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 2
- $595 $595 <$10K
- $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
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TEL. 913.8 15 .7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATSTRADING.COM 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 Elizabeth M. Murphy January 29, 2013 TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM 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 Leeway 3 • 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-n yse-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. Elizabeth M. Murphy January 29, 2013 TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM 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. Elizabeth M. Murphy January 29, 2013 TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM 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). Elizabeth M. Murphy January 29, 2013 TEL. 913.815.7000 | FAX. 913.815.7119 | 8050 MARSHALL DR., SUITE 120 | LENEXA, KS 66214 | BATS.COM 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 TickerCompany NameJanuary 2013 ADVListing ExchangeETF AAALCOA INC COM20,859,635 NYSEN ABTABBOTT LABS COM14,984,491 NYSEN ACASAMERICAN CAP LTD COM3,489,736 NASDAQN ADBEADOBE SYS INC COM3,654,246 NASDAQN ADIANALOG DEVICES INC COM2,501,372 NASDAQN ADMARCHER DANIELS MIDLAND CO COM3,890,473 NYSEN AEOAMERICAN EAGLE OUTFITTERS NEW COM4,240,007 NYSEN AEPAMERICAN ELEC PWR INC COM2,704,339 NYSEN AESAES CORP COM4,645,861 NYSEN AGNCAMERICAN CAPITAL AGENCY CORP COM3,523,332 NASDAQN AIGAMERICAN INTL GROUP INC COM NEW17,536,950 NYSEN ALLALLSTATE CORP COM2,866,827 NYSEN ALTRALTERA CORP COM3,804,755 NASDAQN AMATAPPLIED MATLS INC COM14,474,153 NASDAQN AMTDTD AMERITRADE HLDG CORP COM3,664,168 NYSEN ANRALPHA NATURAL RESOURCES INC COM16,828,356 NYSEN ASNAASCENA RETAIL GROUP INC COM2,209,892 NASDAQN ATMLATMEL CORP COM7,331,212 NASDAQN ATVIACTIVISION BLIZZARD INC COM6,101,445 NASDAQN AVPAVON PRODS INC COM7,220,422 NYSEN AXPAMERICAN EXPRESS CO COM5,890,903 NYSEN BACBANK OF AMERICA CORPORATION COM174,655,517 NYSEN BBTBB&T CORP COM4,114,381 NYSEN BBYB EST BUY INC COM11,141,745 NYSEN BKBANK NEW YORK MELLON CORP COM7,681,931 NYSEN BMYBRISTOL MYERS SQUIBB CO COM10,074,409 NYSE N B RCDBROCADE COMMUNICATIONS SYS INC COM NEW4,368,983 NASDAQN BRCMBROADCOM CORP CL A6,068,420 NASDAQN BSXBOSTON SCIENTIFIC CORP COM20,699,470 NYSEN BTUPEABODY ENERGY CORP COM6,752,213 NYSEN CCITIGROUP INC COM NEW39,590,479 NYSEN CACA INC COM4,277,306 NASDAQN CAGCONAGRA FOODS INC COM4,119,857 NYSEN CAHCARDINAL HEALTH INC COM2,434,638 NYSEN CBGCBRE GROUP INC CL A2,612,174 NYSEN CBSCBS CORP NEW CL B9,295,852 NYSEN CCLCARNIVAL CORP PAIRED CTF3,987,587 NYSEN CDNSCADENCE DESIGN SYSTEM INC COM3,102,556 NASDAQN CHKCHESAPEAKE ENERGY CORP COM15,902,794 NYSEN CHSCHICOS FAS INC COM2,993,003 NYSEN CLWRCLEARWIRE CORP NEW CL A18,060,419 NASDAQN CMCSACOMCAST CORP NEW CL A11,235,354 NASDAQN CMSCMS ENERGY CORP COM2,094,612 NYSEN CNPCENTERPOINT ENERGY INC COM2,693,459 NYSEN COPCONOCOPHILLIPS COM5,239,642 NYSEN CPNCALPINE CORP COM NEW2,436,461 NYSEN CPWR COMPUWARE CORP COM2, 132,257 NASDAQN CSCOCISCO SYS INC COM37,319,714 NASDAQN Appendix 1 - Locked Market Pilot Securities CSXCSX CORP COM10,725,109 NYSEN CTLCENTURYLINK INC COM4,066,035 NYSEN CVCCABLEVISION SYS CORP CL A NY CABLVS2,860,956 NYSEN CVSCVS CAREMARK CORPORATION COM6,079,167 NYSEN CYCYPRESS SEMICONDUCTOR CORP COM3,131,397 NASDAQN DALDELTA AIR LINES INC DEL COM NEW15,655,529 NYSEN DBCPOWERSHARES DB CMDTY IDX TRACK UNIT BEN INT2,126,696 NYSE ArcaY DDDU PONT E I 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JAPAN35,601,597 NYSE ArcaY EWTISHARES INC MSCI TAIWAN6,373,853 NYSE ArcaY EWZISHARES INC MSCI BRAZIL10,475,692 NYSE ArcaY EXCEXELON CORP COM7,332,318 NYSEN FFORD MTR CO DEL COM PAR $0.0156,660,866 NYSEN FBFACEBOOK INC CL A74,397,473 NASDAQN FCXFREEPORT-MCMORAN COPPER & GOLD COM14,937,789 NYSEN FHNFIRST HORIZON NATL CORP COM4,607,923 NYSEN FITBFIFTH THIRD BANCORP COM11,638,445 NASDAQN FNFGFIRST NIAGARA FINL GP INC COM3,775,184 NASDAQN FTRFRONTIER COMMUNICATIONS CORP COM9,273,677 NASDAQN FXIISHARES TR FTSE CHINA25 IDX15,652,384 NYSE ArcaY GCIGANNETT INC COM2,523,745 NYSEN GDXJMARKET VECTORS ETF TR JR GOLD MINERS E3,250,422 NYSE ArcaY GEGENERAL ELECTRIC CO COM45,083,259 NYSEN GGPGENERAL GROWTH PPTYS INC NEW COM5,995,599 NYSEN GISGENERAL MLS INC COM3,645,888 NYSEN GLWCORNING INC COM16,334,389 NYSEN GMGENERAL MTRS CO COM12,398,927 NYSEN GNW GENWORTH FINL INC COM CL A11, 367,252 NYSEN GRPNGROUPON INC COM CL A12,612,277 NASDAQN GTGOODYEAR TIRE & RUBR CO COM3,188,519 NASDAQN HALHALLIBURTON CO COM11,695,388 NYSEN HASHASBRO INC COM2,719,726 NASDAQN HBANHUNTINGTON BANCSHARES INC COM11,665,510 NASDAQN HCBKHUDSON CITY BANCORP COM3,974,917 NASDAQN HIGHARTFORD FINL SVCS GROUP INC COM5,078,870 NYSEN HMAHEALTH MGMT ASSOC INC NEW CL A5,667,063 NYSEN HOLXHOLOGIC INC COM2,811,235 NASDAQN HPQHEWLETT PACKARD CO COM32,799,776 NYSEN HRBBLOCK H & R INC COM4,973,942 NYSEN HSTHOST HOTELS & RESORTS INC COM6,066,197 NYSEN HTZHERTZ GLOBAL HOLDINGS INC COM6,339,507 NYSEN HUNHUNTSMAN CORP COM4,453,245 NYSEN HYGISHARES TR HIGH YLD CORP2,927,701 NYSE ArcaY IAUISHARES GOLD TRUST ISHARES5,945,669 NYSE ArcaY IGTINTERNATIONAL GAME TECHNOLOGY COM3,750,815 NYSEN INTCINTEL CORP COM55,212,466 NASDAQN IPINTL PAPER CO COM3,316,086 NYSEN IPGINTERPUBLIC GROUP COS INC COM5,370,021 NYSEN IVZINVESCO LTD SHS3,390,289 NYSEN IWDISHARES TR RUSSELL1000VAL2,038,585 NYSE ArcaY IWFISHARES TR RUSSELL1000GRW2,275,371 NYSE ArcaY IWMISHARES TR RUSSELL 200035,904,398 NYSE ArcaY IYRISHARES TR DJ US REAL EST7,704,973 NYSE ArcaY JBLJABIL CIRCUIT INC COM2,571,047 NYSEN JCIJOHNSON CTLS INC COM5,109,346 NYSEN JDSUJDS UNIPHASE CORP COM PAR $0.0014,336,300 NASDAQN JN JJOHNSON & JOHNSON COM9,902,087 NYSEN JNKSPDR SERIES TRUST BRC HGH YLD BD4,101,206 NYSE ArcaY JNPRJUNIPER NETWORKS INC COM7,040,169 NYSE N JN SJANUS CAP GROUP INC COM3,718,014 NYSEN JPMJPMORGAN CHASE & CO COM26,172,466 NYSEN KEYKEYCORP NEW COM20,895,485 NYSEN KIMKIMCO RLTY CORP COM3,098,790 NYSEN KMIKINDER MORGAN INC DEL COM4,948,637 NYSEN KOCOCA COLA CO COM14,441,150 NYSEN KRKROGER CO COM3,611,251 NYSEN KRESPDR SERIES TRUST S&P REGL BKG2,723,568 NYSE ArcaY LINTALIBERTY INTERACTIVE CORP INT COM SER A2,671,846 NASDAQN LLTCLINEAR TECHNOLOGY CORP COM3,413,620 NASDAQN LNCLINCOLN NATL CORP IND COM2,650,597 NYSEN LOWLOWES COS INC COM9,480,943 NYSEN LSILSI CORPORATION COM7,638,366 NASDAQN LUVSOUTHWEST AIRLS CO COM9,037,945 NYSEN MASMASCO CORP COM4,029,111 NYSEN MATMATTEL INC COM2,827,120 NASDAQN MBIMBIA INC COM2,779,298 NYSEN MDLZMONDELEZ INTL INC CL A13,075,517 NASDAQN MDRMCDERMOTT INTL INC COM2,748,059 NYSEN MDRXALLSCRIPTS HEALTHCARE SOLUTNS COM3,224,457 NASDAQN MDT MEDTRONIC INC COM4, 819,752 NYSEN METMETLIFE INC COM9,068,553 NYSEN MFAMFA FINANCIAL INC COM3,109,571 NYSEN MGMMGM RESORTS INTERNATIONAL COM12,307,006 NYSEN MMCMARSH & MCLENNAN COS INC COM2,558,316 NYSEN MOALTRIA GROUP INC COM9,302,524 NYSEN MRKMERCK & CO INC NEW COM13,841,644 NYSEN MROMARATHON OIL CORP COM4,487,011 NYSEN MRVLMARVELL TECHNOLOGY GROUP LTD ORD13,607,724 NASDAQN MSMORGAN STANLEY COM NEW28,360,906 NYSEN MSFTMICROSOFT CORP COM55,628,480 NASDAQN MUMICRON TECHNOLOGY INC COM26,098,006 NASDAQN MXIMMAXIM