List of Brokers and Dealers with No Outstanding Past-Due Share of the Broker-Dealer Accounting Support Fee

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1 1666 K Street, N.W. Washington, DC Telephone: (202) Facsimile: (202) List of Brokers and Dealers with No Outstanding Past-Due Share of the Broker-Dealer Accounting Support Fee Determination of Payment under PCAOB Rule 7104(b) As of The following is a list of brokers and dealers that have been assessed and have no outstanding past-due share of the broker-dealer accounting support fee of the Public Company Accounting Oversight Board ("PCAOB"), as of. 1/ A registered public accounting firm may take the inclusion of a broker or dealer on this list as an indication that the broker or dealer has no outstanding past-due share of the broker-dealer accounting support fee for purposes of PCAOB Rule 7104(b). This list will be updated at least bi-weekly. If a registered public accounting firm cannot obtain a representation from the broker or dealer or cannot determine by reviewing the list below whether the broker or dealer has no past-due share of the accounting support fee outstanding, the registered public accounting firm may contact the staff by phone at (9:00 a.m. to 5:00 p.m. ET) or by at If you believe a broker or dealer has been excluded from this list in error, please contact the staff by phone at (9:00 a.m. to 5:00 p.m. ET) or by at 1/ Just because a broker or dealer does not appear on this list does not mean that the broker or dealer has outstanding a past-due share of the broker-dealer accounting support fee. Many "brokers" or dealers, as such terms are defined in the Sarbanes-Oxley Act and the Board's rules, are not allocated a share of the brokerdealer accounting support fee under the Board's funding rules and therefore are not on this list even though they have outstanding no past-due share of the accounting support fee. In addition, payments are received periodically by the PCAOB and are not reflected on this list until it is next updated. The prohibitions in PCAOB Rule 7104(b)(1) do not apply with respect to audit opinions for brokers and dealers with petitions for correction pending under Rule 7103(c).

2 Page 2 Additional information about the broker-dealer accounting support fee and the funding process is available in the Frequently Asked Questions ("FAQs") available in the Accounting Support Fee section of the PCAOB's Web site (http://pcaobus.org/about/ops/pages/bdsupportfeefaq.aspx). * * * 303 EQUITY TRADING GROUP II, A.B. FINANCIAL L.L.C. ABBEY NATIONAL SECURITIES ABEL/NOSER ABG SUNDAL COLLIER ABN AMRO CLEARING CHICAGO ABN AMRO SECURITIES (USA) ACCESS SECURITIES, ADP BROKER-DEALER, ADVISORS ASSET MANAGEMENT, AIG