get down crew

[Stock_Barber]

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[Stock_Barber]

BIG BAKE on Shorting:

SHORT VOLUME

Oh I have a pretty good understanding of “short volume” and I am glad you clarified it from Shorting as that is a position as opposed to a momentary “marked” execution that short volume is. This is not going to be a short answer so you will have to endure the explanation. To start with, a little history here, before 2008 there was no disclosure to as how each trade was initially executed and in fact there was no reliable data as to what was exact to number of naked short sales within the market, in particular abusive naked short sales were the concern.

The SEC did not see abusive naked short sales as a massive problem in fact the direct quote was they are not an issue within our markets. Turns out that was false, there were an alarming number of shares sold without delivery and in some cases there were securities severely impacted by large numbers of abusive naked short sales. So as we know the regulators imposed new Rules and came up with new reports to reign in the process and provide transparency to the entire trade transaction. In particular two points in time are what are concentrated on, the initial execution of a trade and then of course the final settlement of the trade.

Now that we have that out of the way, we can move on to the OTC, the OTC is a Market, not an exchange as many try to claim. The OTC is a quotation service and it requires MMs to quote securities to provide a centralized place for Bids and Offers. Without MMs you have a grey market and well there is no order flow and no liquidity in that market. So each broker has an MM contracted to work for them to aid in execution of trades here in the OTC. As long a security has either a Form 15 and or is an exempted unsolicited quote security the MMs can quote for customers their offers. That is all MMs do here quote customer orders and that is all.

The entire OTC market is electronic from initial trade execution to settlement and requires no human intervention in doing so. Only two reasons humans get involved, you phoning an order in and specializing that order or the other reason a trading error occurs, which requires manual reconciliation. The clearing and settlement process requires no human intervention either as long as a security is in CNS, thus why DTC eligibility is important as the booking is completely hands free. We will deal with quoted and CNS eligible securities in this response.

So back to the regulators and the created reports, the SEC has rules in the 200 series that cover short sales, in particular 200, 201, 202T and 203. The main two here for us are 200 and 203, 200 in particular defines short sales and defines ownership.

Quote:
Since the new marking requirements apply to all equity securities, not just exchange-listed securities, we are removing them from current Rule 10a-1. The new order-marking requirements differentiate between "long," "short," and "short exempt" orders for all exchange-listed and over-the-counter equity securities.


So here they added OTC securities into the marking requirements, marking a trade “short” is simply defining ownership of the security, in the case of MMs working the OTC none of them own the shares when making a market here.

Quote:
Under the former marking requirements in Rule 10a-1(d), a broker-dealer could only mark an order to sell a security "long" if the security was carried in the account for which the sale is to be effected, or the broker-dealer is informed that the seller owns the security to be sold, and will deliver the security to the account for which the sale is effected as soon as possible without undue inconvenience or expense.35 We had proposed changing the marking requirement so that a sale could only be marked "long" if the seller owns the security being sold and either the security to be delivered is in the physical possession or control of the broker-dealer, or will be in the physical possession or control of the broker-dealer prior to settlement of the transaction.


You can find everything concerning SEC Rules 200-203 here:

http://www.sec.gov/rules/final/34-50103.htm

So lets get to the meat of it, I will provide a couple of examples of trades that require being marked short. I will use generic trading symbol XXXX for these examples:

Typical everyday trade, I have 20,000 shares of XXXX for sale on the Ask, you however want to purchase 10,000 of the shares at my price. So you enter your order and it is sent to your broker to execute. First thing is a broker electronically checks to see if there are current sell orders that match your request, if not it is off to the ECN. As I stated earlier each broker has an MM working for them to execute trades, the MM for your broker sees your order and knows I have 20,000 shares for trade. Here is where MMs “create” liquidity and order flow, the ECN matches perfect blocks like trade for trade, size and price are automatic initiated trades. In this case you only want 10,000 shares, so immediately the MM sells your broker 10,000 shares short and marks the trade as “short” although you are long in the trade, this gets reported to the Daily Reg SHO report and also on the consolidated tape.

Now nearly simultaneously on a separate leg of the very same trade transaction the MM is buying the cover from my 20,000 share block, and purchases 10,000 shares from me. This gets reported in the Non Tape Transactions Report and both Non tape and consolidated tape are both sent to FINRA for balancing and reconciliation.

The Daily Reg SHO only reports how the trade was initially executed and it does not reconcile based upon the fact the trade was covered as that will be taken care of in another report. Regulators only want to know exactly how the trade was initially executed and that is it. The trade goes off to the DTC and NSCC for clearing and settlement since it is a CNS security and is cleared and settled. According to SEC reports 98% of all trades are cleared and settled within the same day of trade or T+0. Of course regulators give T+3 for settlement, that is trade day plus 3 days for settlement, once it exceeds that it becomes an FTD (Fails to Deliver).

This report is the end of the entire trade transaction, and once a trade goes T+4 it gets placed on the FTD report. Now many will tell you that if it is on the FTD it means it was either shorted or abusively naked shorted. Both are in fact wrong and the SEC provides clarity as to what the data does not imply:

Quote:
Please note that fails-to-deliver can occur for a number of reasons on both long and short sales. Therefore, fails-to-deliver are not necessarily the result of short selling, and are not evidence of abusive short selling or “naked” short selling.


http://www.sec.gov/foia/docs/failsdata.htm

So here it is clear as day that the data does not imply anything towards what happened to fail on settlement there are multiple reasons that cause FTDs including error trades and so forth. But there are also trades enacted by financiers in these securities that cause FTDs and even threshold flags to occur, that is covered by SEC Rule 203:

Quote:
Rule 203(b)(1) for situations where a broker-dealer effects a sale on behalf of a customer that is deemed to own the security pursuant to Rule 200, although, through no fault of the customer or the broker-dealer, it is not reasonably expected that the security will be in the physical possession or control of the broker-dealer by settlement date, and is thus a "short" sale under the marking requirements of Rule 200(g) as adopted.70 Such circumstances could include the situation where a convertible security, option, or warrant has been tendered for conversion or exchange, but the underlying security is not reasonably expected to be received by settlement date.71 Rule 203(b)(2)(ii) as adopted provides that in all situations, delivery should be made on the sale as soon as all restrictions on delivery have been removed, and in any event no later than 35 days after trade date, at which time the broker-dealer that sold on behalf of the person must either borrow securities or close out the open position by purchasing securities of like kind and quantity.


So convertible debts for example create “marked short sales” and FTDs if they are not delivered right away. This is the cause for huge numbers in Daily Reg SHO and also FTDs. You commonly see these massive T-Trades at the end of the day in some securities which are a good sign of dilution but trades executed throughout the day from the debt conversion will all be marked short in accordance with SEC Rule 203. This is to protect the MM due to the possible restriction still being in place during settlement. In fact it is not uncommon for debt holders to sell their shares while still being restricted, they have their letters for conversion to act on.

This commonly creates huge FTDs and trips threshold flags for days leading to speculation that there is a massive short squeeze coming. Sorry to say that no in fact it is 99% of the time due to financiers selling shares before their restricted legend is removed and they have up to 35 days to cover those trades as you can see. During normal market making if there is a trade that becomes an FTD the MM has 13 days to cover the trade and is forced to buy in at that point.

There is another type of trade that causes a “marked” short designation and that is an internalized order. This is caused by someone using a “market order” rather than a limit order. When such an order is placed an MM gets to make money on the spread here, and typically what happens causes some L2 watchers to cry. It is imperative that people use limit orders for this reason because market orders can really create money for MMs on huge spreads. The MM has an order to buy shares at the best Ask, it also sees the market order, it immediately sells shares to the Ask short and buys the market order at bid to cover. This often causes shock on both sides as somebody that was best Bid and Ask did not get filled on either order.

This is the only time MMs make money on the spread here in the OTC, otherwise it is all additional fees charged by your broker to pay for the transactions.

This is what short sales are, they are not actual short positions and they are not Abusive Naked Short Sales, they are simply trades marked short for temporary moment in time. Unfortunately the information is often touted and manipulated to make stupid conclusions of shorting against a security. In fact websites have sprung up providing this information as some type of trading knowledge to be used in making trade decisions. Unfortunately it is all fodder and is of no use to anyone other then regulators to track settlement of trades from initial execution to final settlement. I have seen it all including adding everyday totals to come up with fantastic claims that “OH MY GAWD 320% of the float has been shorted on XXXX!!!!!!!!!!!!!”

Sorry but no it hasn’t and no there will not be a short squeeze either. To answer your question in your other post on the specific board, 999,999 trades are indicative to the broker Schwab, they use USBB as a MM. Each time you see a 999,999 trade it is certain it was Schwab retail buyer. So you have answered your question, it is not specific to MM or broker and is totally dependant on the trade transaction as to whether it will be marked short or not.

Cellar boxing is myth perpetuated from back in the days, unfortunately you have people lingering around these boards that used to work the industry back in the 80s and they like to talk about how things used to be. Well we no longer sell shares by 1/8s, people buy and sell using online full service brokers for $7 as opposed to $300 a trade, and most do not hold shares in stocks for years like they used to. It is great that back in the day people used such techniques to get their ass out of trouble but they no longer apply in the electronic trading age. Did it happen, sure it was part of the environment of that trading period, but it no longer applies here in the electronic market place.

So here is the best answer.

https://investorshub.advfn.com/boards/read_msg.aspx?message_id=80871478

[ditka]

This will be very helpful. I feel very strongly a few phone calls makes this guys think before they play the games with there buddies. Maybe I am a FOOL but I think its a few MM doing things that there boss is not aware and when we call this gives them a little self doubt because now the BOSS is getting a CRAZY guy like me calling them and now the Boss or the risk manager is taking a closer look into the Piss ANT MM trades

[junewong]