INTEGRATED PRODS INC COM2,974,053 NASDAQN MYLMYLAN INC COM5,364,730 NASDAQN NBRNABORS INDUSTRIES LTD SHS5,266,452 NYSEN NINISOURCE INC COM2,388,620 NYSEN NIHDNII HLDGS INC CL B NEW3,867,720 NASDAQN NLYANNALY CAP MGMT INC COM8,504,007 NYSEN NRGNRG ENERGY INC COM NEW4,050,477 NYSEN NTAPNETAPP INC COM5,685,703 NASDAQN NUANNUANCE COMMUNICATIONS INC COM2,215,988 NASDAQN NVDANVIDIA CORP COM11,195,719 NASDAQN NWLNEWELL RUBBERMAID INC COM2,752,008 NYSEN NWSANEWS CORP CL A15,288,598 NASDAQN OIHMARKET VECTORS ETF TR OIL SVCS ETF3,712,506 NYSE ArcaY ONNNON SEMICONDUCTOR CORP COM7,621,846 NASDAQN ORCLORACLE CORP COM19,424,321 NASDAQN PPANDORA MEDIA INC COM4,924,499 NYSEN PAYXPAYCHEX INC COM2,568,311 NASDAQN P BCTPEOPLES UNITED FINANCIAL INC COM3,243,910 NASDAQN PBIPITNEY BOWES INC COM4,430,304 NYSEN PCGPG&E CORP COM2,578,022 NYSE N P CSMETROPCS COMMUNICATIONS INC COM7,803,878 NYSEN PCYPOWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT2,272,248 NYSE ArcaY PEGPUBLIC SVC ENTERPRISE GROUP COM2,635,671 NYSEN PEPPEPSICO INC COM5,820,294 NYSEN PFEPFIZER INC COM34,309,620 NYSEN PGRPROGRESSIVE CORP OHIO COM5,738,043 NYSEN PHMPULTE GROUP INC COM8,864,877 NYSEN PLCMPOLYCOM INC COM3,329,186 NASDAQN PMCSPMC-SIERRA INC COM2,262,412 NASDAQN POMPEPCO HOLDINGS INC COM2,784,013 NYSEN PPLPPL CORP COM3,564,477 NYSEN PTENPATTERSON UTI ENERGY INC COM2,867,133 NASDAQN QCOMQUALCOMM INC COM11,578,338 NASDAQN QQQPOWERSHARES QQQ TRUST UNIT SER 135,535,622 NASDAQY RFREGIONS FINL CORP NEW COM18,874,956 NYSEN RRDDONNELLEY R R & SONS CO COM3,186,941 NASDAQN RSXMARKET VECTORS ETF TR RUSSIA ETF3,524,082 NYSE ArcaY RVBDRIVERBED TECHNOLOGY INC COM3,657,021 NASDAQN SSPRINT NEXTEL CORP COM SER 142,585,482 NYSEN SAISAIC INC COM2,810,649 NYSEN SCHW SCHWAB CHARLES CORP NEW COM9, 947,618 NYSEN SDSANDRIDGE ENERGY INC COM8,309,363 NYSEN SESPECTRA ENERGY CORP COM6,112,734 NYSEN SHPROSHARES TR PSHS SHRT S&P5002,987,124 NYSE ArcaY SIRISIRIUS XM RADIO INC COM65,267,231 NASDAQN SLMSLM CORP COM3,076,889 NASDAQN SLVISHARES SILVER TRUST ISHARES11,564,164 NYSE ArcaY SOSOUTHERN CO COM5,217,095 NYSEN SPLSSTAPLES INC COM10,773,176 NASDAQN SPRSPIRIT AEROSYSTEMS HLDGS INC COM CL A2,173,032 NYSEN SPYSPDR S&P 500 ETF TR TR UNIT124,803,755 NYSE ArcaY STISUNTRUST BKS INC COM6,444,016 NYSEN STLDSTEEL DYNAMICS INC COM2,725,092 NASDAQN STXSEAGATE TECHNOLOGY PLC SHS8,870,579 NASDAQN SWKSSKYWORKS SOLUTIONS INC COM4,190,061 NASDAQN SWYSAFEWAY INC COM NEW5,596,245 NYSEN SYMCSYMANTEC CORP COM10,033,665 NASDAQN SYYSYSCO CORP COM3,020,236 NYSEN TAT&T INC COM28,370,977 NYSEN TERTERADYNE INC COM2,799,972 NYSEN TSNTYSON FOODS INC CL A4,229,939 NYSEN TWXTIME WARNER INC COM NEW5,301,339 NYSEN TXNTEXAS INSTRS INC COM8,318,833 NASDAQN TYCTYCO INTERNATIONAL LTD SHS2,993,887 NYSEN UNGUNITED STATES NATL GAS FUND LP UNIT PAR $0.0018,593,231 NYSE ArcaY USBUS BANCORP DEL COM NEW10,527,322 NYSEN USOUNITED STATES OIL FUND LP UNITS4,239,093 NYSE ArcaY VEAVANGUARD TAX MANAGED INTL FD MSCI EAFE ETF3,017,198 NYSE ArcaY VLOVALERO ENERGY CORP NEW COM9,370,215 NYSEN V WOVANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF18,636,100 NYSE ArcaY VZVERIZON COMMUNICATIONS INC COM15,827,484 NYSEN WAGWALGREEN CO COM6,668,679 NYSE N W CRXWARNER CHILCOTT PLC IRELAND SHS A3,816,202 NASDAQN WFCWELLS FARGO & CO NEW COM25,973,309 NYSEN WINWINDSTREAM CORP COM9,312,372 NASDAQN WMWASTE MGMT INC DEL COM2,734,561 NYSEN WMBWILLIAMS COS INC DEL COM6,199,611 NYSEN WPXWPX ENERGY INC COM3,432,134 NYSEN WUWESTERN UN CO COM9,763,210 NYSEN WYWEYERHAEUSER CO COM4,578,173 NYSEN XUNITED STATES STL CORP NEW COM7,372,805 NYSEN XCOEXCO RESOURCES INC COM3,343,913 NYSEN XELXCEL ENERGY INC COM2,597,816 NYSEN XHBSPDR SERIES TRUST S&P HOMEBUILD4,997,559 NYSE ArcaY XLXL GROUP PLC SHS2,447,971 NYSEN XLBSELECT SECTOR SPDR TR SBI MATERIALS7,665,276 NYSE ArcaY XLESELECT SECTOR SPDR TR SBI INT-ENERGY9,150,169 NYSE ArcaY XLFSELECT SECTOR SPDR TR SBI INT-FINL49,277,955 NYSE ArcaY XLISELECT SECTOR SPDR TR SBI INT-INDS8,181,457 NYSE ArcaY XLKSELECT SECTOR SPDR TR TECHNOLOGY9,259,932 NYSE ArcaY XLNXXILINX INC COM3,359,635 NASDAQN XLPSELECT SECTOR SPDR TR SBI CONS STPLS4,863,511 NYSE ArcaY XLU SELECT SECTOR SPDR TR SBI INT-UTILS7, 055,037 NYSE ArcaY XLVSELECT SECTOR SPDR TR SBI HEALTHCARE5,600,336 NYSE ArcaY XLYSELECT SECTOR SPDR TR SBI CONS DISCR4,994,457 NYSE ArcaY XRXXEROX CORP COM11,696,661 NYSEN YHOOYAHOO INC COM18,521,619 NASDAQN ZIONZIONS BANCORPORATION COM2,303,554 NASDAQN ZNGAZYNGA INC CL A17,638,437 NASDAQN (259 securities) TickerCompany NameJanuary 2013 ADVListing ExchangeETF AAALCOA INC COM20,859,635 NYSEN ABTABBOTT LABS COM14,984,491 NYSEN ACASAMERICAN CAP LTD COM3,489,736 NASDAQN ADMARCHER DANIELS MIDLAND CO COM3,890,473 NYSEN AESAES CORP COM4,645,861 NYSEN AGNCAMERICAN CAPITAL AGENCY CORP COM3,523,332 NASDAQN AIGAMERICAN INTL GROUP INC COM NEW17,536,950 NYSEN AMATAPPLIED MATLS INC COM14,474,153 NASDAQN AMTDTD AMERITRADE HLDG CORP COM3,664,168 NYSEN ANRALPHA NATURAL RESOURCES INC COM16,828,356 NYSEN ATMLATMEL CORP COM7,331,212 NASDAQN ATVIACTIVISION BLIZZARD INC COM6,101,445 NASDAQN AVPAVON PRODS INC COM7,220,422 NYSEN BACBANK OF AMERICA CORPORATION COM174,655,517 NYSEN BK BANK NEW YORK MELLON CORP COM7,681,931 NYSEN BMYBRISTOL MYERS SQUIBB CO COM10,074,409 NYSEN BRCDBROCADE COMMUNICATIONS SYS INC COM NEW4,368,983 NASDAQN BSXBOSTON SCIENTIFIC CORP COM20,699,470 NYSEN CCITIGROUP INC COM NEW39,590,479 NYSEN CACA INC COM4,277,306 NASDAQN CAGCONAGRA FOODS INC COM4,119,857 NYSEN CDNSCADENCE DESIGN SYSTEM INC COM3,102,556 NASDAQN CHKCHESAPEAKE ENERGY CORP COM15,902,794 NYSEN CLWRCLEARWIRE CORP NEW CL A18,060,419 NASDAQN CMCSACOMCAST CORP NEW CL A11,235,354 NASDAQN CMSCMS ENERGY CORP COM2,094,612 NYSEN CNPCENTERPOINT ENERGY INC COM2,693,459 NYSEN CPWRCOMPUWARE CORP COM2,132,257 NASDAQN CSCOCISCO SYS INC COM37,319,714 NASDAQN CSXCSX CORP COM10,725,109 NYSEN CYCYPRESS SEMICONDUCTOR CORP COM3,131,397 NASDAQN DALDELTA AIR LINES INC DEL COM NEW15,655,529 NYSEN DBCPOWERSHARES DB CMDTY IDX TRACK UNIT BEN INT2,126,696 NYSE ArcaY DDRDDR CORP COM2,501,266 NYSEN DELLDELL INC COM45,808,115 NASDAQN DNRDENBURY RES INC COM NEW4,853,168 NYSEN DREDUKE REALTY CORP COM NEW5,115,407 NYSEN EAELECTRONIC ARTS INC COM4,055,744 NASDAQN EEMISHARES TR MSCI EMERG MKT51,095,197 NYSE ArcaY EMCE M C CORP MASS COM26,850,943 NYSEN EPIWISDOMTREE TRUST INDIA ERNGS FD3,500,992 NYSE ArcaY ETFCE TRADE FINANCIAL CORP COM NEW5,599,363 NASDAQN EWGISHARES INC MSCI GERMAN3,449,015 NYSE ArcaY EWJISHARES INC MSCI JAPAN35,601,597 NYSE ArcaY EWTISHARES INC MSCI TAIWAN6,373,853 NYSE ArcaY EXCEXELON CORP COM7,332,318 NYSEN FFORD MTR CO DEL COM PAR $0.0156,660,866 NYSEN FCXFREEPORT-MCMORAN COPPER & GOLD COM14,937,789 NYSEN Appendix #2 - Half Penny Tick Size Pilot Securities FHNFIRST HORIZON NATL CORP COM4,607,923 NYSEN FITBFIFTH THIRD BANCORP COM11,638,445 NASDAQN FNFGFIRST NIAGARA FINL GP INC COM3,775,184 NASDAQN FTRFRONTIER COMMUNICATIONS CORP COM9,273,677 NASDAQN FXIISHARES TR FTSE CHINA25 IDX15,652,384 NYSE ArcaY GEGENERAL ELECTRIC CO COM45,083,259 NYSEN GGPGENERAL GROWTH PPTYS INC NEW COM5,995,599 NYSEN GLWCORNING INC COM16,334,389 NYSEN GNWGENWORTH FINL INC COM CL A11,367,252 NYSEN GTGOODYEAR TIRE & RUBR CO COM3,188,519 NASDAQN HBANHUNTINGTON BANCSHARES INC COM11,665,510 NASDAQN HCBKHUDSON