CAPITAL SERVICES, AIG FINANCIAL SECURITIES AK CAPITAL AKUNA SECURITIES ALADDIN CAPITAL ALBERT FRIED & COMPANY, ALLEN & COMPANY ALLIANCEBERNSTEIN INVESTMENTS, ALLIANZ GLOBAL INVESTORS DISTRIBUTORS ALLIANZ LIFE FINANCIAL SERVICES, ALLSTATE FINANCIAL SERVICES, ALLSTON TRADING ALLY SECURITIES ALPHAGEN SECURITIES ALTERNATIVE STRATEGIES BROKERAGE SERVICES, ALTERNET SECURITIES ALVAREZ & MARSAL SECURITIES, AMERICAN CENTURY INVESTMENT SERVICES, AMERICAN ENTERPRISE INVESTMENT SERVICES AMERICAN FUNDS DISTRIBUTORS, AMERIPRISE FINANCIAL SERVICES, AMERITAS INVESTMENT CORP ANZ SECURITIES, AON BENFIELD SECURITIES, APEX CLEARING APOLLO GLOBAL SECURITIES, ARCA CAPITAL INVESTMENTS, ARCHIPELAGO SECURITIES L.L.C. ARCHIPELAGO TRADING SERVICES, ARIEL DISTRIBUTORS, ARVEST INVESTMENTS, ASCENSUS BROKER DEALER SERVICES, ASPEN TRADING, L.L.C ASSOCIATED OPTIONS, ATHENE SECURITIES, ATLANTIC - PACIFIC CAPITAL, AUERBACH GRAYSON & COMPANY AURIGA USA, AUTOMATED TRADING DESK BROKERAGE SERVICES, AUTOMATED TRADING DESK FINANCIAL SERVICES, AUTONOMOUS RESEARCH LLP AVATAR CAPITAL GROUP AVATAR SECURITIES, AVM, L.P. AXA ADVISORS, AXA DISTRIBUTORS, B. C. ZIEGLER AND COMPANY B. RILEY & CO., BALANCE SHEET SOLUTIONS BANC OF AMERICA SPECIALIST, BANCA IMI SECURITIES BANCO DO BRASIL SECURITIES BANCO VOTORANTIM SECURITIES, BANCWEST INVESTMENT SERVICES, BANORTE-IXE SECURITIES INTERNATIONAL, LTD. BARCLAYS CAPITAL BARON CAPITAL, BATS TRADING,

3 Page 3 BB&T INVESTMENT SERVICES, BB&T SECURITIES, BBVA COMPASS INVESTMENT SOLUTIONS, BBVA SECURITIES BBVA SECURITIES OF PUERTO RICO, BCP SECURITIES, BDT & COMPANY, BEDROK SECURITIES BELVEDERE TRADING BENGAL CAPITAL TRADING BENGAL CAPITAL, BENJAMIN F. EDWARDS & COMPANY, BERENSON & COMPANY, BERNARD HEROLD & CO., BGC FINANCIAL, L.P. BIDS TRADING L.P. BLACKROCK CAPITAL MARKETS, BLACKROCK EXECUTION SERVICES BLACKROCK FUND DISTRIBUTION COMPANY BLACKROCK INVESTMENTS, BLACKSTONE ADVISORY PARTNERS L.P. BLAYLOCK BEAL VAN, BLOOMBERG TRADEBOOK BLUE CAPITAL GROUP BLUE FIRE CAPITAL, BLUEFIN TRADING, BMO CAPITAL MARKETS BMO CAPITAL MARKETS GKST BMO HARRIS FINANCIAL ADVISORS, BMO NESBITT BURNS TRADING S.A. BNP PARIBAS PRIME BROKERAGE, BNP PARIBAS SECURITIES BNY MELLON CAPITAL MARKETS, BOENNING & SCATTERGOOD, BOFA DISTRIBUTORS, BONDS.COM, BOSC, BRADESCO SECURITIES, BRANDT EQUITIES BRAVER STERN SECURITIES BREAN CAPITAL, BRIGHT TRADING, BROADRIDGE BUSINESS PROCESS OUTSOURCING, BROOKFIELD PRIVATE ADVISORS BROWNSTONE INVESTMENT GROUP, BTG PACTUAL US CAPITAL, BTIG, BTMU SECURITIES, BURKE & QUICK PARTNERS BYRD TRADING, C&C TRADING L.L.C. C. L. KING & ASSOCIATES, CADARET, GRANT & CO., CAIN BROTHERS & COMPANY, CALAMOS FINANCIAL SERVICES CALVERT INVESTMENT DISTRIBUTORS, CAMBRIDGE INTERNATIONAL SECURITIES, CAMBRIDGE