Market Maker list



AAGI ,M ,ALLIANCE ASSET GROUP, INC. , ,
AALC ,M ,AAL CAPITAL MANAGEMENT CORPORATION , ,
AALN ,M ,ANDREW ALEN SECURITIES, INC. , ,
AASC ,N ,ARCHER ALEXANDER SECURITIES CORPORATION , ,
AAWC ,M ,ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED ,NASDAQ TRADING ,212-607-6070
ABAM ,M ,REGIONS INVESTMENT COMPANY, INC. , ,
ABBK ,M ,ABEL-BEHNKE CORPORATION , ,
ABBY ,N ,ABRAHAM AND SONS, INCORPORATED ,NASDAQ TRADING ,312-341-4990
ABCO ,M ,ANDERSON, BRYANT & CO. , ,
ABEY ,M ,ABBEY-ASHFORD SECURITIES, INC. ,TAMPA, FL ,813-286-3661
ABEY ,M ,ABBEY-ASHFORD SECURITIES, INC. ,TRADING ,813-281-9310
ABFN ,N ,A.B. FINANCIAL L.L.C. ,CHICAGO,IL ,312-786-5300
ABGS ,M ,ABG SUNDAL COLLIER INC. ,NEW YORK, NY ,212-371-5000
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,BROKER/DELAERS SALES ,800-325-ABLE
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,DOMESTIC ,212-299-4500
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,DOMESTIC ,800-221-3365
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,INTERNATIONAL ,800-223-3134
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,ARBITRAGE ,212-333-4440
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,ARBITRAGE ,212-333-4441
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,CONVERTIBLE ,212-333-4554
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,EUROPE ,212-299-4505
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,FAR EAST ,212-299-4508
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,LATIN AMERICA ,212-299-4511
ABLE ,M ,ARNHOLD AND S. BLEICHROEDER, INC. ,SOUTH AFRICA ,212-299-4513
ABNA ,M ,ABN AMRO SECURITIES LLC ,TRADING DEPT. ,212-409-1262
ABNA ,M ,ABN AMRO SECURITIES LLC ,TRADING DEPT ,800-323-1225
ABNA ,M ,ABN AMRO SECURITIES LLC ,AGENCY TRADING ,212-409-1240
ABNA ,M ,ABN AMRO SECURITIES LLC ,AGENCY ,866-8787-ABN
ABNA ,M ,ABN AMRO SECURITIES LLC ,CONVERTIBLE DESK ,212-409-1600
ABNA ,M ,ABN AMRO SECURITIES LLC ,CONVERTIBLE DESK ,800-227-1123
ABSA ,M ,ABSA SECURITIES, INC. ,NEW YORK NY ,212-506-7010
ABSI ,M ,ALISON, BAER SECURITIES INC. , ,
ABYL ,M ,NORTH STAR INVESTMENT SERVICES, INC. ,GRAND HAVEN MI ,616-846-3620
ACAP ,M ,ACAP FINANCIAL INC. ,SALT LAKE CITY UT ,801-364-6651
ACAP ,M ,ACAP FINANCIAL INC. ,NASDAQ/OTC TRADING ,800-541-3961
ACBD ,M ,AMERICAN CENTURY BROKERAGE, INC. , ,
ACCA ,O ,ARGENT CLASSIC CONVERTIBLE ARBITRAGE FUND L.P. ,TRADING ROOM ,919-419-9098
ACED ,N ,ACE DIVERSIFIED CAPITAL, INC. , ,
ACEJ ,M ,ALLEN C. EWING & CO. , ,
ACFI ,M ,AC FINANCIAL, INC. , ,
ACLR ,M ,ADVANTAGE CORRESPONDENT CLEARING , ,
ACOH ,M ,ADAMS, COHEN SECURITIES INC. , ,
ACSI ,P ,ATLAS CAPITAL SERVICES, LLC , ,
ACTI ,M ,ACTINVER SECURITIES, INC. , ,
ADAK ,N ,ADIRONDACK TRADING GROUP LLC , ,
ADAM ,M ,ADAMS, HARKNESS & HILL, INC. ,BOSTON, MA ,617-371-3920
ADAM ,M ,ADAMS, HARKNESS & HILL, INC. ,BOSTON, MA ,800-258-0811
ADAM ,M ,ADAMS, HARKNESS & HILL, INC. ,ARBITRAGE ,617-371-3921
ADBC ,N ,ADVANCED BROKERAGE CONCEPTS , ,
ADFG ,N ,AMERICAN DIVERSIFIED FINANCIAL GROUP LLC , ,
ADKN ,M ,ADKINS SECURITIES, INC. ,ST. CLOUD, MN ,800-328-0421
ADKN ,M ,ADKINS SECURITIES, INC. ,ST. CLOUD, MN ,320-252-9671
ADKN ,M ,ADKINS SECURITIES, INC. , ,800-443-8103
ADMS ,M ,ADAMS SECURITIES, INC. , ,
ADSM ,O ,ADAM SMITH & COMPANY, INC. ,ACT SERVICE DESK ,212-751-4900
ADSO ,M ,PROSPERA FINANCIAL SERVICES, INC. ,DALLAS, TX ,214-706-2800
ADSS ,M ,Addison Securities/Special Account , ,
ADTA ,M ,American Data Services , ,
ADVA ,M ,ADVANCED EQUITIES, INC. ,TRADING DESK ,312-229-1938
ADVP ,P ,ADVANCED PLANNING SECURITIES, INC. , ,
ADVS ,M ,ADVEST, INC. ,NASDAQ TRADING ,800-998-9834
ADVS ,M ,ADVEST, INC. ,HARTFORD, CT ,860-509-5550
ADVS ,M ,ADVEST, INC. ,NASDAQ TRADING NYC ,212-484-3887
ADVS ,M ,ADVEST, INC. ,BONDS & PREFERREDS ,800-223-0136
ADVT ,M ,ADVENT SECURITIES, INC. , ,
AEBC ,M ,AEB CORPORATION ,NEW YORK, NY ,212-406-6780
AEFA ,M ,AMERICAN EXPRESS FINANCIAL ADVISORS INC. , ,
AEGI ,M ,ADVANCED EQUITY GROUP, INC. , ,
AEGL ,M ,AMERICAN EAGLE INVESTMENTS, INC. ,PHILADELPHIA, PA ,215-569-5830
AEQU ,Q ,ATLANTIS EQUITIES GROUP , ,
AESI ,M ,AMERICAN EASTERN SECURITIES, INC. ,LOS ANGELES CA ,213-488-5131
AETN ,M ,AETNA LIFE INSURANCE AND ANNUITY COMPANY , ,
AFAA ,N ,AMERICA FIRST ASSOCIATES CORP. , ,212-624-2797
AFAI ,M ,AMERICAN FINANCIAL ASSOCIATES, INC. , ,
AFCC ,M ,AMERICAN FIRST CAPITAL CORP. , ,
AFCO ,M ,ALBERT FRIED & COMPANY, LLC ,NEW YORK NY ,212-422-7285
AFGI ,M ,ACCESS FINANCIAL GROUP, INC. ,NASDAQ TRADING ,312-655-3255
AFGI ,M ,ACCESS FINANCIAL GROUP, INC. ,NASDAQ TRADING ,800-714-3405
AFIN ,M ,ALL FUNDS, INC. ,CONGERS NY ,845-268-6827
AFMI ,M ,AFM INVESTMENTS, INC. ,HOWELL NJ ,732-905-1984
AFMO ,M ,ADAMS, HESS, MOORE & CO. , ,
AFSZ ,O ,AMERICAN FREEDOM SECURITIES, INC. , ,
AFTR ,M ,AMERICAN FRONTEER FINANCIAL CORPORATION , ,
AGCI ,M ,FIRST CALIFORNIA SECURITIES , ,408-982-5959
AGCO ,M ,AUERBACH GRAYSON & COMPANY INCORPORATED ,NASDAQ TRADING ,212-557-4444
AGED ,M ,A. G. EDWARDS & SONS, INC. ,AGENCY DESK ,314-955-3030
AGED ,M ,A. G. EDWARDS & SONS, INC. ,NASDAQ TRADING ,800-325-8197
AGED ,M ,A. G. EDWARDS & SONS, INC. ,NEW YORK, NY ,212-943-2510
AGED ,M ,A. G. EDWARDS & SONS, INC. ,NEW YORK NY ,800-285-2510
AGED ,M ,A. G. EDWARDS & SONS, INC. ,CONVERTIBLES ,314-955-5300
AGFS ,M ,AIG FINANCIAL SECURITIES CORP. , ,
AGIS ,M ,AEGIS CAPITAL CORP. ,NASDAQ OTC DESK ,516-872-1157
AGIS ,M ,AEGIS CAPITAL CORP. ,BULLETIN BOARD DESK ,516-825-4700
AGIS ,M ,AEGIS CAPITAL CORP. ,NASDAQ OTC DESK ,732-219-8700
AGIS ,M ,AEGIS CAPITAL CORP. ,BULLETING BRD DESK ,732-219-8700
AGLO ,M ,ANGLO-AMERICAN INVESTOR SERVICES CORP. ,NASDAQ TRADING ,804-975-5135
AGST ,M ,AGS FINANCIAL SERVICES, INC. , ,
AHII ,M ,AMERICAN HEARTLAND INVESTMENTS INC. , ,
AIAI ,O ,AMCORE INVESTMENT BANKING, INC. , ,
AIBC ,M ,AIBC INVESTMENT SERVICES CORPORATION , ,
AIMA ,M ,AIM SECURITIES, INC , ,
AIMC ,M ,AIMCO SECURITIES COMPANY, INC. , ,
AITR ,M ,AISCO TRADING, INC. ,EAST PEORIA, IL ,800-881-7282
AJAY ,N ,A.J. PACE & CO., INC. ,NASDAQ TRADING ,212-439-1970
AJMC ,M ,A.J. MICHAELS & CO., LTD. ,HAUPPAUGE NY ,516-231-3686
AJMC ,M ,A.J. MICHAELS & CO., LTD. ,HAUPPAUGE NY/SOES ,516-231 3100 EXT 310
AJMC ,M ,A.J. MICHAELS & CO., LTD. ,CORAL SPRINGS FL ,305-796-1660
AKHI ,M ,ADOLPH KOMORSKY INVESTMENTS , ,
ALAC ,M ,ALAMO CAPITAL ,NASDAQ TRADING ,510-472-5700
ALAD ,N ,ALLIANCE ADVISORY & SECURITIES, INC. , ,
ALAS ,M ,ARTHURS, LESTRANGE & COMPANY INCORPORATED ,PITTSBURGH PA ,412-566-6826
ALCP ,M ,ALLIED CAPITAL GROUP, INC. , ,
ALDN ,M ,ALDEN CAPITAL MARKETS, INC. ,OFFICE ,212-697-3611
ALDN ,M ,ALDEN CAPITAL MARKETS, INC. ,TRADING ,212-697-6761
ALEG ,M ,ALLEGIANCE SECURITIES, L.L.C. , ,
ALEN ,M ,ALLEN & COMPANY OF FLORIDA, INC. ,LAKELAND FL ,813-688-9000
ALEX ,M ,J. ALEXANDER SECURITIES, INC. ,LOS ANGELES, CA ,213-623-6262
ALEX ,M ,J. ALEXANDER SECURITIES, INC. ,WATTS ,800-421-0258
ALEX ,M ,J. ALEXANDER SECURITIES, INC. ,WATTS,CA ,800-540-2539
ALEX ,M ,J. ALEXANDER SECURITIES, INC. ,MIAMI, FL ,800-800-2121
ALFA ,M ,ALPHA MANAGEMENT, INC. ,SAN FRANCISCO CA ,415-541-4100
ALFA ,M ,ALPHA MANAGEMENT, INC. , ,800-221-7271
ALFR ,M ,ALFRED SECURITIES, INC. ,NEW YORK NY ,212-433-7808
ALFR ,M ,ALFRED SECURITIES, INC. ,NASDAQ TRADING ,212-385-4343
ALFY ,M ,ALFRED BERG, INC. ,NEW YORK ,212-247-7811
ALFY ,M ,ALFRED BERG, INC. , ,212-247-7812
ALGR ,M ,FRED ALGER & COMPANY, INCORPORATED ,NEW YORK NY ,212-806-8820
ALGR ,M ,FRED ALGER & COMPANY, INCORPORATED , ,212-806-8800
ALGR ,M ,FRED ALGER & COMPANY, INCORPORATED , ,800-223-3810
ALGR ,M ,FRED ALGER & COMPANY, INCORPORATED ,JERSEY CITY NJ ,201-547-3600
ALID ,M ,ALLIED CAPITAL, INC. , ,
ALLL ,N ,JONATHAN ROBERTS FINANCIAL GROUP, INC. , ,
ALLN ,M ,ALLEN & COMPANY INCORPORATED ,NEW YORK, NY ,212-832-7393
ALLN ,M ,ALLEN & COMPANY INCORPORATED ,NEW YORK, NY ,800-221-2246
ALPF ,M ,ALPS DISTRIBUTORS, INC. , ,
ALPN ,M ,ALPINE ASSOCIATES, A LIMITED PARTNERSHIP ,CRESKILL, NJ ,201-871-0866
ALPS ,M ,ALPINE SECURITIES CORPORATION ,SALT LAKE CITY, UT ,800-521-5588
ALPS ,M ,ALPINE SECURITIES CORPORATION ,RETAIL ,801-355-5588
ALRN ,M ,ALARON SECURITIES CORPORATION , ,
ALST ,M ,ALL-TECH DIRECT, INC. ,NASDAQ TRADING ,201-307-0400
ALST ,M ,ALL-TECH DIRECT, INC. ,MONTVALE NJ ,201-782-0200
ALTA ,M ,ALTA INVESTMENT COMPANY , ,
ALTN ,M ,L. H. ALTON & COMPANY , ,
ALTX ,N ,ALTERNET SECURITIES INC. ,NEW YORK, NY ,212-444-6218
ALWC ,M ,ALEXANDER, WESCOTT, & CO., INC. ,NASDAQ TRADING DESK ,516-409-4530
AMAT ,M ,ARMATA PARTNERS, L.P. ,BALTIMORE MD ,410-727-4480
AMCI ,M ,JOHN D. MCKEOWN & CO., INC. , ,
AMCP ,M ,AMERICORP SECURITIES, INC. ,NEW YORK NY ,212-412-7700
AMCP ,M ,AMERICORP SECURITIES, INC. ,NASDAQ TRADING ,800-758-6556
AMEL ,P ,AMELIA SECURITIES, INC. , ,
AMEN ,M ,FIRST AMERICAN CAPITAL RESOURCES, INC. , ,
AMER ,M ,AMERICAN SECURITIES BD CO., L.P. ,NEW YORK NY ,212-476-8000
AMER ,M ,AMERICAN SECURITIES BD CO., L.P. ,NASDAQ TRADING ,212-455-9750
AMET ,M ,AMERICAN THIRD MARKET CO., LLC ,NEW YORK NY ,212-376-7708
AMFG ,M ,CAPITAL MANAGEMENT SERVICES INC. , ,
AMGF ,M ,AMERICAN GROWTH FUND INC. , ,
AMGN ,M ,AMERICAN GENERAL SECURITIES INCORPORATED ,HOUSTON, TX ,800-247-4669
AMIB ,N ,AMERICAN INVESTMENT BANKERS INC. ,LA JOLLA, CA ,[phone]
AMIS ,M ,AMERICAN INVESTMENT SERVICES, INC. ,EAST PEORIA, IL ,800-747-0011
AMNS ,M ,AMERICAN NATIONAL SECURITIES CORP. , ,
AMOS ,M ,AMOS-LEE SECURITIES, INC. , ,
AMPM ,M ,AM CAPITAL LLC ,NEW YORK, NY ,212-610-2740
AMPM ,M ,AM CAPITAL LLC ,WATTS LINE ,877-418-5466
AMRC ,M ,SAZES SECURITIES LLC , ,
AMSC ,Q ,VAN KAMPEN AMERICAN CAPITAL ASSET MANAGEMENT, INC. , ,
AMSN ,M ,ADAMSON BROTHERS INC. ,PARAMUS, NJ ,201-518-0170
AMSO ,M ,AMSOUTH INVESTMENT SERVICES, INC. , ,
AMVC ,M ,AMIVEST CORPORATION , ,
ANDC ,M ,SOUTHMARK/ENVICON SECURITIES CORP. ,NEW YORK NY ,212-953-6433
ANDV ,M ,ANDOVER BROKERAGE, L.L.C. ,MONTEBELLO, NY ,845-369-0170
ANDV ,M ,ANDOVER BROKERAGE, L.L.C. ,LONG ISLAND ,516-466-1768
ANDZ ,P ,ANDOVER BROKERAGE ,TRADING DESK ,212-857-6916
ANEL ,Q ,Victor Arnel , ,
ANGO ,M ,ANGELO, GORDON & CO., L.P. ,NEW YORK NY ,212-867-4471
ANGO ,M ,ANGELO, GORDON & CO., L.P. , ,800-825-5630
ANNA ,M ,ANNANDALE SECURITIES, INC. , ,
ANNE ,M ,ABSOLUTE INVESTMENTS, INC. , ,
ANOS ,M ,ABEL/NOSER CORP. ,NEW YORK, NY ,212-344-0954
ANPC ,M ,ANPAC SECURITIES GROUP, INC. ,ATLANTA, GA ,404-888-0004
ANPC ,M ,ANPAC SECURITIES GROUP, INC. , ,800-897-0384
ANPC ,M ,ANPAC SECURITIES GROUP, INC. ,IF LINE TROUBLE ,404-423-3557
ANSR ,M ,ANDERSON & STRUDWICK, INCORPORATED ,RICHMOND, VA ,804-643-2555
ANSR ,M ,ANDERSON & STRUDWICK, INCORPORATED , ,800-827-2515
ANSR ,M ,ANDERSON & STRUDWICK, INCORPORATED ,SWITCHBOARD ,804-643-2400
ANSU ,M ,LM ANDERSON SECURITIES, LLC ,GRENWICH CT ,203-622-4800
APFS ,P ,AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. ,GLEN HEAD, NY ,516-676-4727
APSS ,M ,APS FINANCIAL CORPORATION ,AUSTIN TX 78746 ,800-248-0630
APTR ,M ,ALPINE PARTNERS, L.P. , ,
ARAL ,M ,ABSOLUTE RETURN ADVISORS, LTD. ,MANCHESTER CENTER,VT ,802-362-4320
ARAT ,M ,FIRST LINCOLN INVESTMENTS, INC. , ,
ARBI ,M ,AUFHAUSER SECURITIES, INC. ,NEW YORK, NY ,[phone]
ARBN ,M ,A. R. BARON & CO., INC. , ,
ARCA ,C ,ARCHIPELAGO, L.L.C. ,CHICAGO, IL ,312-960-1696
ARCA ,C ,ARCHIPELAGO, L.L.C. ,TRADING ,312-960-1318
ARCD ,M ,ARCADIA SECURITIES CORPORATION , ,
ARCH ,M ,INVESTACORP, INC. ,MIAMI LAKES, FL ,[phone]
ARGN ,M ,ARAGON INVESTMENTS, LTD. ,NASDAQ TRADING ,312-696-2050
ARGO ,M ,THE ARGOSY SECURITIES GROUP, L.P. , ,
ARGT ,M ,ARGENT SECURITIES, INC. , ,
ARKI ,M ,ARK INVESTMENTS , ,
ARMM ,M ,AMR SECURITIES, INC. , ,
ARNS ,N ,STARFN , ,
ASAP ,N ,CFC SECURITIES, INC. , ,
ASCL ,N ,Automated Securities Clearance LTD , ,
ASCN ,O ,ASCEND SECURITIES CORPORATION , ,
ASCO ,M ,EDELMAN SECURITIES COMPANY, L.P. ,NEW YORK N.Y. ,212-371-7992
ASEL ,M ,TRADITION ASIEL SECURITIES INC. ,NEW YORK, NY ,212-791-4500
ASEL ,M ,TRADITION ASIEL SECURITIES INC. ,ARBITRAGE ,212-791-5572
ASEL ,M ,TRADITION ASIEL SECURITIES INC. ,NASDAQ ,212-791-5572
ASEN ,N ,ASENSIO & COMPANY, INC. , ,
ASGI ,M ,ALTON SECURITIES GROUP INC. , ,
ASHY ,M ,ASH FINANCIAL CORP. , ,
ASIC ,M ,ASI INVESTMENTS, INC. ,FREMONT, CA ,510-739-6696
ASIN ,M ,WINDSOR BENNETT CAPITAL GROUP CORP. , ,
ASIR ,M ,AESIR SECURITIES, INC. , ,
ASOI ,M ,ASSOCIATED INVESTMENT SERVICES, INC. ,NASDAQ TRADING ,920-433-7722
ASPN ,M ,ASPEN CAPITAL GROUP, INCORPORATED ,DENVER CO ,303-623-3441
ATCA ,M ,ATTKISSON CARTER & COMPANY, INC. ,NASDAQ TRADING ,404-964-8079
ATGN ,M ,ATLANTIC GENERAL FINANCIAL CORP. ,NEW YORK NY ,212-587-3500
ATII ,M ,AMERICAN TRADING SECURITIES CORP. , ,
ATKC ,M ,STRAND, ATKINSON, WILLIAMS & YORK, INC. ,PORTLAND, OR ,503-226-2458
ATLA ,M ,ATLANTA SECURITIES & INVESTMENTS, INC. , ,
ATSP ,M ,ATS L.P. ,NEW JERSEY ,201-816-8774
ATTN ,C ,ATTAIN-ECN ,OPERATIONS ,201-782-0888
AUDO ,M ,AUDOBON SECURITIES, INC. ,NEW YORK, NY ,212-751-4510
AUER ,M ,AUERBACH, POLLAK & RICHARDSON INC. ,NASDAQ TRADING ,212-508-1313
AUER ,M ,AUERBACH, POLLAK & RICHARDSON INC. ,NY,NY ,800-442-2923
AUER ,M ,AUERBACH, POLLAK & RICHARDSON INC. ,STAMFORD,CT. ,203-425-2938
AUER ,M ,AUERBACH, POLLAK & RICHARDSON INC. ,STAMFORD,CT. ,800-933-4441
AUFH ,M ,FREETRADE.COM, INC. ,OMAHA, NE ,402-596-8508
AURT ,M ,AUTRANET, LLC ,JERSEY CITY, NJ ,212-892-1900
AURX ,M ,AUREX FINANCIAL CORPORATION , ,
AUST ,M ,WAINWRIGHT, AUSTIN, STONE & CO. , ,
AVAP ,M ,AVALON PARTNERS, INC. , ,
AVGS ,M ,ADVANTAGE SECURITIES ,HOUSTON, TX ,713-355-4645
AVLN ,M ,AVALON RESEARCH GROUP, INC. ,BOCA RATON, FL ,888-819-4252
AVON ,M ,AVONDALE PARTNERS, LLC ,A-NASHVILLE, TN ,615-467-3535
AVON ,M ,AVONDALE PARTNERS, LLC ,TRADING DESK ,866-386-7476
AVSI ,M ,AMERIVET SECURITIES, INC. , ,
AVTG ,M ,ADVANTAGE TRADING GROUP, INC. ,TRADING DEPT ,800-579-8100
AVTG ,M ,ADVANTAGE TRADING GROUP, INC. ,TRADING DEPT (ACLR) ,800-579-8100
AVTG ,M ,ADVANTAGE TRADING GROUP, INC. ,ORLANDO, FL ,407-774-1334
AWMS ,M ,MONACO SECURITIES, INC. , ,
AXCS ,M ,ACCESS SECURITIES, INC. ,LOS ANGELES ,310-937-3300
AXCS ,M ,ACCESS SECURITIES, INC. ,STAMFORD CT ,203-322-3377
AXCS ,M ,ACCESS SECURITIES, INC. ,CONVERTIBLES ,203-595-8224
AXIO ,M ,AXIOM CAPITAL MANAGEMENT, INC. ,NEW YORK NY ,212-207-4005
AXIO ,M ,AXIOM CAPITAL MANAGEMENT, INC. ,NASDAQ TRADING ,800-609-2232
AXIS ,M ,AXIS TRADING CORPORATION , ,
AYME ,M ,MARTINEZ-AYME SECURITIES ,TRADING ,305-271-0805
AZTK ,M ,PACIFIC CORTEZ SECURITIES INCORPORATED , ,
BACH ,M ,BARRON CHASE SECURITIES, INC. , ,
BACO ,M ,BARRE & COMPANY, INCORPORATED , ,
BAER ,M ,BAER & COMPANY, LLC , ,
BAGS ,M ,BAGLEY SECURITIES, INC. , ,
BAII ,M ,INVESTMENT PARTNERS, INC. , ,
BALE ,M ,BALENTINE & COMPANY ,NASDAQ TRADING ,404-760-2162
BALF ,M ,BALFOUR INVESTORS INC. ,NASDAQ TRADING ,212-489-7071
BAMC ,M ,BALDWIN ANTHONY SECURITIES, INC. , ,800-994-2262
BAMC ,M ,BALDWIN ANTHONY SECURITIES, INC. ,DALLAS, TX ,214-219-8899
BAMM ,M ,BROKERAGEAMERICA, INC ,NASDAQ TRADING ,[phone]
BAMM ,M ,BROKERAGEAMERICA, INC ,AGENCY ,[phone]
BAMM ,M ,BROKERAGEAMERICA, INC ,BULLETIN BOARDS ,[phone]
BANC ,M ,BANC ONE SECURITIES CORPORATION ,NASDAQ TRADING ,614-248-8863
BAND ,M ,BROADBAND CAPITAL MANAGEMENT, LLC ,NEW YORK, NY ,212-838-5410
BANK ,M ,PRIMEVEST FINANCIAL SERVICES, INC. ,ST. CLOUD, MN ,320-656-4300
BANK ,M ,PRIMEVEST FINANCIAL SERVICES, INC. ,NASDAQ TRADING ,800-245-0464
BANK ,M ,PRIMEVEST FINANCIAL SERVICES, INC. ,AGENCY DESK ,320-529-4576
BANK ,M ,PRIMEVEST FINANCIAL SERVICES, INC. , ,320-656-4322
BANS ,M ,BANIS SECURITIES CORP. , ,
BANX ,M ,QUANTUM CAPITAL CORPORATION ,COLUMBUS, OH ,614-442-5804
BANX ,M ,QUANTUM CAPITAL CORPORATION ,TRADING ,800-837-5614
BARB ,M ,BARNETT INVESTMENTS, INC. , ,
BARC ,M ,BARCLAY INVESTMENTS, INC. ,PROVIDENCE RI ,401-272-9590
BARC ,M ,BARCLAY INVESTMENTS, INC. , ,800-284-2017
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,MILWAUKEE WI ,414-765-3660
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,NASDAQ/OTCBB TRADING ,800-562-2288
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,INSTITUTIONAL ,800-558-9853
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,NASDAQ/OTCBB TRADING ,800-444-9102
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,INSTITUTIONAL ,800-444-5343
BARD ,M ,ROBERT W. BAIRD & CO. INCORPORATED ,PREFERRED ,800-621-2268
BARR ,M ,BARRETT & COMPANY ,PROVIDENCE, RI ,401-351-1000
BARR ,M ,BARRETT & COMPANY ,PROVIDENCE, RI ,800-556-7078
BARR ,M ,BARRETT & COMPANY ,TRADING ,800-626-8964
BART ,M ,Provident Bank , ,
BASS ,P ,MARION BASS SECURITIES CORPORATION , ,
BAUM ,M ,GEORGE K. BAUM & COMPANY ,KANSAS CITY, MO ,816-474-1122
BAUM ,M ,GEORGE K. BAUM & COMPANY ,KANSAS CITY, MO ,800-821-7570
BBCO ,M ,BARBER AND BRONSON, INCORPORATED , ,
BBGC ,M ,B.B. GRAHAM & COMPANY, INC. , ,
BBHC ,M ,BROWN BROTHERS HARRIMAN & CO , ,
BBIN ,M ,BLAKE BARNETT INVESTMENTS INC. , ,
BBNT ,M ,SCOTT & STRINGFELLOW, INC. ,RICHMOND, VA ,804-782-8704
BBNT ,M ,SCOTT & STRINGFELLOW, INC. , ,800-446-7074
BBTT ,M ,BB&T INVESTMENT SERVICES, INC. , ,
BCAL ,M ,BANCAL INVESTMENT SERVICES, INC. , ,
BCAP ,M ,BROOKLYN CAPITAL & SECURITIES TRADING, INC. , ,
BCCA ,M ,BARTON CREEK CAPITAL CORPORATION , ,
BCCC ,M ,B.C. CHRISTOPHER SECURITIES CO. , ,
BCFC ,M ,B C FINANICIAL CORPORATION , ,
BCGL ,M ,BARINGTON CAPITAL GROUP, L.P. ,NEW YORK NY ,212-974-5734
BCGP ,M ,BEACON GROUP FINANCIAL SECURITIES CORP. , ,
BCHW ,M ,BIRCHWOOD SECURITIES CORP. ,NASDAQ TRADING ,215-496-5554
BCMI ,M ,BENEFICIAL CAPITAL INC. , ,
BCOM ,M ,BAKER & CO., INCORPORATED ,CLEVELAND OH ,216-696-0167
BCON ,M ,BEACON SECURITIES, INC. , ,
BCPT ,M ,BARON CAPITAL, INC. ,NEW YORK NY ,212-759-1500
BCSB ,M ,BCS BROKERAGE, INC. ,NASDAQ TRADING ,212-482-2150
BCSC ,M ,BLUECHIP SECURITIES, INC. , ,
BCTC ,M ,BROADCORT CAPITAL CORP. , ,
BCZC ,M ,B. C. ZIEGLER AND COMPANY ,WEST BEND, WI ,800-558-1776
BCZC ,M ,B. C. ZIEGLER AND COMPANY ,EQUITY TRADING DESK ,800-898-4413
BCZC ,M ,B. C. ZIEGLER AND COMPANY ,PREFERRED STOCKS ,800-837-7212
BDMK ,M ,BROADMARK CAPITAL CORP. ,TRADING DPT ,212-918-0419
BDSS ,M ,BDS SECURITIES LLC ,NEW YORK NY ,212-832-4410
BDSS ,M ,BDS SECURITIES LLC ,NASDAQ TRADING ,212-832-4416
BDSS ,M ,BDS SECURITIES LLC ,NASDAQ TRADING ,212-832-4417
BEAL ,N ,M. R. BEAL & COMPANY , ,
BECM ,N ,BETA CAPITAL MANAGEMENT, L.P. ,MIAMI, FL ,305-358-8844
BEHR ,M ,BATEMAN EICHLER, HILL RICHARDS, INCORPORATED , ,
BEJJ ,M ,BENJAMIN & JEROLD BROKERAGE, INC. ,CHICAGO, IL ,312-554-0202