CITY BANCORP COM3,974,917 NASDAQN HMAHEALTH MGMT ASSOC INC NEW CL A5,667,063 NYSEN HPQHEWLETT PACKARD CO COM32,799,776 NYSEN HRBBLOCK H & R INC COM4,973,942 NYSEN HSTHOST HOTELS & RESORTS INC COM6,066,197 NYSEN HTZHERTZ GLOBAL HOLDINGS INC COM6,339,507 NYSEN HUNHUNTSMAN CORP COM4,453,245 NYSEN IAU ISHARES GOLD TRUST ISHARES5,945,669 NYSE ArcaY IGTINTERNATIONAL GAME TECHNOLOGY COM3,750,815 NYSEN INTCINTEL CORP COM55,212,466 NASDAQN IPGINTERPUBLIC GROUP COS INC COM5,370,021 NYSEN JDSUJDS UNIPHASE CORP COM PAR $0.0014,336,300 NASDAQN JNKSPDR SERIES TRUST BRC HGH YLD BD4,101,206 NYSE ArcaY JNPRJUNIPER NETWORKS INC COM7,040,169 NYSEN JNSJANUS CAP GROUP INC COM3,718,014 NYSEN JPMJPMORGAN CHASE & CO COM26,172,466 NYSEN KEYKEYCORP NEW COM20,895,485 NYSEN KIMKIMCO RLTY CORP COM3,098,790 NYSEN KOCOCA COLA CO COM14,441,150 NYSEN KRKROGER CO COM3,611,251 NYSEN LINTALIBERTY INTERACTIVE CORP INT COM SER A2,671,846 NASDAQN LOWLOWES COS INC COM9,480,943 NYSEN LSILSI CORPORATION COM7,638,366 NASDAQN LUVSOUTHWEST AIRLS CO COM9,037,945 NYSEN MDLZMONDELEZ INTL INC CL A13,075,517 NASDAQN MDRMCDERMOTT INTL INC COM2,748,059 NYSEN MDRXALLSCRIPTS HEALTHCARE SOLUTNS COM3,224,457 NASDAQN MFAMFA FINANCIAL INC COM3,109,571 NYSEN MGMMGM RESORTS INTERNATIONAL COM12,307,006 NYSEN MOALTRIA GROUP INC COM9,302,524 NYSEN MRKMERCK & CO INC NEW COM13,841,644 NYSEN MRVLMARVELL TECHNOLOGY GROUP LTD ORD13,607,724 NASDAQN MSMORGAN STANLEY COM NEW28,360,906 NYSEN MSFTMICROSOFT CORP COM55,628,480 NASDAQN MUMICRON TECHNOLOGY INC COM26,098,006 NASDAQN MYLMYLAN INC COM5,364,730 NASDAQN NBRNABORS INDUSTRIES LTD SHS5,266,452 NYSEN NIHDNII HLDGS INC CL B NEW3,867,720 NASDAQN NLYANNALY CAP MGMT INC COM8,504,007 NYSEN NVDANVIDIA CORP COM11,195,719 NASDAQN NWSANEWS CORP CL A15,288,598 NASDAQN ONNNON SEMICONDUCTOR CORP COM7,621,846 NASDAQN ORCLORACLE CORP COM19,424,321 NASDAQN PAYXPAYCHEX INC COM2,568,311 NASDAQN PBCTPEOPLES UNITED FINANCIAL INC COM3,243,910 NASDAQN PBIPITNEY BOWES INC COM4,430,304 NYSEN PCSMETROPCS COMMUNICATIONS INC COM7,803,878 NYSEN PFEPFIZER INC COM34,309,620 NYSEN PGRPROGRESSIVE CORP OHIO COM5,738,043 NYSEN PMCSPMC-SIERRA INC COM2,262,412 NASDAQN PPLPPL CORP COM3,564,477 NYSEN QQQPOWERSHARES QQQ TRUST UNIT SER 135,535,622 NASDAQY RFREGIONS FINL CORP NEW COM18,874,956 NYSEN RRDDONNELLEY R R & SONS CO COM3,186,941 NASDAQN RSXMARKET VECTORS ETF TR RUSSIA ETF3,524,082 NYSE ArcaY SSPRINT NEXTEL CORP COM SER 142,585,482 NYSEN SAISAIC INC COM2,810,649 NYSEN SCHWSCHWAB CHARLES CORP NEW COM9,947,618 NYSEN SDSANDRIDGE ENERGY INC COM8,309,363 NYSEN SH PROSHARES TR PSHS SHRT S&P5002,987,124 NYSE ArcaY SIRISIRIUS XM RADIO INC COM65,267,231 NASDAQN SLMSLM CORP COM3,076,889 NASDAQN SLVISHARES SILVER TRUST ISHARES11,564,164 NYSE ArcaY SPLSSTAPLES INC COM10,773,176 NASDAQN SYMCSYMANTEC CORP COM10,033,665 NASDAQN TAT&T INC COM28,370,977 NYSEN TERTERADYNE INC COM2,799,972 NYSEN TSNTYSON FOODS INC CL A4,229,939 NYSEN UNGUNITED STATES NATL GAS FUND LP UNIT PAR $0.0018,593,231 NYSE ArcaY USBUS BANCORP DEL COM NEW10,527,322 NYSEN USOUNITED STATES OIL FUND LP UNITS4,239,093 NYSE ArcaY VEAVANGUARD TAX MANAGED INTL FD MSCI EAFE ETF3,017,198 NYSE ArcaY VWOVANGUARD INTL EQUITY INDEX FD FTSE EMR MKT ETF18,636,100 NYSE ArcaY VZVERIZON COMMUNICATIONS INC COM15,827,484 NYSEN WCRXWARNER CHILCOTT PLC IRELAND SHS A3,816,202 NASDAQN WFCWELLS FARGO & CO NEW COM25,973,309 NYSEN WINWINDSTREAM CORP COM9,312,372 NASDAQN WUWESTERN UN CO COM9,763,210 NYSEN XCOEXCO RESOURCES INC COM3,343,913 NYSEN XELXCEL ENERGY INC COM2,597,816 NYSEN XHBSPDR SERIES TRUST S&P HOMEBUILD4,997,559 NYSE ArcaY XLBSELECT SECTOR SPDR TR SBI MATERIALS7,665,276 NYSE ArcaY XLFSELECT SECTOR SPDR TR SBI INT-FINL49,277,955 NYSE ArcaY XLISELECT SECTOR SPDR TR SBI INT-INDS8,181,457 NYSE ArcaY XLKSELECT SECTOR SPDR TR TECHNOLOGY9,259,932 NYSE ArcaY XLPSELECT SECTOR SPDR TR SBI CONS STPLS4,863,511 NYSE ArcaY XLUSELECT SECTOR SPDR TR SBI INT-UTILS7,055,037 NYSE ArcaY XLVSELECT SECTOR SPDR TR SBI HEALTHCARE5,600,336 NYSE ArcaY XRXXEROX CORP COM11,696,661 NYSEN YHOOYAHOO INC COM18,521,619 NASDAQN ZNGAZYNGA INC CL A17,638,437 NASDAQN (150 securities) TickerCompany NameJanuary 2013 ADVListing ExchangeETF AA-ALCOA INC PFD $3.75522 NYSE MKTN AADRADVISORSHARES TR BNY GRWTH ADR2,708 NYSE ArcaY AAITISHARES TR ALCO ASIA INFO5,283 NASDAQY AAPLAPPLE INC COM23,173,465 NASDAQN ABISAFETY FIRST TR SER 2009-2 GTD CTF DJIA143,886 NYSE ArcaN ABV.CCOMPANHIA DE BEBIDAS DAS AMERS SPONSORED ADR34,887 NYSEN ABW-BASSOCIATED BANC-CORP DEP SH 1/40 SR B5,979 NYSEN ACCUADVISORSHARES TR ACCUVS GLB OPP2,487 NYSE ArcaY ACFCATLANTIC COAST FINL CORP COM5,336 NASDAQN ACIMSPDR INDEX SHS FDS MSCI ACWI ETF1,090 NYSE ArcaY ACNBACNB CORP COM3,895 NASDAQN ACSTACASTI PHARMA INC CL A SHS12,143 NASDAQN ACUACME UTD CORP COM1,355 NYSE MKTN ACWVISHARES INC CTR WLD MINVL56,454 NYSE ArcaY ACYAEROCENTURY CORP COM5,487 NYSE MKTN ADESADA ES INC COM76,625 NASDAQN ADK-AADCARE HEALTH SYSTEMS INC PFD-A 10.875%2,292 NYSE MKTN ADRABLDRS INDEX FDS TR ASIA 50 ADR2,287 NASDAQY ADRDBLDRS INDEX FDS TR DEV MK 100 ADR5,499 NASDAQY ADZDEUTSCHE BK AG LDN BRH PSHS AGRI SHR382,085 NYSE ArcaY AEADAMS RES & ENERGY INC COM NEW7,710 NYSE MKTN AEPIAEP INDS INC COM25,457 NASDAQN AETIAMERICAN ELECTRIC TECH INC COM8,788 NASDAQN AF CBATHENS BANCSHARES CORP COM4,097 NASDAQN AFKMARKET VECTORS ETF TR AFRICA ETF34,910 NYSE ArcaY AFOPALLIANCE FIBER OPTIC PRODS INC COM NEW19,628 NASDAQ N A GADEUTSCHE BK AG LDN BRH PS AGRI DS ETN7,144 NYSE ArcaY AGEMEGA EMERGING GLOBAL SHS TR EGSHARE GEM COMP9,100 NYSE ArcaY AGFDEUTSCHE BK AG LDN BRH PS AGRI LG ETN8,743 NYSE ArcaY AGLSADVISORSHARES TR ACCUVEST GL LONG2,397 NYSE ArcaY AGMFEDERAL AGRIC MTG CORP CL C33,655 NYSEN AGM-AFEDERAL AGRIC MTG CORP PFD A 5.875%NON4,721 NYSEN AGM.AFEDERAL AGRIC MTG CORP CL A401 NYSEN AGNCPAMERICAN CAPITAL AGENCY CORP PFD-A24,511 NASDAQN AGO-BASSURED GUARNTY MUNI HLDGS INC QUIBS 6.875%4,748 NYSEN AGO-FASSURED GUARNTY MUNI HLDGS INC NT 5.60% 210310,781 NYSEN AGOLETFS ASIAN GOLD TR PHYS ASAIN GLD861 NYSE ArcaY AHBSAFETY FIRST TR SER 2008-3 CTF GLO BSKT131,168 NYSE ArcaN AHGPALLIANCE HOLDINGS GP LP COM UNITS LP41,986 NASDAQN AHL-ASPEN INSURANCE HOLDINGS LTD PFD PRP INC EQ13,963 NYSEN AHL-AASPEN INSURANCE HOLDINGS LTD PFD PER7.401%8,759 NYSEN AHPIALLIED HEALTHCARE PRODS INC COM2,789 NASDAQN AHT-AASHFORD HOSPITALITY TR INC PFD A 8.55%2,818 NYSEN AHT-EASHFORD HOSPITALITY TR INC 9% CUM PFD SER E9,690 NYSEN AHYSAFETY FIRST TR SER 2008-4 NT S&P500 13947 NYSE ArcaN AIMAEROSONIC CORP DEL COM PAR $0.402,733 NYSE MKTN AIQ ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.0115, 496 NYSEN AIRTAIR T INC COM3,081 NASDAQN AIV-ZAPARTMENT INVT & MGMT CO PFD CL Z975 NYSEN AJBSAFETY FIRST TR SER 2009-1 CTF S&P500 14528 NYSE ArcaN AKO.AEMBOTELLADORA ANDINA S A SPON ADR A2,086 NYSEN Appendix #3 - Nickel Tick Size Pilot Securities AKO.BEMBOTELLADORA ANDINA S A SPON ADR B10,997 NYSEN ALCOALICO INC COM14,617 NASDAQN ALCSALCO STORES INC COM2,298 NASDAQN ALGALAMO GROUP INC COM24,066 NYSEN ALLBALLIANCE BANCORP INC PA NEW COM1,145 NASDAQN ALNCALLIANCE FINANCIAL CORP NY COM6,126 NASDAQN ALOGANALOGIC CORP COM PAR $0.0584,515 NASDAQN ALOTASTRO-MED INC NEW COM12,391 NASDAQN ALP-NALABAMA PWR CO PFD CL A 5.2%5,098 NYSEN ALP-OALABAMA PWR CO PFD CL A 5.83%2,922 NYSEN