INVESTMENT RESEARCH, CANACCORD GENUITY CANACCORD GENUITY SECURITIES CANACCORD WEALTH MANAGEMENT (USA) CANTOR FITZGERALD & CO. CAPITAL BROKERAGE CAPITAL INSTITUTIONAL SERVICES, CAPITAL ONE SECURITIES, CARTY & COMPANY, CASGRAIN & COMPANY (USA) LIMITED CASSANDRA TRADING GROUP, CBRE CAPITAL ADVISORS, CCO INVESTMENT SERVICES CENTERVIEW PARTNERS CETERA ADVISOR NETWORKS CETERA ADVISORS CETERA FINANCIAL SPECIALISTS CETERA INVESTMENT SERVICES CHARLES RIVER BROKERAGE, CHARLES SCHWAB & CO., CHASE INVESTMENT SERVICES CHICAGO CAPITAL MANAGEMENT, L.P. CHIMERA SECURITIES, CHOPPER SECURITIES, CIBC WORLD MARKETS CICC US SECURITIES,

4 Page 4 CIMB SECURITIES (USA), CIT CAPITAL SECURITIES CITADEL SECURITIES CITI INTERNATIONAL FINANCIAL SERVICES CITICORP SECURITIES SERVICES, CITIGROUP DERIVATIVES MARKETS CITIGROUP GLOBAL MARKETS CITY NATIONAL SECURITIES, CITY SECURITIES CLARK SECURITIES, CLARKSON CAPITAL MARKETS CLEVELAND RESEARCH COMPANY CLIFTONLARSONALLEN WEALTH ADVISORS, CLSA AMERICAS, CMCJL, CME BD SERVICES, CMZ TRADING, COASTAL SECURITIES, CODE ADVISORS COGNITIVE CAPITAL, COHEN & COMPANY CAPITAL MARKETS, COHEN & COMPANY SECURITIES, COHEN & STEERS SECURITIES, COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, COMERICA SECURITIES, COMMERCE BROKERAGE SERVICES, COMMERZ MARKETS COMMONWEALTH AUSTRALIA SECURITIES COMMONWEALTH EQUITY SERVICES, COMPASS POINT RESEARCH & TRADING, CONTINUITY PARTNERS GROUP, CONVERGEX EXECUTION SOLUTIONS COR CLEARING CORMARK SECURITIES (USA) LIMITED CORNERSTONE TRADING, CORTVIEW CAPITAL SECURITIES COWEN AND COMPANY, COWEN CAPITAL COWEN EQUITY FINANCE LP CP COGENT SECURITIES LP CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, CREDIT AGRICOLE SECURITIES (USA) CREDIT SUISSE CAPITAL CREDIT SUISSE PRIME SECURITIES SERVICES (USA) CREDIT SUISSE PRIVATE ADVISORS AG CREDIT SUISSE SECURITIES (USA) CREDITEX SECURITIES CREWS & ASSOCIATES, CROWELL, WEEDON & CO. CRT CAPITAL GROUP CSCA CAPITAL ADVISORS, CSS, CUNA BROKERAGE SERVICES, CURIAN CLEARING, CURTISWOOD CAPITAL, CUSO FINANCIAL SERVICES, L.P. CUTLER GROUP, LP CUTWATER ASSET MANAGEMENT D.A. DAVIDSON & CO. DAEWOO SECURITIES (AMERICA) DAHLMAN ROSE & COMPANY, DAIWA CAPITAL MARKETS AMERICA DANSKE MARKETS DAVENPORT & COMPANY DAVID LERNER ASSOCIATES, DAVIS DISTRIBUTORS, DB SECURITIES SERVICES NJ DBS VICKERS SECURITIES (USA) DEALERWEB DEAWM DISTRIBUTORS, DELAWARE DISTRIBUTORS, L.P. DEUTSCHE BANK SECURITIES DEVELOPMENT FOR ISRAEL DIFFUSION MARKETS, L.L.C. DIMENSION TRADING GROUP, DIRECT EDGE ECN DIRECTED SERVICES DNB MARKETS, DOFT & CO., DOUGHERTY & COMPANY