BELL ,M ,FIRST LIBERTY INVESTMENT GROUP, INC. ,PHILADELPHIA, PA ,888-413-2355
BELL ,M ,FIRST LIBERTY INVESTMENT GROUP, INC. , ,215-413-7608
BELL ,M ,FIRST LIBERTY INVESTMENT GROUP, INC. ,FT. LAUDERDALE, FL ,800-476-9487
BELZ ,M ,ELECTRONIC BROKERAGE SYSTEMS, LLC , ,
BENC ,M ,THE BENCHMARK COMPANY, INC. , ,
BENY ,M ,BENSON YORK GROUP, INC. ,BKLYN NY SWTCH BD ,781-491-6650
BENY ,M ,BENSON YORK GROUP, INC. ,NASDAQ TRDNG ,718-745-4210
BENY ,M ,BENSON YORK GROUP, INC. ,NASDAQ TRDNG ,718-745-5092
BERK ,M ,BERKELEY SECURITIES CORPORATION , ,
BERL ,M ,BERLIND SECURITIES INC. ,WHITE PLAINS, NY ,914-761-6665
BERN ,M ,SANFORD C. BERNSTEIN & CO., INC. ,NEW YORK, NY ,212-486-5800
BESL ,M ,BILTMORE EQUITIES & SECURITIES, LTD. , ,
BEST ,M ,BEAR, STEARNS & CO. INC. ,NEW YORK NY ,212-272-4810
BEST ,M ,BEAR, STEARNS & CO. INC. ,NASDAQ TRADING ,800-247-7882
BEST ,M ,BEAR, STEARNS & CO. INC. ,EMERGING MARKETS ,212-272-9297
BEST ,M ,BEAR, STEARNS & CO. INC. ,INTERNATIONAL ,212-272-4580
BEST ,M ,BEAR, STEARNS & CO. INC. ,ARBITRAGE ,212-272-4507
BEST ,M ,BEAR, STEARNS & CO. INC. ,PREFERRED ,212-272-5104
BEST ,M ,BEAR, STEARNS & CO. INC. ,PREFERRED ,800-231-8892
BEST ,M ,BEAR, STEARNS & CO. INC. ,CONVERTIBLES ,212-272-7805
BEST ,M ,BEAR, STEARNS & CO. INC. ,HIGH YIELD DEPT ,212-272-5100
BEYR ,M ,BEYER & COMPANY ,DAVENPORT, IA ,319-324-0691
BFFI ,M ,BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. ,CEDAR RAPIDS, IA ,[phone]
BFLC ,M ,BALIS LEWITTES & COLEMAN, INC. ,NASDAQ TRADING ,212-319-4701
BFRD ,M ,BLACKFORD SECURITIES CORP. , ,
BFSA ,M ,BERWYN FINANCIAL SERVICES CORP. ,NASDAQ TRADING ,610-408-9850
BGCI ,M ,BG CAPITAL, INC. ,SYOSSET, NY ,516-364-6991
BGCM ,M ,BGB SECURITIES, INC. ,ARLINGTON, VA ,703-528-7788
BGHT ,M ,BRIGHTON SECURITIES CORP. ,WATTS ,800-388-8787
BGHT ,M ,BRIGHTON SECURITIES CORP. ,ROCHESTER NY ,716-473-3590
BGHT ,M ,BRIGHTON SECURITIES CORP. ,TRADING, NASDAQ ,800-388-1703
BGSG ,M ,CBIZ FINANCIAL SOLUTIONS, INC. ,BALTIMORE, MD ,301-777-7550
BGTN ,M ,BROCKINGTON SECURITIES, INC. ,NASDAQ TRADING ,631-234-1617
BGTN ,M ,BROCKINGTON SECURITIES, INC. , ,631-234-0303
BGTN ,M ,BROCKINGTON SECURITIES, INC. ,OTCBB TRADING ,631-234-6098
BHAM ,M ,FIRST BIRMINGHAM SECURITIES CORPORATION , ,
BHCS ,M ,FISERV SECURITIES, INC. ,PHILADELPHIA, PA. ,215-636-4560
BHFS ,M ,BHF SECURITIES CORPORATION ,NEW YORK, NY ,212-756-2824
BHII ,N ,BELLE HAVEN INVESTMENTS, L.P. , ,
BIAR ,N ,THE BRIARLY FUND , ,
BICK ,M ,BROKERS INVESTMENT CORPORATION , ,
BIDW ,O ,BIDWELL & COMPANY ,PORTLAND, OR ,503-790-9000
BIDW ,O ,BIDWELL & COMPANY ,PORTLAND, OR ,800-547-6337
BIGG ,P ,BROWNSTONE INVESTMENT GROUP, LLC , ,
BILL ,M ,BILLINGS EQUITIES, INC. , ,
BILT ,M ,VANDERBILT SECURITIES, INC. , ,
BIMI ,M ,BANCA IMI SECURITIES CORP. ,NEW YORK, NEW YORK ,212-326-1118
BINF ,N ,BRINK, HUDSON & LEFEVER, LTD , ,
BIOT ,M ,STOVER HALEY BURNS, INC. , ,
BISH ,M ,BISHOP, ROSEN & CO., INC. ,NEW YORK NY ,212-285-5500
BISH ,M ,BISHOP, ROSEN & CO., INC. ,TRADING ,212-602-0692
BISI ,M ,BOSTON INSTITUTIONAL SERVICES INCORPORATED ,BOSTON, MA ,617-223-5630
BISI ,M ,BOSTON INSTITUTIONAL SERVICES INCORPORATED ,NEW YORK - EQUITY ,800-645-4510
BISI ,M ,BOSTON INSTITUTIONAL SERVICES INCORPORATED ,FIXED INCOME ,800-207-5537
BJRC ,M ,CASCADE INVESTMENT GROUP, INC. , ,
BKCM ,P ,BNY CAPITAL MARKETS INC. ,NEW YORK, NY ,212-635-8145
BKFC ,M ,BROKER DEALER FINANCIAL SERVICES CORP. ,NASDAQ TRADING ,515-286-2970
BKNE ,M ,Investors Bank & Trust Co. , ,
BKNY ,M ,Bank of New York (The) , ,
BKRT ,M ,BUCKMAN, BUCKMAN & REID, INC. ,RED BANK NJ ,732-224-8845
BKRT ,M ,BUCKMAN, BUCKMAN & REID, INC. ,NASDAQ TRADING ,800-952-4957
BKSS ,M ,BERKSHIRE SECURITIES, INC. , ,
BKST ,M ,BROOKSTREET SECURITIES CORPORATION ,IRVINE CA ,800-285-2578
BKST ,M ,BROOKSTREET SECURITIES CORPORATION ,BACK-UP ,949-852-6800 EXT 205
BKWD ,M ,BLACKWOOD SECURITIES, LLC ,NEW YORK, NY ,212-655-1770
BKWD ,M ,BLACKWOOD SECURITIES, LLC ,NY NEW YORK ,212-847-4000
BLAK ,M ,BLACK & COMPANY, INC. , ,
BLAR ,M ,C. M. BLAIR, W. O. FOSTER & CO., INC. , ,
BLCK ,M ,JAMES I. BLACK & COMPANY ,LAKELAND, FL ,941-686-4163
BLES ,N ,BERNARD, LEE & EDWARDS SECURITIES, INC , ,
BLEY ,M ,TRI-BRADLEY INVESTMENTS , ,
BLGS ,M ,BILLINGS EQUITIES, INC./OTC RETAIL , ,
BLIN ,M ,BLINDER, ROBINSON & CO., INC. , ,
BLIS ,M ,BLISS SECURITIES, INC. , ,
BLKB ,M ,BLACKBURN & COMPANY, INC. ,NEW YORK, NY ,[phone]
BLNI ,M ,AMERITAS INVESTMENT CORP. , ,
BLOC ,M ,BLOCK TRADING INC. , ,
BLOW ,M ,HORNBLOWER & WEEKS, INC. ,NEW YORK, NY ,212-361-5094
BLRD ,M ,JAMES W. BULLARD, JR., INCORPORATED , ,
BLST ,M ,BLUESTONE CAPITAL CORP. ,NEW YORK, NY ,212-371-7845
BLST ,M ,BLUESTONE CAPITAL CORP. ,NEW YORK, NY ,212-371-7847
BLTM ,M ,BILTMORE SECURITIES, INC. , ,
BLUE ,M ,TRADE.COM ONLINE SECURITIES, INC. , ,
BLUM ,M ,BLUMENTHAL SECURITIES, INC. , ,
BLUS ,N ,BESTRADE INC. ,EL MONT, CA ,626-571-5100
BLYK ,N ,BLAYLOCK & PARTNERS, L.P. , ,
BMAD ,M ,BAILEY, MARTIN & APPEL, INC. , ,
BMAS ,M ,BMA SECURITIES ,CALIFORNIA ,310-544-2000
BMCO ,M ,BENNETT, MULLANEY & CO., INC. , ,
BMIC ,N ,BILTMORE INTERNATIONAL CORPORATION ,NEW YORK, NY ,212-897-4430
BMIG ,N ,VALLEY FORGE SECURITIES, INC . , ,
BMSI ,N ,CREDIT AGRICOLE SECURITIES INC. ,NEW YORK, NY ,212-593-9325
BMUR ,M ,BREAN MURRAY & CO., INC. ,NASDAQ/OTCBB TRADING ,800-223-4132
BMUR ,M ,BREAN MURRAY & CO., INC. , ,212-702-6523
BNBB ,M ,BELLAMAH, NEUHAUSER & BARRETT, INC. ,WASHINGTON,DC TRDING ,202-737-4785
BNBB ,M ,BELLAMAH, NEUHAUSER & BARRETT, INC. ,WASHINGTON,DC GEN ,202-737-2700
BNBG ,M ,BAINBRIDGE SECURITIES INC. , ,
BNCH ,N ,BENCH SECURITIES CORP. , ,
BNNR ,M ,BRENNER SECURITIES CORPORATION ,NEW YORK NY ,212-940-9400
BNNR ,M ,BRENNER SECURITIES CORPORATION ,NASDAQ TRADING ,800-326-2736
BNPS ,M ,BNP PARIBAS BROKERAGE SERVICES, INC. ,RADNOR, PA ,610-491-1413
BNYC ,M ,BNY CLEARING SERVICES LLC ,MILWAUKEE, WI ,414-225-4651
BNYC ,M ,BNY CLEARING SERVICES LLC ,NASDAQ TRADING, NY ,212-237-0600
BNYC ,M ,BNY CLEARING SERVICES LLC ,NEW YORK, NY ,800-992-9876
BNYN ,M ,BANYAN SECURITIES, LLC ,LARKSPUR ,CA ,415-461-0900
BOBO ,M ,PENATES GROUP, INC. , ,
BOCC ,O ,BANC ONE CAPITAL MARKETS, INC. , ,
BOCM ,M ,BANC ONE CAPITAL MARKETS, INC. , ,
BOET ,M ,BOETTCHER & COMPANY, INC. , ,
BOJI ,M ,OKOBOJI FINANCIAL SERVICES, INC. ,SPIRIT LAKE, IA ,712-336-3380
BOLL ,M ,BODELL OVERCASH ANDERSON & CO., INC. , ,
BOND ,M ,AMERICAN BOND GROUP, INC. , ,
BOSC ,M ,BOENNING & SCATTERGOOD, INC. ,W. CONSHOHOCKEN ,610-832-5226
BOSC ,M ,BOENNING & SCATTERGOOD, INC. ,NASDAQ TRADING ,800-883-8383
BOSX ,E ,Boston Stock Exchange ,NASDAQ TRADING ,617-526-8700
BOSX ,E ,Boston Stock Exchange ,NASDAQ TRADE SUPPORT ,617-526-8705
BOSX ,E ,Boston Stock Exchange ,K&S INC. ,617-526-8710 (KASN)
BOSX ,E ,Boston Stock Exchange ,MELVIN SPECIALIST ,617-526-8715 (MSIO)
BOSX ,E ,Boston Stock Exchange ,MOORS & CABOT ,617-526-8720 (MCBT)
BPAT ,M ,BAIRD, PATRICK & CO., INC. ,NEW YORK, NY ,212-422-1120
BPAT ,M ,BAIRD, PATRICK & CO., INC. ,NEW YORK, NY ,800-221-5853
BPAT ,M ,BAIRD, PATRICK & CO., INC. ,PREF STOCK TRAD ,212-493-6626
BPAT ,M ,BAIRD, PATRICK & CO., INC. ,PREF STOCK TRAD ,800-421-0123
BPWP ,M ,BUTTONWOOD PARTNERS, INC. , ,
BRAD ,M ,J.C. BRADFORD & CO. , ,
BRAM ,M ,BRAHMAN SECURITIES, INC. ,NEW YORK NY ,212-941-1400
BRAU ,M ,BRAUER & ASSOCIATES, INC. , ,
BRAV ,M ,BRAVER, STERN SECURITIES CORP. ,NASDAQ TRADING ,212-319-9110
BRCB ,M ,BRANCH, CABELL & CO., INC. ,RICHMOND VA ,800-666-2816
BRCB ,M ,BRANCH, CABELL & CO., INC. ,TRADING ,804-643-1295
BRCB ,M ,BRANCH, CABELL & CO., INC. ,MAIN CORP. NUMBER ,804-225-1400
BRDG ,M ,BRIDGE TRADING COMPANY ,ST. LOUIS MO ,314-567-8300
BRDG ,M ,BRIDGE TRADING COMPANY ,ST. LOUIS MO ,800-325-9981
BRGE ,M ,NEWBRIDGE SECURITIES CORPORATION ,FT LAUDERDALE, FL ,954-229-9818
BRGR ,M ,BURNETT, GREY & CO., INC. , ,
BRIC ,M ,BRIARWOOD INVESTMENT COUNSEL , ,
BRIL ,M ,BRILL SECURITIES, INC. ,NEW YORK NY ,212-957-2458
BRIM ,M ,BRIMBERG & CO. , ,
BRIS ,N ,B&R INVESTMENT SERVICES, INC. , ,
BRLI ,M ,BROWN, LISLE/CUMMINGS, INC. , ,
BRND ,M ,ROBERT BRANDT & CO. ,NASDAQ TRADING ,800-421-0670
BRNM ,M ,BURNHAM SECURITIES INC. ,NASDAQ TRADING ,212-603-7513
BRNS ,M ,PAULI JOHNSON CAPAITAL & RESEARCH INCORPORATED , ,
BROD ,M ,A. T. BROD & CO. INC. , ,
BROM ,M ,BROOKEHILL CAPITAL PARTNERS LIMITED , ,
BRON ,M ,BROWN & COMPANY SECURITIES CORPORATION ,BOSTON MA ,617-624-6453
BRON ,M ,BROWN & COMPANY SECURITIES CORPORATION , ,800-357-4410
BRRR ,M ,BARRINGTON RESEARCH ASSOCIATES, INC. ,NASDAQ TRADING ,800-233-6205
BRSI ,M ,BRENNAN ROSS SECURITIES, INC. , ,
BRST ,M ,BRUNO, STOLZE & COMPANY, INC. , ,
BRUS ,M ,HD BROUS & CO., INC. ,NASDAQ/OTCBB TRADING ,516-773-1824
BRUS ,M ,HD BROUS & CO., INC. , ,888-641-2787
BRUT ,C ,BRUT, LLC ,BROKER/DEALR SUPPORT ,212-269-7470
BRUT ,C ,BRUT, LLC ,MAIN OFFICE ,212-952-0280
BRUT ,C ,BRUT, LLC ,DISASTER TRADING ,212-269-7470
BRUT ,C ,BRUT, LLC ,DISASTER TRADING ,201-499-5910
BRUT ,C ,BRUT, LLC ,DISASTER RECOVERY ,201-499-5900
BRUT ,C ,BRUT, LLC ,RIDGEFIELD, NJ ,210-840-5651
BRUT ,C ,BRUT, LLC ,TRADE SUPPORT ,201-599-5910
BRVR ,N ,BLUE RIVER LLC ,NEW YORK, NY ,212-742-0400
BRWK ,O ,BRUNSWICK SECURITIES, INC. , ,
BRWN ,N ,K.W. BROWN INVESTMENTS ,NASDAQ TRADING ,561-347-8434
BSAZ ,M ,BERRY-SHINO SECURITIES, INC. ,PHOENIX AZ ,602-996-2900
BSAZ ,M ,BERRY-SHINO SECURITIES, INC. ,NASDAQ TRADING ,602-996-3938
BSBI ,P ,BEAR STEARNS/DOLINER RESEARCH , ,
BSCO ,M ,BROOKSHIRE SECURITIES CORPORATION , ,
BSDE ,N ,INTELLIGENT MARKETS SOFTWARE LLC , ,
BSFS ,M ,DIAMOND HILL SECURITIES, INC. ,COLUMBUS, OH ,800-883-1288
BSFS ,M ,DIAMOND HILL SECURITIES, INC. , ,614-848-3400
BSIC ,M ,BASIC INVESTORS INC. ,MELVILLE, NY ,631-630-2770
BSIC ,M ,BASIC INVESTORS INC. ,BULLETIN BOARDS ,EXT 116
BSIS ,M ,BANCORPSOUTH INVESTMENT SERVICES, INC. , ,
BSSC ,M ,BEAR, STEARNS SECURITIES CORP. ,BROOKLYN, NY ,212-272-6995
BSSI ,N ,BOZANO, SIMONSEN SECURITIES, INC. ,NEW YORK,NY ,212-869-1234
BSTN ,M ,THE BOSTON GROUP , ,
BSTV ,M ,BESTVEST INVESTMENTS, LTD. , ,
BSWC ,M ,A.G. BLAKEY & COMPANY , ,
BSYS ,M ,BISYS FUND SERVICES LIMITED PARTNERSHIP , ,
BTAB ,M ,BT ALEX. BROWN INCORPORATED , ,
BTBC ,M ,BT BROKERAGE CORPORATION ,NEW YORK N.Y. ,212-454-4545
BTFS ,M ,BIRCHTREE FINANCIAL SERVICES, INC. ,KANSAS CITY, MO ,816-842-8009
BTFS ,M ,BIRCHTREE FINANCIAL SERVICES, INC. ,ST. PETERSBURG, FL ,813-381-3839
BTRD ,C ,B-TRADE SERVICES LLC ,NEW YORK, NY ,212-448-5682
BTRD ,C ,B-TRADE SERVICES LLC ,NEW YORK, NY ,212-448-5680
BTRD ,C ,B-TRADE SERVICES LLC ,TRADING ,888-873-8873
BTRD ,C ,B-TRADE SERVICES LLC ,BLOOMBERG, NY ,212-448-5682
BTRD ,C ,B-TRADE SERVICES LLC , ,888-873-8873
BUCK ,M ,THE BUCKINGHAM RESEARCH GROUP INCORPORATED ,NEW YORK NY ,212-922-5548
BUCK ,M ,THE BUCKINGHAM RESEARCH GROUP INCORPORATED ,NASDAQ TRADING ,212-922-5547
BUCL ,M ,HARRIS INVESTORLINE , ,
BUDS ,M ,BUDNER SECURITIES, INC. ,MIAMI, FL ,305-670-9920
BUEL ,M ,BUELL SECURITIES CORP. ,WETHERSFIELD CT ,860-258-2300 X122
BUFC ,M ,BUCKHEAD FINANCIAL CORPORATION ,ATLANTA, GA ,404-233-2792
BULL ,M ,BULL & BEAR SECURITIES, INC. , ,
BURL ,M ,BURLINGTON CAPITAL MARKETS INC. ,NEW YORK, NY ,212-402-5000
BURT ,M ,J. ROE BURTON & CO. INC. , ,
BUSH ,M ,J. BUSH & CO., INCORPORATED ,NEW YORK NY ,212-980-9300
BUSI ,M ,BUTCHER & SINGER INC. , ,
BUWI ,M ,BUTLER, WICK & CO., INC. ,YOUNGSTOWN OH ,330-744-4351
BUWI ,M ,BUTLER, WICK & CO., INC. ,NASDAQ TRADING ,800-969-6393
BUWI ,M ,BUTLER, WICK & CO., INC. , ,800-229-1643
BUZZ ,M ,HEIDTKE & COMPANY, INC. , ,
BVCM ,M ,HYPOVEREINSBANK CAPITAL MARKETS , ,212-672-6241
BWAY ,P ,BROADWAY TRADING, LLC ,NEW YORK, NY ,212-328-3555
BWDD ,M ,BUTTONWOOD SECURITIES, INC. , ,
BWIN ,M ,CYGNET SECURITIES, INC. , ,
BWNA ,M ,BROWN ASSOCIATES, INC. , ,
BWST ,M ,BROKERWEST , ,
BYRN ,M ,J. BYRNE & CO., INC. ,ATLANTIS FL ,561-967-1000
BZPI ,N ,BERKOWITZ, PIERCHALSKI INC. ,NASDAQ TRADING ,412-288-9150
BZTN ,M ,ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM ,NASDAQ TRADING ,509-747-9144
BZWS ,M ,BARCLAYS DE ZOETE WEDD INCORPORATED ,NEW YORK N.Y. ,212-412-2206
CAAA ,M ,CHARLES, AKAR & ASSOCIATES, INC. ,PLANTATION, FL ,305-476-7011
CAAS ,M ,C.A. ATLANTIC SECURITIES, INC. , ,
CADW ,M ,WILLIAM M. CADDEN & CO., INC. , ,
CAIN ,M ,CARNEGIE INVESTOR SERVICES INC. , ,
CALB ,Q ,ALLIANCE CAPITAL MANAGEMENT, L.P. , ,
CALD ,M ,CALDWELL SECURITIES, INCORPORATED ,DANVILLE, CA ,925-838-5525
CAMB ,M ,FIRST CAMBRIDGE SECURITIES CORPORATION , ,
CAMM ,M ,CHELA TECHNOLOGY PARTNERS, LLC , ,
CAMP ,N ,CAMPBELL, WATERMAN INC. ,NASDAQ TRADING ,206-623-2342
CANR ,M ,CANTONE RESEARCH INC. ,TINTON FALLS, NJ ,732-450-3544
CANT ,M ,CANTOR FITZGERALD & CO. ,TRADING ,203-662-3940
CANT ,M ,CANTOR FITZGERALD & CO. , ,800-680-9487
CANT ,M ,CANTOR FITZGERALD & CO. ,NASDAQ SAN FRANCISCO ,800-266-4158
CANT ,M ,CANTOR FITZGERALD & CO. ,NASDAQ INTERNATIONAL ,212-938-7055
CANT ,M ,CANTOR FITZGERALD & CO. ,LISTED - CALIFORNIA ,800-421-0655
CANT ,M ,CANTOR FITZGERALD & CO. , ,800-226-8678
CANT ,M ,CANTOR FITZGERALD & CO. ,SHREWSBURY, NJ ,800-214-7307
CAPE ,M ,CAPE SECURITIES INC. , ,
CAPR ,M ,CAPITAL RESOURCES, INC. , ,
CAPS ,M ,CAPITAL SHARES INC. , ,
CAPT ,M ,D.C. CAPITAL, LLC ,TRADING DESK ,516-364-3800
CARD ,M ,CARDINAL TRADING , ,
CARR ,M ,CARR SECURITIES CORPORATION ,PT WASHINGTON NY ,516-944-8300
CARR ,M ,CARR SECURITIES CORPORATION ,CONVERTIBLES ,800-221-2243
CART ,M ,CARTY & COMPANY, INC. ,MEMPHIS, TN ,[phone]
CASH ,O ,ALMARC TRADING, LP ,NASDAQ TRADING ,732-536-0550
CAST ,M ,CASTLE SECURITIES CORP. ,FREEPORT NY ,516-868-2000
CAST ,M ,CASTLE SECURITIES CORP. ,GARDEN CITY NY ,516-742-6400
CAST ,M ,CASTLE SECURITIES CORP. ,WHOLESALE MKTMAKERS ,800-413-2278
CAST ,M ,CASTLE SECURITIES CORP. ,OTC BULLETIN BOARD ,800-413-2278
CATF ,N ,CATALYST FINANCIAL ,RIDGEFIELD, CT ,203-894-9755
CATL ,N ,CATALYST TRADING LLC ,NEW YORK, NY ,212-267-4430
CATS ,M ,BOYLE SECURITIES, INC. ,NAPERVILLE, IL ,630-527-2215
CATS ,M ,BOYLE SECURITIES, INC. ,NASDAQ TRADING ,800-858-8732
CATY ,M ,CATHAY FINANCIAL LLC ,NEW YORK, NY ,212-610-1199
CAYN ,M ,BA , ,
CBAY ,M ,CAPBAY FINANCIAL SERVICES , ,
CBBB ,N ,NASDAQ PRODUCT DEVELOPMENT/NY , ,
CBCB ,M ,COLLIER BROWNE & COMPANY ,MILFORD OH ,513-248-3600
CBCB ,M ,COLLIER BROWNE & COMPANY , ,800-486-3602
CBER ,M ,BERNSTEIN AND COMPANY , ,
CBIS ,P ,CBNY Investment Services Corporation , ,
CBOL ,M ,MUTUAL SECURITIES, INC. ,ENCINO CA ,818-990-0992
CBOL ,M ,MUTUAL SECURITIES, INC. ,LAGUNA NIGUEL, CA. ,714-495-0764
CBOL ,M ,MUTUAL SECURITIES, INC. ,ENCINO, CA ,800-750-7862
CBTD ,M ,SYNOVUS SECURITIES, INC. ,COLUMBUS, GA ,404-649-5528
CCAE ,M ,Nasdaq System Symbol/CCAE/800082 , ,
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION ,BOCA RATON, FL ,561-997-7001
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION , ,800-338-3014
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION ,NEW YORK ,516-832-8640
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION , ,888-655-1222
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION ,WESTON, FLORIDA ,954-349-6771
CCCC ,M ,COMPREHENSIVE CAPITAL CORPORATION , ,800-206-7030
CCCO ,M ,CARNES CAPITAL CORPORATION ,NAPLES FL ,941-261-6187
CCCO ,M ,CARNES CAPITAL CORPORATION , ,800-964-4392
CCCO ,M ,CARNES CAPITAL CORPORATION ,SWITCHBOARD ,941-261-2112
CCIS ,M ,CORRELL CO. INVESTMENT SERVICES CORP. , ,
CCLM ,P ,BEAR STEARNS/CLEARANCE INSTINET , ,
CCLP ,M ,CONSTELLATION CONVERTIBLES L.P. , ,
CCLS ,O ,COMPUTER CLEARING SERVICES INC ,GLENDALE, CA ,818-242-9333
CCLS ,O ,COMPUTER CLEARING SERVICES INC ,TRADE DISPUTE ,888-350-7742
CCMC ,M ,COMMERZBANK CAPITAL MARKETS CORP. ,NEW YORK, NY ,212-703-4300
CCOF ,M ,CONSTELLATION CONVERTIBLES LIMITED , ,
CCPG ,N ,CCP GROUP INC. , ,
CCRD ,M ,GOLDK INVESTMENT SERVICES, INC , ,
CCSS ,M ,CROWN CAPITAL SECURITIES, L.P. , ,
CDBI ,M ,CENTRAL DISCOUNT STOCKBROKERS, INC. ,FORT COLLINS, CO ,303-223-4164
CDCS ,M ,INTERNATIONAL VENTURE CAPITAL CORP. , ,
CDEL ,M ,CITADEL SECURITIES CORP. ,FREEPORT, NY ,516-378-1000
CENP ,M ,CENPAC SECURITIES CORP. , ,
CENT ,M ,CENTURY CAPITAL CORP. OF SOUTH CAROLINA , ,
CEON ,M ,RICE, VOELKER, LLC ,NEW ORLEANS, LA ,800-240-0412
CETR ,N ,CENTURION INSTITUTIONAL SERVICES, INC. , ,
CEUT ,M ,C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) ,NEW YORK NY ,212-888-8256
CEUT ,M ,C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) ,NASDAQ TRADING ,800-538-7004
CFCI ,N ,COMMUNITY FINANCIAL CENTERS, INC. , ,
CFDI ,O ,CFD INVESTMENTS, INC. ,KOKOMO, IN ,317-453-9600
CFII ,M ,CONSOLIDATED FINANCIAL INVESTMENTS, INC. ,NASDAQ TRADING ,314-991-4030
CFSI ,M ,CENTURY FINANCIAL SECURITIES, INC. , ,
CGAT ,O ,CADARET, GRANT & CO., INC. ,NASDAQ TRADING ,315-471-2191
CGLN ,M ,COUGHLIN & COMPANY, INC. ,DENVER CO ,303-863-1900
CGMF ,M ,The CGM Funds , ,
CGOC ,M ,CHICAGO CAPITAL, INC. , ,
CHAB ,M ,GLP INVESTMENT SERVICES, LLC , ,
CHAD ,M ,CHATFIELD DEAN & CO., INC. , ,
CHAN ,M ,CHEEVERS, HAND & ANGELINE, INC. , ,
CHAP ,M ,CHAPLIN-MULLAUGH INCORPORATED , ,
CHAR ,M ,FIRST TRYON SECURITIES, LLC , ,
CHAS ,M ,CHARLES SCHWAB & CO., INC. ,SAN FRANCISCO, CA ,415-667-5515
CHDA ,M ,CHAPIN, DAVIS , ,
CHES ,M ,CHESAPEAKE SECURITIES RESEARCH CORPORATION ,NASDAQ TRADING ,410-296-7740
CHIC ,M ,CRAIG-HALLUM, INC. , ,
CHIG ,P ,CHICAGO INVESTMENT GROUP, INC. , ,
CHIL ,M ,CHILIAN PARTNERS, L.P. ,NASDAQ TRADING ,407-362-4691
CHIP ,M ,BLUE CHIP TRADING L.L.C. ,CHICAGO, IL ,312-294-6070
CHLS ,M ,CHELSEA STREET SECURITIES, INC. , ,
CHRT ,M ,CHARTER INVESTMENT GROUP, INC. , ,
CHSI ,M ,J.P. MORGAN SECURITIES INC. , ,
CHVS ,M ,CHEEVERS & COMPANY INC. ,NASDAQ TRADING ,312-663-2794
CIBC ,M ,CIBC WORLD MARKETS CORP. ,NEW YORK, TRADING ,212-667-7910
CIBC ,M ,CIBC WORLD MARKETS CORP. ,NASDAQ AGCY ,212-667-8446
CIBC ,M ,CIBC WORLD MARKETS CORP. ,NEW YORK, TRADING ,800-666-6726
CIBC ,M ,CIBC WORLD MARKETS CORP. ,LISTED 19C3-3 ,212-667-8100
CIBC ,M ,CIBC WORLD MARKETS CORP. ,ARBITRAGE ,212-667-6925
CIBC ,M ,CIBC WORLD MARKETS CORP. ,CONV. TRADING ,212-667-6840
CIBC ,M ,CIBC WORLD MARKETS CORP. ,INT'L TRADING ,212-667-7679
CIBC ,M ,CIBC WORLD MARKETS CORP. ,PREFERRED TRADING ,212-667-7955
CICC ,M ,NBC CAPITAL MARKETS GROUP ,MEMPHIS, TN ,901-523-3802
CICF ,N ,CANACCORD CAPITAL (U.S.A.), INC. ,VANCOUVER, CANADA ,604-643-7300
CIEI ,M ,DIVERSIFIED INVESTMENT SERVICES, INC. , ,
CIGI ,N ,CENTURY INVESTMENT GROUP INCORPORATED , ,
CINC ,M ,COOPER INVESTMENT COMPANY , ,
