COM PAR $0.001 33,692 NASDAQ N
XSW SPDR SERIES TRUST COMP SOFTWARE 3,080 NYSE Arca Y
XTL SPDR SERIES TRUST S&P TELECOM 666 NYSE Arca Y
XTN SPDR SERIES TRUST S&P TRANSN ETF 5,325 NYSE Arca Y
XVG CORPORATE BACKED TR CTFS 03-7 BA 6.05A1 2,153 NYSE N
Y ALLEGHANY CORP DEL COM 48,785 NYSE N
YCL PROSHARES TR II PSHS ULTRA YEN 9,601 NYSE Arca Y
YORW YORK WTR CO COM 23,414 NASDAQ N
ZA ZUOAN FASHION LTD SPONSORED ADR 24,602 NYSE N
ZB-A ZIONS BANCORPORATION PFD 1/40 SER A 6,290 NYSE N
ZB-F ZIONS BANCORPORATION DEP SHS REPSTG 1 2,973 NYSE N
ZEUS OLYMPIC STEEL INC COM 43,025 NASDAQ N
ZIGO ZYGO CORP COM 23,115 NASDAQ N
ZIONW ZIONS BANCORPORATION WT EXP 052220 6,249 NASDAQ N
ZIONZ ZIONS BANCORPORATION WT EXP 111418 9,643 NASDAQ N
ZROZ PIMCO ETF TR 25YR+ ZERO U S 18,528 NYSE Arca Y
ZZC SEALY CORP SR SECD 3RD 8% 3,791 NYSE N
(2012 securities)