5 Page 5 DOWLING & PARTNERS SECURITIES DRIEHAUS SECURITIES DRW SECURITIES, L.L.C. DUFF & PHELPS SECURITIES DUNCAN-WILLIAMS, DUNDEE SECURITIES DVB CAPITAL MARKETS DZ FINANCIAL MARKETS E D & F MAN CAPITAL MARKETS E*TRADE CLEARING E*TRADE SECURITIES E.J. DE LA ROSA & CO., E.S. FINANCIAL SERVICES, EARLYBIRDCAPITAL, EATON VANCE DISTRIBUTORS, EBX ECHOTRADE EDWARD D. JONES & CO., L.P. EFG CAPITAL INTERNATIONAL ELECTRONIC BROKERAGE SYSTEMS, EMMET & CO, EMPIRICAL RESEARCH PARTNERS ENGLISH CONCEPTS, EPOCH SECURITIES, EQUILEND EQUITEC PROPRIETARY MARKETS, EQUITEC SPECIALISTS, EVERCORE GROUP L.L.C. EXANE, FACTSET DATA SYSTEMS, FAGENSON & CO., FARMERS FINANCIAL SOLUTIONS, FBR CAPITAL MARKETS & CO. FELTL & COMPANY FIDELITY BROKERAGE SERVICES FIDELITY DISTRIBUTORS FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, FIFTH THIRD SECURITIES, FINANCIAL NORTHEASTERN SECURITIES, FIRST ALLIED SECURITIES, FIRST BALLANTYNE, FIRST BANKERS' BANC SECURITIES, INC FIRST BROKERS SECURITIES FIRST CITIZENS SECURITIES FIRST CLEARING, FIRST COMMAND FINANCIAL PLANNING, FIRST DERIVATIVE TRADERS, L.P. FIRST INVESTORS FIRST MANHATTAN CO FIRST NEW YORK SECURITIES L.L.C. FIRST REPUBLIC SECURITIES COMPANY, FIRST SOUTHWEST COMPANY FIRST TRUST PORTFOLIOS L.P. FIRST TRYON SECURITIES, FIXED INCOME CAPITAL PARTNERS, FLEXTRADE FLORIDA ATLANTIC SECURITIES FLOW TRADERS U.S. FMI CAPITAL ADVISORS, FMSBONDS, FOLGER NOLAN FLEMING DOUGLAS FOLIOFN INVESTMENTS, FORETHOUGHT DISTRIBUTORS, FOROS SECURITIES FOX RIVER EXECUTION TECHNOLOGY, FRANKLIN/TEMPLETON DISTRIBUTORS, FRED ALGER & COMPANY, FROST BROKERAGE SERVICES, FS2 CAPITAL PARTNERS, FSC SECURITIES FSP INVESTMENTS FTB ADVISORS, FTI CAPITAL ADVISORS, FTN FINANCIAL SECURITIES CORP G.RESEARCH, G-2 TRADING, GARGOYLE STRATEGIC INVESTMENTS L.L.C. G-BAR LIMITED PARTNERSHIP GBS RETIREMENT SERVICES, GCA SAVVIAN ADVISORS, GDK, GE CAPITAL MARKETS, GELBER SECURITIES,

6 Page 6 GEORGE K. BAUM & COMPANY GEORGESON SECURITIES GETCO EXECUTION SERVICES GETCO SECURITIES, GILDER GAGNON HOWE & CO. GLEACHER & COMPANY SECURITIES, GLICKENHAUS & CO. GLOBAL HUNTER SECURITIES, GMP SECURITIES, GOLDMAN SACHS EXECUTION & CLEARING, L.P. GOLDMAN SACHS FINANCIAL MARKETS, L.P. GOLDMAN, SACHS & CO. GRAY WHALE CAPITAL, GREAT POINT CAPITAL GREEN STREET ADVISORS, GREENHILL & CO., GRIFFITHS MCBURNEY GROUP ONE TRADING, L.P. G-TRADE SERVICES GTS SECURITIES GUARDIAN INVESTOR SERVICES GUGGENHEIM DISTRIBUTORS, GUGGENHEIM FUNDS DISTRIBUTORS, GUGGENHEIM SECURITIES, GUZMAN & COMPANY GWFS EQUITIES, H. BECK, H.C. WAINWRIGHT & CO., H.D. VEST INVESTMENT SECURITIES, HANCOCK INVESTMENT SERVICES, HANDELSBANKEN MARKETS SECURITIES, HANTZ FINANCIAL SERVICES, HAP TRADING, HAPOALIM SECURITIES USA, HARD EIGHT TRADING, HARDCASTLE TRADING USA L.L.C. HARRIS WILLIAMS HARTFORD FUNDS DISTRIBUTORS, HARTFORD SECURITIES DISTRIBUTION COMPANY, HBK GLOBAL SECURITIES L.P. HEFREN-TILLOTSON, HELVEA HENNION & WALSH, HERBERT