CINN ,E ,Cincinnati Stock Exchange ,TRADING ,800-843-3924
CINT ,N ,CORNERSTONE CAPITAL CORPORATION , ,
CINV ,M ,CORPORATE INVESTMENTS GROUP, INC. ,CHICAGO, IL ,773-728-9037
CIRI ,M ,CAMBRIDGE INVESTMENT RESEARCH, INC. , ,
CISE ,N ,CAPITAL INVESTMENT SERVICES, INC. , ,
CISS ,M ,UNIFIED INVESTMENT SERVICES, INC. , ,
CIST ,M ,CAPITAL INSTITUTIONAL SERVICES, INC. ,DALLAS, TX ,214-720-0504
CITA ,M ,CITATION FINANCIAL GROUP, L.P. ,NEW YORK, NY ,212-618-0339
CITA ,M ,CITATION FINANCIAL GROUP, L.P. , ,800-691-0903
CITC ,M ,CITCO SECURITIES, LLC ,NASDAQ TRADING ,800-447-2284
CITY ,M ,CITY SECURITIES CORPORATION ,INDIANAPOLIS IN ,800-786-2489
CITY ,M ,CITY SECURITIES CORPORATION ,INDIANAPOLIS IN ,317-972-7135
CJMP ,M ,C. J. M. PLANNING CORP. , ,
CJSI ,M ,CJS SECURITIES, INC. , ,
CKSI ,N ,CRISPIN KOEHLER SECURITIES ,BURLINGAME, CA ,800-741-0755
CLCP ,N ,CLARK STREET CAPITAL, INC. ,NEW YORK, NEW YORK ,212-785-9085
CLEM ,M ,SAN CLEMENTE SECURITIES, INC. , ,
CLGL ,M ,C. L. GLAZER & COMPANY, INC. ,GREENWICH, CT ,203-629-4333
CLMB ,M ,COLUMBIA FINANCIAL CENTER INCORPORATED , ,
CLMK ,M ,C. L. MCKINNEY & CO., INC. , ,
CLML ,M ,CLARK MELVIN SECURITIES CORPORATION ,NASDAQ TRADING ,809-759-8080
CLNL ,P ,COLONIAL MANAGEMENT ASSOCIATES, INC. , ,
CLYN ,M ,CARLIN EQUITIES CORP. ,TRADING ,800-554-9031
CLYS ,M ,CLAYTON SECURITIES SERVICES, INC. ,CLAYTON, MO ,314-726-0220
CMAI ,N ,CAPITAL MARKETS AMERICA, INC. , ,
CMAN ,M ,THE CHAPMAN CO. ,BALTIMORE MD ,410-625-9656
CMAN ,M ,THE CHAPMAN CO. ,TRADING ROOM ,800-321-5040
CMBR ,M ,CAMBRIDGE CAPITAL, LLC , ,
CMCA ,M ,COMERICA SECURITIES ,NASDAQ TRADING ,313-222-9458
CMCE ,M ,NBD SECURITIES, INC. ,CLAYTON, MO ,314-746-8777
CMDN ,M ,CAMDEN FINANCIAL SERVICES , ,
CMGT ,M ,COVENTRY CAPITAL, INC. , ,
CMJP ,M ,CMJ PARTNERS LLC , ,
CMLT ,M ,CAMELOT INVESTMENT CORP. , ,
CMMW ,M ,COMMONWEALTH FINANCIAL NETWORK ,NEWTON, MA ,617-736-0700
CMSE ,M ,CM SECURITIES, INC. , ,
CNCP ,M ,CONSTITUTION CAPITAL CORP. ,NORWALK, CT ,203-840-7537
CNCT ,O ,COMPLETE TRADE ,AUSTIN, TX ,512-302-9945
CNET ,M ,CALIFORNIA NETWORK CAPITAL, INC. ,SAN DIEGO CA ,619-481-0405
CNFR ,M ,CONIFER SECURITIES LLC ,SAN FRANCISCO, CA ,415-677-5800
CNFR ,M ,CONIFER SECURITIES LLC ,NASDAQ TRADING ,415-677-5800
CNFR ,M ,CONIFER SECURITIES LLC ,SAN FRANCISCO, CA ,800-678-1885
CNNG ,M ,CONNING & COMPANY , ,
CNRB ,M ,CONARB PARTNERS, L.P. , ,
CNTL ,M ,CONTINENTAL BROKER-DEALER CORP. ,NASDAQ/OTCBB TRADING ,516-741-5594
CNTM ,N ,CONTINUUM CAPITAL INC. , ,
CNTR ,M ,S. B. CANTOR & CO., INC. ,NEW YORK ,212-406-0737
CNTR ,M ,S. B. CANTOR & CO., INC. ,NEW YORK ,212-406-0740
CNTS ,O ,CENTENNIAL VENTURES, LTD. , ,914-304-4070
CNTX ,O ,CENTEX SECURITIES, INCORPORATED , ,
CNVX ,M ,CONVEXITY PARTNERS, L.P. , ,
COBK ,M ,CONTINENTAL BROKERAGE SERVICES INC. , ,
COBR ,M ,COBURN & MEREDITH, INC. ,HARTFORD, CT , N/A
COBR ,M ,COBURN & MEREDITH, INC. ,NASDAQ/OTCBB TRADING ,800-274-3300
COBR ,M ,COBURN & MEREDITH, INC. ,SWITCHBOARD ,860-522-7171
COBR ,M ,COBURN & MEREDITH, INC. ,SWITCHBOARD ,800-825-2244
COCA ,M ,CORTLANDT CAPITAL CORPORATION ,NEW YORK,NY ,212-344-2297
COCE ,M ,CHOICE INVESTMENTS, INC. ,AUSTIN,TX ,512-451-7417
COCO ,M ,CORNA AND CO., INC. , ,
COEN ,M ,CHARLOTTE S. COHEN & COMPANY, INC. , ,
COGT ,M ,COGENT TRADING, LLC , ,
COHI ,M ,HIGH POINT CAPITAL GROUP, INC. ,COCOA FL ,321-639-9187
COHI ,M ,HIGH POINT CAPITAL GROUP, INC. ,SWITCHBOARD ,321-631-5121
COHN ,P ,COHEN BROS. & COMPANY , ,
COLE ,M ,COLEMAN & COMPANY SECURITIES, INC. , ,
COLL ,M ,COLLINS & COMPANY, LLC , ,
COLS ,M ,COLONIAL SECURITIES, INC. ,NASDAQ TRADING ,212-964-6504
COMA ,M ,COHMAD SECURITIES CORPORATION ,NEW YORK NY ,212-230-2480
COMW ,M ,COMMONWEALTH ASSOCIATES ,NASDAQ/OTCBB TRADING ,212-829-5909
COMW ,M ,COMMONWEALTH ASSOCIATES , ,800-854-7134
CONA ,M ,CORNA SECURITIES, INC. , ,
CONF ,M ,CONSERVATIVE FINANCIAL SERVICES, INC. , ,
CONR ,P ,CONNERS & CO., INC. , ,
CONS ,N ,CONSULTIVA SECURITIES, INC. , ,
CONW ,M ,WILLIAM J. CONWAY & CO., INC. , ,
COOP ,M ,D.S. COOPER & CO. ,TROY NY ,518-272-1903
COPY ,N ,401(K) INVESTMENT SERVICES, INC. , ,
CORT ,M ,CORT MACKENZIE SECURITIES, INC. , ,
COSE ,M ,COSSE' INTERNATIONAL SECURITIES, INC. ,NASDAQ TRADING ,206-624-6651
COSI ,N ,CHARTER ONE SECURITIES, INC. , ,
COST ,M ,COASTAL SECURITIES L.P. , ,
COTR ,M ,THE SANDOX COMPANY , ,
COTT ,M ,ARMSCOTT SECURITIES, LTD. , ,
COVY ,M ,COVEY & CO., INC. , ,
COWN ,M ,SG COWEN SECURITIES CORPORATION ,TRADING D/R SITE ,212-278-5000
COWN ,M ,SG COWEN SECURITIES CORPORATION ,TRADING D/R SITE ,212-278-4120
COWN ,M ,SG COWEN SECURITIES CORPORATION ,TRADING D/R SITE ,212-278-4190
COWN ,M ,SG COWEN SECURITIES CORPORATION ,NEW YORK NY ,800-221-3431
COWN ,M ,SG COWEN SECURITIES CORPORATION ,NASDAQ TRADING ,212-278-4030
COWN ,M ,SG COWEN SECURITIES CORPORATION ,AGENCY DESK ,212-278-4072
COWN ,M ,SG COWEN SECURITIES CORPORATION , ,877-683-3363
COWN ,M ,SG COWEN SECURITIES CORPORATION ,MIDTOWN ,212-278-5272
COWN ,M ,SG COWEN SECURITIES CORPORATION ,ARBITRAGE ,212-460-0464
COWN ,M ,SG COWEN SECURITIES CORPORATION ,PREFERRED ,212-495-6370
COWN ,M ,SG COWEN SECURITIES CORPORATION ,HOUSTON TX ,713-652-7165
COWN ,M ,SG COWEN SECURITIES CORPORATION ,HIGH YIELD ,212-495-6363
COWN ,M ,SG COWEN SECURITIES CORPORATION ,CONVERTIBLES ,212-495-3768
COWN ,M ,SG COWEN SECURITIES CORPORATION ,N-LATIN AMER SHARES ,212-278-5080
COYL ,N ,COYLE SECURITIES, L.L.C. , ,
CPAI ,M ,CAPITAL PLANNING ASSOCIATES, INC. ,SOUTH PLAINFIELD, NJ ,908-756-5851
CPAM ,M ,CAPITAL SECURITIES OF AMERICA, INC. ,NASDAQ TRADING ,800-837-5614
CPAM ,M ,CAPITAL SECURITIES OF AMERICA, INC. ,COLUMBUS, OH ,614-442-5804
CPFN ,M ,CORP-FIN.COM, INC. ,ATLANTA, GA ,404-504-9129
CPMI ,M ,CAPITAL PORTFOLIO MANAGEMENT, INC. ,NASDAQ TRADING ,410-667-4575
CPST ,M ,CAPSTONE INVESTMENTS , ,
CRAG ,M ,CREDIT AGRICOLE INDOSUEZ SECURITIES, INC. ,NEW YORK, NY ,212-593-9320
CRAN ,M ,MEADOWBROOK SECURITIES INC. , ,
CRCO ,Q ,CRAMER AND CO , ,
CRDL ,M ,CARDINAL INVESTMENTS, INC. ,BELLEVILLE, IL ,618-277-1005
CREA ,M ,CREATIVE CAPITAL MANAGEMENT CORPORATION , ,
CRES ,M ,CRESVALE INTERNATIONAL, INC. , ,
CRIS ,M ,CHRISTOPH SECURITIES, INC. , ,
CRNG ,M ,CARNEGIE CHILDS & COMPANY L.L.C. , ,
CRNR ,O ,PROTRADER SECURITIES CORPORATION ,TRADING DESK ,512-505-5158
CRNT ,O ,ZONE TRADING PARTNERS, LLC ,AUSTIN, TX ,512-472-0877
CROY ,N ,CROIX SECURITIES, INC. , ,215-988-3400
CRRT ,M ,CARRET SECURITIES, LLC ,NASDAQ TRADING ,212-207-2340
CRTC ,M ,CRT CAPITAL GROUP LLC ,GREENWICH CT ,203-629-6494
CRTH ,M ,CORINTHIAN PARTNERS, L.L.C. ,TRADING ,212-287-1545
CRTS ,M ,COMBINED RESEARCH & TRADING, INC. , ,
CRWN ,M ,CROWN FINANCIAL ASSOCIATES, INC. , ,
CSCA ,M ,THE ADVISORS GROUP, INC. ,WASHINGTON D.C. ,202-783-0750
CSCI ,N ,CORRESPONDENT SERVICES CORPORATION , ,
CSCO ,M ,CUNNINGHAM, SCHMERTZ & CO., INC. ,CHICAGO, IL ,312-663-2089
CSCS ,M ,CSC SECURITIES LTD. , ,
CSEC ,M ,U.S. SECURITIES, INC. , ,
CSGO ,N ,CHICAGO SECURITIES GROUP , ,
CSIN ,M ,CAPITAL SELECT INVESTMENTS CORP. , ,
CSJN ,Q ,JOHN CASTIGLIONE , ,
CSMI ,M ,CAPITOL SECURITIES MANAGEMENT, INC. ,NASDAQ TRADING ,703-821-2010
CSTD ,M ,CUSTODIAN SECURITIES, INC. , ,
CSTK ,M ,COMSTOCK TRADING CORP. , ,
CSUA ,M ,COUNTY NATWEST GLOBAL SECURITIES LIMITED , ,
CTBY ,O ,CANTERBURY CAPITAL SERVICES, INC. ,NEWPORT BEACH CA ,714-721-9580
CTCR ,M ,CITICORP SECURITIES, INC. , ,
CTEC ,Q ,CAPITAL TECHNOLOGY, INC. , ,
CTIF ,M ,CONFLUENCE TECHNOLOGIES , ,
CTLA ,M ,CANTELLA & CO., INC. ,BOSTON, MA ,617-742-8215
CTLA ,M ,CANTELLA & CO., INC. ,BOSTON, MA ,800-225-6157
CTLV ,M ,A.M. LEVINE & CO., INC. , ,
CTNL ,M ,CENTENNIAL SECURITIES COMPANY, INC. ,GRAND RAPIDS, MI ,616-942-7680
CUEF ,M ,CUE , ,
CUMB ,N ,CUMBERLAND BROKERAGE CORPORATION ,VINELAND, NJ ,800-257-7013
CUSA ,M ,CULLUM & SANDOW SECURITIES, INC. , ,
CUSR ,O ,CUTLER SECURITIES, INC. ,MIAMI, FL ,305-371-7719
CUTT ,M ,CUTTER & COMPANY, INC. ,NASDAQ TRADING ,314-537-8770
CVSI ,N ,CYBERVEST SECURITIES INC. , ,
CWCI ,M ,COLIN WINTHROP & CO., INC. ,JERICHO NY ,516-433-9200
CWCO ,M ,CROWELL, WEEDON & CO. ,LOS ANGELES, CA ,213-622-6271
CWCO ,M ,CROWELL, WEEDON & CO. ,LOS ANGELES, CA ,800-421-8909
CWEI ,M ,CANTOR, WEISS & FRIEDNER, INC. ,NEW YORK, NY ,212-350-7240
CWFA ,M ,Commonwealth Fund Accounting, Inc. , ,
CWPS ,M ,CHARLES W. PACE SECURITIES GROUP, INC. ,TRADING ROOM ,800-880-0032
CWSC ,M ,CAPITAL WORLD SECURITIES CORP ,CITY OF INDUSTRY, CA ,[phone]
CYBR ,M ,CYBERTRADER, INC. ,AUSTIN, TX ,512-320-5444
CYON ,M ,CANYON PARTNERS INCORPORATED ,NASDAQ TRADING ,310-247-2700
CZEN ,M ,NATIONSBANC SECURITIES OF GEORGIA, INC.
DACC ,M ,D. A. CAMPBELL COMPANY INC. ,LIDO BEACH NY ,800-477-2750
DACC ,M ,D. A. CAMPBELL COMPANY INC. ,LOS ANGELES CA ,310-393-3353
DADA ,M ,D.A. DAVIDSON & CO. ,GREAT FALLS, MT ,406-791-7318
DADA ,M ,D.A. DAVIDSON & CO. ,GREAT FALLS, MT ,406-791-7260
DADA ,M ,D.A. DAVIDSON & CO. ,PORTLAND, OR ,503-603-3030
DADA ,M ,D.A. DAVIDSON & CO. ,PORTLAND, OR ,800-755-7589
DAGH ,M ,DAUGHERTY, COLE INC. , ,
DAIG ,M ,WINTHROP INVESTMENT GROUP INC. ,NEW YORK, NY ,212-785-4880
DAIG ,M ,WINTHROP INVESTMENT GROUP INC. , ,888-326-2526
DAIN ,M ,RBC DAIN RAUSCHER INC. ,MINNEAPOLIS, MN ,612-371-2900
DAIN ,M ,RBC DAIN RAUSCHER INC. ,MINNEAPOLIS, MN ,800-285-4964
DAIN ,M ,RBC DAIN RAUSCHER INC. ,MINNEAPOLIS, MN ,612-373-6101
DAIN ,M ,RBC DAIN RAUSCHER INC. ,MINNEAPOLIS, MN ,800-959-5951
DAIN ,M ,RBC DAIN RAUSCHER INC. ,DALLAS, TX ,214-989-1340
DAIN ,M ,RBC DAIN RAUSCHER INC. ,DALLAS, TX ,800-678-9066
DAIN ,M ,RBC DAIN RAUSCHER INC. ,DALLAS INSTITUTIONAL ,800-678-9055
DAIN ,M ,RBC DAIN RAUSCHER INC. ,NEW YORK, N.Y. ,212-428-6337
DAIN ,M ,RBC DAIN RAUSCHER INC. ,NEW YORK, NY ,800-888-7943
DAIN ,M ,RBC DAIN RAUSCHER INC. ,CHICAGO, IL ,800-862-8029
DAIN ,M ,RBC DAIN RAUSCHER INC. ,SEATTLE, WA ,800-444-3360
DAIN ,M ,RBC DAIN RAUSCHER INC. ,SEATTLE, WA ,206-621-3175
DAIN ,M ,RBC DAIN RAUSCHER INC. ,PREFERRED ,612-371-7828
DAIN ,M ,RBC DAIN RAUSCHER INC. ,CONVERTIBLES ,612-373-1775
DAKE ,N ,DRAKE SECURITIES CORP. , ,
DAKN ,M ,DAKIN SECURITIES CORPORATION , ,
DALE ,P ,ANCORA SECURITIES, INC. , ,
DALL ,M ,DALLAS SECURITIES INVESTMENT CORPORATION , ,
DANL ,M ,DANIEL & DANIEL SECURITIES CORPORATION , ,
DANN ,P ,KEVIN DANN & PARTNERS, LLC , ,
DANY ,M ,BYRNE SECURITIES, INC. , ,
DAPA ,M ,DART, PAPESH & COMPANY, INCORPORATED , ,
DART ,M ,DALLAS RESEARCH & TRADING, INC. , ,
DAVA ,M ,DAVENPORT & COMPANY LLC ,RICHMOND, VA ,804-780-2073
DAVA ,M ,DAVENPORT & COMPANY LLC ,RICHMOND, VA ,804-780-2036
DAVA ,M ,DAVENPORT & COMPANY LLC , ,800-277-0120
DAVI ,M ,SHELBY CULLOM DAVIS & CO., L.P. ,NEW YORK, NY ,212-207-3514
DAWA ,M ,DAIWA SECURITIES AMERICA INC. ,NEW YORK, NY ,212-612-6640
DAWA ,M ,DAIWA SECURITIES AMERICA INC. ,NEW YORK, NY ,212-612-6641
DAWA ,M ,DAIWA SECURITIES AMERICA INC. ,NEW YORK, NY ,212-612-6642
DAYT ,M ,ACCESS BROKER.COM, INC. , ,
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,NASDAQ TRADING ,800-368-2555
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,NEW YORK, NY ,800-368-2555
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,NEW YORK, NY ,212-469-3500
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,AGENCY/BALTIMORE ,410-895-3170
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,PREFERRED STOCK ,410-895-2410
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,AGENCY ,212-469-7440
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,INTERNATIONAL ,212-474-7472
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,INTERNATIONAL ,800-221-0406
DBAB ,M ,DEUTSCHE BANC ALEX. BROWN INC. ,AGENCY ,212-541-8670
DBAY ,M ,THE DELAWARE BAY COMPANY, INC. ,NASDAQ TRADING ,212-332-1935
DBCC ,M ,DEUTSCHE BANK CAPITAL CORPORATION , ,
DBCO ,M ,D. BLECH & COMPANY, INCORPORATED , ,
DBDB ,O ,DOLPHIN & BRADBURY INCORPORATED , ,
DBDM ,M ,MORGAN STANLEY DEAN WITTER ONLINE INC. ,SAN FRANCISCO, CA ,866-279-4560
DBLL ,M ,D. H. BLAIR & CO., INC. , ,
DBNY ,M ,DABNEY/RESNICK/IMPERIAL, LLC , ,
DBRE ,M ,DOUGLAS BREMEN & CO., INC. , ,
DBSC ,M ,DREYFUS BROKERAGE SERVICES, INC. ,LOS ANGELES, CA ,310-276-0200 X9291
DBSC ,M ,DREYFUS BROKERAGE SERVICES, INC. ,CHICAGO, IL ,312-444-1082
DBSC ,M ,DREYFUS BROKERAGE SERVICES, INC. ,NEW YORK, NY ,212-509-3880
DBUR ,M ,DREXEL BURNHAM LAMBERT INCORPORATED , ,
DCAF ,N ,DUNDEE SECURITIES INC. ,TORONTO, ONTARIO ,416-350-3410
DCSD ,O ,RAUSCHER PIERCE SECURITIES CORPORATION ,ST. LOUIS ,314-589-5081
DCSD ,O ,RAUSCHER PIERCE SECURITIES CORPORATION , ,800-766-8723
DDAY ,M ,NORMANDY SECURITIES, INC. ,SCARSDALE, NY ,914-472-7878
DDBI ,M ,DOWNSTATE SECURITIES GROUP, INC. ,BELLEAIR BLUFFS FL ,813-586-3541
DDIN ,M ,DOMIK CORP. , ,
DDSY ,M ,DOUGHERTY DAWKINS LLC , ,
DEAN ,M ,MORGAN STANLEY DW INC. ,NEW YORK, NY ,212-761-9368
DEAN ,M ,MORGAN STANLEY DW INC. ,NEW YORK, NY ,800-733-3650
DEAN ,M ,MORGAN STANLEY DW INC. ,ARBITRAGE ,212-392-3734
DEAN ,M ,MORGAN STANLEY DW INC. ,PREFFERED ,212-392-3863
DELT ,M ,DELTEC ASSET MANAGEMENT CORPORATION ,NEW YORK NY ,212-546-6233
DELW ,M ,DELAWARE INVESTMENTS , ,
DEMA ,O ,DEMATTEO MONNESS LLC ,NEW YORK, NY ,212-610-2606
DEMP ,M ,DEMPSEY & COMPANY, L.L.C. ,(MWSE) ,312-663-2634
DEMP ,M ,DEMPSEY & COMPANY, L.L.C. ,(MWSE) ,800-999-0027
DEMP ,M ,DEMPSEY & COMPANY, L.L.C. ,CHICAGO IL ,312-663-7244
DEMP ,M ,DEMPSEY & COMPANY, L.L.C. ,CHICAGO IL ,800-999-0240
DENI ,M ,H. C. DENISON CO. ,SHEBOYGAN, WI ,920-457-9451
DEPS ,M ,DEPOSIT GUARANTY INVESTMENTS, INC. , ,
DERB ,M ,DERBY SECURITIES, INC. , ,
DESC ,M ,DEAN SECURITIES ,OLYMPIA, WA ,206-352-9660
DESH ,M ,D. E. SHAW INVESTMENTS, L.P. ,NEW YORK NY ,212-478-0000
DESH ,M ,D. E. SHAW INVESTMENTS, L.P. ,NASDAQ TRADING ,212-478-0500
DESK ,M ,THE TRADING DESK, INC. , ,
DFLR ,O ,DEMPSEY & COMPANY, L.L.C./OTC UTP , ,312-663-2634
DFWC ,M ,DFW CLEARING, INC. , ,
DGSL ,O ,DELANO GROUP SECURITIES, L.L.C. , ,
DHAN ,M ,DAEHAN SECURITIES, INC. , ,
DHCO ,N ,DAVID HARRIS & CO., INC. , ,
DICK ,M ,DICKINSON & CO. , ,
DILN ,M ,DILLON SECURITIES, INC. , ,
DINA ,M ,DINA SECURITIES, INC. , ,
DIRA ,M ,DIRECT ACCESS BROKERAGE SERVICES, INC. ,CHICAGO, IL ,312-641-9100
DIRC ,N ,POINT DIREX SECURITIES, LLC , ,407-241-2500
DIRK ,M ,DIRKS & COMPANY, INC. ,NEW YORK, NY ,212-832-5477
DIRK ,M ,DIRKS & COMPANY, INC. ,LISTED EQUITIES ,212-832-5478
DIRK ,M ,DIRKS & COMPANY, INC. ,INSTITUTIONAL DESK ,800-881-9622
DIVP ,M ,DIVERSIFIED SECURITIES, INCORPORATED ,LONG BEACH, CA ,562-595-7711
DKNY ,M ,DALTON KENT SECURITIES GROUP, INC. , ,
DLBC ,M ,BABSON SECURITIES CORPORATION , ,
DLCR ,M ,D.L. CROMWELL INVESTMENTS, INC. ,BOCA RATON, FL ,800-340-4040
DLCR ,M ,D.L. CROMWELL INVESTMENTS, INC. ,TRADING ,561-367-0513
DLCR ,M ,D.L. CROMWELL INVESTMENTS, INC. ,MAIN OFFICE ,561-367-0009
DLJP ,M ,DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION ,NEW YORK, NY ,212-892-4350
DLJP ,M ,DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION ,NEW YORK, NY ,800-221-7617
DLJP ,M ,DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION ,CONVERTIBLES ,212-892-6900
DLJP ,M ,DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION ,FOREIGN ,212-892-8998
DLSC ,M ,DLS CAPITAL PARTNERS, INC. ,DALLAS, TX ,800-350-2664
DLSC ,M ,DLS CAPITAL PARTNERS, INC. , ,214-346-9590
DMAR ,M ,DEL MAR FINANCIAL SERVICES, INCORPORATED ,DEL MAR, CA ,619-794-9217
DMKC ,M ,DM KELLY & COMPANY ,NASDAQ TRADING ,515-221-1133
DMKR ,M ,DIMEDIO KIRCHHOFF & CO., INC. , ,
DNBR ,M ,FIRST DUNBAR SECURITIES CORPORATION , ,
DNHL ,M ,SECURITIES USA, INC. , ,
DOFS ,O ,DATEK ONLINE FINANCIAL SERVICES LLC ,NASDAQ TRADING ,201-433-4470
DOFT ,M ,DOFT & CO., INC. ,NEW YORK, NY ,212-421-5550
DOLY ,N ,DOLEY SECURITIES, INC. , ,
DOMI ,M ,DOMINION INVESTOR SERVICES, INC. ,
DOMK ,M ,DOMINICK & DOMINICK LLC ,NEW YORK, NY ,212-558-8828
DOMS ,M ,DOMESTIC SECURITIES, INC. ,MONTVALE, NJ ,201-782-0888
DOMS ,M ,DOMESTIC SECURITIES, INC. ,TRADING - OTC ,201-782-9269
DONC ,M ,DONALD & CO. SECURITIES INC. ,TINTON FALLS NJ ,732-530-0890
DONC ,M ,DONALD & CO. SECURITIES INC. ,NASDAQ/OTCBB TRADING ,800-526-3193
DONC ,M ,DONALD & CO. SECURITIES INC. ,SCOTTSDALE AZ ,602-657-3412
DONC ,M ,DONALD & CO. SECURITIES INC. ,OTC TRADING ,800-535-9771
DONC ,M ,DONALD & CO. SECURITIES INC. ,STUART, FL ,561-286-5512
DONC ,M ,DONALD & CO. SECURITIES INC. ,NASDAQ TRADING ,800-258-9455
DONC ,M ,DONALD & CO. SECURITIES INC. ,NEW YORK NY ,516-229-5757
DONS ,P ,DONALDSON & CO., INCORPORATED , ,
DORN ,M ,DORN & CO., INC. , ,
DORS ,M ,DORSEY & COMPANY, INC. ,NEW ORLEANS, LA ,504-524-5431
DOTC ,M ,DOUGHERTY & COMPANY LLC ,NASDAQ TRADING ,612-338-1448
DOTC ,M ,DOUGHERTY & COMPANY LLC ,NASDAQ TRADING ,888-817-8664
DOTS ,M ,DONNELLY & CO., INC. ,MIDLAND, TX ,915-683-1090
DOVK ,M ,DOVIAK SECURITIES, INC. , ,
DOWJ ,Q ,DOW JONES & CO. , ,
DOWL ,M ,DOWLING & PARTNERS SECURITIES LLC ,HARTFORD CT ,860-676-8605
DPAA ,M ,PALMIERI, ANGNARDO & CO., INC. ,NEW YORK, NY ,212-785-5660
DRAT ,M ,THE DRATEL GROUP, INC. ,NEW YORK NY ,212-964-2300
DRCO ,M ,DILLON, READ & CO. INC. ,SEE SBCW - MERGER , N/A
DRES ,M ,THE DRESNER COMPANY ,NEW YORK, NY ,212-344-3200
DRFS ,M ,THE DREYFUS CORPORATION ,KANSAS CITY MO ,816-435-5378
DRIE ,O ,DRIEHAUS SECURITIES CORPORATION ,CHICAGO IL , 312-587-3830
DRIE ,O ,DRIEHAUS SECURITIES CORPORATION ,TRADING ROOM ,1-800-990-1890
DRKW ,M ,DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC ,NEW YORK, NY ,212-429-4517
DRKW ,M ,DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC ,FOREIGN
DSGI ,M ,DUPONT SECURITIES GROUP, INC. ,NEW YORK, NY ,917-320-4810
DSKO ,M ,D.S. KENNEDY & CO. , ,
DSSI ,M ,PRESIDIO FINANCIAL SERVICES, INC. ,SAN ANTONIO, TX ,[phone]
DSUS ,M ,DRESDNER SECURITIES (USA) INC. , ,
DTTX ,P ,DIRECT TRADING INSTITUTIONAL, INC. , ,
DUFF ,M ,DUFF & PHELPS SECURITIES LLC ,NASDAQ TRADING ,800-323-5335
DUKE ,M ,DUKE & CO., INC. ,NEW YORK NY ,212-355-5040
DUKE ,M ,DUKE & CO., INC. ,OTC TRADING ,800-361-3853
DULL ,M ,GEORGE E. DULLNIG & CO. ,SAN ANTONIO TX ,210-225-6806
DUNE ,M ,THE WINSTON CAPITAL GROUP , ,
DUNL ,M ,DUNLEVY & CO., INCORPORATED ,NASDAQ TRADING ,212-888-5730
DURN ,M ,DURIAN SECURITIES, INC. , ,
DVCM ,M ,OMNI FINANCIAL SECURITIES, INC. , ,
DWEC ,M ,DWE CAPITAL MARKETS, INC. , ,
DWYR ,M ,D.R. DWYER & COMPANY , ,
DXBN ,M ,DIXON BRETSCHER NOONAN INC.
EARN ,M ,E. T. ANDREWS & CO., INC. , ,
EASI ,M ,EURO-ATLANTIC SECURITIES INC. , ,
EASY ,M ,EUROPEAN AMERICAN SECURITIES, INC. , ,
EBET ,M ,EMERSON BENNETT & ASSOCIATES , ,