ALP-PALABAMA PWR CO PFD A 5.30%2,769 NYSEN ALR-BALERE INC PERP PFD CONV SE8,120 NYSEN ALTISHARES DIVERSIFIED ALTR TR SH BEN INT18,325 NYSE ArcaY ALTIALTAIR NANOTECHNOLOGIES INC COM PAR $0.00113,018 NASDAQN ALTLROYAL BK OF SCOTLAND PLC LCAP ALT EXC ETN140 NYSE ArcaY ALXALEXANDERS INC COM3,108 NYSEN AMBTAMBIENT CORP COM NEW5,873 NASDAQN AMGAFFILIATED MANAGERS GROUP COM320,412 NYSEN AMICAMERICAN INDEPENDENCE CORP COM NEW1,274 NASDAQN AMIDAMERICAN MIDSTREAM PARTNERS LP COM UNITS29,871 NYSEN AMMSAFETY FIRST TR SER 2008-2 NT S&P500 131,016 NYSE ArcaN AMNBAMERICAN NATL BANKSHARES INC COM9,957 NASDAQN AMOTALLIED MOTION TECHNOLOGIES INC COM5,013 NASDAQN AMOVAMERICA MOVIL SAB DE CV SPON ADR A SHS5,612 NASDAQN AMPLAMPAL AMERN ISRAEL CORP CL A NEW15,496 NASDAQN A MPSISHARES TR UTILITIES SECT18,108 NYSE ArcaY AMRBAMERICAN RIVER BANKSHARES COM5,796 NASDAQN AMREAMREIT INC NEW CL B11,057 NYSE N AM SAMERICAN SHARED HOSPITAL SVCS COM20,254 NYSE MKTN AMZNAMAZON COM INC COM2,935,964 NASDAQN ANATAMERICAN NATL INS CO COM19,191 NASDAQN ANCBANCHOR BANCORP WA COM1,774 NASDAQN ANCIAMERICAN CARESOURCE HLDGS INC COM NEW4,698 NASDAQN ANCXACCESS NATL CORP COM24,146 NASDAQN ANDAANDINA ACQUISITION CORP COM212 NASDAQN ANENANAREN INC COM33,078 NASDAQN ANGLMARKET VECTORS ETF TR FALLN ANGL USD4,944 NYSE ArcaY ANH-AANWORTH MORTGAGE ASSET CP PFD A 8.625%1,580 NYSEN ANH-BANWORTH MORTGAGE ASSET CP PFD B 6.25%5,166 NYSEN ANLYANALYSTS INTL CORP COM NEW6,355 NASDAQN ANNBANNAPOLIS BANCORP INC COM5,292 NASDAQN ANTPPHAZAR CORP COM4,798 NASDAQN APAMPCO-PITTSBURGH CORP COM18,662 NYSEN APAGFAPCO OIL & GAS INTERNATIONAL I SHS26,584 NASDAQN APFCAMERICAN PAC CORP COM28,685 NASDAQN APSAALTO PALERMO S A SPONSORED ADR1,847 NASDAQN APTSPREFERRED APT CMNTYS INC COM16,917 NYSE MKTN APWCASIA PACIFIC WIRE & CABLE CORP ORD15,321 NASDAQN AQQ AMERICAN 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ArcaY DX-ADYNEX CAP INC PFD SER A2,548 NYSEN DXPEDXP ENTERPRISES INC NEW COM NEW52,066 NASDAQN DXRDAXOR CORP COM1,762 NYSE MKTN DXYNDIXIE GROUP INC CL A13,552 NASDAQN DYNTDYNATRONICS CORP COM NEW17,024 NASDAQN DYYDEUTSCHE BK AG LDN BRH PS CMDT DL ETN19,183 NYSE ArcaY DZKDIREXION SHS ETF TR DLY DEV MKT BULL15,856 NYSE ArcaY EACERICKSON AIR-CRANE INC COM32,405 NASDAQN EAGLUGLOBAL EAGLE ACQUISITION CORP UNIT 1 00001225 NASDAQN EAPSPAX WORLD FDS TR II MSCI ESG IDX8,739 NYSE ArcaY EBMTEAGLE BANCORP MONT INC COM3,569 NASDAQN EBODRENEWABLE ENERGY TRADE BRD COR SHS2,660 NASDAQN EBSBMERIDIAN INTERSTAT BANCORP INC COM31,428 NASDAQN EBTCENTERPRISE BANCORP INC MASS COM8,837 NASDAQN ECBEECB BANCORP INC COM6,770 NYSE MKTN ECNSISHARES TR MSCI CHIN SMCP29,803 NYSE ArcaY EDACEDAC TECHNOLOGIES CORP COM8,774 NASDAQN EDENISHARES TR MSCI DENMRK CP3,951 BATS BZXY EDFSTONE HBR EMERG MRKTS INC FD COM56,515 NYSEN EDGWEDGEWATER TECHNOLOGY INC COM23,214 NASDAQN EDTENTERGY TEXAS INC MTG BD 7.875%6,508 NYSEN EDUCEDUCATIONAL DEV CORP COM4,261 NASDAQN EDVVANGUARD WORLD FD EXTENDED DUR37,678 NYSE ArcaY EEHBPOWERSHARES ETF TR II S&P EMRGHIBETA1,502 NYSE ArcaY EEIECOLOGY & ENVIRONMENT INC CL A2,879 NASDAQN EEMEISHARES INC MSCI EMRG EMEA2,768 NASDAQY EEMLISHARES TR MSCI EMKT LATN2,105 NASDAQY EEMSISHARES INC MSCI EM SML CP10,041 NYSE ArcaY EESWISDOMTREE TRUST SMLCAP EARN FD9,429 NYSE ArcaY EFMENTERGY MISS INC 1ST MTG BD 405,397 NYSEN EFNLISHARES TR MSCI FINLND CP3,086 BATS BZXY E FSCENTERPRISE FINL SVCS CORP COM28,791 NASDAQN EFUTE FUTURE INFORMATION TECH INC SHS1,713 NASDAQN EGANEGAIN COMMUNICATIONS COM NEW48,771 NASDAQ N E GASGAS NAT INC COM19,340 NYSE MKTN EGLENGILITY HLDGS INC COM67,348 NYSEN EGRWISHARES INC EMKTS GRW IDX328 NASDAQY EIAEATON VANCE CALIF MUN BD FD II COM7,403 NYSE MKTN EIHIEASTERN INS HLDGS INC COM13,220 NASDAQN EIOEATON VANCE OHIO MUN BD FD COM3,442 NYSE MKTN EIPEATON VANCE PA MUN BD FD COM4,728 NYSE MKTN EIRLISHARES TR IRLND CPD INVT16,304 NYSE ArcaY EISISHARES INC MSCI ISRAEL FD17,220 NYSE ArcaY ELBENTERGY LOUISIANA LLC 1ST MTG BD9,659 NYSEN ELLOELLOMAY CAPITAL LIMITED SHS1,896 NYSE MKTN ELRSPDR SERIES TRUST DJ LRG CAP ETF752 NYSE ArcaY ELRCELECTRO RENT CORP COM35,348 NASDAQN ELS-CEQUITY LIFESTYLE PPTYS INC DEP SH REP PFD24,198 NYSEN ELSEELECTRO-SENSORS INC COM916 NASDAQN EMCBWISDOMTREE TR WSDM EMKTBD FD18,086 NASDAQY EMCDSPDR SER TR SPDR BOFA ML1,023 NYSE ArcaY EMCFEMCLAIRE FINL CORP COM378 NASDAQN EMCIEMC INS GROUP INC COM15,512 NASDAQN EMDDEGA EMERGING GLOBAL SHS TR EGSHARE EM DOM1,929 NYSE ArcaY EMDI ISHARES INC EMKT CNSM DISC195 NASDAQY EMEYISHARES INC EMKT ENRG SECT2,372 NASDAQY EMFNISHARES TR MSCI EM MK FNL4,407 NASDAQY EMFTSPDR INDEX SHS FDS MSCI EM50 ETF1,667 NYSE ArcaY EMHYiShares Emerging Markets High Yield Bond Fund25,141 BATS BZXY EMIEATON VANCE MI MUNI INCOME TR SH BEN INT3,294 NYSE MKTN EMIFISHARES TR S&P EMRG INFRS17,915 NASDAQY EMITFELBIT IMAGING LTD ORD SHS2,658 NASDAQN EMJEATON VANCE N J MUN BD FD COM4,522 NYSE MKTN EMLEASTERN CO COM10,766 NASDAQN EMLBBARCLAYS BK PLC EMRG MK 3X LNG167 NYSE ArcaY EMMSPDR SERIES TRUST DJ MID CAP ETF14,443 NYSE ArcaY EMMSPEMMIS COMMUNICATIONS CORP PFD CV SER A142 NASDAQN EMMTISHARES TR MSCI EMG MATS10,444 NASDAQY EMQENTERGY MISS INC MTG 1ST BDS 6%4,260 NYSEN EMTEGA EMERGING GLOBAL SHS TR EGSHARE EM METLS3,168 NYSE ArcaY ENGNISHARES TR INDUSTRIAL SCT1,216 NYSE ArcaY ENORISHARES TR MSCI NORWAY CP11,223 BATS BZXY ENSGENSIGN GROUP INC COM46,370 NASDAQN EP-CEL PASO ENERGY CAP TR I PFD CV TR SECS5,486 NYSEN EPM-AEVOLUTION PETROLEUM CORP PFD-A 8.5%427 NYSE MKTN EPR-CEPR PPTYS PFD C CNV 5.75%7,152 NYSEN EPR-EEPR PPTYS CONV PFD 9% SR E4,755 NYSEN EQIXEQUINIX INC COM NEW600,020 NASDAQN ERA#ERA GROUP INC COM11,706 NYSEN ERIEERIE INDTY CO CL A35,043 NASDAQN EROBARCLAYS BK PLC IP EUR/USD ETN200 NYSE ArcaY ESBFESB FINL CORP COM12,398 NASDAQN ESBKELMIRA SVGS BK ELMIRA N Y COM1,156 NASDAQN ESCAESCALADE INC COM7,618 NASDAQN ESGRENSTAR GROUP LIMITED SHS22,270 NASDAQN ESLTELBIT SYS LTD ORD3,930 NASDAQN ES PESPEY MFG & ELECTRS CORP COM4,116 NYSE MKTN ESRISHARES INC MSCI EMKT EUR17,334 NYSE ArcaY ESSESSEX PPTY TR INC COM216,354 NYSE N E SS-HESSEX PPTY TR INC PFD SER H5,100 NYSEN ESSAESSA BANCORP INC COM14,748 NASDAQN ESTEEARTHSTONE ENERGY INC COM NEW2,021 NYSE MKTN ESYSELECSYS CORP COM5,731 NASDAQN ETFABERDEEN EMERG MKTS TELE&INFRA COM8,228 NYSE MKTN ETUAEUNITS 2 YR US EQTY MKT PTNTR UNIT4,443 NYSE MKTN EUWISDOMTREE TRUST EURO DEBT FUND2,043 NYSE ArcaY EUFXPROSHARES TR II PROSHS SHT EUR291 NYSE ArcaY EVACEDWARDS GROUP LTD SPONSORED ADR20,651 NASDAQN EVALISHARES INC EMKTS VALU IDX2,589 NASDAQY EVBNEVANS BANCORP INC COM NEW3,294 NYSE MKTN EVBSEASTERN VA BANKSHARES INC COM8,214 NASDAQN EVJEATON VANCE NJ MUNI INCOME TR SH BEN INT6,679 NYSE MKTN EVKEVER GLORY INTL GRP INC COM NEW2,765 NYSE MKTN EVOEATON VANCE OH MUNI INCOME TR SH BEN INT5,777 NYSE MKTN EVOLEVOLVING SYS INC COM NEW14,943 NASDAQN EVPEATON VANCE PA MUNI INCOME TR SH BEN INT3,641 NYSE MKTN EWASISHARES TR MSCI AUSTRL SM1,987 BATS BZXY EWCSISHARES TR MSCI CDA SM CP710 BATS BZXY EWEFRYDEX ETF TRUST GUG MSCI EAFE EQ2,191 NYSE ArcaY EWEM RYDEX ETF TRUST GUG MSCI EMKT EQ2, 080 NYSE ArcaY EWHSISHARES TR MSCI HK SML CP2,365 NYSE ArcaY EWSMRYDEX ETF TRUST GUG S&P SC600 EQ2,675 NYSE ArcaY EWSSISHARES TR MSCI SING SMCP7,728 NYSE ArcaY EWUSISHARES TR MSCI UK SM CAP2,073 BATS BZXY EXAEXA CORP COM56,963 NASDAQN