J. SIMS & CO. HOME FINANCIAL SERVICES, HORNOR, TOWNSEND & KENT, HOULIHAN LOKEY CAPITAL, HOWARD WEIL HRT FINANCIAL HUTCHINSON, SHOCKEY, ERLEY & CO. HYUNDAI SECURITIES (AMERICA) IBERIA CAPITAL PARTNERS L.L.C. ICAP CORPORATES ICAP ELECTRONIC BROKING ICM SECURITIES, IDB CAPITAL IEX SERVICES IFC HOLDINGS, IMC-CHICAGO, IMPERIAL CAPITAL, INCAPITAL INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES ING FINANCIAL MARKETS INGALLS & SNYDER, INSTINET, INTERACTIVE BROKERS INTERACTIVE BROKERS INTERNATIONAL STRATEGY & INVESTMENT GROUP INTERPACIFIC INVESTORS SERVICES, INTL FCSTONE SECURITIES INVEMED ASSOCIATES INVESCO CAPITAL MARKETS, INVESCO DISTRIBUTORS, INVESTEC SECURITIES (US) INVESTMENT CENTERS OF AMERICA, INVEX, ITAU BBA USA SECURITIES, ITAU INTERNATIONAL SECURITIES ITG IVY FUNDS DISTRIBUTOR, J.J.B. HILLIARD, W.L. LYONS, J.P. MORGAN CLEARING

7 Page 7 J.P. MORGAN INSTITUTIONAL INVESTMENTS J.P. MORGAN SECURITIES J.V.B. FINANCIAL GROUP, JACKSON NATIONAL LIFE DISTRIBUTORS JAG TRADING L.L.C. JANE STREET CAPITAL, JANE STREET EXECUTION SERVICES, JANE STREET MARKETS, JANNEY MONTGOMERY SCOTT JANUS DISTRIBUTORS JEFFERIES BACHE SECURITIES, JEFFERIES EXECUTION SERVICES, JEFFERIES HIGH YIELD TRADING, JEFFERIES JMP SECURITIES JOE JOLLY & CO., JOHN HANCOCK DISTRIBUTORS JOHN HANCOCK FUNDS, JOHNSON RICE & COMPANY L.L.C. JONESTRADING INSTITUTIONAL SERVICES JPMORGAN DISTRIBUTION SERVICES, JUMP TRADING, JVB FINANCIAL GROUP, KBC SECURITIES USA, KCG AMERICAS KEEFE, BRUYETTE & WOODS, KEY INVESTMENT SERVICES KEYBANC CAPITAL MARKETS KGS-ALPHA CAPITAL MARKETS, L.P. KKR CAPITAL MARKETS KNIGHT CAPITAL AMERICAS, L.P. KOONCE SECURITIES, KOYOTE TRADING KPMG CORPORATE FINANCE LADDER CAPITAL SECURITIES LADENBURG THALMANN & CO. LAKESHORE SECURITIES, L.P. LATOUR TRADING LAVAFLOW, LAZARD CAPITAL MARKETS LAZARD FRERES & CO. LAZARD MIDDLE MARKET LEERINK PARTNERS LEGG MASON INVESTOR SERVICES, LEK SECURITIES LEUMI INVESTMENT SERVICES LIME BROKERAGE LINCOLN FINANCIAL ADVISORS LINCOLN FINANCIAL DISTRIBUTORS, LINCOLN FINANCIAL SECURITIES LINCOLN INTERNATIONAL L.L.C. LINCOLN INVESTMENT PLANNING, LIONTREE ADVISORS LIQUIDNET, LIQUIDPOINT, LLOYDS SECURITIES LOEB PARTNERS LOOP CAPITAL MARKETS LORD ABBETT DISTRIBUTOR LPL FINANCIAL M&I FINANCIAL ADVISORS, M&T SECURITIES, M3 CAPITAL PARTNERS MACQUARIE CAPITAL (USA) MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD. MACRO RISK ADVISORS MAN INVESTMENTS MAPLE SECURITIES U.S.A. MARKETAXESS MAXIM GROUP MBSC SECURITIES MCADAMS WRIGHT RAGEN, MCS CAPITAL MARKETS MDB CAPITAL GROUP MERCANTIL COMMERCEBANK INVESTMENT SERVICES MERCHANT CAPITAL, L.L.C. MERRILL LYNCH FINANCIAL MARKETS, MERRILL LYNCH PROFESSIONAL CLEARING MERRILL LYNCH, PIERCE, FENNER & SMITH