EBRD ,N ,EARLYBIRDCAPITAL, INC. ,NEW YORK, NY ,212-792-8100
ECAM ,M ,EC/AMERICAN SECURITIES CORP. ,NEW YORK NY ,212-754-2950
ECEE ,N ,PENSON FINANCAIL SERVICES CANADA INC. , ,
ECHI ,M ,DJF DISCOUNT BROKERS, INC. ,GREAT NECK, NY ,516-829-2823
ECMX ,M ,ESSEX CAPITAL MARKETS, INC. , ,
ECUT ,M ,BNY ESI & CO., INC. ,NEW YORK, NY ,212-468-7530
EDFM ,M ,MAN INVESTMENT PRODUCTS INC. ,CHICAGO IL ,312-663-7758
EDGE ,M ,EDGETRADE.COM, INC. ,NEW YORK, NY ,212-271-6470
EDGE ,M ,EDGETRADE.COM, INC. ,TRADE BREAKS ,EXT 0
EDJO ,M ,EDWARD JONES ,ST. LOUIS MO ,314-515-3131
EDJO ,M ,EDWARD JONES ,ST.LOUIS MO ,800-288-4221
EDSB ,M ,BLAKESLEE AND BLAKESLEE INC. , ,
EFGC ,M ,EFG CAPITAL INTERNATIONAL , ,
EFGI ,M ,EMPIRE FINANCIAL GROUP, INC. ,ORLANDO, FL ,407-774-1300
EFGI ,M ,EMPIRE FINANCIAL GROUP, INC. ,LONGWOOD FL ,1-800-900-8101
EGRN ,M ,Evergreen Service Inc , ,
EGRO ,M ,EMERGING GROWTH EQUITIES, LTD. ,KING OF PRUSSIA, PA ,610-783-4796
EGRO ,M ,EMERGING GROWTH EQUITIES, LTD. ,NASDAQ/OTCBBTRAD ,877-782-8353
EGSB ,O ,ELECTRONIC GLOBAL SECURITIES, INC. ,SAN FRANCISCO, CA ,415-354-8886
EHCC ,M ,EAST HILL CAPITAL CORP. , ,
EHSJ ,M ,E. H. SMITH JACOBS & CO., INC. ,NASDAQ TRADING ,212-742-8130
EISN ,M ,EISNER SECURITIES, INC. , ,
EIWL ,Q ,EXPORT-IMPORT BANK , ,
EKNS ,M ,EHRENKRANTZ KING NUSSBAUM ,NASDAQ TRADING ,516-396-1254
ELAN ,N ,FIRSTAR INVESTMENT SERVICES,INC. , ,
ELEC ,M ,ELECTRONIC TRADING GROUP, LLC ,NEW YORK, NY ,212-610-2611
ELEC ,M ,ELECTRONIC TRADING GROUP, LLC ,NEW YORK, NY ,212-748-0178
ELEC ,M ,ELECTRONIC TRADING GROUP, LLC ,AFTER HOURS ,404-504-6008
ELEC ,M ,ELECTRONIC TRADING GROUP, LLC ,AFTER HOURS ,212-346-7153
ELIT ,M ,ELITE INVESTMENTS, LLC , ,
ELSH ,M ,ELISH & ELISH SECURITIES , ,
EMAN ,M ,EMANUEL AND COMPANY ,NEW YORK NY ,212-363-4713
EMAN ,M ,EMANUEL AND COMPANY ,NASDAQ TRADING ,800-800-3131
EMBA ,N ,EMBARCADERO SECURITIES, LLC , ,858-457-5197
EMED ,N ,EMEDSECURITIES, INC. , ,
EMEY ,M ,VIEWTRADE FINANCIAL NETWORK, INC. , ,
EMPR ,M ,SELKIRK INVESTMENTS, INC. ,NASDAQ/OTCBB TRADING ,800-541-5558
EMPR ,M ,SELKIRK INVESTMENTS, INC. ,SPOKANE WA ,509-623-1300
EMPR ,M ,SELKIRK INVESTMENTS, INC. ,SPOKANE WA ,800-541-5960
EMXA ,M ,EQUIMETRICS LLC , ,
ENER ,M ,ENERIC FINANCIAL SERVICES, INC. , ,
ENET ,N ,EURONET SECURITIES CORP. ,INTL ,011-34-917-892216
ENOC ,M ,EDGAR M. NORRIS & CO., INC. , ,
EOFR ,N ,E*OFFERING , ,
EPLN ,M ,EPLANNING SECURITIES, INC. , ,
EPOC ,N ,EPOCH PARTNERS , ,
EQAL ,N ,EQUIBOND, INC. ,NASDAQ TRADING ,310-260-6005
EQAL ,N ,EQUIBOND, INC. ,SANTA MONICA CA ,310-260-6000
EQIT ,M ,CANACCORD CAPITAL CORPORATION USA, INC. ,MINNEAPOLIS, MN ,612-338-8158
EQIT ,M ,CANACCORD CAPITAL CORPORATION USA, INC. ,MINNEAPOLIS, MN ,800-328-4598
EQTS ,M ,EQUITY SECURITIES INVESTMENTS, INC. ,MINNEAPOLIS,MN , N/A
EQTS ,M ,EQUITY SECURITIES INVESTMENTS, INC. ,TRADING ,1-800-328-4598
EQTS ,M ,EQUITY SECURITIES INVESTMENTS, INC. ,TRADING ,763-923-2255
EQUI ,M ,EQUITRADE SECURITIES CORPORATION ,LAKE FORREST CA ,949-699-1170
EQUI ,M ,EQUITRADE SECURITIES CORPORATION ,NASDAQ/OTCBB TRADING ,800-266-1170
EQUI ,M ,EQUITRADE SECURITIES CORPORATION ,PACIFIC BEACH,CA , N/A
EQUI ,M ,EQUITRADE SECURITIES CORPORATION ,TRADING DESK ,858-707-0600
EQUS ,M ,EQUITAS AMERICA, LLC , ,
ERCO ,N ,ESSEX RADEZ COMPANY , ,
ERNS ,M ,INVESTEC ERNST & COMPANY ,NEW YORK, NY ,212-898-6330
ERNS ,M ,INVESTEC ERNST & COMPANY ,NEW YORK, NY ,800-845-4330
ERNS ,M ,INVESTEC ERNST & COMPANY ,MIDTOWN, NYC ,212-789-2464
ERNS ,M ,INVESTEC ERNST & COMPANY ,CHICAGO, IL ,312-554-2200
ERNS ,M ,INVESTEC ERNST & COMPANY ,CHICAGO, IL ,800-621-0659
ERNS ,M ,INVESTEC ERNST & COMPANY ,WOODBURY, NY ,516-364-0757
ERNS ,M ,INVESTEC ERNST & COMPANY ,FOREIGN TRADING ,212-898-6350
EROM ,O ,EROOM SECURITIES L.L.C. , ,
ERPO ,M ,EUROPA SECURITIES, LLC ,NASDAQ TRADING ,770-499-7770
ESAS ,M ,E STREET ACCESS ,TRADING ,732-617-8697
ESBI ,M ,CANTOR FITZGERALD PARTNERS ,NEW YORK NY ,212-938-8670
ESCA ,M ,ESCALATOR SECURITIES, INC. , ,
ESCP ,M ,EASTERN SECURITIES CORPORATION , ,
ESLK ,N ,EASTLAKE CAPITAL, L.L.C. , ,
ESON ,M ,EASTON & CO. ,NASDAQ TRADING ,212-425-4580
ESPN ,M ,EAST SHORE PARTNERS, INC. ,NEW YORK ,516-752-1530
ESSX ,M ,ESSEX PARTNERS, LTD. , ,
ESTA ,M ,EQUITY STATION, INC. ,TRADING DESK ,954-938-2010
ETAI ,N ,EQUITY TRUST ADVISORS, INC. , ,
ETDS ,O ,E T D SECURITIES ,RENO, NEVADA ,800-373-2789
ETEX ,M ,E*TRADE CAPITAL INC. , ,
ETRS ,M ,E*TRADE SECURITIES, INCORPORATED ,NASDAQ TRADING ,650-842-8922
ETSB ,N ,JOSEPH GRACE , ,
EURF ,Q ,EUROAMERICAN FINANCIAL LIMITED L.L.C. , ,
EVRN ,M ,FIRST UNION SECURITIES, INC. , ,
EWGC ,P ,EWING CAPITAL, INC. , ,
EWSC ,M ,EAST/WEST SECURITIES CO. ,NASDAQ TRADING ,415-397-3400
EXCL ,M ,WILLIAM BARTON FINANCIAL, INC. , ,
EXCO ,M ,EXCO RMJ INTERNATIONAL INC. ,ADR TRADING ,212-668-5266
EXCO ,M ,EXCO RMJ INTERNATIONAL INC. ,INTERNATIONAL ,212-668-5267
EXCO ,M ,EXCO RMJ INTERNATIONAL INC. ,LISTED ,212-668-3244
EXCO ,M ,EXCO RMJ INTERNATIONAL INC. ,NASDAQ ,212-668-1406
EXCS ,M ,EXCEL SECURITIES & ASSOCIATES, INC. , ,
EXEC ,N ,ETS SECURITIES, INC. , ,
EXPN ,M ,EXPANSION CAPITAL SECURITIES , ,
EXTT ,N ,EXT ELECTRONIC EXCHANGE TRADING, INC. ,CHICAGO, IL ,312-207-0574
EYES ,M ,ICAPITAL MARKETS LLC ,TRADING OPERATIONS ,201-761-7775
EYES ,M ,ICAPITAL MARKETS LLC ,BULLETIN BOARD ,201-433-3890
FABS ,M ,FIRST AMERICAN BILTMORE SECURITIES, INC. , ,
FACE ,M ,FLEMMING, ANDERSON, COHEN & LEE, INC. , ,
FACT ,M ,FIRST ALBANY CORPORATION ,NASDAQ TRADING, CA ,800-474-4554
FACT ,M ,FIRST ALBANY CORPORATION , ,415-856-2677
FACT ,M ,FIRST ALBANY CORPORATION ,ALBANY, NY ,518-447-8638
FACT ,M ,FIRST ALBANY CORPORATION ,. ,800-541-5061
FACT ,M ,FIRST ALBANY CORPORATION ,NEW YORK,NY ,888-413-2286
FACT ,M ,FIRST ALBANY CORPORATION ,. ,212-273-7272
FACT ,M ,FIRST ALBANY CORPORATION ,PREFERRED DESK ,518-447-8050
FACT ,M ,FIRST ALBANY CORPORATION ,CONVERTIBLE DESK ,212-273-7219
FACT ,M ,FIRST ALBANY CORPORATION , ,800-235-7640
FAHN ,M ,FAHNESTOCK & CO. INC. ,NEW YORK NY ,212-422-7813
FAHN ,M ,FAHNESTOCK & CO. INC. ,CONVERTIBLE BONDS ,212-668-5764
FAHN ,M ,FAHNESTOCK & CO. INC. , ,800-682-5381
FAHN ,M ,FAHNESTOCK & CO. INC. ,NASDAQ/OTCBB TRADING ,212-422-7813
FAHN ,M ,FAHNESTOCK & CO. INC. ,LISTED DESK ,[phone]
FAHN ,M ,FAHNESTOCK & CO. INC. ,INSTITUTIONAL DEP'T ,[phone]
FAHN ,M ,FAHNESTOCK & CO. INC. ,D-DETROIT TRADING ,313-566-2354
FAHN ,M ,FAHNESTOCK & CO. INC. ,D-DETROIT TRADING ,800-521-8042
FALJ ,M ,FIRST AFFILIATED SECURITIES, INC. , ,
FALK ,N ,STEVEN L. FALK & ASSOCIATES INC. , ,
FANA ,M ,FIRST ANALYSIS SECURITIES CORPORATION ,CHICAGO, IL ,312-258-0261
FANA ,M ,FIRST ANALYSIS SECURITIES CORPORATION ,NASDAQ TRADING ,888-900-3262
FANC ,M ,FINANCE 500, INC. ,NASDAQ TRADING ,714-253-3430
FANO ,M ,FANO SECURITIES LLC ,NASDAQ TRADING ,203-625-0504
FANO ,M ,FANO SECURITIES LLC ,TRADING DESK ,203-863-7721
FARM ,M ,EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC. , ,
FASI ,M ,FINANCIAL AMERICA SECURITIES, INC. ,CLEVELAND, OH ,216-781-5060
FASI ,M ,FINANCIAL AMERICA SECURITIES, INC. ,OTC TRADING ,800-873-7045
FAST ,M ,FIRST ALLIED SECURITIES, INC. ,SAN DIEGO CA ,800-499-5497
FASW ,M ,FAS WEALTH MANAGEMENT SERVICES, INC. , ,
FATL ,M ,FIN-ATLANTIC SECURITIES, INC. , ,
FATS ,Q ,FIRST BROKERS SECURITIES, INC. ,NEW YORK, NY ,212-513-4444
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,NEW YORK, NY ,800-752-5114
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,NEW YORK, NY ,212-325-3447
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,NASDAQ INT'L ,011-4471-322-4580
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,ARBITRAGE ,212-325-3583
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,FOREIGN TRADING ,212-325-3441
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,WARRANT TRADING ,212-325-3399
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,PREFERRED TRADING ,212-322-3288
FBCO ,M ,CREDIT SUISSE FIRST BOSTON CORPORATION ,CONVERTIBLES ,212-325-3399
FBII ,Q ,FEDERAL BUREAU OF INVESTIGATION , ,
FBIS ,M ,FBD INVESTMENT SERVICES, INC. ,LEAWOOD, KS ,913-491-5111
FBLC ,M ,FREIMARK BLAIR & COMPANY, INC. ,MILLBURN NJ ,973-467-0095
FBNW ,M ,FLOOR BROKER NETWORK, INC. , ,
FBRC ,M ,FRIEDMAN, BILLINGS, RAMSEY & CO., INC. ,ROSLYN VA ,703-312-9500
FBRC ,M ,FRIEDMAN, BILLINGS, RAMSEY & CO., INC. ,NASDAQ TRADING ,703-312-9550
FBRC ,M ,FRIEDMAN, BILLINGS, RAMSEY & CO., INC. ,NASDAQ TRADING ,800-688-FBRC
FBRC ,M ,FRIEDMAN, BILLINGS, RAMSEY & CO., INC. ,NASDAQ TRADING ,800-688-3272
FBRC ,M ,FRIEDMAN, BILLINGS, RAMSEY & CO., INC. ,HIGH YIELD/PREFERRED ,888-200-4290
FBSB ,M ,FBS BROKERAGE SERVICES, INC. ,MINNEAPOLIS, MN ,612-973-1122
FBWA ,M ,FERRIS, BAKER WATTS INCORPORATED ,BALTIMORE MD ,410-659-4616
FBWA ,M ,FERRIS, BAKER WATTS INCORPORATED ,NASDAQ/OTCBB TRADING ,800-638-7411
FBWA ,M ,FERRIS, BAKER WATTS INCORPORATED ,PREFERRED ,410-230-2230
FCCP ,M ,FIRST CLEARING CORPORATION ,NASDAQ AGENCY/RICH. ,800-446-1016
FCCP ,M ,FIRST CLEARING CORPORATION ,CLEARING DIVISION ,804-965-2493
FCDF ,N ,CT SECURITIES INC. , ,
FCGA ,M ,FCG ADVISORS, LLC ,CHATHAM, NJ ,[phone]
FCIL ,P ,FIRST CAPITAL INVESTMENTS, INC. , ,
FCLV ,M ,1ST CLEVELAND SECURITIES CORP , ,
FCMC ,Q ,FREEDOM CAPITAL MANAGEMENT CORPORATION , ,
FCOB ,Q ,FISHER COLLEGE OF BUSINESS/THE OHIO STATE UNIVERSITY , ,
FCON ,M ,FINANCIAL CONSULTANT GROUP, LLC ,NASDAQ TRADING ,201-635-0229
FCRR ,M ,FIRST OPTIONS OF CHICAGO, INC./RETAIL , ,
FCVA ,M ,FINANCIAL CORPORATION OF VIRGINIA , ,
FDDL ,O ,FD DE LEEUW & ASSOCIES, TRADE DESK AMERICA , ,
FDMI ,M ,FREEDOM INVESTMENTS, INC. ,NASDAQ TRADING ,402-431-8500
FDSC ,M ,1ST DISCOUNT BROKERAGE, INC. ,NASDAQ TRADING ,561-883-9710
FDSI ,M ,FIRST DALLAS SECURITIES INCORPORATED ,DALLAS, TX ,214-954-1177
FECF ,M ,FIRST EQUITY CORPORATION OF FLORIDA , ,
FEDE ,M ,FECHTOR, DETWILER & CO., INC. ,BOSTON, MA ,617-747-0192
FEDE ,M ,FECHTOR, DETWILER & CO., INC. ,BOSTON, MA ,800-225-6792
FEDM ,M ,FEDERATED MANAGEMENT INC. , ,
FEDR ,M ,FEDERATED SECURITIES, INC. , ,
FELT ,M ,FELTMAN & CO , ,
FEMG ,M ,CONCORD SERVICES L.L.C. ,CHICAGO, IL ,312-444-1755
FERE ,M ,FINANCIAL EQUITIES RESOURCES, INC. , ,
FFCI ,N ,FRONTIER FINANCIAL CONSULTANTS, INC. , ,
FFEC ,M ,FIRST FINANCIAL EQUITY CORPORATION ,TRADING ,480-951-5204
FFFG ,M ,First Data Corp. , ,
FFIG ,M ,FORTIS ADVISORS , ,
FFPS ,N ,FFP SECURITIES, INC. ,CHESTERFIELD, MO ,612-341-8761
FFSI ,M ,FIRSTRADE SECURITIES INC. ,FLUSHING, NY ,718-961-6600
FGCC ,M ,1ST GLOBAL CAPITAL CORP. , ,
FGIC ,M ,FINANCORP GROUP INTERNATIONAL CORPORATION , ,
FGIS ,M ,SAL FINANCIAL SERVICES, INC. , ,
FGOE ,M ,FIRST GEORGETOWN SECURITIES, INC. ,ALEXANDRIA,VA ,703-519-7700
FGOE ,M ,FIRST GEORGETOWN SECURITIES, INC. ,NATIONAL ,800-424-2993
FGRT ,M ,FIRST GRANITE SECURITIES, INC. , ,
FGSS ,N ,FIRST GLOBAL SECURITIES, INC. , ,
FGUA ,M ,FIRST GUARANTOR SECURITIES INC. ,KANSAS CITY, MO ,816-561-5522
FHSI ,M ,FANEUIL HALL SECURITIES, INC. ,BOSTON MA ,617-742-7494
FHSI ,M ,FANEUIL HALL SECURITIES, INC. ,NASDAQ TRADING ,800-747-7491
FIAI ,M ,FIA CAPITAL GROUP, INC. ,PARSIPPANY NJ ,973-402-2500
FIAI ,M ,FIA CAPITAL GROUP, INC. ,NASDAQ/OTCBB TRADING ,800-878-6256
FICA ,M ,FIRST CHOICE SECURITIES CORP. , ,
FIDC ,P ,Fidelity Investments , ,
FIDU ,M ,FIDUCIARY MANAGEMENT, INC. , ,
FIEC ,M ,FIRST INTERREGIONAL EQUITY CORP. ,PHILADELPHIA, PA ,[phone]
FIFI ,M ,FIDELITY FINANCIAL GROUP, INC. ,NASDAQ TRADING ,702-871-8510
FIGI ,M ,FIRST INDEPENDENCE GROUP INC. , ,
FILL ,O ,TRADESTATION SECURITIES, INC. ,BOCA RATON, FL ,[phone]
FIMC ,M ,FIRST INVESTORS MANAGEMENT COMPANY, INC. , ,
FIME ,M ,FIRM INVESTMENT CORP , ,
FINA ,M ,VALORES FINAMEX INTERNATIONAL, INC. ,NASDAQ TRADING ,212-572-3600
FINE ,M ,FINE EQUITIES, INC. ,NEW YORK, NY ,212-687-0888
FINL ,M ,INVESCO DISTRIBUTORS, INC. , ,
FINN ,M ,JOHN FINN & COMPANY, INC. ,NASDAQ TRADING ,513-579-0066
FINV ,M ,FIRST AVANTUS SECURITIES, INC. , ,214-265-1678
FINW ,M ,FINANCIAL WEST GROUP ,NASDAQ TRADING ,805-497-9222
FIRF ,M ,FIRST RESEARCH FINANCIAL ,DALLAS, TX ,972-239-0617
FIRS ,M ,FIRST INSTITUTIONAL SECURITIES, L.L.C. ,NASDAQ TRADING ,973-247-9323
FISF ,M ,FIRST SAXONIA SECURITIES, INC. , ,
FISH ,M ,L. B. FISHER & COMPANY ,NASDAQ TRADING ,214-733-4800
FITD ,M ,FIFTH THIRD SECURITIES, INC. , ,
FJMC ,M ,F.J. MORRISSEY & CO., INC. ,PHILADELPHIA, PA ,215-563-8500
FJMC ,M ,F.J. MORRISSEY & CO., INC. ,NASDAQ TRADING ,215-563-3295
FJMC ,M ,F.J. MORRISSEY & CO., INC. ,NASDAQ TRADING ,800-842-8928
FJMC ,M ,F.J. MORRISSEY & CO., INC. ,TEMP NUMBER ,215-563-2090
FKNR ,M ,The Franklin Resources, Inc. , ,
FKSC ,M ,FIRST KENTUCKY SECURITIES CORPORATION ,FRANKFURT, KY ,502-875-4661
FLCN ,P ,FALCON RESEARCH, INC. ,PALO ALTO, CA ,650-688-3110
FLCR ,M ,FULCRUM GLOBAL PARTNERS LLC ,NEW YORK, NY ,212-803-9010
FLCR ,M ,FULCRUM GLOBAL PARTNERS LLC ,TOLL FREE ,866-803-9010
FLDL ,N ,FIELD LOGAN & CO., LLC , ,
FLEE ,M ,FLEET SECURITIES, INC. , ,
FLET ,M ,FLETCHER SECURITIES, INC. , ,
FLGR ,M ,PFLUEGER & BAERWALD INC. ,NASDAQ TRADING ,415-421-4171
FLMG ,M ,ROBERT FLEMING INC. , ,
FLMM ,M ,FLEMING SECURITIES INCORPORATED ,TRADING ,480-419-7995
FLMM ,M ,FLEMING SECURITIES INCORPORATED , ,480-419-7811
FLNK ,O ,FINANCIAL LINKS, INC. ,NEEDHAM, MA ,781-455-0193
FLRD ,M ,FRANKLIN-LORD, INC. ,SCOTTSDALE AZ ,602-947-0974
FLRD ,M ,FRANKLIN-LORD, INC. ,OTC TRADING ,800-755-9996
FLSC ,M ,FIRST LONDON SECURITIES CORPORATION ,DALLAS TX ,214-220-0699
FLSC ,M ,FIRST LONDON SECURITIES CORPORATION ,WATTS ,800-210-2251
FLTC ,M ,FLEET CLEARING CORPORATION ,NEW YORK NY ,212-806-2895
FPKI ,M ,FOX-PITT,KELTON INCORPORATED ,NEW YORK, NY ,212-687-1328
FPKI ,M ,FOX-PITT,KELTON INCORPORATED ,NEW YORK, NY ,212-687-1105
FPKI ,M ,FOX-PITT,KELTON INCORPORATED ,NEW YORK, NY ,800-367-5528
FPRO ,M ,FIRST PROVIDENCE FINANCIAL GROUP, LLC , ,
FRAN ,M ,WM. V. FRANKEL & CO., INCORPORATED ,JERSEY CITY, NJ ,201-434-5005
FRAN ,M ,WM. V. FRANKEL & CO., INCORPORATED ,NEW YORK, NY ,212-943-6633
FRAN ,M ,WM. V. FRANKEL & CO., INCORPORATED ,NEW YORK, NY ,800-631-3091
FRDK ,M ,FREDERICK & COMPANY, INC. , ,
FREE ,M ,FREEHLING & CO. , ,
FREM ,M ,NATIVE NATIONS SECURITIES, INC. , ,
FREY ,M ,D.E. FREY & COMPANY, INC. , ,
FRGP ,M ,FORGE FINANCIAL GROUP, INC. ,BOCA RATON, FL ,TRADING - 561-416-1348
FRSC ,N ,CABRERA CAPITAL MARKETS, INC. , ,
FRSI ,M ,FROST SECURITIES, INC. ,DALLAS, TX ,214-515-4421
FRSI ,M ,FROST SECURITIES, INC. , ,877-491-9876
FRST ,M ,FIRSTIER SECURITIES, INC. , ,
FRTH ,M ,PHILADELPHIA BROKERAGE CORPORATION ,NASDAQ TRADING ,610-975-9990
FRTN ,M ,FORTUNE SECURITIES, INC. , ,
FRWE ,M ,HARRIS INVESTORLINE INC. ,SEATTLE, WA ,206-382-5371
FSCO ,M ,FIERO BROTHERS INC. ,TRADING ,212-962-8055
FSCS ,M ,FSC SECURITIES CORPORATION ,ATLANTA,GA ,770-916-6514
FSCS ,M ,FSC SECURITIES CORPORATION , ,800-772-3375
FSFS ,O ,ING FURMAN SELZ FINANCIAL SERVICES LLC ,NEW YORK, NY ,212-309-8597
FSIC ,N ,FIRST SECURITY INVESTMENTS, INC. ,FT. LAUDERDALE, FL ,800-766-4223
FSIC ,N ,FIRST SECURITY INVESTMENTS, INC. ,KINGSTON PA. ,800-964-2640
FSII ,M ,FORSYTH SECURITES, INC. , ,
FSIT ,M ,GLOBALVEST SECURITIES, (USA), INC , ,
FSMI ,M ,FIRST ASSET MANAGEMENT, INC. , ,
FSNW ,M ,FIRST SECURITIES NORTHWEST, INC. ,PORTLAND, OR ,503-241-7750
FSRV ,M ,FISERV CORRESPONDENT SERVICES, INC. , ,
FSSG ,M ,FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED ,TAMPA FL ,813-282-3497
FSSG ,M ,FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED ,NASDAQ TRADING ,800-299-3497
FSTR ,M ,FOSTER JEFFRIES SECURITIES, LLC ,WESTBURY,NY ,516-227-1155
FSTR ,M ,FOSTER JEFFRIES SECURITIES, LLC ,NASDAQ TRADING ,516-227-2212
FSWC ,M ,FIRST SOUTHWEST COMPANY ,DALLAS, TX ,214-953-4100
FSWC ,M ,FIRST SOUTHWEST COMPANY ,DALLAS, TX ,800-765-3792
FTBR ,N ,FOLIOFN INVESTMENTS, INC. ,HERNDON, VA ,703-245-4883
FTCO ,Q ,FIDUCIARY TRUST CO. INTERNATIONAL , ,
FTEN ,M ,FIRST TENNESSEE BROKERAGE, INC. ,MEMPHIS, TN ,901-537-2600
FTSI ,M ,FIRST TRYON SECURITIES, INC. , ,
FUCM ,M ,FIRST UNION CAPITAL MARKETS CORP. , ,
FUHR ,M ,FUHRMAN - MATT SECURITIES, INC. ,PHILADELPHIA, PA ,215-496-1580
FUND ,M ,FIRST UNITED EQUITIES CORPORATION , ,
FWAK ,M ,FORBES, WALSH, KELLY & CO., INC. , ,
FWCO ,M ,FIRST WASHINGTON CORPORATION ,SEATTLE, WA ,206-224-1660
FWHS ,M ,FIRST WESTCHESTER SECURITIES ,SOMERS NY ,914-277-5821
FWHS ,M ,FIRST WESTCHESTER SECURITIES ,GREAT NECK NY ,516-466-8204
FWIL ,M ,FIRST WILSHIRE SECURITIES MANAGEMENT, INC. , ,
FWSC ,M ,FEELEY & WILLCOX SECURITIES CORP. , ,
FWSI ,N ,FIRST WESTERN SECURITIES, INC. ,NASDAQ TRADING ,817-921-0175
FWSI ,N ,FIRST WESTERN SECURITIES, INC. , ,817-921-9816
FWSI ,N ,FIRST WESTERN SECURITIES, INC. ,FORT WORTH, TEXAS ,800-327-1279
GABE ,M ,GABELLI & COMPANY, INC. ,RYE NY ,914-921-5153
GAFI ,M ,GARDNER FINANCIAL SERVICES, INC. , ,
GAGN ,N ,GAGNON SECURITIES, LLC , ,
GAME ,O ,GLOBAL-AMERICAN INVESTMENTS, INC. ,NEW YORK ,212-363-1493
GAMM ,M ,GAMMA CAPITAL SECURITIES, INC , ,
GANT ,M ,J. W. GANT & ASSOCIATES, INC. , ,
GARA ,N ,GARANTIA INC. , ,
GARB ,M ,GARBAN CORPORATES LLC ,NEW YORK NY ,212-341-9900
GATW ,M ,GATEWAY CAPITAL INVESTMENT GROUP INC. , ,
GBET ,M ,GRANT BETTINGEN, INC. , ,
GBMS ,M ,GBM INTERNATIONAL, INC. ,HOUSTON TX ,281-295-4500
GBMS ,M ,GBM INTERNATIONAL, INC. ,NASDAQ/OTCBB TRADING ,281-295-4500
GBSL ,M ,GBS FINANCIAL CORP. ,NASDAQ TRADING ,818-248-5558
GCAD ,M ,GLENBARD SECURITIES, L.L.C. ,GLEN ELLYN, IL ,630-545-9800
GCAP ,M ,GLOBAL CAPITAL SECURITIES CORPORATION ,DENVER AGENCY ,800-877-7796
GCAP ,M ,GLOBAL CAPITAL SECURITIES CORPORATION ,DENVER AGENCY ,303-694-2253
GCAP ,M ,GLOBAL CAPITAL SECURITIES CORPORATION ,LONG ISLD PRINCIPAL ,888-989-6291
GCAP ,M ,GLOBAL CAPITAL SECURITIES CORPORATION ,LONG ISLD PRINCIPAL ,888-462-4380
GCAP ,M ,GLOBAL CAPITAL SECURITIES CORPORATION ,LONG ISLD PRINCIPAL ,631-753-5715
GCLI ,M ,GATES CARTER LEVI INC. , ,
GCMT ,O ,GOLD CAPITAL MANAGEMENT INC. , ,
GDCO ,M ,GILBERT, DONIGER & CO., INC. ,TRADING ROOM ,212-888-5151
GDMN ,M ,GELDERMANN SECURITIES INC. ,CHICAGO, IL ,312-902-6000
GDSC ,N ,GIORDANO DELLACAMERA SECURITIES LLC ,STAMFORD, CT ,203-975-1330
GEEK , ,GEEK SECURITIES, INC. ,BOCA RATON, FL ,561-862-0134
GELD ,M ,GELDERMANN SECURITIES, INC. ,CHICAGO, IL ,312-993-4082
GELZ ,M ,GOELZER INVESTMENT MANAGEMENT , ,
GENE ,M ,GENEVA CAPITAL CORP. , ,
GENS ,N ,GENERAL SECURITIES CORP , ,
GESE ,N ,SONIC TECHNOLOGIES LLC ,TRADING D/R SITE ,212-363-3959
GESE ,N ,SONIC TECHNOLOGIES LLC ,NEW YORK, NY ,212-905-7600