EXACEXACTECH INC COM35,872 NASDAQN EXECREXENDO INC COM2,413 NYSE MKTN EXIISHARES TR S&P GL INDUSTR32,791 NYSE ArcaY EXL-BEXCEL TR INC PFD-B3,387 NYSEN EXPOEXPONENT INC COM25,728 NASDAQN EXTWISDOMTREE TRUST TTL EARNING FD3,521 NYSE ArcaY EZJPROSHARES TR UL MSCI JP ETF10,487 NYSE ArcaY EZMWISDOMTREE TRUST MDCP EARN FUND20,068 NYSE ArcaY EZYWISDOMTREE TRUST LRGECP VALUE FD2,867 NYSE ArcaY FAACLAYMORE EXCHANGE TRD FD TR 2 GUGG AIRLINE ETF14,555 NYSE ArcaY FABKFIRST ADVANTAGE BANCORP COM1,178 NASDAQN FBIZFIRST BUS FINL SVCS INC WIS COM12,537 NASDAQN FBMIFIRSTBANK CORP MICH COM9,277 NASDAQN FBMSFIRST BANCSHARES INC MS COM2,845 NASDAQN FBS-AFIRST PFD CAP TR IV PFD TR 8.15%3,012 NYSEN FBSSFAUQUIER BANKSHARES INC VA COM1,342 NASDAQN FBZFIRST TR EXCH TRD ALPHA FD II BRAZIL ALPHA4,070 NYSE ArcaY FCFRANKLIN COVEY CO COM25,513 NYSEN FCAFIRST TR EXCH TRD ALPHA FD II CHINA ALPHADEX12,899 NYSE ArcaY FCANFIRST TR EXCH TRD ALPHA FD II CANADA ALPHA14,936 NYSE ArcaY FCAPFIRST CAPITAL INC COM257 NASDAQN FCBCFIRST CMNTY BANCSHARES INC NEV COM29,398 NASDAQN FCCOFIRST CMNTY CORP S C COM1,584 NASDAQN FCCY1ST CONSTITUTION BANCORP COM1,029 NASDAQN FCE.BFOREST CITY ENTERPRISES INC CL B CONV603 NYSEN FCH-AFELCOR LODGING TR INC PFD CV A $1.9520,474 NYSEN FC H-CFELCOR LODGING TR INC PFD 1/100 C 8%17,931 NYSEN FCHIISHARES TR FTSE CHINA ETF4,552 NASDAQY FCLFFIRST CLOVER LEAF FIN CORP COM4,287 NASDAQ N F CNCAFIRST CTZNS BANCSHARES INC N C CL A13,107 NASDAQN FCTY1ST CENTURY BANCSHARES INC COM2,804 NASDAQN FCVAFIRST CAPITAL BANCORP VA COM5,744 NASDAQN FCYFOREST CITY ENTERPRISES INC SR NT 203415,990 NYSEN FCZAFIRST CTZNS BANC CORP COM NO PAR4,256 NASDAQN FDEFFIRST DEFIANCE FINL CORP COM27,748 NASDAQN FDTSFIRST TR EXCH TRD ALPHA FD II EX US SML CP472 NYSE ArcaY FDUSFIDUS INVT CORP COM56,786 NASDAQN FEFNISHARES TR MSCI FAR EAST4,034 NASDAQY FEIMFREQUENCY ELECTRS INC COM11,608 NASDAQN FELEFRANKLIN ELEC INC COM75,287 NASDAQN FEMSFIRST TR EXCH TRD ALPHA FD II EM SML CP ALPH2,477 NYSE ArcaY FEPFIRST TR EXCH TRD ALPHA FD II EUROPE ALPHA17,365 NYSE ArcaY FFBCWFIRST FINL BANCORP OH WT EXP 122318405 NASDAQN FFBHFIRST FED BANCSHARES ARK COM NEW5,814 NASDAQN FFCOFEDFIRST FINL CORP NEW COM3,719 NASDAQN FFKTFARMERS CAP BK CORP COM13,448 NASDAQN FFKYFIRST FINL SVC CORP COM4,629 NASDAQN FFNMFIRST FED NORTHN MICH BANCORP COM1,359 NASDAQN FFRFIRST TR FTSE EPRA/NAREIT DEVL COM11,686 NYSE ArcaY FGEM EGA EMERGING GLOBAL SHS TR EGSHARE FINL GEM985 NYSE ArcaY FHKFIRST TR EXCH TRD ALPHA FD II HONG KONG ALPH782 NYSE ArcaY FILLISHARES INC MSCI GLB ENERG503 NYSE ArcaY FINFPROSHARES TR SHT 30YR TIPS1,590 NYSE ArcaY FINUPROSHARES TR ULTRAPRO FINLS4,084 NYSE ArcaY FISIFINANCIAL INSTNS INC COM18,600 NASDAQN FITBPFIFTH THIRD BANCORP CNV PFD DEP1/25088,720 NASDAQN FJAPPLUS TR CTF A 7.995%36287 NYSEN FJPFIRST TR EXCH TRD ALPHA FD II JAPAN ALPHADEX2,779 NYSE ArcaY FKOFIRST TR EXCH TRD ALPHA FD II STH KOREA ALPH3,444 NYSE ArcaY FLICFIRST LONG IS CORP COM11,802 NASDAQN FLMFIRST TR ISE GLOBAL ENGR & CON COM1,977 NYSE ArcaY FLMLFLAMEL TECHNOLOGIES SA SPONSORED ADR74,732 NASDAQN FLNFIRST TR EXCH TRD ALPHA FD II LATIN AMER ALP4,838 NYSE ArcaY FLXSFLEXSTEEL INDS INC COM14,363 NASDAQN FMFCFIRST M & F CORP COM7,904 NASDAQN FMNBFARMERS NATL BANC CORP COM20,735 NASDAQN FMS-FRESENIUS MED CARE AG&CO KGAA SPON ADR PREF47 NYSEN FNBNF N B UNITED CORP COM NEW26,014 NASDAQN FNFG-BFIRST NIAGARA FINL GP INC PFD NON CUM SER16,325 NYSEN FNHCFEDERATED NATL HLDG CO COM6,861 NASDAQN FNKFIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD4,794 NYSE ArcaY FNLCFIRST BANCORP INC ME COM17,982 NASDAQN FOILBARCLAYS BK PLC IPTH ALUMN ETN647 NYSE ArcaY FONEFIRST TR NASDAQ SMART PHONE IN COM SHS2,639 NASDAQY FORTYFORMULA SYS 1985 LTD SPONSORED ADR4,036 NASDAQN FOSLFOSSIL INC COM722,066 NASDAQN FPAFIRST TR EXCH TRD ALPHA FD II ASIA EX JAPAN2,840 NYSE ArcaY FPC-AFPC CAP I QUIPS A 7.10%281 NYSEN FPO-AFIRST POTOMAC RLTY TR CUM RED PFD-A7,322 NYSEN FPPFIELDPOINT PETROLEUM CORP COM9,977 NYSE MKTN FR-JFIRST INDUSTRIAL REALTY TRUST PFD 1/10000 J11,399 NYSEN FR -KFIRST INDUSTRIAL REALTY TRUST PFD K 7.25%3,507 NYSEN FRAKMARKET VECTORS ETF TR UNCVTL OIL GAS11,816 NYSE ArcaY FRC-AFIRST REP BK SAN FRANCISCO CAL DEP SH PFD A11,414 NYSE N FR C-BFIRST REP BK SAN FRANCISCO CAL DEP SHS REPSTG 114,175 NYSEN FRGIFIESTA RESTAURANT GROUP INC COM64,258 NASDAQN FRSFRISCHS RESTAURANTS INC COM5,148 NYSE MKTN FSBKFIRST SOUTH BANCORP INC VA COM9,259 NASDAQN FSBWFS BANCORP INC COM9,381 NASDAQN FSCEFIFTH STR FIN CORP SR NT 2417,920 NYSEN FSCIFISHER COMMUNICATIONS INC COM32,162 NASDAQN FSFGFIRST SAVINGS FINL GROUP INC COM2,008 NASDAQN FSGIFIRST SEC GROUP INC COM NEW21,109 NASDAQN FSTRFOSTER L B CO COM39,952 NASDAQN FTWFIRST TR EXCH TRD ALPHA FD II TAIWAN ALPHADE97 NYSE ArcaY FUDUBS AG JERSEY BRH CMCI FOOD ETN5,348 NYSE ArcaY FUESWEDISH EXPT CR CORP MLCX BIO ETN23404 NYSE ArcaY FUNCFIRST UTD CORP COM4,294 NASDAQN FUR-DWINTHROP RLTY TR PFD SHS BEN INT12,413 NYSEN FURXFURIEX PHARMACEUTICALS INC COM38,740 NASDAQN FWDBADVISORSHARES TR MADRONA GLB BD1,966 NYSE ArcaY FWDDADVISORSHARES TR MADRONA DOMESTIC656 NYSE ArcaY FWDIADVISORSHARES TR MADRONA INTL ETF27,937 NYSE ArcaY FWVFIRST W VA BANCORP INC COM269 NYSE MKTN FXCB FOX CHASE BANCORP INC NEW COM22, 419 NASDAQN FXCHCURRENCYSHARES CHINESE RENMINB CHIN RENMINBI336 NYSE ArcaY FXSCURRENCYSHARES SWEDISH KRONA T SWEDISH KRONA2,238 NYSE ArcaY GAB-GGABELLI EQUITY TR INC PFD-G1,850 NYSEN GABCGERMAN AMERN BANCORP INC COM17,082 NASDAQN GAFSPDR INDEX SHS FDS MIDEAST AFRICA19,366 NYSE ArcaY GAIGLOBAL TECH ADVANCED INNOVATIO SHS NEW14,317 NASDAQN GAIAGAIAM INC CL A30,157 NASDAQN GAINPGLADSTONE INVT CORP PFD A 7.125%9,684 NASDAQN GALTUGALECTIN THERAPEUTICS INC UNIT EX 000017918 NASDAQN GASZUBS AG LONDON BRH DLY LNGSHT GAS40,021 NYSE ArcaY GATGEORGIA PWR CO NT SER2008C 4819,792 NYSEN GBBBARCLAYS BK PLC IP GBP/USD ETN252 NYSE ArcaY GBFISHARES TR BARCLYS GOVT CR7,090 NYSE ArcaY GBLGAMCO INVESTORS INC COM11,589 NYSEN GBLIGLOBAL INDEMNITY PLC SHS14,434 NASDAQN GCBCGREENE COUNTY BANCORP INC COM443 NASDAQN GCEGS FIN CORP ETN CLAYMORE377,076 NYSE ArcaY GCV-BGABELLI CONV & INCOME SECS FD PFD SER B736 NYSEN GDV-DGABELLI DIVD & INCOME TR PFD SER D2,766 NYSEN GEF.BGREIF INC CL B8,674 NYSEN GENCGENCOR INDS INC COM10,501 NASDAQN GENTGENTIUM S P A SPONSORED ADR25,407 NASDAQN GEOSGEOSPACE TECHNOLOGIES CORP COM74,802 NASDAQN GERJMARKET VECTORS ETF TR GERMANY SM CAP6,624 NYSE ArcaY GFEDGUARANTY FED BANCSHARES INC COM7,041 NASDAQN GFNGENERAL FINANCE CORP COM32,708 NASDAQN GFNCLGENERAL FINANCE CORP UNIT 1 000013143 NASDAQN GFYWESTERN ASSET VAR RT STRG FD COM21,517 NYSEN GGEMEGA EMERGING GLOBAL SHS TR CONS GOODS GEM382 NYSE ArcaY GGGGGLOBAL X FDS PURE GLD MINERS2,504 NYSE ArcaY GGN-AGAMCO GLOBAL GOLD NAT RES & IN 6.625% PFD SER A3,967 NYSE MKTN GGO VPROSHARES TR GERMAN SOV/SUB35 NYSE ArcaY GGT-BGABELLI MULTIMEDIA TR INC PFD B 6%2,247 NYSEN GHMGRAHAM CORP COM37,685 NYSE MKT N GH YGiShares Global High Yield Corporate Bond Fund14,478 BATS BZXY GIFIGULF ISLAND FABRICATION INC COM36,693 NASDAQN GIGAGIGA TRONICS INC COM1,698 NASDAQN GIISPDR INDEX SHS FDS MACQU GLBIN10012,499 NYSE ArcaY GIYCLAYMORE EXCHANGE TRD FD TR GUGG ENH CRE BN6,276 NYSE ArcaY GJDSTRATS TR FOR SPRINT SECS STRATS A1 6.5%3,213 NYSEN GJHSTRATS TR UTD STS CELLULAR CP STRATS 