8 Page 8 MERUS CAPITAL PARTNERS, MESIROW FINANCIAL, METLIFE INVESTORS DISTRIBUTION COMPANY METLIFE SECURITIES MFS FUND DISTRIBUTORS, MILLENNIUM ADVISORS, MILLER TABAK + CO., MIRAE ASSET SECURITIES (USA) MITCHELL ENERGY ADVISORS, MITSUBISHI UFJ SECURITIES (USA), MIZUHO SECURITIES USA MKM PARTNERS MMC SECURITIES MML INVESTORS SERVICES, MND PARTNERS, MOELIS & COMPANY MOG CAPITAL L.L.C. MORGAN JOSEPH TRIARTISAN MORGAN KEEGAN & COMPANY, MORGAN STANLEY & CO. MORGAN STANLEY DISTRIBUTION, MORGAN STANLEY SMITH BARNEY MORNINGSTAR INVESTMENT SERVICES, MOUNTAINVIEW SECURITIES, MPS GLOBAL SECURITIES, MS SECURITIES SERVICES MTS SECURITIES, MULTI-BANK SECURITIES, MURIEL SIEBERT & CO., N. B. ZOULLAS SECURITIES, N.A. INVESTCORP N.I.S. FINANCIAL SERVICES, NABSECURITIES, NASDAQ OPTIONS SERVICES, NATHAN HALE CAPITAL, NATIONAL ALLIANCE SECURITIES, NATIONAL BANK OF CANADA FINANCIAL NATIONAL FINANCIAL SERVICES NATIONAL PLANNING NATIONWIDE FUND DISTRIBUTORS NATIONWIDE SECURITIES, NATIXIS DERIVATIVES NATIXIS SECURITIES AMERICAS NBC SECURITIES, NBF SECURITIES (USA) NEEDHAM & COMPANY, NELNET CAPITAL NEUBERGER BERMAN NEUBERGER BERMAN MANAGEMENT NEW ENGLAND SECURITIES NEWEDGE USA, NFP SECURITIES, NGAM DISTRIBUTION, L.P. NOLITA CAPITAL, NOMURA SECURITIES INTERNATIONAL, NOMURA SECURITIES NORTH AMERICA, NORTH BRIDGE CAPITAL, NORTHERN TRUST SECURITIES, NORTHLAND SECURITIES, NORTHWESTERN MUTUAL INVESTMENT SERVICES, NUMIS SECURITIES NUVEEN SECURITIES, NYLIFE DISTRIBUTORS NYLIFE SECURITIES OBD SECURITIES OCTEG, ODDO SECURITIES OHIO NATIONAL EQUITIES, OLD MISSION CAPITAL, O'NEIL SECURITIES, OPPENHEIMER & CO. OPPENHEIMERFUNDS DISTRIBUTOR, OPTIONSHOUSE, OPTIONSXPRESS, OPTIVER US, ORIENTAL FINANCIAL SERVICES OSCAR GRUSS & SON OTA PACIFIC CREST SECURITIES PACIFIC SELECT DISTRIBUTORS, PALAFOX TRADING PARIS SECURITIES PARK AVENUE SECURITIES PARK HILL GROUP PARK HILL REAL ESTATE GROUP

9 Page 9 PAULSON INVESTMENT COMPANY PAVILION GLOBAL MARKETS LTD. PEAK6 CAPITAL MANAGEMENT PEAK6 PERFORMANCE MANAGEMENT PEAK6 VEGA MASTER FUND PENSON FINANCIAL SERVICES, PEOPLE'S SECURITIES, PERELLA WEINBERG PARTNERS LP PERFORMANCE TRUST CAPITAL PARTNERS, PERSHING ADVISOR SOLUTIONS PERSHING PFS INVESTMENTS PHOENIX DERIVATIVES GROUP, PICTET OVERSEAS PIERPONT SECURITIES PIMCO INVESTMENTS PIONEER FUNDS DISTRIBUTOR, PIPELINE TRADING SYSTEMS PIPER JAFFRAY & CO. PNC CAPITAL MARKETS PNC INVESTMENTS POPULAR SECURITIES, PORTIGON SECURITIES PRAGMA SECURITIES PRIME DEALER SERVICES PRINCIPAL FUNDS DISTRIBUTOR, PRINCOR FINANCIAL SERVICES PROEQUITIES, PRUDENTIAL INVESTMENT MANAGEMENT SERVICES PTR, PULSE TRADING, PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP QATALYST PARTNERS LP QUAD CAPITAL, QUANTEX CLEARING, QUANTLAB SECURITIES LP QUESTAR CAPITAL QUIET LIGHT SECURITIES, R.W.PRESSPRICH & CO. RAFFERTY CAPITAL MARKETS, RAINE SECURITIES RAINIER SECURITIES, RAMAT SECURITIES LTD. RAYMOND JAMES & ASSOCIATES, RAYMOND JAMES (USA) LTD. RAYMOND JAMES FINANCIAL SERVICES, RB INTERNATIONAL MARKETS (USA) RBC CAPITAL MARKETS ARBITRAGE, S.A. RBC CAPITAL MARKETS, RBS SECURITIES RCAP SECURITIES, RCI LIMITED PARTNERSHIP REALTY CAPITAL SECURITIES, RED CAPITAL MARKETS, RED CEDAR TRADING, REGIONS SECURITIES RENCAP SECURITIES, RGM SECURITIES, RIVERSOURCE DISTRIBUTORS, ROBERT W. BAIRD & CO. RODMAN & RENSHAW, RONIN CAPITAL, ROOSEVELT & CROSS, ROSENTHAL GLOBAL SECURITIES ROSS, SINCLAIRE & ASSOCIATES, ROTH CAPITAL PARTNERS, ROTHSCHILD ROYAL ALLIANCE ASSOCIATES, RUSSELL FINANCIAL SERVICES, RUSSELL IMPLEMENTATION SERVICES SAFRA SECURITIES SAGENT ADVISORS, SAGEPOINT FINANCIAL, SAMCO CAPITAL MARKETS, SAMMONS FINANCIAL NETWORK, SAMSUNG SECURITIES (AMERICA), SAMUEL A. RAMIREZ & COMPANY, SANDERS MORRIS HARRIS SANDLER, O'NEILL & PARTNERS, L.P. SANFORD C. BERNSTEIN & CO., SANTANDER INTERNATIONAL SECURITIES, SANTANDER INVESTMENT SECURITIES SANTANDER SECURITIES SBERBANK CIB USA, INC SCOTIA CAPITAL (USA)

10 Page 10 SCOTT & STRINGFELLOW, SCOTTRADE, SCOUT TRADING, SEAPORT GLOBAL SECURITIES SEAPORT SECURITIES SEATTLE-NORTHWEST SECURITIES SEB SECURITIES, SECONDMARKET, SECURIAN FINANCIAL SERVICES, SECURITIES AMERICA, SECURITIES MANAGEMENT AND RESEARCH, SECURITY DISTRIBUTORS, SEI INVESTMENTS DISTRIBUTION CO. SEMINOLE FINANCIAL SENTINEL FINANCIAL SERVICES COMPANY SENVEST INTERNATIONAL L.L.C. SETTER CAPITAL SG AMERICAS SECURITIES, SHAY FINANCIAL SERVICES, SHELBY CULLOM DAVIS & CO., L.P. SIEBERT, BRANDFORD, SHANK & CO., L.L.C. SIERRA PACIFIC SECURITIES, SIG BROKERAGE, LP SIGMA FINANCIAL SIGNAL HILL CAPITAL GROUP SIGNATOR INVESTORS, SIGNATURE SECURITIES GROUP SII INVESTMENTS, SIMMONS & COMPANY INTERNATIONAL SIMMONS FIRST INVESTMENT GROUP, SMBC NIKKO SECURITIES AMERICA, SOUTH STREET SECURITIES SOUTHWEST SECURITIES, SPEAR, LEEDS & KELLOGG SPECIALISTS SPECTRUM ASSET MANAGEMENT, SPHINX TRADING, LP SPOT TRADING L.L.C. SPROTT GLOBAL RESOURCE INVESTMENTS LTD STANDARD CHARTERED SECURITIES (NORTH AMERICA) STANDARD CREDIT SECURITIES STANDARD NEW YORK SECURITIES, STATE FARM VP MANAGEMENT STATE STREET GLOBAL MARKETS, STEBEN & COMPANY, STEPHENS STERLING, GRACE MUNICIPAL SECURITIES STERNE, AGEE & LEACH, STIFEL, NICOLAUS & COMPANY, STOEVER,GLASS & COMPANY STONE & YOUNGBERG STORMHARBOUR SECURITIES LP STUART FRANKEL & CO., SUMO CAPITAL, SUMRIDGE PARTNERS, SUN LIFE FINANCIAL DISTRIBUTORS, SUN TRADING SUNGARD BROKERAGE & SECURITIES SERVICES SUNGARD INSTITUTIONAL BROKERAGE SUNTRUST INVESTMENT SERVICES, SUNTRUST ROBINSON HUMPHREY, SUSQUEHANNA CAPITAL GROUP SUSQUEHANNA FINANCIAL GROUP, LLLP SVB SECURITIES, A NON- BANK AFFILIATE OF SILICON VALLEY BANK SWEDBANK FIRST SECURITIES, SWENEY CARTWRIGHT & COMPANY SWISS RE CAPITAL MARKETS SYNOVUS SECURITIES, SYSTEMATIZED BENEFITS ADMINISTRATORS, T. ROWE PRICE INVESTMENT SERVICES, T3 TRADING GROUP, TD AMERITRADE CLEARING, TD AMERITRADE, TD PRIVATE CLIENT WEALTH TD SECURITIES (USA)