GESE ,N ,SONIC TECHNOLOGIES LLC , ,866-766-4201
GESI ,M ,JWGENESIS FINANCIAL GROUP, INC , ,
GFBI ,M ,G.F.B. SECURITIES, INC. , ,
GFFH ,P ,WS GRIFFITH SECURITIES, INC. ,NASDAQ TRADING ,800-748-5758
GFIG ,M ,GFI SECURITIES LLC ,NEW YORK, NY , N/A
GFIG ,M ,GFI SECURITIES LLC ,LATIN/ASIA ,212-968-4171
GFIG ,M ,GFI SECURITIES LLC ,EURO/DOMESTIC ,212-968-2726
GFIG ,M ,GFI SECURITIES LLC ,TOLL FREE ,800-456-4341
GFIN ,M ,GRANITE FINANCIAL GROUP, INC. ,SAN DIEGO, CA ,858-509-8807
GFSI ,M ,GLOBAL FINANCIAL SERVICES, INC. ,NASDAQ TRADING ,713-968-0400
GGET ,M ,GARBAN GIORGIO EQUITY TRADING LLC ,GREENWICH, CT ,203-302-9217
GGLP ,O ,GREENWICH GLOBAL, LLC ,STAMFORD, CT ,203-940-8821
GGRP ,M ,GINSBERG & GARIPOLI SECURITIES CORP. , ,
GGWI ,M ,GAGE-WILEY & CO., INC. , ,
GHCC ,M ,GORDON, HASKETT CAPITAL CORPORATION ,NEW YORK NY ,212-883-6893
GHCG ,M ,GOLDEN HARRIS CAPITAL GROUP, INC. ,WEST ORANGE, NJ ,[phone]
GHCO ,M ,GRADY AND HATCH & COMPANY, INC. , ,
GHYL ,N ,GREENWICH HIGH YIELD LLC , ,
GIBR ,M ,GIBRALTAR SECURITIES CO. , ,
GILG ,M ,GILDER GAGNON HOWE & CO. LLC ,NEW YORK, NY ,212-765-2508
GINT ,N ,Gintel & Company ,NASDAQ TRADING ,203-622-6570
GIRL ,M ,GIRARD SECURITIES, INC. ,NASDAQ TRADING ,619-584-7099
GISC ,M ,GUARDIAN INTERNATIONAL SECURITIES CORP. , ,
GISI ,M ,GLOBAL INVESTMENT SERVICES, INC. ,CHICAGO,IL ,312-580-6719
GITS ,N ,GIT SECURITIES CORPORATION , ,
GIVE ,M ,GENESEE INVESTMENT CORPORATION , ,
GJSS ,M ,GREGORY J. SCHWARTZ & CO., INC. , ,
GKMC ,M ,GERARD KLAUER MATTISON & CO., INC. ,NEW YORK, NY ,212-338-8970
GKMC ,M ,GERARD KLAUER MATTISON & CO., INC. ,NEW YORK , NY ,800-835-5313
GKNS ,M ,GKN SECURITIES CORP. ,NEW YORK NY ,212-425-8556
GKNS ,M ,GKN SECURITIES CORP. ,NASDAQ/OTCBB TRADING ,212-425-8556
GKNS ,M ,GKN SECURITIES CORP. ,SWITCHBOARD ,800-872-8155
GKSC ,M ,G. K. SCOTT & CO., INC. , ,
GLAS ,M ,THE GLASER CAPITAL CORPORATION , ,
GLBB ,M ,GLOBAL FINANCIAL GROUP, INC. , ,
GLBE ,M ,WORLD SECURITIES, INC. , ,
GLBL ,M ,GLOBAL AMERICA INCORPORATED , ,
GLBX ,M ,REPUBLIC SECURITIES, INC. , ,
GLDS ,M ,LIT AMERICA, INC. ,CHICAGO IL ,312-435-5246
GLFG ,N ,J. P. GIBBONS & CO., INC. , ,
GLIC ,M ,GLICKENHAUS & CO. ,NEW YORK, NY ,212-953-7860
GLIC ,M ,GLICKENHAUS & CO. ,NEW YORK, NY ,212-953-7818
GLIS ,M ,TD SECURITIES INC ,ONTARIO, CANADA ,416-307-7638
GLOW ,M ,GLOBAL EQUITIES GROUP, INC , ,
GLSC ,M ,GLOBALNETSECURITIES CORP. , ,
GLWD ,M ,GLENWOOD SECURITIES, INC. , ,
GLYN ,M ,J.A. GLYNN & CO. ,ST. LOUIS, MO , 314-997-1277
GMCK ,M ,GEORGE MCKELVEY CO., INC. , ,
GMCO ,M ,GILBERT MARSHALL & COMPANY ,DENVER CO ,800-888-1930
GMCO ,M ,GILBERT MARSHALL & COMPANY , ,970-352-0790
GMEN ,M ,A.S. GOLDMEN & CO., INC. , ,
GMFC ,M ,GENE MORGAN FINANCIAL , ,
GMFI ,M ,GLENN MICHAEL FINANCIAL, INC. ,MELVILLE, NY ,631-755-3054
GMFI ,M ,GLENN MICHAEL FINANCIAL, INC. ,HACKENSACK,NJ ,201-489-8222
GMFI ,M ,GLENN MICHAEL FINANCIAL, INC. , ,201-489-8383
GMFI ,M ,GLENN MICHAEL FINANCIAL, INC. , ,888-686-9866
GMIS ,M ,GREATER METROPOLITAN INVESTMENT SERVICES, INC. ,MENDHAM,NEW JERSEY ,973-543-9500
GMST ,M ,GMST WORLD MARKETS, INC. ,ACT SERVICE DESK , N/A
GMST ,M ,GMST WORLD MARKETS, INC. , ,516-333-8701
GMST ,M ,GMST WORLD MARKETS, INC. ,FLORIDA ,877-915-4678
GMST ,M ,GMST WORLD MARKETS, INC. ,FLORIDA ,407-585-7680
GNAV ,N ,GREEN STREET ADVISORS, INC. , ,
GNDT ,O ,GENESIS DAY TRADE, LLC , ,718-886-8806
GNET ,C ,GLOBENET SECURITIES, INC. ,WINTER PARK, FL ,407-599-9900
GNET ,C ,GLOBENET SECURITIES, INC. ,TRADING DESK ,888-599-4088
GNLN ,M ,GUNNALLEN FINANCIAL, INC ,TRADING ,813-289-2961
GNTL ,M ,GINTEL & CO., LLC , ,
GNTS ,N ,GREAT NATION INVESTMENT CORPORATION , ,
GNVA ,M ,GENEVA SECURITIES,INC. , ,
GOFI ,M ,GOLDIS FINANCIAL GROUP, INC. ,N-GARDEN CITY NY ,516-357-8965
GOGO ,O ,GO TRADING, INC. ,LOS ANGELES, CA ,310-477-7155
GOHS ,M ,GOLDSMITH & HARRIS INCORPORATED , ,
GOOD ,M ,GREENWOOD PARTNERS L.P. ,JENKINTOWN, PA ,215-886-5595
GORD ,M ,GORDON & CO. ,NEWTON, MA ,617-964-6672
GOWL ,M ,GOWELL SECURITIES CORPORATION ,BOSTON, MA ,617-742-5313
GOWL ,M ,GOWELL SECURITIES CORPORATION ,BOSTON, MA ,800-343-9134
GPAC ,N ,Great American Fixed Income Securities - Clearing Account , ,
GPCG ,N ,GREENMAN PARKER CONNALLY GREENMAN INCORPORATED ,FORT WORTH, TX ,[phone]
GPSF ,O ,GEORGIA PACIFIC SECURITIES CORPORATION ,VANCOUVER, B.C. ,604-668-1800
GPSS ,N ,GREAT PACIFIC FIXED INCOME SECURITIES, INC. ,IRVINE, CA ,714-863-9500
GRAC ,M ,GRACE BROTHERS LTD. ,NASDAQ TRADING ,847-733-1230
GRAD ,M ,GRADISON & COMPANY INCORPORATED , ,
GRAN ,N ,GRANITE CAPITAL MANAGEMENT , ,
GRAT ,M ,GRATTAN FINANCIAL SECURITIES, INC. , ,
GRDN ,M ,GORDON CAPITAL INC. , ,
GREA ,N ,GREAT EASTERN SECURITIES, INC. , ,
GREE ,M ,GREELEY SECURITIES, INC. , ,
GREN ,M ,THOMAS GREEN SECURITIES, INC. ,LOS ANGELES CA ,213-228-0200
GREN ,M ,THOMAS GREEN SECURITIES, INC. ,LOS ANGELES CA ,800-421-0296
GREY ,M ,SALOMON GREY FINANCIAL CORPORATION ,TRADING DESK ,972-934-7043
GRFC ,M ,GRF CAPITAL INVESTORS, INC. , ,
GRIF ,M ,M. GRIFFITH, INC. ,NEW HARTFORD, NY ,315-797-0130
GRIL ,M ,GLOBAL RESOURCE INVESTMENTS, LTD. ,CARLSBAD, CA ,888-848-7828
GRIL ,M ,GLOBAL RESOURCE INVESTMENTS, LTD. , ,619-943-3939
GRIL ,M ,GLOBAL RESOURCE INVESTMENTS, LTD. ,FAX NUMBER ,619-943-3938
GRLN ,M ,DAVID J. GREENE AND COMPANY, LLC ,NEW YORK, NY ,212-371-4200
GRNL ,M ,GRENEL & CO., LLC ,NEW YORK, NY ,[phone]
GRNT ,M ,MARCH CAPITAL CORP. , ,
GROW ,M ,PACIFIC GROWTH EQUITIES, INC. ,SAN FRANCISCO CA ,415-274-6811
GROW ,M ,PACIFIC GROWTH EQUITIES, INC. ,NASDAQ/OTCBB TRADING ,800-828-4779
GRSC ,M ,G.R. STUART & COMPANY, INC. , ,
GRSI ,M ,GLEN RAUCH SECURITIES, INC. ,NEW YORK, NY ,212-363-9760
GRST ,M ,GARDEN STATE SECURITIES, INC. ,LISTED ,732-972-9400
GRST ,M ,GARDEN STATE SECURITIES, INC. ,NASDAQ ,732-972-0789
GRST ,M ,GARDEN STATE SECURITIES, INC. ,WALL, NEW JERSEY ,732-280-6886
GRST ,M ,GARDEN STATE SECURITIES, INC. , ,877-477-7862
GRST ,M ,GARDEN STATE SECURITIES, INC. , ,877-477-8762
GRUN ,M ,GRUNTAL & CO., L.L.C. ,NASDAQ TRADING ,201-395-1834
GRUN ,M ,GRUNTAL & CO., L.L.C. ,ARBITRAGE ,212-820-8591
GRUN ,M ,GRUNTAL & CO., L.L.C. ,DISASTER TRADING ,800-223-7632
GRWC ,N ,GRW CAPITAL CORPORATION ,WASHINGTON D.C. ,202-682-4141
GSCF ,M ,Global Securities Corporation , ,
GSCO ,M ,GOLDMAN, SACHS & CO. ,NEW YORK, NY ,212-902-8600
GSCO ,M ,GOLDMAN, SACHS & CO. ,NEW YORK, NY ,800-221-8320
GSCO ,M ,GOLDMAN, SACHS & CO. ,NASDAQ INT'L ,011-4471-774-1584
GSCO ,M ,GOLDMAN, SACHS & CO. ,AGENCY DESK ,212-902-8610
GSCO ,M ,GOLDMAN, SACHS & CO. ,JAPANESE SHARES ,212-902-0899
GSCO ,M ,GOLDMAN, SACHS & CO. ,ASIAN SHARES ,212-902-8677
GSCO ,M ,GOLDMAN, SACHS & CO. ,CANADIAN SHARES ,212-902-3801
GSCO ,M ,GOLDMAN, SACHS & CO. ,EUROPEAN SHARES ,212-902-1115
GSCO ,M ,GOLDMAN, SACHS & CO. ,LATIN AMER SHARES ,212-902-8505
GSCO ,M ,GOLDMAN, SACHS & CO. ,UK SHARES ,212-902-1232
GSCO ,M ,GOLDMAN, SACHS & CO. ,ARBITRAGE ,212-902-8525
GSCO ,M ,GOLDMAN, SACHS & CO. ,CONVERTIBLES ,212-902-8535
GSCO ,M ,GOLDMAN, SACHS & CO. ,PREFERRED TRADING ,212-902-8390
GSGI ,M ,GLOBAL STRATEGIES GROUP, INC. , ,
GSSI ,M ,GRAY SEIFERT SECURITIES INC. , ,
GSTO ,M ,GS2 SECURITIES, INC. ,TRADING ,414-277-4420
GSTO ,M ,GS2 SECURITIES, INC. ,TRADING ,1-800-898-4413
GSTS ,N ,B.C. ZIEGLER AND COMPANY , ,
GTCX ,M ,GTC LIMITED PARTNERSHIP , ,
GTRD ,M ,G-TRADE CAPITAL CORP. , ,
GTRN ,M ,GORIAN INVESTMENT GROUP, INC. ,NASDAQ TRADING ,909-888-7551
GTSL ,M ,GOLDEN TRIANGLE SECURITIES LLC , ,
GULF ,M ,GULFSTREAM FINANCIAL ASSOCIATES, INC. , ,
GURU ,M ,NEWBY & COMPANY ,ROCKVILLE MD ,301-948-6352
GURU ,M ,NEWBY & COMPANY ,NASDAQ/OTCBB TRADING ,800-456-3992
GUYS ,O ,BLS SECURITIES, LLC , ,
GUZM ,M ,GUZMAN & COMPANY ,MIAMI FL ,305-374-5673
GUZM ,M ,GUZMAN & COMPANY ,NASDAQ/OTCBB TRADING ,800-642-7638
GVRC ,M ,GVR COMPANY LLC ,CHICAGO IL ,312-986-8882
GVRC ,M ,GVR COMPANY LLC ,NASDAQ TRADING ,800-638-8602
GVRC ,M ,GVR COMPANY LLC ,BULLETIN BOARD ,888-714-0505
GVRC ,M ,GVR COMPANY LLC , ,312-294-7824
GVRC ,M ,GVR COMPANY LLC ,AGENCY ,800-469-7606
GVRC ,M ,GVR COMPANY LLC ,AGENCY ,312-294-7823
GVRN ,N ,G.V.R. Company/Special Account , ,
GWFS ,O ,GREAT WESTERN FINANCIAL SECURITIES CORPORATION , ,
GWRC ,M ,GWR INVESTMENTS, INC. , ,
GWWD ,N ,G. W. & WADE ASSET MANAGEMENT COMPANY, INC.
HABS ,N ,LH ROSS & COMPANY, INC. , ,
HAIG ,M ,HAIGNEY SECURITIES INC. , ,
HALL ,M ,HALL & COMPANY INCORPORATED , ,
HAMB ,M ,AVALON BROKERAGE, INC. , ,
HAMM ,M ,HAMILTON, WILLIAMS & CO., INC. , ,
HAMP ,M ,HAMPSHIRE SECURITIES CORPORATION , ,
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,SAN FRANCISCO, CA ,415-551-8600
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,NASDAQ TRADING ,877-828-4600
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,NASDAQ TRADING ,415-551-3101
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,SALES TRADING ,877-828-4700
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,SALES TRADING ,415-551-3131
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,SEATTLE,WA ,206-254-4150
HAMR ,M ,W.R. HAMBRECHT + CO., LLC ,SEATTLE, WA ,800-206-7511
HANF ,M ,HANIFEN, IMHOFF INC. , ,
HANN ,M ,HANSON ANDERSON SECURITIES CORPORATION , ,
HANO ,M ,LCP CAPITAL CORP. , ,
HANR ,M ,MIGAR ENTERPRISES, INC. , ,
HANS ,N ,SEIBT FINANCIAL SERVICES, INC , ,
HARG ,M ,H G I , ,
HARI ,M ,HARRIS ASSOCIATES SECURITIES L.P. ,NASDAQ TRADING ,312-621-0600
HARP ,M ,PUGET SOUND SECURITIES, INC. , ,
HASF ,N ,HAYWOOD SECURITIES (USA) INC. ,VANCOUVER, B.C. ,604-643-1100
HASK ,M ,HAMERSHLAG, KEMPNER, DODELES, & CO., LLC ,NEW YORK NY ,212-782-0220
HAST ,M ,HANOVER, STERLING & COMPANY LTD. , ,
HAUR ,M ,J. B. HANAUER & CO. ,PARSIPPANY, NJ ,201-533-9000
HAZL ,M ,HAZLETT, BURT & WATSON, INC. , ,
HBCC ,M ,HIGHBRIDGE CAPITAL CORPORATION ,CAYMAN ISLANDS ,212-751-4510
HBCK ,M ,H. BECK, INC. , ,
HBIR ,M ,HENDERSON BROTHERS, INC. , ,
HBKI ,M ,HBK FINANCE L.P. ,FORT WORTH TX ,817-870-6142
HBKI ,M ,HBK FINANCE L.P. ,NASDAQ TRADING ,817-870-6121
HBRW ,M ,HAROLD C. BROWN & CO., INC. ,BUFFALO N.Y. ,716-854-2500
HBSI ,M ,Huntington National Bank (The) , ,
HCAE ,M ,Nasdaq System Symbol/HCAE/800080 ,TRUMBULL, CT ,203-378-0284
HCAP ,M ,HERMITAGE CAPITAL CORPORATION ,NASHVILLE TN ,615-385-2385
HCAP ,M ,HERMITAGE CAPITAL CORPORATION ,NASHVILLE TN ,800-624-6534
HCAP ,M ,HERMITAGE CAPITAL CORPORATION ,NEW YORK,N.Y. ,212-832-3466
HCAP ,M ,HERMITAGE CAPITAL CORPORATION , ,800-755-2106
HCBR ,M ,HCFP BRENNER SECURITIES, LLC ,NEW YORK, NY ,212-707-0405
HCBR ,M ,HCFP BRENNER SECURITIES, LLC , ,800-326-2736
HCFN ,M ,HFC CAPITAL CORP. ,NEW YORK NY ,212-433-7577
HCMC ,N ,HAMPTON CAPITAL MANAGEMENT CORP. , ,
HDLY ,M ,J.J.B. HILLIARD, W.L. LYONS, INC. ,LOUISVILLE, KY ,502-588-8420
HDLY ,M ,J.J.B. HILLIARD, W.L. LYONS, INC. ,LOUISVILLE, KY ,800-627-3557
HDVS ,M ,H.D. VEST INVESTMENT SERVICES ,IRVING, TX ,214-863-6000
HEAD ,M ,HEADFORD & COMPANY, INCORPORATED , ,
HEFL ,N ,HEFLIN & CO., L.L.C. ,LOS ANGELES, CA ,310-229-9705
HEFR ,M ,HEFREN-TILLOTSON, INC. ,PITTSBURGH PA ,412-471-5430
HEIN ,M ,HEINER & STOCK, INC. , ,
HEIT ,M ,HEITNER EQUITIES, INC. , ,
HELX ,M ,HELIX SECURITIES, INC. ,TRADING ,800-877-2222
HENN ,M ,CARL M. HENNIG, INC. , ,
HERB ,M ,HERBERT YOUNG SECURITIES, INC. ,GREAT NECK, NY ,516-487-8300
HERF ,M ,THOMAS J. HERZFELD & CO., INCORPORATED ,MIAMI, FL ,305-271-1900
HERO ,M ,BERNARD HEROLD & CO., INC. ,NEW YORK, NY ,212-371-3950
HEZZ ,N ,HEATHER AGENCY, INC. ,CHRISTIANA, DE ,302-454-7758
HFNG ,M ,HARTFORD FINANCIAL GROUP, INC. , ,
HFSI ,M ,HARDMAN FINANCIAL SERVICES, INC. , ,
HFSW ,M ,HENRY F. SWIFT & CO. , ,
HGFF ,M ,HAYES & GRIFFITH, INC. , ,
HGRP ,M ,THE HERITAGE GROUP, INC. ,NASDAQ TRADING ,800-307-8625
HIAI ,M ,HEARTLAND INVESTMENT ASSOCIATES, INC. , ,
HIBB ,M ,HIBBARD BROWN & CO., INC. , ,
HIDI ,M ,HARRIS INVESTORS DIRECT, INC. , ,
HILD ,M ,THE HIGHLAND CAPITAL GROUP, INC. , ,
HILL ,M ,HILL THOMPSON MAGID, L.P. ,JERSEY CITY, NJ ,201-434-8100
HILL ,M ,HILL THOMPSON MAGID, L.P. ,JERSEY CITY, NJ ,212-233-2200
HILL ,M ,HILL THOMPSON MAGID, L.P. ,NASDAQ TRADING ,800-631-3083
HILL ,M ,HILL THOMPSON MAGID, L.P. ,ADR TRADING ,800-879-9842
HILL ,M ,HILL THOMPSON MAGID, L.P. ,BOCA RATON ,800-450-2566
HILL ,M ,HILL THOMPSON MAGID, L.P. ,BOCA RATON ,561-477-2566
HILL ,M ,HILL THOMPSON MAGID, L.P. ,CHICAGO, IL ,800-999-8073
HILL ,M ,HILL THOMPSON MAGID, L.P. ,CHICAGO, IL ,312-853-6960
HINR ,M ,HEINER FINANCIAL SERVICES CORPORATION , ,
HINV ,M ,HERITAGE ASSET MANAGEMENT , ,
HISI ,N ,HIBERNIA INVESTMENTS, L.L.C. , ,
HITE ,M ,WHITESTONE SECURITIES INC. , ,
HJMC ,M ,H.J. MEYERS & CO., INC. , ,
HLBI ,M ,FORUM SECURITIES, INC. ,DALLAS, TX ,214-559-3800
HLCN ,M ,HALCYON INVESTMENTS ,NEW YORK, NY ,212-303-9400
HLIQ ,M ,HULL TRANSACTION SERVICES, L.L.C. ,CHICAGO IL ,312-697-2715
HLIX ,M ,HELIX TRADING LLC ,NASDAQ TRADING ,310-788-5343
HLLC ,M ,HOLLENCREST SECURITIES, LLC , ,
HLLR ,M ,R.H.DAMON & CO., INC. , ,
HLND ,M ,INVESTORS ST. , ,817-652-0700
HLQF ,P ,HULL QUANTITATIVE FUND, L.L.C. , ,
HLTN ,M ,INTEGRATED CLEARING SOLUTIONS INC. , ,
HMFI ,M ,HAYNE, MILLER FINANCIAL, INC. , ,
HMNC ,M ,HARMONIC RESEARCH, INC. ,NASDAQ TRADING ,212-826-3820
HMNC ,M ,HARMONIC RESEARCH, INC. ,NEW YORK, NY ,212-826-6655
HMPB ,M ,H. M. PAYSON & CO. ,NASDAQ TRADING ,207-772-3761
HMPT ,N ,HAMPTON SECURITIES (USA), INC. , ,
HMQT ,M ,HAMBRECHT & QUIST LLC , ,
HMSC ,M ,HOBBS MELVILLE SECURITIES CORP. , ,
HMSI ,M ,HAYNE, MILLER & SWEARINGEN, INC. , ,
HMSS ,M ,HMS SECURITIES INC. ,MONTVALE NJ ,201-476-0900
HMTV ,M ,HOMANS, MCGRAW, TRULL, VALEO & CO., INC. , ,
HNMI ,N ,HANMI SECURITIES, INC. ,LOS ANGELES, CA ,212-427-1599
HNSI ,M ,HUNTER INTERNATIONAL SECURITIES, INC. ,FORT LAUDERDALE FL ,305-523-7608
HNSI ,M ,HUNTER INTERNATIONAL SECURITIES, INC. ,NASDAQ TRADING ,800-806-6669
HNTR ,M ,HUNTER ASSOCIATES, INC. , ,
HOAK ,M ,HOAK BREEDLOVE WESNESKI & CO. ,DALLAS TX ,972-702-7195
HOAK ,M ,HOAK BREEDLOVE WESNESKI & CO. ,NASDAQ TRADING ,800-893-5759
HOCO ,M ,HOLT & COLLINS , ,
HOEN ,M ,HOENIG & CO., INC. ,NEW YORK NY ,914-935-9100
HOFR ,M ,HOEFER & ARNETT, INCORPORATED ,NASDAQ TRADING ,800-774-8723
HOFR ,M ,HOEFER & ARNETT, INCORPORATED ,BANK/OTCBB TRADING ,415-658-0744
HOFR ,M ,HOEFER & ARNETT, INCORPORATED , ,415-658-0759
HOFR ,M ,HOEFER & ARNETT, INCORPORATED , ,415-658-0743
HOPR ,M ,HOPPER SOLIDAY & CO., INC. , ,
HORN ,O ,HORNBLOWER FISCHER & CO. ,NEW YORK ,212-363-1764
HORN ,O ,HORNBLOWER FISCHER & CO. , ,877-346-7625
HORW ,O ,HORWITZ & ASSOCIATES, INC. , ,
HOUG ,M ,CA IB SECURITIES (NEW YORK) INC. , ,
HOWE ,M ,HOWE BARNES INVESTMENTS, INC. ,CHICAGO, IL ,312-655-2995
HOWE ,M ,HOWE BARNES INVESTMENTS, INC. ,CHICAGO, IL ,312-655-2990
HOWE ,M ,HOWE BARNES INVESTMENTS, INC. ,CHICAGO, IL ,800-621-2364
HOWE ,M ,HOWE BARNES INVESTMENTS, INC. ,WISCONSIN ,715-358-9898
HOWL ,M ,A. M. HOWELLS & COMPANY, INC. ,NASDAQ TRADING ,510-339-0151
HPCI ,M ,HOTOVEC POMERANZ & CO., INC. , ,
HPIB ,N ,HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC , ,
HPJS ,P ,SALYN SECURITIES, INCORPORATED ,SHAWNEE, OK ,405-275-0400
HPOL ,M ,HERNDON PLANT OAKLEY, LTD. ,NASDAQ TRADING ,512-888-7611
HQUS ,M ,HAGSTROMER & QVIBERG, INC. ,NEW YORK, NY ,212-338-9127
HRCO ,M ,HUBERMAN FINANCIAL INC. ,DALLAS TX ,972-239-1000
HRCO ,M ,HUBERMAN FINANCIAL INC. ,NASDAQ TRADING ,972-239-6003
HRLD ,M ,HEARTLAND SECURITIES CORP. ,ISELIN, NJ ,732-744-9800
HRLD ,M ,HEARTLAND SECURITIES CORP. ,NEW YORK ,212-514-6700
HRZG ,M ,HERZOG, HEINE, GEDULD, LLC ,NEW YORK, NY ,212-962-0300
HRZG ,M ,HERZOG, HEINE, GEDULD, LLC ,NEW YORK, NY ,800-221-3600
HRZG ,M ,HERZOG, HEINE, GEDULD, LLC ,BOSTON, MA ,617-723-8285
HRZG ,M ,HERZOG, HEINE, GEDULD, LLC ,BOSTON, MA ,800-624-4062
HRZG ,M ,HERZOG, HEINE, GEDULD, LLC ,JERSEY CITY, NJ ,201-418-4800
HRZR ,M ,HERZOG, HEINE, GUELD, INC./SPECIAL ACCOUNT , ,
HSAI ,M ,HAGERTY, STEWART & ASSOCIATES, INC. , ,
HSBC ,M ,HSBC SECURITIES (USA) INC. ,TRADING ,212-525-0140
HSCO ,M ,HAWTHORNE SECURITIES CORPORATION ,BOSTON, MA ,617-742-4585
HSCO ,M ,HAWTHORNE SECURITIES CORPORATION ,BOSTON, MA ,800-225-6148
HSIT ,M ,CAMDEN SECURITIES, INC. ,LOS ANGELES, CA ,213-738-7550
HSRP ,M ,HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P. , ,504-582-1144
HSTL ,N ,DAVID GRUBER, INC. , ,
HSTR ,M ,H. STARR FINANCIAL CORP. , ,
HTLD ,M ,HEARTLAND ADVISORS, INC. , ,
HUBE ,M ,HUBERMAN SECURITIES CORP. , ,
HUCO ,M ,THE HUNTINGTON INVESTMENT COMPANY , ,
HUDS ,N ,HUDSON SLOANE & CO., L.L.C. ,NEW YORK, NY ,212-779-3088
HULL ,M ,HULL TRADING CO., INC. , ,
HUNT ,M ,HUNTLEIGH SECURITIES CORPORATION ,ST. LOUIS MO ,314-721-2721
HUNT ,M ,HUNTLEIGH SECURITIES CORPORATION , ,800-766-4725
HURI ,M ,HURRICANE TRADING, LLC , ,
HUSP ,P ,BEAR SPECIALIST HUNTER SPECIALISTS , ,
HWGI ,M ,HARRIS WEBB & GARRISON, INC. , ,
HWLF ,M ,HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC. , ,
HWLS ,M ,M. S. HOWELLS & CO. ,PHOENIX, AZ ,602-912-3800
HWSI ,M ,HERITAGE WEST SECURITIES, INC. ,SCOTTSDALE, AZ ,602-596-1212
HWSI ,M ,HERITAGE WEST SECURITIES, INC. ,TRADING ,602-596-0100
HYAI ,M ,HIGH YIELD ANALYTICS, INC. ,CHICAGO, IL ,312-902-5868
HYPO ,M ,HYPO SECURITIES INC. , ,
HYSD ,Q ,HARVEY SHEID , ,
HZIG ,M ,P. R. HERZIG & CO. INC. ,NEW YORK ,212-607-5771
HZNS ,M ,HORIZONS INTERNATIONAL CORPORATION
IACI ,M ,INVESTMENT ADVISORS & CONSULTANTS, INC. , ,
IAHI ,M ,LEGEND MERCHANT GROUP, INC. , ,
IAID ,M ,INVESTMENT ADVISER, INC. ,MINNEAPOLIS MD ,612-376-2706
IALS ,M ,INTERCAL SECURITIES CO. ,SAN FRANCISCO, CA ,[phone]
IBGT ,P ,IBG TRADING, LLC , ,
IBKR ,M ,INTERACTIVE BROKERS LLC ,GREENWICH, CT ,203-618-5700
IBKR ,M ,INTERACTIVE BROKERS LLC ,NASDAQ TRADING ,203-618-5710
IBND ,M ,INTERNATIONAL BOND AND SHARE, INC. , ,
IBSI ,M ,INTERNATIONAL BUSINESS SECURITIES, INC. ,NASDAQ TRADING ,310-441-2300
ICAN ,M ,ICAHN & CO., INC. ,MOUNT KISCO, NY ,914-242-4050
ICAP ,M ,ICAP/INVESTMENT SERVICES AND TRADING, LLC , ,914-429-4140
ICAT ,N ,BBA ICATU SECURITIES INC. , ,
ICCP ,M ,INVESTORS CAPITAL CORP. , ,
ICEN ,M ,THE INVESTMENT CENTER, INC. ,BRIDGEWATER NJ ,908-707-4607
ICGL ,N ,INTERNATIONAL CAPITAL GROWTH LLC , ,
ICLR ,O ,ICLEARING LLC ,ISELIN, NJ ,732-635-7435
ICLS ,N ,INSTINET CLEARING SERVICES, INC. (2) , ,
ICMH ,N ,INSTITUTIONAL CAPITAL MANAGEMENT, INC. , ,
ICOV ,M ,INVESTMENT CORPORATION OF VIRGINIA , ,
ICSG ,N ,INSTINET CLEARING SERVICES, INC. , ,
ICTI ,M ,INTERNATIONAL CORRESPONDENT TRADING, INC. ,TRADING ,201-222-7300
ICTR ,M ,Investors Center, Inc. , ,