6.3751,243 NYSEN GJJSTRATS TR GOLDMAN SACHS GROUP CTF04-8 FLT RT1,494 NYSEN GJKSTRATS TR J P MORGAN CHASE 04-9 CTF A-1536 NYSEN GJOSTRATS TR WAL MART STORES INC STRT CTF 05-43,659 NYSEN GJPSTRATS TR FOR DOMINION RES INC STRT CTF 05-61,703 NYSEN GJRSTRATS TR FOR PROCTR&GAMBL SEC CTF 2006-11,530 NYSEN GJSSTRATS TR GOLDMAN SACHS GROUP STRATS CTF 332,017 NYSEN GJTSTRATS TR ALLSTATE CORP 06-3 ASSET BKD2,904 NYSEN GJVSTRATS TR NEWS CORP SECS 2006 CTF 7% CL A-11,763 NYSEN GKG & K SVCS INC CL A37,520 NASDAQN GKK-AGRAMERCY CAP CORP PFD SER A16,974 NYSEN GKNTGEEKNET INC COM NEW7,647 NASDAQN GLADPGLADSTONE CAPITAL CORP PFD2,397 NASDAQN GLBSGLOBUS MARITIME LIMITED NEW COM11,766 NASDAQN GLBZ GLEN BURNIE BANCORP COM2, 713 NASDAQN GLDCGOLDEN ENTERPRISES INC COM11,725 NASDAQN GLPGLOBAL PARTNERS LP COM UNITS58,780 NYSEN GMFSSPDR INDEX SHS FDS S&P SMLCP ASIA757 NYSE ArcaY GMLSPDR INDEX SHS FDS LATIN AMER ETF12,755 NYSE ArcaY GMMSPDR INDEX SHS FDS EMERG MKTS ETF76,065 NYSE ArcaY GMMBCOLUMBIA ETF TR INTERMED MUN513 NYSE ArcaY GMTBCOLUMBIA ETF TR CORE BD STRAT3,408 NYSE ArcaY GMXR-GMX RES INC PFD SER B 9.25%8,700 NYSEN GNE-AGENIE ENERGY LTD PFD-2012-A1,287 NYSEN GNIGREAT NORTHN IRON ORE PPTYS CTFS BEN INT15,958 NYSEN GOODNGLADSTONE COML CORP PFD SER C 7.125%1,319 NASDAQN GOODOGLADSTONE COML CORP PFD B 7.50%475 NASDAQN GOODPGLADSTONE COML CORP PFD SER A564 NASDAQN GOOGGOOGLE INC CL A2,686,663 NASDAQN GPE-AGEORGIA PWR CO PFD A 6.125%1,756 NYSEN GPICGAMING PARTNERS INTL CORP COM18,138 NASDAQN GRCGORMAN RUPP CO COM23,171 NYSE MKTN GREKGLOBAL X FDS FTSE GREECE 2050,170 NYSE ArcaY GRESINDEXIQ ETF TR IQ GLB RES ETF16,078 NYSE ArcaY GRFEAGLE CAP GROWTH FD INC COM3,731 NYSE MKTN GRH-CGREENHUNTER ENERGY INC PFD CUM C 10%8,732 NYSE MKTN GRIALPS ETF TR C&S GLOBL ETF26,300 NYSE ArcaY GRIDFIRST TR EXCH TRADED FD II NASDQ CLN EDGE3,150 NASDAQY GRIFGRIFFIN LD & NURSERIES INC CL A2,213 NASDAQN GRNBARCLAYS BANK PLC ETN GLB CARB38355 NYSE ArcaY GRT-HGLIMCHER RLTY TR PFD-H 7.5%11,306 NYSEN GRWNBARCLAYS BK PLC IPTH SOFTS ETN147 NYSE ArcaY GRX-AGABELLI HLTHCARE & WELLNESS TR PFD SER A2,655 NYSEN GSBCGREAT SOUTHN BANCORP INC COM19,154 NASDAQN GSCGOLDMAN SACHS GROUP INC SP ENHCMD37ETN30,102 NYSE ArcaY GSJKCOMPRESSCO PARTNERS L P COM UNIT12,970 NASDAQN G ST-AGASTAR EXPLORATION USA INC PFD-A 8.625%9,220 NYSE MKTN GTIMGOOD TIMES RESTAURANTS INC COM PAR $.001NEW50,428 NASDAQN GTN.AGRAY TELEVISION INC CL A3,198 NYSE N G TPPPGOODYEAR TIRE & RUBR CO PFD CONV 5.875%34,660 NASDAQN GTUCENTRAL GOLDTRUST TR UNIT37,164 NYSE MKTN GTWNGEORGETOWN BANCORP INC MD COM299 NASDAQN GUAGULF POWER CO SR NT-2011A517,673 NYSEN GULGULF POWER CO NT H 5.25% 331,246 NYSEN GULFWISDOMTREE TR MID EAST DIVD9,706 NASDAQY GURSPDR INDEX SHS FDS EUROPE ETF34,157 NYSE ArcaY GURUGLOBAL X FDS GLB X FTSE NOR2,984 NYSE ArcaY GUT-AGABELLI UTIL TR PFD A 5.625%1,267 NYSEN GVTCOLUMBIA ETF TR COLUMBIA CON LRG115 NYSE ArcaY GWOCREDIT SUISSE NASSAU BRH GLB WARM ETN2394 NYSE ArcaY GWRUGENESEE & WYO INC UNIT 10011517,958 NYSEN GWWGRAINGER W W INC COM450,539 NYSEN GXP-AGREAT PLAINS ENERGY INC PFD 3.80%510 NYSEN GXP-DGREAT PLAINS ENERGY INC PFD 4.35%101 NYSEN GXP-EGREAT PLAINS ENERGY INC PFD 4.50%192 NYSEN GYACABCO SER 2004-1 TR GOLDMAN CTF A1 6.0% 342,193 NYSEN GYBCABCO SER 2004-101 TR GOLDMAN CTF CALL 6.34519,635 NYSEN GYCCABCO SER 2004-102 TR SBC CTF FLT RATE4,285 NYSEN GYROGYRODYNE CO AMER INC COM8,043 NASDAQN GZT GAZIT GLOBE LTD SHS12, 109 NYSEN HALLHALLMARK FINL SVCS INC EC COM NEW22,851 NASDAQN HASTHASTINGS ENTMT INC COM16,237 NASDAQN HAYNHAYNES INTERNATIONAL INC COM NEW76,994 NASDAQN HBA-ZHSBC USA INC NEW PFD $2.8575635 NYSEN HBANPHUNTINGTON BANCSHARES INC PFD CONV SER A803 NASDAQN HBC-HARRIS PFD CAP CORP PFD EXCH A12,552 NYSEN HBCPHOME BANCORP INC COM7,894 NASDAQN HBKHAMILTON BANCORP INC MD COM4,725 NASDAQN HBNCHORIZON BANCORP IND COM22,554 NASDAQN HBNKHAMPDEN BANCORP INC COM3,964 NASDAQN HBOSHERITAGE FINL GROUP INC COM18,607 NASDAQN HCCIHERITAGE CRYSTAL CLEAN INC COM31,398 NASDAQN HCIIPHOMEOWNERS CHOICE INC 7% PFD SER A384 NASDAQN HCN-IHEALTH CARE REIT INC PFD PER CON I76,597 NYSEN HCOMHAWAIIAN TELCOM HOLDCO INC COM13,375 NASDAQN HDGPROSHARES TR HD REPLICATION32,480 NYSE ArcaY HDNGHARDINGE INC COM36,170 NASDAQN HE-UHECO CAP TR III QUIPS 6.5% 04240 NYSEN HECOHUNTINGTON STRATEGY SHS ECOL STRAT ETF1,132 NYSE ArcaY HEDJWISDOMTREE TR EUROPE HEDGED EQ10,412 NYSE ArcaY HEI.AHEICO CORP NEW CL A30,965 NYSEN HEPHOLLY ENERGY PARTNERS L P COM UT LTD PTN56,493 NYSEN HEVYBARCLAYS BK PLC IPTH INDL MTLS453 NYSE ArcaY HFBCHOPFED BANCORP INC COM8,576 NASDAQN HFBLHOME FED BANCORP INC LA NEW COM2,219 NASDAQN HFFCHF FINL CORP COM8,303 NASDAQN HFWAHERITAGE FINL CORP WASH COM21,438 NASDAQN HGEMEGA EMERGING GLOBAL SHS TR HLTH CARE GEMS10,709 NYSE ArcaY HGSHCHINA HGS REAL ESTATE INC COM17,948 NASDAQN HIFSHINGHAM INSTN SVGS MASS COM1,645 NASDAQN HJJSATURNS GOLDMAN SACHS GP 04-4 TR UT A 6.0%2,369 NYSEN H JLSATURNS GOLDMAN SACHS CAP I TR UNIT A 6.003,378 NYSEN HJNSATURNS GOLDMAN SACHS CAP 1 05 TR UT A 6.1251,611 NYSEN HJRSATURNS 2005-3 LTD BRANDS INC CALL UNIT 7%33596 NYSE N H JTSTRUCTURED ASSET TR UT 7.375% 06-2780 NYSEN HJVSATURNS TR NO 2007-1 NT CL A 7%13,124 NYSEN HL-BHECLA MNG CO PFD CV SER B42 NYSEN HLM-HILLMAN GROUP CAP TR PFD TR 11.6%3,281 NYSE MKTN HMGHMG COURTLAND PPTYS INC COM20 NYSE MKTN HMNFHMN FINL INC COM26,393 NASDAQN HMNYHELIOS AND MATHESON INFORMATIO COM NEW12,629 NASDAQN HNHHANDY & HARMAN LTD COM20,172 NASDAQN HNRGHALLADOR ENERGY COMPANY COM21,687 NASDAQN HOFTHOOKER FURNITURE CORP COM24,959 NASDAQN HOMBHOME BANCSHARES INC COM55,354 NASDAQN HOMEHOME FED BANCORP INC MD COM19,080 NASDAQN HOTRCHANTICLEER HLDGS INC COM PAR $.0001 N15,684 NASDAQN HOVNPHOVNANIAN ENTERPRISES INC PFD DEP1/1000A17,873 NASDAQN HOVUHOVNANIAN ENTERPRISES INC UNIT 1 0215146,905 NYSEN HPCCPHUNTINGTON PREFERRED CAP INC PFD EX PRP C2,742 NASDAQN HPP-BHUDSON PAC PPTYS INC CUM RED PFD-B62,960 NYSEN HPTXHYPERION THERAPEUTICS INC COM96,838 NASDAQN HRTARRHYTHMIA RESH TECHNOLOGY INC COM PAR $0.013,993 NYSE MKTN HSKAHESKA CORP COM RESTRC NEW7,857 NASDAQN HT-A HERSHA HOSPITALITY TR PFD 8% SER A1, 878 NYSEN HT-BHERSHA HOSPITALITY TR PFD SER B1,882 NYSEN HTCOHICKORY TECH CORP COM16,769 NASDAQN HTFHORIZON TECHNOLOGY FIN CORP SR NT3,121 NYSEN HTGYHERCULES TECH GROWTH CAP INC SR NT 1915,366 NYSEN HTGZHERCULES TECH GROWTH CAP INC SR NT7,454 NYSEN HTLFHEARTLAND FINL USA INC COM29,997 NASDAQN HUB.AHUBBELL INC CL A1,224 NYSEN HURCHURCO COMPANIES INC COM19,787 NASDAQN HURNHURON CONSULTING GROUP INC COM89,558 NASDAQN HVT.AHAVERTY FURNITURE INC CL A171 NYSEN HWBKHAWTHORN BANCSHARES INC COM4,735 NASDAQN HWGHALLWOOD GROUP INC COM PAR $0.101,300 NYSE MKTN HWKNHAWKINS INC COM18,719 NASDAQN HYHYSTER YALE MATLS HANDLING INC CL A37,590 NYSEN HYGSHYDROGENICS CORP NEW COM NEW6,912 NASDAQN HYKCORTS TR GOLDMAN SACHS CAP I CORTS A 6%6,282 NYSEN HYLCORTS TR II GOLDMAN SACHS CAP TR CTF A 6% 342,488 NYSEN HYMBSPDR SERIES TRUST NUV HGHYLD MUN65,897 NYSE ArcaY HYXUiShares Global ex USD High Yield Corporate Bond Fund11,614 BATS BZXY IBAINDUSTRIAS BACHOCO S A B DE CV SPON ADR B12,802 NYSEN IBCPOIBC CAP FIN II PFD TR SECS972 NASDAQN ICADICAD INC COM NEW66,113 NASDAQN ICCCIMMUCELL CORP COM PAR $0.101,951 NASDAQN ICHINVESTORS CAP HLDGS LTD COM2,905 NYSE MKTN ICIBARCLAYS BANK PLC CARRY