11 Page 11 TEACHERS PERSONAL INVESTORS SERVICES, TELEMETRY SECURITIES, L.L.C. TELSEY ADVISORY GROUP TFS DERIVATIVES THE BAKER GROUP, LP THE BUCKINGHAM RESEARCH GROUP THE GMS GROUP, THE HUNTINGTON INVESTMENT COMPANY THE WILLIAMS CAPITAL GROUP, L.P. THOMAS WEISEL PARTNERS THRIVENT INVESTMENT MANAGEMENT TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, TIBRA TRADING AMERICA TICONDEROGA SECURITIES TIMBER HILL TMC BONDS L.L.C. TMT INVESTMENTS, TORO TRADING TOWER SQUARE SECURITIES, TOWERS WATSON CAPITAL MARKETS TOYOTA FINANCIAL SERVICES SECURITIES USA TPG CAPITAL BD, TRADE INFORMATICS TRADEBOT SYSTEMS, TRADEKING TRADELINK L.L.C. TRADELINK SECURITIES, TRADESTATION SECURITIES, TRADEWEB L.L.C TRADITION ASIEL SECURITIES TRANSAMERICA CAPITAL, TRANSAMERICA FINANCIAL ADVISORS, INC TRANSMARKET GROUP L.L.C. TRIPLETREE, TUDOR, PICKERING, HOLT & CO. ADVISORS, TUDOR, PICKERING, HOLT & CO. SECURITIES, TULLETT PREBON FINANCIAL SERVICES TWEEDY, BROWNE COMPANY TWO SIGMA SECURITIES, U.S. BANCORP INVESTMENTS, UBS FINANCIAL SERVICES UBS FINANCIAL SERVICES OF PUERTO RICO UBS GLOBAL ASSET MANAGEMENT (US) UBS SECURITIES UMPQUA INVESTMENTS, UNICREDIT CAPITAL MARKETS UNIONBANC INVESTMENT SERVICES, UNITED BROKERAGE SERVICES, INC UNITED CAPITAL MARKETS, UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER USAA INVESTMENT MANAGEMENT COMPANY UVEST FINANCIAL SERVICES GROUP, VALIC FINANCIAL ADVISORS, VALLEY FORGE ASSET MANAGEMENT, VANGUARD MARKETING VINING-SPARKS IBG, LIMITED PARTNERSHIP VIRTU FINANCIAL BD VIRTU FINANCIAL CAPITAL MARKETS VISION FINANCIAL MARKETS VOLANT LIQUIDITY, VOYA FINANCIAL ADVISORS, VOYA FINANCIAL PARTNERS, VOYA INVESTMENTS DISTRIBUTOR, VOYA RETIREMENT ADVISORS, VP DISTRIBUTORS VTB CAPITAL WADDELL & REED, WALL STREET ACCESS WALLEYE TRADING WALNUT STREET SECURITIES, WAYNE HUMMER INVESTMENTS L.L.C. WEEDEN & CO.L.P. WELLS FARGO ADVISORS FINANCIAL NETWORK, WELLS FARGO ADVISORS, WELLS FARGO FUNDS DISTRIBUTOR, WELLS FARGO INSTITUTIONAL SECURITIES, WELLS FARGO SECURITIES, WESTMINSTER RESEARCH ASSOCIATES

12 Page 12 WILLIAM BLAIR & COMPANY L.L.C. WILLIAMS TRADING WILLIS SECURITIES, WILMINGTON BROKERAGE SERVICES COMPANY WOLVERINE EXECUTION SERVICES, WOLVERINE TRADING, WOODBURY FINANCIAL SERVICES, WORLD GROUP SECURITIES, WR SECURITIES, WSA FIXED INCOME, WUNDERLICH SECURITIES, X-CHANGE FINANCIAL ACCESS, XP SECURITIES, ZELMAN PARTNERS, ZIONS DIRECT,

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