IDSI ,M ,AMERICAN ENTERPRISE INVESTMENT SERVICES INC. ,MINNEAPOLIS, MN ,612-671-7096
IDTI ,M ,ITRADEDIRECT.COM CORP , ,
IEIE ,O ,INSTITUTIONAL EDGE, L.L.C. , ,
IEQC ,M ,INSTITUTIONAL EQUITY CORPORATION , ,
IFCC ,M ,INTERFIRST CAPITAL CORPORATION ,LOS ANGELES, CA ,310-234-2199
IFCC ,M ,INTERFIRST CAPITAL CORPORATION , ,877-861-5899
IFSC ,M ,INTERCOASTAL FINANCIAL SERVICES CORP. ,TRADING ,561-776-5832
IFSC ,M ,INTERCOASTAL FINANCIAL SERVICES CORP. ,NORTH PALM BEACH, FL ,561-776-8570
IFUN ,M ,The Internet Fund , ,
IGBL ,M ,INTERACCIONES GLOBAL INC. , ,
IIDC ,P ,AMERICAN SECURITIES GROUP, INC. , ,
IIGH ,O ,IIG HORIZONS SECURITIES, LLC ,NEW YORK, NY ,212-785-4000
IKCS ,M ,KESSLER ASHER CLEARING L.P. , ,
ILCO ,M ,HAMILTON INVESTMENTS, INC. , ,
IMGA ,N ,IMG FINANCIAL SERVICES, INC. , ,
IMHF ,M ,HANIFEN, IMHOFF SECURITIES CORP. , ,
IMPC ,M ,IMPERIAL CAPITAL, LLC ,BEVERLY HILLS, CA ,888-786-2520
IMPC ,M ,IMPERIAL CAPITAL, LLC , ,310-246-3700
IMSS ,N ,IMS SECURITIES, INC. , ,
INCA ,C ,INSTINET CORPORATION ,NEW YORK, NY (OTC) ,212-310-9550
INCA ,C ,INSTINET CORPORATION ,LISTED DESK ,212-310-9547
INCA ,C ,INSTINET CORPORATION ,ORDER DESK , N/A
INCA ,C ,INSTINET CORPORATION ,(NON SUBSCRIBER) ,212-310-9564
INCC ,M ,INVESTORS NATIONAL CORPORATION , ,
INDY ,N ,INDUSVAL USA CORP. ,NEW YORK, NY ,212-858-7514
INGB ,M ,ING BARINGS CORP. , ,212-409-1262
INGS ,M ,INGALLS & SNYDER, LLC ,NEW YORK, NY ,212-269-7755
INGS ,M ,INGALLS & SNYDER, LLC ,NEW YORK, NY ,800-805-0515
INGT ,M ,INSIGHT SECURITIES & TRADING, INC. ,WICHITA, KS ,316-686-1569
INPD ,M ,INTREPID SECURITIES, INC. ,NASDAQ TRADING ,310-792-9136
INPI ,M ,INVESTMENT PLANNERS, INC. , ,
INSC ,M ,INTERSECURITIES, INC. , ,
INTC ,N ,INTEL CORP. , ,
INTD ,N ,INSTATRADE, INC. ,ATLANTA, GA ,404-504-6040
INTE ,N ,INTEGRITY SECURITIES, INC. ,SAN LEANDRO, CA ,510-873-0878
INTL ,M ,INTERNATIONAL ASSETS ADVISORY, LLC ,WINTER PARK FL ,407-628-2515
INTL ,M ,INTERNATIONAL ASSETS ADVISORY, LLC , ,800-541-1977
INVA ,M ,INVESTORS ASSOCIATES, INC. , ,
INVC ,M ,INVESTORS COMPANY , ,
INVG ,M ,INVESTORS FIDUCIARY TRUST CO , ,
INVM ,M ,INVEMED ASSOCIATES LLC ,NEW YORK NY ,212-421-2504
INVS ,M ,INVESTEC SECURITIES CORPORATION ,DALLAS, TX ,972-907-8700
INVS ,M ,INVESTEC SECURITIES CORPORATION ,TRADING DESK ,888-907-8709
INVX ,M ,INVESTEX SECURITIES GROUP, INC. ,NEW YORK, NY ,[phone]
IOWA ,M ,SECURITIES CORPORATION OF IOWA ,CEDAR RAPIDS, IA ,319-366-7801
IOWA ,M ,SECURITIES CORPORATION OF IOWA ,TRADING ,800-747-1213
IOWA ,M ,SECURITIES CORPORATION OF IOWA ,TRADING ,319-368-2610
IOWA ,M ,SECURITIES CORPORATION OF IOWA ,CHICAGO, IL , N/A
IOWA ,M ,SECURITIES CORPORATION OF IOWA ,MUNICIPALS ,312-332-2131
IPRO ,N ,INSTIPRO, INC. , ,
IREC ,M ,INTEGRATED RESOURCES EQUITY CORPORATION , ,
IRON ,M ,IRONHORSE SECURITIES INC. ,NASDAQ TRADING ,516-374-0679
IRSI ,M ,INTERNATIONAL RESEARCH SECURITIES, INC. , ,
ISBN ,M ,ISBIN INVESTMENTS, INC. ,MINNEAPOLIS MN ,612-338-6113
ISBN ,M ,ISBIN INVESTMENTS, INC. ,NASDAQ TRADING ,800-446-5666
ISCI ,N ,INVESTORS SECURITY COMPANY, INC. ,NASDAQ TRADING ,804-539-2396
ISEC ,M ,ISLAND SECURITIES, INC. , ,
ISFA ,M ,INVEST FINANCIAL CORPORATION ,TAMPA FL ,813-289-5777
ISGC ,M ,SOLID ISG CAPITAL MARKETS, LLC , ,
ISGT ,M ,INTERNATIONAL SECURITIES GROUP, INC. , ,
ISIC ,M ,INDEPENDENT SECURITIES INVESTORS CORPORATION , ,
ISLD ,C ,THE ISLAND ECN ,PHONE ORDERS ,212-231-5100
ISLD ,C ,THE ISLAND ECN ,MAIN ,212-231-5100
ISLD ,C ,THE ISLAND ECN ,BACKUP ,212-480-4526
ISLD ,C ,THE ISLAND ECN ,SUBSCRIBER INFO ,212-231-5000
ISLD ,C ,THE ISLAND ECN ,TECHNICAL SUPPORT ,212-231-5000
ISLD ,C ,THE ISLAND ECN ,NEW JERSEY ,201-319-0660
ISLO ,M ,MOMENTUM SECURITIES, L.L.C. ,HOUSTON, TX ,713-403-4208
ISRC ,M ,INTERNATIONAL SECURITIES CORPORATION , ,
ITCC ,N ,C G MATON FINANCIAL SERVICES , INC. ,ATLANTA, GA ,404-953-6118
ITEB ,M ,INTERNATIONAL EXCHANGE BROKERS, LLC. , ,
ITGI ,M ,ITG INC. ,NEW YORK NY ,800-322-4084
ITMT ,M ,INVESTMENT NETWORK, INC. , ,
IVNE ,M ,DREYFUS INVESTMENT SERVICES COMPANY, LLC ,PITTSBURGH, PA ,[phone]
JACI ,M ,JONATHAN ALAN & CO., INC. , ,
JADN ,M ,J. ALDEN ASSOCIATES, INC. ,JENKINTOWN, PA ,215-572-8700
JAJJ ,M ,J. ROBBINS SECURITIES, L.L.C , ,
JAMI ,N ,S J S SECURITIES INC. , ,
JANC ,M ,JANCO PARTNERS, INC. ,ENGLEWOOD, CO ,800-529-8157
JANC ,M ,JANCO PARTNERS, INC. , ,303-770-9047
JANE ,N ,JANE STREET CAPITAL, LLC , ,
JANY ,M ,JANNEY MONTGOMERY SCOTT LLC ,PHILADELPHIA PA ,215-563-8671
JANY ,M ,JANNEY MONTGOMERY SCOTT LLC ,NASDAQ TRADING ,215-563-8672
JANY ,M ,JANNEY MONTGOMERY SCOTT LLC ,NASDAQ TRADING (PA) ,888-567-6821
JANY ,M ,JANNEY MONTGOMERY SCOTT LLC ,PREFFERED DESK ,215-665-6170
JANY ,M ,JANNEY MONTGOMERY SCOTT LLC ,NEW YORK NY ,212-510-0668
JARN ,N ,JARON EQUITIES CORP. ,TRADING ,516-794-6516
JAYB ,M ,J. B. RICHARDS SECURITIES CORP. , ,
JBAR ,M ,JULIUS BAER SECURITIES INC. ,NASDAQ TRADING ,212-949-0326
JBOC ,M ,J.B. OXFORD & COMPANY ,BEVERLY HILLS CA ,310-777-8850
JBOW ,M ,JOHNSON-BOWLES COMPANY INC , ,
JCAP ,M ,JAMES CAPEL INCORPORATED , ,
JCCO ,N ,JERICHO INVESTMENTS, LLC ,NEW YORK, NY ,212-433-7781
JDAI ,M ,JOHN DAWSON & ASSOCIATES, INC. , ,
JDRB ,O ,J.H. DARBIE & CO., INC. ,NASDAQ TRADING ,212-269-7271
JEDI ,Q ,J EDMUND & CO , ,
JEFF ,M ,JEFFERIES & COMPANY, INC. ,NASDAQ TRADING ,972-701-3100
JEFF ,M ,JEFFERIES & COMPANY, INC. ,DALLAS TX ,800-527-6816
JEFF ,M ,JEFFERIES & COMPANY, INC. ,AGENCY TRADING ,972-701-3250
JEFF ,M ,JEFFERIES & COMPANY, INC. ,DALLAS TX ,877-273-9728
JEFF ,M ,JEFFERIES & COMPANY, INC. ,NY NASDAQ TRADING ,212-284-2410
JEFF ,M ,JEFFERIES & COMPANY, INC. , ,800-443-1126
JEFF ,M ,JEFFERIES & COMPANY, INC. ,INTL TRADING ,212-284-2368
JEFF ,M ,JEFFERIES & COMPANY, INC. , ,800-525-8620
JEFF ,M ,JEFFERIES & COMPANY, INC. , ,212-284-2368
JEFF ,M ,JEFFERIES & COMPANY, INC. ,NASDAQ TRADING ,973-912-2790
JEFF ,M ,JEFFERIES & COMPANY, INC. ,CONVERTIBLES ,212-284-2278
JELS ,M ,LISS FINANCIAL SERVICES ,MILWAUKEE WI ,414-225-3555
JELS ,M ,LISS FINANCIAL SERVICES ,CROSS LAKE MN ,218-692-2770
JELS ,M ,LISS FINANCIAL SERVICES ,NASDAQ TRADING ,800-299-7194
JENI ,Q ,JENNISON ASSOCIATES CAPITAL CORP. , ,
JESL ,M ,JESUP & LAMONT SECURITIES CORPORATION ,NASDAQ/OTCBB TRADING ,212-307-2690
JESL ,M ,JESUP & LAMONT SECURITIES CORPORATION ,NASDAQ/OTCBB TRADING ,800-421-8033
JEWL ,M ,EMERALD SECURITIES, L.L.C. , ,
JFCJ ,M ,SOUTH BEACH CAPITAL MARKETS INCORPORATED , ,
JFST ,M ,JONATHAN FOSTER & CO., L.P. , ,
JGUN ,M ,JOSEPH GUNNAR & CO. LLC ,NEW YORK, NY ,212-440-9696
JHDN ,M ,JOSEPH DILLON & COMPANY INC. , ,
JIMK ,M ,SUNSTATE EQUITY TRADING , ,813-961-4649
JJMC ,M ,J.W. MCCLEES AND COMPANY, INC. , ,
JJSI ,M ,JESUP & LAMONT SECURITIES CO., INC. , ,
JKNT ,M ,JOHNSTON KENT SECURITIES, INC. , ,
JLCC ,M ,JJC SECURITIES CO., INC. , ,
JLMS ,M ,SELF TRADING SECURITIES, INC. ,TRADING ,512-263-2769
JMCO ,M ,JAMES M. MYERS AND CO., INC. ,CHARLOTTE, NC ,704-333-1710
JMCS ,M ,JMC SECURITIES, INC. , ,
JMDW ,M ,FLEET & CO. , ,
JMIP ,M ,J. MICHAEL-PATRICK, L.L.C. , ,
JMOO ,M ,JM DISSOLUTION, INC. ,ST. PAUL, MN ,612-224-5115
JMPS ,M ,JOLSON MERCHANT PARTNERS ,SAN FRANCISCO, CA ,415-263-1676
JNKS ,P ,JENCKS & COMPANY LLC , ,
JNSN ,M ,JENSEN SECURITIES CO. , ,
JOBA ,M ,JONES & BABSON, INC. , ,
JOLE ,M ,JOHNSTON, LEMON & CO. INCORPORATED ,WASHINGTON, DC ,202-842-5566
JOLE ,M ,JOHNSTON, LEMON & CO. INCORPORATED ,NASDAQ TRADING ,800-424-8871
JOLE ,M ,JOHNSTON, LEMON & CO. INCORPORATED ,CONV./PREFERRED ,800-352-4895
JOLE ,M ,JOHNSTON, LEMON & CO. INCORPORATED , ,202-842-5698
JONE ,M ,JONES & ASSOCIATES, INC. ,WESTLAKE VILLAGE, CA ,818-991-4488
JONE ,M ,JONES & ASSOCIATES, INC. ,WESTLAKE VILLAGE, CA ,818-991-4550
JONE ,M ,JONES & ASSOCIATES, INC. ,WESTLAKE VILLAGE, CA ,800-423-5933
JOSE ,M ,JOSEPHTHAL & CO., INC. , ,
JPHQ ,M ,JPMSI ,OTC TRADING ,212-622-2609
JPHQ ,M ,JPMSI ,AGENCY DESK ,212-622-2809
JPHQ ,M ,JPMSI ,V-CONVERTIBLES ,212-648-2654
JPHQ ,M ,JPMSI ,LISTED ,212-622-7400
JPHQ ,M ,JPMSI ,ARBITRAGE ,212-648-0748
JPHQ ,M ,JPMSI ,FOREIGN DESK ,212-622-2694
JPMO ,M ,NOVA FUND L.P. ,STONEY BROOK, NY ,516-246-5550
JPRC ,M ,J.P.R. CAPITAL CORP. ,ROSLYN NY ,516-621-8787
JPRC ,M ,J.P.R. CAPITAL CORP. ,BOCA, RATON ,561-470-5363
JPTC ,M ,J.P. TURNER & COMPANY, L.L.C. ,NASDAQ TRADING ,404-479-8321
JRCO ,M ,JOHNSON RICE & COMPANY L.L.C. ,NEW ORLEANS LA ,504-525-3767
JRCO ,M ,JOHNSON RICE & COMPANY L.L.C. ,TRADING ,800-842-6229
JROB ,M ,JOSEPH ROBERTS & CO., INC. , ,
JRPS ,M ,DIRECT BROKERAGE, INC. ,NEWY ORK NY ,212-742-8178
JRPS ,M ,DIRECT BROKERAGE, INC. ,NASDAQ/OTCBB TRADING ,212-742-8193
JRZY ,M ,JERSEY SHORE TRADING GROUP INC. ,NASDAQ TRADING ,732-212-1123
JSCO ,M ,J. STREICHER & CO. L.L.C. ,NEW YORK, NY ,212-425-2320
JSHP ,M ,J. S. HOPE & CO., INC. , ,
JSLP ,M ,JOSEPH STEVENS & COMPANY, INC. ,NEW YORK NY ,212-361-3030
JSLP ,M ,JOSEPH STEVENS & COMPANY, INC. ,NASDAQ TRADING ,800-609-9110
JSLP ,M ,JOSEPH STEVENS & COMPANY, INC. ,LONG ISLAND, NY ,800-917-4203
JSSC ,O ,J. SCOTT SECURITIES CORP. , ,
JTHA ,Q ,J.T.H. Associates Partnership ,TRADING ,813/263-1131
JTMC ,M ,J.T. MORAN & CO., INC. , ,
JUMP ,M ,BNJ CAPITAL SECURITIES CORP. ,TRADING ,877-428-5867
JUMP ,M ,BNJ CAPITAL SECURITIES CORP. ,NEW YORK ,212-344-4533
JUST ,M ,JUSTHOLL & CO. , ,
JVBF ,M ,JACK V. BUTTERFIELD INVESTMENT COMPANY ,TRADING DEPT. ,517-787-2430
JWBC ,M ,J.W. BARCLAY & CO., INC. , ,
JWGS ,M ,JWGENESIS SECURITIES, INC. , ,
JWHI ,M ,JACK WHITE & COMPANY, INC. , ,
JWII ,N ,JAMES WHEELER & CO. INVESTMENTS, INC. ,DENVER, CO ,[phone]
JWSC ,M ,SELIGMAN SECURITIES, INC.
KALA ,M ,KA ASSOCIATES, INC. ,LOS ANGELES CA ,310-201-7851
KAMC ,M ,KAMCO SECURITIES, INC. , ,
KANE ,M ,KANE & COMPANY, INC. , ,
KAPC ,P ,KAPLAN & CO. SECURITIES INC. , ,561-447-4727
KART ,M ,BRIARCLIFF CAPITAL CORP. ,BROOKLYN, NY ,718-923-3091
KART ,M ,BRIARCLIFF CAPITAL CORP. ,BOCA RATON, FL ,561-994-6229
KASH ,M ,KASHNER DAVIDSON SECURITIES CORPORATION ,SARASOTA, FL ,941-955-9750
KASH ,M ,KASHNER DAVIDSON SECURITIES CORPORATION ,WESTMINSTER, CO ,866-283-2833
KASH ,M ,KASHNER DAVIDSON SECURITIES CORPORATION ,WESTMINSTER, CO ,303-428-5593
KASI ,M ,KOREA ASSOCIATED SECURITIES INC. , ,
KAUF ,M ,KAUFMANN, ALSBERG & CO., INC. , ,
KAYN ,M ,KAYNE, ANDERSON & CO., INC. , ,
KBAD ,N ,ADIRONDACK ELECTRONIC MARKETS LLC ,NEW YORK, NY ,212-845-2000
KBCO ,M ,KAHN BROTHERS & CO. INC. ,NEW YORK, NY ,212-269-7450
KBDS ,N ,KBD SECURITIES, LLC ,WHITE PLAINS, NY ,914-285-9451
KBFP ,N ,KBC FINANCIAL PRODUCTS USA, INC. ,NEW YORK, NY ,212-845-2840
KBNY ,M ,KLEINWORT BENSON NORTH AMERICA INC. , ,
KBRO ,M ,KAUFMAN BROS., L.P. ,NASDAQ TRADING ,800-807-8723
KBRO ,M ,KAUFMAN BROS., L.P. ,NEW YORK, NY ,212-292-8140
KBWI ,M ,KEEFE, BRUYETTE & WOODS, INC. ,NEW YORK, NY ,212-554-3970
KBWI ,M ,KEEFE, BRUYETTE & WOODS, INC. ,NEW YORK, NY ,800-342-5529
KCCI ,N ,KELLY & CHRISTENSEN, INC. , ,
KCIM ,P ,INVESTMENT MANAGEMENT CORPORATION , ,
KCIX ,M ,KILEY, BLOEMERS, INC. , ,
KCKC ,M ,FIRST MIDWEST CAPITAL CORP. , ,
KCMO ,M ,SECURITY INVESTMENT COMPANY OF KANSAS CITY ,NASDAQ TRADING ,816-531-6724
KDCO ,M ,KELLNER, DILEO & CO., L.P. ,NEW YORK NY ,212-350-0210
KEAN ,M ,KEANE SECURITIES CO., INC. ,NEW YORK, NY ,212-422-7933
KEAT ,M ,KEATON FINANCIAL SERVICES, INC. , ,
KEDY ,M ,KENNEDY, MATHEWS, LANDIS, HEALY & PECORA, INCORPORATED , ,
KEEL ,M ,KEELEY INVESTMENT CORP. ,CHICAGO, IL ,312-786-5000
KELY ,M ,E-INVEST, INC. , ,
KENJ ,M ,KENNETH, JEROME & CO.,INC. , ,201-966-6669
KENS ,M ,KENSINGTON CAPITAL CORP. ,BROOKLYN NY ,718-436-1679
KENS ,M ,KENSINGTON CAPITAL CORP. ,INSTITUTIONAL DESK ,800-457-4583
KENW ,M ,KENSINGTON WELLS INCORPORATED , ,
KENY ,M ,KENNY SECURITIES CORP. ,ST. LOUIS MO ,314-726-4777
KENY ,M ,KENNY SECURITIES CORP. ,NASDAQ/OTCBB TRADING ,800-730-3639
KEOG ,M ,KEOGLER, MORGAN & COMPANY, INC. , ,
KERC ,M ,KERCHEVILLE & COMPANY, INC. ,SAN ANTONIO, TX ,210-561-3300
KERC ,M ,KERCHEVILLE & COMPANY, INC. , ,800-544-6528
KERL ,Q ,KERLE ASSOCIATES , ,
KERN ,O ,HIGH MARK SECURITIES, INC. , ,
KEYZ ,M ,KEY WEST SECURITIES, INC. ,NASDAQ TRADING ,817-428-5018
KEYZ ,M ,KEY WEST SECURITIES, INC. ,FORT WORTH TX ,817-428-5020
KEYZ ,M ,KEY WEST SECURITIES, INC. ,DALLAS ,817-428-0260
KEYZ ,M ,KEY WEST SECURITIES, INC. ,RETAIL/CORPORATE ,817-428-5020
KEYZ ,M ,KEY WEST SECURITIES, INC. ,NASDAQ TRADING ,817-428-0369
KEYZ ,M ,KEY WEST SECURITIES, INC. , ,817-428-0260
KFCO ,M ,KOBER FINANCIAL CORP. , ,
KFGI ,M ,KNIBBE FINANCIAL GROUP, INC. , ,
KIBG ,M ,KIMBRIDGE & CO., INC. , ,
KILN ,M ,KIRLIN SECURITIES INC. ,SYOSSET NY ,516-396-5456
KIMB ,M ,KIMBERLY SECURITIES, INC. , ,
KIMC ,M ,KIMBALL & CROSS INVESTMENT MANAGEMENT CORP. , ,
KING ,M ,C. L. KING & ASSOCIATES, INC. ,ALBANY NY , N/A
KING ,M ,C. L. KING & ASSOCIATES, INC. ,NASDAQ/OTCBB TRADING ,800-473-0239
KING ,M ,C. L. KING & ASSOCIATES, INC. , ,518-431-3527
KING ,M ,C. L. KING & ASSOCIATES, INC. , ,518-431-3513
KINN ,M ,JOHN G. KINNARD AND COMPANY, INCORPORATED , ,
KIRK ,M ,CKM SECURITIES, LLC ,NEW YORK, NY ,212-319-4819
KIWS ,M ,KWS ASSOCIATES, INC. , ,312-939-0878
KIWS ,M ,KWS ASSOCIATES, INC. ,NASDAQ TRADING ,312-873-0460
KJMS ,N ,KJM SECURITIES, INC. ,BRONXVILLE, NY ,[phone]
KKGR ,N ,KENT KING SECURITIES CO., INC. ,GRAND RAPIDS, MI ,616-456-1713
KLDC ,M ,KUN-LUN DEVELOPMENT CORPORATION , ,
KMBT ,N ,KMB TRADING, INC , ,
KMSI ,M ,KLEIN, MAUS & SHIRE INC. , ,
KNCB ,M ,KENNEDY, CABOT & CO. ,BEVERLY HILLS, CA ,310-271-1604
KNGS ,M ,KING SECURITIES OF CHICAGO, INC. , ,
KNKK ,M ,KANKAKU SECURITIES (AMERICA) INC. ,NEW YORK NY ,212-587-7616
KNOX ,M ,KNOX, WALL & COMPANY , ,
KOSE ,M ,KOONCE SECURITIES, INC. ,BETHESDA MD ,301-897-9790
KOSE ,M ,KOONCE SECURITIES, INC. ,NASDAQ TRADING ,800-368-2802
KOVS ,N ,KOVACK SECURITIES INC. , ,
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,NEW YORK, NY ,212-510-4800
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,NEW YORK, NY ,800-223-3018
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,AGENCY SVC DESK ,212-510-4869
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED , ,800-238-7589
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,FOREIGN TRADING ,212-510-4643
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED , ,800-721-1137
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,CONVERTIBLES,NY ,212-510-4525
KPCO ,M ,KIDDER, PEABODY & CO. INCORPORATED ,PREFERREDS,NY ,212-656-1165
KPLY ,N ,KEPLEY & CO., INCORPORATED ,NASDAQ TRADING ,803-738-8100
KPSP ,M ,KIRKPATRICK, PETTIS, SMITH, POLIAN INC. ,OMAHA, NE ,402-392-7989
KPSP ,M ,KIRKPATRICK, PETTIS, SMITH, POLIAN INC. ,OMAHA, NE ,800-776-5778
KRAM ,M ,KRAMER SECURITIES CORPORATION , ,
KSEC ,M ,KO SECURITIES, INC. ,SEATTLE, WA ,206-281-9999
KSEC ,M ,KO SECURITIES, INC. ,SEATTLE, WA ,800-746-5289
KSHI ,O ,KSH INVESTMENT GROUP, INC. , ,
KTNG ,M ,KEATING INVESTMENTS, LLC ,SAN FRANCISCO, CA ,415-962-3556
KTNG ,M ,KEATING INVESTMENTS, LLC ,TRADING ,415-962-3556
KTNG ,M ,KEATING INVESTMENTS, LLC ,OTCBB TRADING DESK ,415-962-3556
KTON ,M ,KINGSTON SECURITIES CORPORATION , ,
KUSH ,M ,R. D. KUSHNIR & CO. , ,
KUYK ,M ,KUYKENDALL & SCHNEIDER, INC. , ,
KVXS ,M ,KV EXECUTION SERVICES LLC ,NEW YORK, NY ,212-266-0100
KWNO ,M ,FUNDAMENTAL SERVICE CORPORATION ,NASDAQ TRADING ,213-680-2350
KWPT ,O ,KENNILWORTH PARTNERS LP , ,
KYCC ,M ,KEY CLEARING CORP. , ,
KZON ,S ,MARKET TRADERS INC ,CHICAGO STOCK EXCH. ,312-663-2093
LABF ,N ,LABRANCHE & CO. LLC , ,
LACO ,M ,F.S. LAFER ASSOCIATES, INC. , ,
LAFF ,M ,R. F. LAFFERTY & CO., INC. ,NEW YORK, NY ,212-293-9010
LAFR ,M ,LAFFER, WARREN AND CO., INC. , ,
LAHO ,M ,LAIDLAW GLOBAL SECURITIES, INC. ,NEW YORK NY ,212-376-9100
LAHO ,M ,LAIDLAW GLOBAL SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-322-5132
LAMA ,M ,LARA, SHULL & MAY, LTD , ,
LAMP ,M ,LAMPOST CAPITAL, L.C. ,BOCA RATON, FL ,561-883-0454
LAMP ,M ,LAMPOST CAPITAL, L.C. ,BOCA RATON,FL ,561-883-1410
LANC ,M ,LANCASTER LEEDS & CO., INC. , ,
LAND ,O ,LANDMARK SECURITIES CORPORATION , ,817-695-1110
LAND ,O ,LANDMARK SECURITIES CORPORATION ,NASDAQ TRADING ,212-350-1282
LAND ,O ,LANDMARK SECURITIES CORPORATION ,NASDAQ TRADING ,212-350-1202
LANG ,M ,LANG AND COMPANY , ,
LARG ,M ,L'ARGENT CAPITAL INTERNATIONAL , ,
LARK ,M ,EMMETT A LARKIN COMPANY, INC. ,SAN FRANCISCO, CA ,415-986-2332
LARK ,M ,EMMETT A LARKIN COMPANY, INC. ,SAN FRANCISCO, CA ,800-227-4545
LARK ,M ,EMMETT A LARKIN COMPANY, INC. ,ENGLEWOOD CO ,303-771-1121
LASH ,M ,LASHCO, INC. , ,
LASI ,O ,LIEBLONG & ASSOCIATES, INC. , ,
LASS ,M ,LASALLE ST SECURITIES, L.L.C. ,CHICAGO ,800-722-0165
LASS ,M ,LASALLE ST SECURITIES, L.L.C. , ,312-705-7020
LASS ,M ,LASALLE ST SECURITIES, L.L.C. ,MARKET MAKING ,312-705-7018
LASS ,M ,LASALLE ST SECURITIES, L.L.C. ,TOLL FREE ,888-302-6691
LATN ,M ,LANTERN INVESTMENTS, INC. ,LAWRENCE, NY ,516-374-7216
LATN ,M ,LANTERN INVESTMENTS, INC. ,HUNTINGTON, NY ,[phone]
LAVA ,M ,LIVADA SECURITIES, INC. ,PORTLAND ME ,207-774-4411
LAVA ,M ,LIVADA SECURITIES, INC. ,NASDAQ TRADING ,800-222-2722
LAWR ,M ,LT LAWRENCE & CO., INC. , ,
LAZA ,M ,LAZARD FRERES & CO. LLC ,NEW YORK, NY ,212-632-6608
LAZA ,M ,LAZARD FRERES & CO. LLC ,CONVERTIBLES ,212-632-6851
LBRA ,M ,LIBRA INVESTMENTS, INC. ,NASDAQ TRADING ,310-312-5600
LCAM ,M ,LADENBURG CAPITAL MANAGEMENT INC. ,FT LAUDERDALE, FL ,800-929-2111
LCAM ,M ,LADENBURG CAPITAL MANAGEMENT INC. , ,954-491-4545
LCAM ,M ,LADENBURG CAPITAL MANAGEMENT INC. ,AGENCY ,516-470-1425
LCMI ,M ,LONDON PACIFIC SECURITIES, INC. , ,
LDMK ,M ,LANDMARK SECURITIES CORPORATION ,WESTBURY NY ,516-338-1820
LDMK ,M ,LANDMARK SECURITIES CORPORATION ,NASDAQ TRADING ,516-338-1788
LDOT ,M ,LANDOLT SECURITIES, INC. ,NASDAQ TRADING ,920-236-7000
LDWD ,M ,LLOYD WADE SECURITIES INC. , ,
LEBO ,O ,LEIGH BALDWIN & CO., LLC ,CAZENOVIA, NY ,315-655-2964
LEEB ,M ,LEEB BROKERAGE SERVICES, INC. ,NASDAQ TRADING ,212-653-1720
LEER ,M ,LEERINK SWANN & COMPANY ,TRADING ,800-947-7525
LEER ,M ,LEERINK SWANN & COMPANY , ,617-918-4700
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,BALTIMORE,MD ,410-454-4096
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,NASDAQ TRADING ,888-682-0300
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,NASDAQ TRADING ,800-221-9732
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,PREFERRED TRADING ,410-454-4478
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,BALTIMORE,MD ,410-539-4096
LEGG ,M ,LEGG MASON WOOD WALKER, INCORPORATED ,BALTIMORE,MD ,888-682-0300