ETN 386,071 NYSE ArcaY ICNWISDOMTREE TRUST INDIAN RUP ETF4,742 NYSE ArcaY ICPTINTERCEPT PHARMACEUTICALS INC COM25,568 NASDAQN ICUIICU MED INC COM77,704 NASDAQN IDHBPOWERSHARES ETF TR II S&P INTDEV HIB8,139 NYSE ArcaY IDHQPOWERSHARES GLOBAL ETF TRUST DYN DEVINTLOPP3,005 NYSE ArcaY IDLVPOWERSHARES ETF TR II INTL DEV LOWVL12,146 NYSE ArcaY I DSAINDUSTRIAL SVCS AMER INC FLA COM16,249 NASDAQN IDSYI D SYSTEMS INC COM19,563 NASDAQN IDXJMARKET VECTORS ETF TR INDONESA S CAP2,815 NYSE Arca Y I EPICAHN ENTERPRISES LP DEPOSITARY UNIT38,362 NASDAQN IESCINTEGRATED ELECTRICAL SVC COM2,805 NASDAQN IFASISHARES TR EPRA/NAR DEV ASI18,410 NASDAQY IFEUISHARES TR EPRA/NAR DEV EUR1,823 NASDAQY IFNAISHARES TR EPRA/NAR NA IN2,311 NASDAQY IFSMISHARES TR DEV SM CP EX-N3,084 NASDAQY IGEMEGA EMERGING GLOBAL SHS TR INDLS GEMS1,060 NYSE ArcaY IGLDINTERNET GOLD-GOLDEN LINES LTD ORD3,740 NASDAQN IGOVISHARES TR S&P CITINT TBD71,644 NASDAQY IGSPROSHARES TR SHT INV GRD CP590 NYSE ArcaY IGUPROSHARES TR ULT INV GRD CP3,691 NYSE ArcaY IHCINDEPENDENCE HLDG CO NEW COM NEW6,632 NYSEN IHSIHS INC CL A440,645 NYSEN IHTINNSUITES HOSPITALITY TR SH BEN INT2,973 NYSE MKTN IHYMARKET VECTORS ETF TR INTL HI YLD BD68,743 NYSE ArcaY IININTRICON CORP COM2,836 NASDAQN IITPT INDOSAT TBK SPONSORED ADR4,197 NYSEN IKNXIKONICS CORP COM1,745 NASDAQN ILBPIMCO ETF TR GB ADV INF BD42,971 NYSE ArcaY ILTBISHARES TR CORE L/T USB ETF36,320 NYSE ArcaY IMCB INTERMOUNTAIN CMNTY BANCORP COM NEW309 NASDAQN IMHIMPAC MTG HLDGS INC COM NEW78,485 NYSE MKTN INCOEGA EMERGING GLOBAL SHS TR INDIA CONSUMER11,413 NYSE ArcaY INDAISHARES TR MSCI INDIA IDX65,557 BATS BZXY INFLDEUTSCHE BK AG LONDON BRH US INFLATN ETN374 NYSE ArcaY INN-ASUMMIT HOTEL PPTYS PFD-A 9.25%2,714 NYSEN INN-BSUMMIT HOTEL PPTYS PFD B 7.875%7,196 NYSEN INOCINNOTRAC CORP COM7,446 NASDAQN INPBARCLAYS BK PLC IPMS INDIA ETN64,976 NYSE ArcaY INPHINTERPHASE CORP COM5,156 NASDAQN INRMORGAN STANLEY RUPEE/USD ETN906 NYSE ArcaY INSDDIREXION SHS ETF TR LRG CP INSIDER19 NYSE ArcaY INTGINTERGROUP CORP COM1,557 NASDAQN INTLINTL FCSTONE INC COM46,036 NASDAQN INTTINTEST CORP COM5,413 NASDAQN INXBINFINITY CROSS BORDER ACQUISIT SHS100 NASDAQN INXBUINFINITY CROSS BORDER ACQUISIT UNIT EX 00001647 NASDAQN IOILINDEXIQ ETF TR GLB CRUDE OIL2,163 NYSE ArcaY IOTINCOME OPPORTUNITY RLTY INVS COM1,145 NYSE MKTN IPBINDEXPLUS TR SER 03-1 TR1,046 NYSE MKTN IPCCINFINITY PPTY & CAS CORP COM34,988 NASDAQN IPCMIPC THE HOSPITALIST CO INC COM67,664 NASDAQN IPDSPDR INDEX SHS FDS S&P INTL CONS2,662 NYSE ArcaY IPFSPDR INDEX SHS FDS INTL FINL ETF6,624 NYSE ArcaY IPFFISHARES TR INT PFD STK FD25,687 NYSE ArcaY IPHSINNOPHOS HOLDINGS INC COM79,867 NASDAQN IPKSPDR INDEX SHS FDS INTL TECH ETF9,922 NYSE ArcaY IPL-BINTERSTATE PWR & LT CO PFD B 8.37515,100 NYSEN IPLTCREDIT SUISSE NASSAU BRH 2X INVER PLATI628 NYSE ArcaY IPNSPDR INDEX SHS FDS INTL INDS ETF8,633 NYSE ArcaY IPSSPDR INDEX SHS FDS CONSM SPLS ETF2,795 NYSE ArcaY IPWSPDR INDEX SHS FDS INTL ENRGY ETF3,965 NYSE ArcaY I RC-AINLAND REAL ESTATE CORP PFD SER A2,496 NYSEN IRDMUIRIDIUM COMMUNICATIONS INC UNIT EX 021413174 NASDAQN IRDMZIRIDIUM COMMUNICATIONS INC WT EXP 021415908 NASDAQ N I RET-INVESTORS REAL ESTATE TR PFD SER A 8.25%395 NYSEN IRET-BINVESTORS REAL ESTATE TR PFD-B 7.95%5,248 NYSEN IRIXIRIDEX CORP COM10,519 NASDAQN IROQIF BANCORP INC COM2,690 NASDAQN IRVSPDR INDEX SHS FDS INTL MTRLS SEC2,641 NYSE ArcaY ISHINTERNATIONAL SHIPHOLDING CORP COM NEW14,678 NYSEN ISHGISHARES TR S&PCITI1-3YRTB18,565 NASDAQY ISIGINSIGNIA SYS INC COM18,165 NASDAQN ISLABERDEEN ISRAEL FUND INC COM9,657 NYSE MKTN ISMSLM CORP NT A CPI LINK5,713 NASDAQN ISNSIMAGE SENSING SYS INC COM3,171 NASDAQN ISRGINTUITIVE SURGICAL INC COM NEW557,717 NASDAQN ISRLISRAMCO INC COM NEW567 NASDAQN ISSCINNOVATIVE SOLUTIONS & SUPPORT COM21,456 NASDAQN ISTBISHARES TR CORE STRM USBD5,816 NYSE ArcaY ITFISHARES TR S&P/TOPIX 15013,298 NYSE ArcaY ITICINVESTORS TITLE CO COM1,660 NASDAQN ITIPISHARES TR INTL INFL LKD39,883 NYSE ArcaY ITLTDEUTSCHE BK AG LONDON BRH PWSH 3X ITL TR1,239 NYSE ArcaY ITLYDEUTSCHE BK AG LONDON BRH PWSH ITAL TRES1,352 NYSE ArcaY ITRN ITURAN LOCATION AND CONTROL SHS13, 042 NASDAQN IVOPBARCLAYS BK PLC IPATH LN ENHAN952 NYSE ArcaY IXORIX CORP SPONSORED ADR19,400 NYSEN IXNISHARES TR S&P GBL INF35,536 NYSE ArcaY IXUSISHARES TR CORE MSCITOTAL28,051 NYSE ArcaY JACQUCOLLABRIUM JAPAN ACQUISITN CP UNIT EX 00001712 NASDAQN JAXBJACKSONVILLE BANCORP INC FLA COM59,280 NASDAQN JBICORPORATE BACKED TR CTFS NT 7.875%A1 322,331 NYSEN JBJCORPORATE BACKED TR CTFS 03-4 6.25% 975,068 NYSEN JBKCORPORATE BACKED TR CTFS 04-6 A1 3.50438 NYSEN JBNCORPORATE BACKED CALL TR CTFS CORTS A-1 7%20,670 NYSEN JBOCORPORATE BACKED TR CTFS 04-7 A1 6.3%34733 NYSEN JBRCORPORATE BACKED CALL TR CTFS JCP 06-1CTF A16,563 NYSEN JBSSSANFILIPPO JOHN B & SON INC COM41,852 NASDAQN JCSCOMMUNICATIONS SYS INC COM7,767 NASDAQN JCTCFJEWETT CAMERON TRADING LTD COM NEW5,364 NASDAQN JEMBARCLAYS BANK PLC IPATH GEMS INDEX4,306 NYSE ArcaY JFBIJEFFERSON BANCSHARES INC TENN COM2,114 NASDAQN JFCJ F CHINA REGION FD INC COM11,402 NYSEN JFTJPMORGAN CHASE & CO ETN 130/30 2365 NYSE ArcaY JGBLDEUTSCHE BK AG LONDON BRH PWRSH JAP GOVT754 NYSE ArcaY JGBTDEUTSCHE BK AG LONDON BRH PWSH 3X JAP GV729 NYSE ArcaY JHXJAMES HARDIE INDS PLC SPONSORED ADR3,597 NYSEN JJNBARCLAYS BK PLC ETN DJUBS NCKL378,918 NYSE ArcaY JJPBARCLAYS BANK PLC ETN DJUBS PMET382,966 NYSE ArcaY JJSFJ & J SNACK FOODS CORP COM45,053 NASDAQN JJTBARCLAYS BANK PLC ETN DJUBS TIN 381,810 NYSE ArcaY JJUBARCLAYS BANK PLC ETN DJUBSALUMI383,491 NYSE ArcaY JLSNUVEEN MTG OPPORTUNITY TERM FD COM49,390 NYSEN JMTNUVEEN MTG OPPTY TERM FD 2 COM18,592 NYSEN JOBS51JOB INC SP ADR REP COM62,434 NASDAQN JOUTJOHNSON OUTDOORS INC CL A8,592 NASDAQN J PM-OBANK ONE CAPITAL VI PFD SECS 7.2%3,262 NYSEN JPPSPDR INDEX SHS FDS RUSS NOMURA PR11,629 NYSE ArcaY JPXPROSHARES TR ULTRSH MSCI PAC614 NYSE Arca Y J SCSPDR INDEX SHS FDS RUSS NOM SC JP7,095 NYSE ArcaY JSMSLM CORP SR NT 6% 12154323,268 NASDAQN JW.BWILEY JOHN & SONS INC CL B526 NYSEN JXSBJACKSONVILLE BANCORP INC MD COM2,055 NASDAQN JYNBARCLAYS BANK PLC IPTH JPY/USD ETN11,919 NYSE ArcaY JZCCORPORATE BACKED TR CTFS 04-4 CL A-1 6%4,644 NYSEN JZJCORPORATE BACKED TR CTFS 03-18 A1 7.125616 NYSEN JZKCORPORATE BACKED TR CTFS 03-17SPRINT A11,337 NYSEN JZLCORPORATE BACKED TR CTFS 03-16 A1 6.25588 NYSEN JZTCORPORATE BACKED TR CTFS 03-11 5.875%312,221 NYSEN JZVCORPORATE BACKED TR CTFS 03-10 A-1 7%235,032 NYSEN KAMNKAMAN CORP COM68,888 NYSEN KAPKCAP FINL INC SR NT 198,933 NYSEN KBWIPOWERSHARES ETF TR II KBW INS PORT208 NYSE ArcaY KBWPPOWERSHARES ETF TRUST II PRP CAS INS PT593 NYSE ArcaY KBWXPOWERSHARES ETF TRUST II KBW GLB FIN SC616 NYSE ArcaY KCCCORTS TR II PROVIDENT FING CORTS 8.20%5,208 NYSEN KCLIKANSAS CITY LIFE INS CO COM7,120 NASDAQN KELYBKELLY SVCS INC CL B167 NASDAQN KEQUKEWAUNEE SCIENTIFIC CORP COM3,596 NASDAQN KEY-G KEYCORP NEW PFD 7.75% SR A4, 068 NYSEN KFKOREA FD COM NEW21,740 NYSEN KFFBKENTUCKY FIRST FED BANCORP COM4,242 NASDAQN KFIKKR FINL HLDGS LLC SR NT26,135 NYSEN KIM-HKIMCO RLTY CORP DEP 1/100PFD-H8,985 NYSEN KINSKINGSTONE COS INC COM2,142 NASDAQN KIPOKEATING CAPITAL INC COM11,230 NASDAQN KMESPDR SERIES TRUST S&P MTG FIN1,184 NYSE ArcaY KMGKMG CHEMICALS INC COM19,671 NYSEN KNOWDIREXION SHS ETF TR ALL CP INSIDER1,172 NYSE ArcaY KOFCOCA COLA FEMSA S A B DE C V SPON ADR REP L74,650 NYSEN KONAKONA GRILL INC COM14,516 NASDAQN KONEKINGTONE WIRELESSINFO SOL HLDG SPONSORED ADR NE2,285 NASDAQN KOSSKOSS CORP COM4,130 NASDAQN KRC-GKILROY RLTY CORP PFD SER G6,022 NYSEN KRC-HKILROY RLTY CORP PFD-H43,347 NYSEN KRG-AKITE RLTY GROUP TR PERP PFD SER A1,843 NYSEN KRJCORTS TR 111 PROVIDENT FING CORTS 8.10%2,232 NYSEN KRSPROSHARES TR SHT KBW REGBNK516 NYSE ArcaY KRUPROSHARES TR ULT KBW REGBNK4,789 NYSE ArcaY KSACORTS TR PROVIDENT FING TR I CORTS 8.50%1,318 NYSEN KSU-KANSAS CITY SOUTHERN PFD 4%535 NYSEN KTECKEY TECHNOLOGY INC COM4,475 NASDAQN KTHCORTS TR PECO ENERGY CAP TRIII CORTS 8.00%1,226 NYSEN KTNCREDIT-ENHANCED CORTS TR AON CORTS 8.205%2,754 NYSEN KTPCORTS TR J C PENNEY CORTS 7.625%24,233 NYSEN KUBKUBOTA CORP ADR34,685 NYSEN KVHIKVH INDS INC COM26,925 NASDAQN KWNKENNEDY-WILSON INC SR NT 4216,133 NYSEN KWRQUAKER CHEM CORP COM52,958 NYSEN KWTMARKET VECTORS ETF TR SOLAR ENRG NEW12,081 NYSE ArcaY KXIISHARES TR S&P GL C STAPL32,856 NYSE ArcaY K YAKKAYAK SOFTWARE CORP CL A60,546 NASDAQN KYN-EKAYNE ANDERSON MLP INVSMNT CO PFD CL E 4.25%4,324 NYSEN KYOKYOCERA CORP ADR6,793 NYSE N K YTHKYTHERA BIOPHARMACEUTICALS INC COM39,010 NASDAQN LABCLOUISANA BANCORP INC NEW COM7,651 NASDAQN LABLMULTI COLOR CORP COM25,799 NASDAQN LAKELAKELAND INDS INC COM8,450 NASDAQN LANCLANCASTER COLONY CORP COM72,742 NASDAQN LAQABERDEEN LATIN AMER EQTY FD COM15,417 NYSE MKTN LARKLANDMARK BANCORP INC COM1,711 NASDAQN LATMMARKET VECTORS ETF TR LAT AM SML CAP3,406 NYSE ArcaY LAWSLAWSON PRODS INC COM24,221 NASDAQN LBIXLEADING BRANDS INC COM NEW2,047 NASDAQN LBJDIREXION SHS ETF TR LATN AM BULL3X9,876 NYSE ArcaY LBTYBLIBERTY GLOBAL INC COM SER B359 NASDAQN LCNBLCNB CORP COM2,119 NASDAQN LCUTLIFETIME BRANDS INC COM13,025 NASDAQN LDBARCLAYS BANK PLC ETN DJUBSLEAD 382,863 NYSE ArcaY LDFLATIN AMERN DISCOVERY FD INC COM10,771 NYSEN LDRLANDAUER INC COM24,284 NYSEN LEDDBARCLAYS BK PLC IPTH LEAD ETN724 NYSE ArcaY LEMBISHARES INC EMRG MRK LC BD56,441 NYSE ArcaY LGEMEGA EMERGING GLOBAL SHS TR BSC MATLS GEM4,852 NYSE ArcaY LGL LGL GROUP INC COM4, 418 NYSE MKTN LGPLEHIGH GAS PARTNERS LP UT LTD PTN INT75,100 NYSEN LHO-GLASALLE HOTEL PPTYS PFD SBI G 7.251,496 NYSEN LHO-HLASALLE HOTEL PPTYS PFD SHS BEN IN2,216 NYSEN LINTBLIBERTY INTERACTIVE CORP INT COM SER B238 NASDAQN LIONFIDELITY SOUTHERN CORP NEW COM41,094 NASDAQN LIVELIVEDEAL INC COM NEW17,146 NASDAQN LKFNLAKELAND FINL CORP COM49,768 NASDAQN LMCALIBERTY MEDIA CORP DELAWARE CL A1,321,774 NASDAQN LMCADLIBERTY MEDIA CORP DELAWARE CL A312,974 NASDAQN LMCAVLIBERTY MEDIA CORP DELAWARE CL A937,372 NASDAQN LMCBLIBERTY MEDIA CORP DELAWARE CL B137 NASDAQN LMIALMI AEROSPACE INC COM34,945 NASDAQN LMNRLIMONEIRA CO COM15,120 NASDAQN LNBBLNB BANCORP INC COM6,893 NASDAQN LNDBRASILAGRO BRAZILIAN AGRIC REA SPONSORED ADR1,655 NYSEN LONGELONG INC SPONSORED ADR6,705 NASDAQN LPLTCREDIT SUISSE NASSAU BRH 2X LONG PLATIN1,410 NYSE ArcaY LPSBLAPORTE BANCORP INC MD COM17,134 NASDAQN LRELRR ENERGY LP COM90,253 NYSEN LSBILSB FINL CORP COM694 NASDAQN LSBKLAKE SHORE BANCORP INC COM1,509 NASDAQN LSE-BCAPLEASE INC PFD B 8.375%2,249 NYSEN LSKYUBS AG LONDON BRH 2XLV ISE CLOUD44 NYSE ArcaY LSTKBARCLAYS BK PLC IPTH LIVESTK298 NYSE ArcaY LTLPROSHARES TR PSHS UL TELE ETF366 NYSE ArcaY LTRELEARNING TREE INTL INC COM3,414 NASDAQN LVBSTEINWAY MUSICAL INSTRS INC COM19,967 NYSEN LWAYLIFEWAY FOODS INC COM16,585 NASDAQN LXFRLUXFER HLDGS PLC SPONSORED ADR23,365 NYSEN LXP-CLEXINGTON REALTY TRUST PFD CONV SER C3,197 NYSEN LXP-DLEXINGTON RLTY TR PFD D 7.55%1,944 NYSEN MAM ASTERCARD INC CL A856,106 NYSEN MABEATON VANCE MASS MUN BD FD COM4,289 NYSE MKTN MAGMAGNETEK INC COM NEW4,057 NASDAQ N M AGSMAGAL SECURITY SYS LTD ORD7,376 NASDAQN MARKREMARK MEDIA INC COM13,073 NASDAQN MARPSMARINE PETE TR UNIT BEN INT3,876 NASDAQN 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SALSALISBURY BANCORP INC COM2,157 NASDAQN SAMBOSTON BEER INC CL A87,172 NYSEN SAN-ASANTANDER FIN PFD S A UNIPERSN PFD SER 4 6.8%15,196 NYSEN SAN-CSANTANDER FIN PFD S A UNIPERSN PFD 6.5% SER 526,259 NYSEN SAN-ISANTANDER FIN PFD S A UNIPERSN PFD I 6.41%9,288 NYSEN SANWWS&W SEED CO WT EXP 0503152,079 NASDAQN SARSARATOGA INVT CORP COM NEW3,921 NYSEN SBBXSUSSEX BANCORP COM915 NASDAQN SBLKSTAR BULK CARRIERS CORP SHS NEW14,340 NASDAQN SBMPROSHARES TR SHT BASIC MAT1,535 NYSE ArcaY SBNYWSIGNATURE BK NEW YORK N Y WT PUR COM STK29 NASDAQN SBRSABINE ROYALTY TR UNIT BEN INT27,162 NYSEN SBSASPANISH BROADCASTING SYS INC CL A NEW20,828 NASDAQN SBVBARCLAYS BK PLC IPTH S&P GSCI335 NYSE ArcaY SCBTSCBT FINANCIAL CORP COM26,722 NASDAQN SCCPROSHARES TR PSHS ULCONSM NEW4,054 NYSE ArcaY SCE-BSOUTHERN CALIF EDISON CO PFD 4.08%2,939 NYSE MKTN SCE-CSOUTHERN CALIF EDISON CO PFD 4.24%5,140 NYSE MKTN SCE-DSOUTHERN CALIF EDISON CO PFD 4.32%2,506 NYSE MKTN SCE-ESOUTHERN CALIF EDISON CO PFD 4.78%1,255 NYSE MKTN SC 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SFI-EISTAR FINL INC PFD E 7.875%30,976 NYSEN SFI-I ISTAR FINL INC PFD SER I11, 359 NYSEN SFKPROSHARES TR PSHS UL1000NEW470 NYSE ArcaY SFLABARCLAYS BK PLC S&P 500 3X LNG6,255 NYSE ArcaY SFNCSIMMONS 1ST NATL CORP CL A $1 PAR32,018 NASDAQN SFSTSOUTHERN FIRST BANCSHARES INC COM3,855 NASDAQN SGASAGA COMMUNICATIONS INC CL A NEW8,615 NYSE MKTN SGARBARCLAYS BK PLC IPTH SUGAR ETN197 NYSE ArcaY SGBSOUTHWEST GA FINL CORP COM1,726 NYSE MKTN SGCSUPERIOR UNIFORM GP INC COM2,707 NASDAQN SGKSCHAWK INC CL A24,608 NYSEN SGMASIGMATRON INTL INC COM9,752 NASDAQN SGNTSAGENT PHARMACEUTICALS INC COM28,608 NASDAQN SGRPSPAR GROUP INC COM3,672 NASDAQN SGYPUSYNERGY PHARMACEUTICALS DEL UNIT 2C1W 120616224 NASDAQN SGYPWSYNERGY PHARMACEUTICALS DEL WT EXP 12061622,159 NASDAQN SHBISHORE BANCSHARES INC COM6,650 NASDAQN SHISINOPEC SHANGHAI PETROCHEMICAL SPON ADR H13,390 NYSEN SHLOSHILOH INDS INC COM7,150 NASDAQN SHNBANK AMER CORP MITTS DOW 152,721 NYSE ArcaN SHO-DSUNSTONE HOTEL INVS INC NEW CV 8% CUM PFD-D13,681 NYSEN SHOSSEARS HOMETOWN & OUTLET STORES COM92,309 NASDAQN SIBCSTATE INVS BANCORP INC COM2,088 NASDAQN SIEBSIEBERT FINL CORP COM571 NASDAQN SIFSIFCO INDS INC COM4,393 NYSE MKTN SIFISI FINL GROUP INC MD COM14,335 NASDAQN SIJPROSHARES TR PSHS ULTSHT INDL1,643 NYSE ArcaY SILCSILICOM LTD ORD51,874 NASDAQN SIVBOSVB CAP II PFD TR GTD 7%1,600 NASDAQN SIZFQF TR QUANTSHARE SIZ382 NYSE ArcaY SJHPROSHARES TR PSHS ULSH2000 VA173 NYSE ArcaY SJWSJW CORP COM27,634 NYSEN SKKPROSHARES TR PSHS ULSH2000 GR6,005 NYSE ArcaY SK YSKYLINE CORP COM23,354 NYSEN SLIS L INDS INC COM4,152 NYSE MKTN SLMAPSLM CORP PFD A 6.97%8,222 NASDAQ N S LMBPSLM CORP PFD SER B2,299 NASDAQN SLPSIMULATIONS PLUS INC COM12,887 NASDAQN SLTCSELECTICA INC COM NEW10,255 NASDAQN SLVPISHARES INC MSCI GL SILVER1,849 NYSE ArcaY SLYSPDR SERIES TRUST S&P 600 SML CAP22,534 NYSE ArcaY SLYGSPDR SERIES TRUST S&P 600 SMCP GRW8,557 NYSE ArcaY SLYVSPDR SERIES TRUST S&P 600 SMCP VAL10,191 NYSE ArcaY SMBCSOUTHERN MO BANCORP INC COM1,261 NASDAQN SMFSALIENT 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REPSTG 12,973 NYSEN ZEUSOLYMPIC STEEL INC COM43,025 NASDAQN ZIGOZYGO CORP COM23,115 NASDAQN ZIONWZIONS BANCORPORATION WT EXP 0522206,249 NASDAQN ZIONZZIONS BANCORPORATION WT EXP 1114189,643 NASDAQN ZROZPIMCO ETF TR 25YR+ ZERO U S18,528 NYSE ArcaY ZZCSEALY CORP SR SECD 3RD 8%3,791 NYSEN (2012 securities)