LEHM ,M ,LEHMAN BROTHERS INC. ,NEW YORK-NASDAQ ,201-524-4612
LEHM ,M ,LEHMAN BROTHERS INC. ,NASDAQ TRADING ,201-524-4612
LEHM ,M ,LEHMAN BROTHERS INC. ,WARRANTS ,212-526-7414
LEHM ,M ,LEHMAN BROTHERS INC. ,NASDAQ INT'L ,011-4471-601-0171
LEHM ,M ,LEHMAN BROTHERS INC. ,INT'L-AGENCY ,201-524-4810
LEHM ,M ,LEHMAN BROTHERS INC. ,FOREIGN TRADING ,201-524-4810
LEHM ,M ,LEHMAN BROTHERS INC. ,AGENCY TRADING ,201-524-4612
LEHM ,M ,LEHMAN BROTHERS INC. ,ARBITRAGE ,212-526-7376
LEHM ,M ,LEHMAN BROTHERS INC. ,TRADING D/R SITE ,201-524-4612
LEHM ,M ,LEHMAN BROTHERS INC. ,TRADING D/R SITE ,201-524-4612
LEHM ,M ,LEHMAN BROTHERS INC. ,PREFERRED ,212-526-7954
LEHM ,M ,LEHMAN BROTHERS INC. ,CONVERTIBLE BONDS ,212-526-7255
LEHM ,M ,LEHMAN BROTHERS INC. ,DERIVATIVES ,212-526-7255
LEHM ,M ,LEHMAN BROTHERS INC. ,TRADING D/R SITE ,201-524-2237
LEOC ,M ,LEONARD & COMPANY ,TROY, MI ,[phone]
LEOG ,M ,WATSON CAPITAL MANAGEMENT INC , ,
LEVN ,M ,JOHN A. LEVIN & CO., INC. ,NEW YORK, NY ,212-332-8400
LEWI ,M ,LEWIS FINANCIAL GROUP, L.C. , ,
LEXI ,M ,LEXINGTON INVESTMENT COMPANY, INC. ,NASDAQ TRADING ,606-233-7073
LEXM ,M ,LEXINGTON FUNDS DISTRIBUTOR, INC. , ,
LEXS ,M ,LEXINGTON SECURITIES, INC. ,CHICAGO IL ,312-634-1268
LEXX ,M ,PRESTON LANGLEY ASSET MANAGEMENT, INC. , ,
LFGX ,S ,LFG, L.L.C. , ,
LFIN ,N ,LIGHTHOUSE FINANCIAL GROUP, LLC , ,
LFSI ,M ,LABRANCHE FINANCIAL SERVICES, INC. ,OTC TRADING ,800-221-4074
LFSI ,M ,LABRANCHE FINANCIAL SERVICES, INC. ,AGENCY DESK ,212-482-3666
LFSI ,M ,LABRANCHE FINANCIAL SERVICES, INC. ,MUNIS & GOV'T ,212-482-3552
LFSI ,M ,LABRANCHE FINANCIAL SERVICES, INC. , ,212-482-3553
LFSI ,M ,LABRANCHE FINANCIAL SERVICES, INC. ,PREFERRED ,212-482-3554
LFTC ,M ,L.F. THOMPSON & COMPANY , ,
LGAT ,M ,MAGDENSBURG SECURITIES CORP. , ,
LGHT ,M ,LIGHT SECURITIES ,SAN FRANCISCO, CA ,415-788-6988
LGSA ,M ,LG SECURITIES AMERICA, INC. , ,
LGTD ,M ,LEGACY TRADING CO., LLC ,TRADING ,405-216-0554
LGWI ,M ,LLOYD G. WILSON, INC. , ,
LHFC ,M ,L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC ,IRVINE, CA ,949-852-9911
LHFC ,M ,L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC ,NASDAQ/OTCBB TRADING ,800-833-2388
LIBD ,N ,LIBERTY DISCOUNT BROKER, INC. , ,
LIEB ,M ,LIEBER & COMPANY , ,
LINZ ,N ,LINTZ GLOVER WHITE & COMPANY, INC. , ,
LIPI ,M ,LINCOLN INVESTMENT PLANNING, INC. , ,
LITE ,M ,ROBERT M. HORNE , ,
LIVE ,M ,LIVINGSTON SECURITIES, INC. , ,
LJRY ,M ,LYNCH, JONES & RYAN, INC. ,NEW YORK, NY ,212-440-5800
LMAN ,M ,LATERMAN & COMPANY ,NEW YORK, NY ,212-593-4222
LMFI ,M ,L&M FINANCIAL SERVICES , ,
LMKO ,M ,L.M. KOHN & COMPANY , ,
LNDN ,M ,LONDON ZURICH SECURITIES, INC. , ,
LOBO ,M ,LOBO SECURITIES, INC. , ,
LOBR ,M ,Loeb Partners Corporation/Retail ,NEW YORK NY ,212-483-7054
LOCC ,M ,LOM CLEARING CORP. , ,
LOEB ,M ,LOEB PARTNERS CORPORATION ,NEW YORK, NY ,212-483-7343
LOMW ,M ,LOVETT MITCHELL WEBB & GARRISON, INC. , ,
LORA ,M ,Thomas White International , ,
LORD ,M ,LOMBARD SECURITIES CORP. , ,
LOUI ,P ,LOUIS CAPITAL MARKETS, LLC ,NEW YORK, NY ,212-509-4400
LOVE ,M ,SPIRIT PARTNERS, L.P. ,NEW YORK, NY ,212-843-5577
LOWE ,M ,J. F. LOWE & COMPANY INCORPORATED , ,
LOWI ,M ,BLUNT ELLIS & LOEWI INCORPORATED , ,
LPCC ,M ,LP CHARLES & COMPANY, INC. , ,
LPCO ,M ,LIPPER CONVERTIBLES, L.P. ,NEW YORK, NY ,212-883-6357
LPZE ,M ,LEPERCQ, DE NEUFLIZE & CO. INCORPORATED ,NASDAQ TRADING ,212-698-0735
LQNT ,M ,LIQUIDNET, INC. ,NEW YORK, NY ,212-243-8960
LSAK ,M ,L.B. SAKS, INC. , ,
LSCI ,M ,LEK SECURITIES CORPORATION ,NEW YORK, NY ,212-509-2300
LSPD ,C ,MARKETXT - SPECIAL CLEARING ACCOUNT ,HELP DESK ,646-521-4744
LSPI ,M ,LAFAYETTE INVESTMENTS, INC. , ,
LTCO ,M ,LADENBURG, THALMANN & CO., INC. ,NEW YORK NY ,212-409-2465
LTCO ,M ,LADENBURG, THALMANN & CO., INC. ,NEW YORK NY ,1-800-654-4958
LTCO ,M ,LADENBURG, THALMANN & CO., INC. ,NEW YORK NY ,800-523-8425
LTCO ,M ,LADENBURG, THALMANN & CO., INC. ,BULLETIN BOARD ,212-409-2500
LTCO ,M ,LADENBURG, THALMANN & CO., INC. , ,877-256-6379
LTDR ,M ,LIMITED RISK INVESTORS, INC. ,MONTVILLE NJ ,201-334-2384
LTIN ,M ,BBVA SECURITIES INC. ,LATIN AMERICAN TRD ,212-728-2400
LTRS ,N ,EQUITEC SPECIALISTS, LLC , ,
LTWN ,M ,LITWIN SECURITIES INC. ,MIAMI BEACH FL ,305-531-2223
LUMI ,M ,LEUMI SECURITIES CORPORATION ,NEW YORK NY ,212-789-9803
LUMR ,M ,LUMIERE SECURITIES, INC. , ,
LVSC ,M ,LEVCO SECURITIES CORP. , ,
LWCO ,M ,LEWCO SECURITIES CORP. , ,
LWIS ,N ,LEWIS INVESTMENTS, LLC , ,
LYMA ,M ,LYNCH & MAYER SECURITIES CORP. ,NASDAQ TRADING ,212-833-1359
LYON ,M ,CREDIT LYONNAIS SECURITIES (USA), INC. ,NEW YORK NY ,212-408-5700
LYON ,M ,CREDIT LYONNAIS SECURITIES (USA), INC. ,LISTED TRADING DPMT ,212-408-5800
LYON ,M ,CREDIT LYONNAIS SECURITIES (USA), INC. ,INT'L TRADING DPMT ,212-408-5600
LYON ,M ,CREDIT LYONNAIS SECURITIES (USA), INC. ,NASDAQ TRADING ,212-408-5899
MABC ,M ,M. A. BERMAN CO. ,NASDAQ TRADING ,561-672-4815
MABN ,M ,MABON, NUGENT & CO. , ,
MACC ,M ,MID ATLANTIC CAPITAL CORPORATION , ,
MACE ,M ,MASCERA & CO., INC. , ,
MACH ,M ,MARCHE' SECURITIES, INC. , ,
MACK ,M ,R.A. MACKIE & CO., L.P. ,IRVINGTON NY ,914-591-5800
MACK ,M ,R.A. MACKIE & CO., L.P. ,NASDAQ/OTCBB TRADING ,800-328-1550
MACN ,M ,MCNAMARA TRADING COMPANY ,NASDAQ TRADING ,800-628-7233
MACP ,M ,MAY & MANAGEMENT, INC. ,LAKE OSWEGO, OR ,503-635-8844
MACS ,M ,MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. ,NEW YORK NY ,212-248-3721
MACS ,M ,MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. ,NEW YORK NY ,800-221-4947
MADD ,M ,MARSHALL DAVIS, INC. , ,
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC ,CUST TRADE INQURIES ,800-288-4883
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC , ,212-230-2435
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC ,NASDAQ TRADING ,212-230-2450
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC ,LISTED TRADING ,212-230-2400
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC , ,800-221-2242
MADF ,M ,BERNARD L. MADOFF INVESTMENT SECURITIES LLC ,NASDAQ INT'L ,011-4471-374-0891
MAGG ,N ,NASDAQ SUPERVISORY ACCESS/MAGG , ,
MAGI ,M ,MAGUIRE INVESTMENTS, INC. ,NASDAQ TRADING ,805-922-6901
MAGS ,M ,WORLD FINANCIAL SERVICES, INC. ,FREEHOLD, NJ ,[phone]
MAHA ,M ,MATHEWS, HOLMQUIST & ASSOCIATES, INC. , ,
MAIA ,P ,MAIA SECURITIES, INC. , ,
MAIC ,M ,MERIDIAN, DUNHILL & CO., INC. ,F-SARASOTA ,813-366-2626
MAID ,M ,MAIDSTONE FINANCIAL, INC. , ,
MAKE ,M ,MAKEFIELD SECURITIES CORPORATION ,STUART FL ,561-286-2001
MALA ,M ,THE MALACHI GROUP, INC. , ,404-237-3031
MALO ,M ,MALONE & ASSOCIATES, INC. , ,
MAMA ,M ,MONGERSON & COMPANY SECURITIES CORPORATION , ,
MAMC ,M ,AEGON USA SECURITIES INC. ,CEDAR RAPIDS, IA ,[phone]
MANC ,M ,MANCHESTER SECURITIES CORP. , ,
MANN ,M ,MANOR SECURITIES CORPORATION , ,
MAPL ,M ,MAPLE SECURITIES U.S.A. INC. ,JERSEY CITY, NJ ,201-369-3010
MARC ,M ,R.B. MARICH, INC. , ,
MARL ,M ,HERITAGE SQUARE ASSOCIATES OF COLUMBIA, S.C. , ,
MASC ,M ,M. A. SCHAPIRO & CO., INC. , ,
MATT ,M ,A.G. MATTHEW & COMPANY , ,
MAXI ,M ,MAXIM SECURITIES CORPORATION C/O SCHNEIDER & BARATTA , ,
MAXS ,M ,FIFTH THIRD/MAXUS SECURITIES INC , ,
MAXW ,N ,MAXWELL CAPITAL, INC. , ,
MAYF ,O ,MAY FINANCIAL CORPORATION/SPECIAL ACCOUNT ,MICHIGAN ,810-522-8000
MAYF ,O ,MAY FINANCIAL CORPORATION/SPECIAL ACCOUNT ,NEW JERSEY ,973-889-7000
MAYF ,O ,MAY FINANCIAL CORPORATION/SPECIAL ACCOUNT , ,800-371-1664
MAZE ,M ,MAGNUM SECURITIES OF NEW YORK INC. ,WORLD TRD CNTR, NY ,212-313-2777
MBLK ,M ,MARSH, BLOCK & CO. INC. , ,
MBTS ,N ,MB TRADING ,TRADING DESK ,310-414-4535
MBVI ,M ,M. B. VICK ASSOCIATES ,NASDAQ TRADING ,312-346-3344
MCAI ,M ,MADISON CHAPIN ASSOCS., INC. , ,
MCAL ,M ,MENOCAL & CO. ,NASDAQ TRADING ,212-370-0660
MCAP ,M ,MCMAHAN CAPITAL MARKETS L.P. ,GREENWICH CT ,203-629-5417
MCBD ,M ,MCCONNELL, BUDD & ROMANO, INC. ,NASDAQ TRADING ,973-538-0949
MCBT ,M ,MOORS & CABOT, INC. ,NASDAQ TRADING ,800-426-0501
MCBT ,M ,MOORS & CABOT, INC. ,BOSTON MA ,617-426-0500
MCBT ,M ,MOORS & CABOT, INC. ,NASDAQ-BANK STOCKS ,617-451-2407
MCBT ,M ,MOORS & CABOT, INC. ,SAN FRANSCICO, CA , N/A
MCBT ,M ,MOORS & CABOT, INC. ,NASDAQ TRADING ,800-723-9866
MCBT ,M ,MOORS & CABOT, INC. , ,415-288-2243
MCBT ,M ,MOORS & CABOT, INC. ,INSTITUTIONAL ,800-655-3583
MCCI ,M ,MCCLEES INVESTMENTS, INC. , ,
MCCL ,M ,MCCLURG CAPITAL CORPORATION , ,
MCDN ,M ,MCDANIEL LEWIS & COMPANY ,GREENSBORO NC ,919-378-1456
MCFM ,M ,MORTON CLARKE BURNS FU & METCALF INC. , ,
MCHO ,M ,M. C. HARRISON & COMPANY , ,
MCKN ,M ,MCKINNON & COMPANY, INC. ,NORFOLK VA ,757-623-4636
MCKN ,M ,MCKINNON & COMPANY, INC. ,NASDAQ TRADING ,800-853-4636
MCMC ,M ,THE THERMOPYLAE GROUP, INC. , ,
MCML ,M ,MONTROSE CAPITAL MANAGEMENT LTD. , ,
MCRB ,M ,MAY FINANCIAL CORPORATION ,DALLAS TX ,214-987-5200
MCRB ,M ,MAY FINANCIAL CORPORATION , ,214-987-1898
MCTY ,M ,MCCOURTNEY-BRECKENRIDGE & COMPANY ,NASDAQ TRADING ,314-231-5730
MDBC ,M ,MDB CAPITAL GROUP LLC ,TRADING ,800-750-9302
MDBI ,M ,MIDWEST DISCOUNT BROKERS INC. , ,
MDCP ,M ,MADISON CAPITAL ASSOCIATES, LLC , ,
MDDF ,N ,MIDLAND WALWYN CAPITAL INC. ,TORONTO, ONTARIO ,1-800-387-1119
MDDF ,N ,MIDLAND WALWYN CAPITAL INC. , ,800-363-1492
MDEB ,M ,MARQUETTE DE BARY CO., INC. ,NEW YORK, NY ,800-221-3305
MDGI ,M ,MAY, DAVIS GROUP INC. ,NEW YORK TRADING ,212-775-8171
MDGS ,P ,MIDDLEGATE SECURITIES LTD. , ,212-391-7308
MDLD ,M ,MCDONALD INVESTMENTS INC. ,CLEVELAND, OH ,216-443-2350
MDLD ,M ,MCDONALD INVESTMENTS INC. ,CLEVELAND, OH ,800-321-2190
MDLD ,M ,MCDONALD INVESTMENTS INC. ,DAYTON, OHIO ,800-262-2244
MDLD ,M ,MCDONALD INVESTMENTS INC. , ,937-223-1626
MDSN ,M ,MADISON SECURITIES, INC. , ,
MDSS ,M ,MID-STATE SECURITIES CORP. , ,
MDWD ,M ,MIDWOOD SECURITIES, INC. ,NEW YORK, NY ,212-742-9570
MDWD ,M ,MIDWOOD SECURITIES, INC. ,MIDWOOD DISCOUNT ,212-232-2058
MECO ,M ,MERIDIAN EQUITIES COMPANY , ,
MEFA ,M ,MELHADO, FLYNN & ASSOCIATES, INC. ,NEW YORK ,212-764-3638
MELB ,M ,CONCOURSE CAPITAL CORPORATION , ,
MELN ,N ,MELLIN SECURITIES, INC. ,CHICAGO, IL ,312-456-7304
MENT ,M ,MENTOR SECURITIES, INC. , ,
MEOW ,M ,LION CAPITAL CORP. , ,
MEQI ,M ,MEDALLION EQUITIES, INC. , ,
MERG ,M ,MERRION GROUP, LLC , ,
MERI ,N ,MERCANTILE INVESTMENT SERVICES, INC. , ,
METT ,M ,METRO TRADING, INC. ,TRADING ,800-554-8636
MFCO ,M ,MUTUAL FUNDS SERVICE CO. , ,
MFII ,M ,CONTINENTAL CAPITAL INVESTMENT SERVICES, INC. , ,
MFIN ,M ,MONARCH FINANCIAL CORPORATION OF AMERICA ,NEW YORK NY ,212-332-7010
MFLC ,M ,MERIT FINANCIAL CORPORATION , ,
MGAN ,M ,ANTHONY MISCIAGNA & CO., INC. , ,
MGII ,M ,MAGNA INVESTMENTS ,ST. LOUIS, MO 63144 ,314-968-4131
MGML ,N ,MILESTONE GROUP MANAGEMENT LLC , ,
MGSG ,M ,M G SECURITIES GROUP, INC. ,DALLAS, TX ,214-761-0789
MGSG ,M ,M G SECURITIES GROUP, INC. ,WATS-LINE ,877-872-3364
MGSG ,M ,M G SECURITIES GROUP, INC. ,TRADING ,214-761-0789
MHDC ,M ,M.H. DAVIDSON & CO., L.L.C. ,NEW YORK NY ,212-371-3000
MHDC ,M ,M.H. DAVIDSON & CO., L.L.C. ,NEW YORK NY ,212-371-4201
MHDC ,M ,M.H. DAVIDSON & CO., L.L.C. ,NEW YORK NY ,212-517-7369
MHIL ,M ,MASON HILL & CO., INC. , ,
MHMC ,N ,MHMC MEYERSON & COMPANY, INC. , ,
MHMY ,M ,M. H. MEYERSON & CO., INC. ,JERSEY CITY NJ ,201-459-9600
MHMY ,M ,M. H. MEYERSON & CO., INC. ,JERSEY CITY NJ ,800-333-3113
MHMY ,M ,M. H. MEYERSON & CO., INC. ,AGENCY ORDER DESK ,800-777-MHMY
MHMY ,M ,M. H. MEYERSON & CO., INC. ,AGENCY ORDER DESK ,800-777-6469
MHMY ,M ,M. H. MEYERSON & CO., INC. ,INSTITUTIONAL/BLOCK ,800-422-4114
MHMY ,M ,M. H. MEYERSON & CO., INC. ,JERSEY CITY FAX ,201-459-9609
MHSC ,M ,BARRETT & COMPANY , ,
MIAM ,P ,FIRST MIAMI SECURITIES, INC. , ,
MICK ,M ,PARKER JAMESON, INC. , ,
MIDD ,M ,MIDLAND WALWYN CAPITAL CORPORATION , ,
MIDS ,M ,MIDSOUTH CAPITAL, INC. ,COLUMBIA, SC ,803-790-4440
MIGS ,M ,MONITOR INVESTMENT GROUP, INC. , ,
MIKE ,M ,JP MICHAEL CO. , ,
MILL ,M ,MILLS FINANCIAL SERVICES, INC. , ,
MILT ,M ,MILLENNIUM TRADING CO., L.P. ,NASDAQ TRADING ,212-841-4208
MIML ,Q ,THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY , ,
MINI ,M ,THE MINNEAPOLIS COMPANY, INC. , ,
MIOH ,M ,MID-OHIO SECURITIES CORP ,NASDAQ TRADING ,216-323-5491
MISI ,M ,MESIROW INVESTMENT SERVICES, INC. , ,
MIST ,M ,MR. STOCK, INC. ,OAKLAND, CA ,510-587-5603
MIST ,M ,MR. STOCK, INC. ,NASDAQ TRADING ,510-587-5603
MITU ,O ,TERRA NOVA TRADING , ,
MIVF ,N ,KALIN ASSOCIATES, INC. , ,
MJDF ,N ,CANADIAN WESTERN CAPITAL , ,
MJJG ,M ,MICHAEL A. STEINBERG & COMPANY, INC. ,NASDAQ TRADING ,212-730-9797
MJSK ,M ,MILLER JOHNSON STEICHEN KINNARD, INC. ,M-MINNEAPOLIS, MN ,612-370-2795
MJSK ,M ,MILLER JOHNSON STEICHEN KINNARD, INC. ,NASDAQ/OTCBB TRADING ,800-825-5466
MJSK ,M ,MILLER JOHNSON STEICHEN KINNARD, INC. ,M-INSTITUTIONAL ,612-370-2900
MJSK ,M ,MILLER JOHNSON STEICHEN KINNARD, INC. ,M-INSTITUIONAL ,800-777-5134
MJSK ,M ,MILLER JOHNSON STEICHEN KINNARD, INC. ,R-TRADING ,800-525-7497
MJUR ,M ,MOORE, JURAN AND COMPANY, INC. , ,
MJWH ,M ,M. J. WHITMAN, INC. ,NEW YORK, NY-TRADING ,212-888-0290
MKIN ,M ,MCKINLEY ALLSOPP, INC. , ,
MKTD ,N ,WHITE PACIFIC SECURITIES, INC./MARKETRADE , ,
MKVA ,N ,MERRIMACK VALLEY INVESTMENT, INC. ,NASDAQ TRADING ,508-374-0561
MKXT ,C ,MARKETXT, INC. ,NASDAQ TRADING ,646-521-4727
MLBI ,M ,MLB INVESTMENTS, LTD. , ,
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,NASDAQ TRADING ,800-937-0501
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,NASDAQ SALES TRD ,800-937-0516
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,DEALER DESK ,212-449-6872
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INTERNATIONAL SALES ,800-933-6468
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INTL BROKER/DEALER ,212-449-7586
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,LISTED SALES ,800-937-0539
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INTL BROKERDEALR SVC ,212-449-7851
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INTL BROKERDEALR SVC ,800-221-7420
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,CONVERTIBLES ,212-449-4040
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,UNITED KINGDOM ,212-449-5956
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,EUROPE ,212-449-5956
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,ASIA PACIFIC ,212-449-4105
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,LATIN AMERICA ,212-449-4101
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,CANADA ,212-449-4101
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,EMERGING MARKETS ,212-449-6491
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INDUSTRIAL TRADING ,212-449-4167
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,INDUSTRIAL ORDERS ,212-449-4142
MLCO ,M ,MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED ,PORTLAND,OR ,503-221-4744
MLIN ,M ,MCLAUGHLIN CAPITAL MARKETS, INC. , ,
MLNJ - - HERZOG, HEINE, GEDULD, LLC NEW YORK, NY 800-221-3600
MLNM ,N ,MILLENNIUM BROKERAGE, L.L.C. ,NASDAQ TRADING ,201-391-7575
MLSI ,M ,MAJOR LEAGUE SECURITIES, LLC ,NEW YORK NY ,212-223-4281
MLSI ,M ,MAJOR LEAGUE SECURITIES, LLC ,JERICHO, NY ,516-938-2288
MLSR ,M ,SECURITIES RESOLUTION CORPORATION ,MINNEAPOLIS, MN ,800-862-6002
MLSR ,M ,SECURITIES RESOLUTION CORPORATION ,MINNEAPOLIS, MN ,612-376-1302
MLST ,N ,M.L. STERN & CO., LLC. ,BEVERLY HILLS, CA ,213-658-4444
MLVN ,M ,MELVIN SECURITIES, LLC ,CHICAGO, IL ,312-341-5170
MLVN ,M ,MELVIN SECURITIES, LLC , ,800-578-6358
MLVN ,M ,MELVIN SECURITIES, LLC ,INSTITUTIONAL DESK ,312-341-1911
MLVN ,M ,MELVIN SECURITIES, LLC , ,800-341-8584
MMAN ,M ,MCMAHAN SECURITIES CO. L.P. ,GREENWICH CT ,203-618-3300
MMAN ,M ,MCMAHAN SECURITIES CO. L.P. ,GREENWICH CT ,800-626-2426
MMSL ,M ,MIKLES/MILLER SECURITIES, LLC ,SANTA MONICA, CA ,310-260-6868
MNAI ,M ,Manning and Napier Advisors Inc. , ,
MNCO ,M ,MARTIN NELSON & CO., INC. ,NASDAQ TRADING ,206-682-6261
MOFO ,M ,MASTERS FINANCIAL GROUP, INC. , ,
MOJO ,O ,MONTAG & JOSELSON , ,
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,MEMPHIS TN ,901-529-5361
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,NASDAQ TRADING ,800-238-7533
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,NASDAQ AGENCY ,800-564-3678
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,NASDAQ FOREIGN/OTCBB ,800-564-7314
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,CONVERTIBLE DEPT ,901-529-5417
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,BIRMINGHAM AL ,205-802-4235
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,NASDAQ/OTCBB TRADING ,800-289-5019
MOKE ,M ,MORGAN KEEGAN & COMPANY, INC. ,LISTED TRADING ,800-774-0124
MOLO ,M ,MOLONEY SECURITIES CO., INC. , ,
MOMS ,M ,MONMOUTH INVESTMENTS, INC. , ,
MONE ,M ,MARKETING ONE SECURITIES, INC. ,PORTLAND OR ,800-632-5678
MONF ,M ,MONETTA FINANCIAL SERVICES, INC. , ,
MONR ,M ,MONROE SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-766-5560
MONR ,M ,MONROE SECURITIES, INC. ,IF LINE TROUBLE ,716-546-5560
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,SAN FRANCISCO CA ,415-627-2900
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,SAN FRANCISCO CA ,800-227-4778
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,AGENCY TRADING-SF ,415-913-5800
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,CONVERTIBLES ,800-654-1666
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,LISTED ,800-227-4705
MONT ,M ,BANC OF AMERICA SECURITIES LLC ,NY FOREIGN TRADING ,212-583-8100
MOOI ,M ,M.ONE INVESTMENT SECURITIES, INC. , ,
MOPA ,M ,MONROE PARKER SECURITIES, INC. , ,
MORE ,M ,MITCHELL SECURITIES CORPORATION OF OREGON ,PORTLAND OR ,503-224-4030
MOSE ,O ,MOSES.COM SECURITIES, INC. , ,
MOSS ,O ,Market Maker Option Strategies ,CHICAGO OPTIONS ,312-294-7714
MOSS ,O ,Market Maker Option Strategies ,SAN FRANCISCO OPTION ,415-397-5048
MOSS ,O ,Market Maker Option Strategies ,OPERATIONS ,201-413-4894
MOSS ,O ,Market Maker Option Strategies ,OPERATIONS ,800-356-8058
MOTC ,M ,FAM DISTRIBUTORS, INC. , ,
MPAC ,M ,MPAC CAPITAL PARTNERS, L.P. ,NASDAQ TRADING ,415-289-3915
MPBS ,M ,MOUNT PLEASANT BROKERAGE SERVICES, LLC ,MT. PLEASANT SC ,843-884-9191
MPBS ,M ,MOUNT PLEASANT BROKERAGE SERVICES, LLC , , N/A
MPII ,N ,MPI FINANCIAL , ,
MPIR ,M ,EMPIRE CAPITAL GROUP, LLC ,PHOENIX, AZ ,602-224-6400
MPRI ,M ,MEYERS POLLOCK ROBBINS, INC. , ,
MPWA ,M ,PERKINS, WOLF, MCDONNELL & CO. ,CHICAGO IL ,312-922-0355
MPYR ,M ,EMPIRE STATE SECURITIES , ,
MQIN ,M ,MCGINN, SMITH & CO., INC. ,NASDAQ TRADING ,518-449-5131
MRCE ,M ,MEUSE, RINKER, CHAPMAN, ENDRES & BROOKS , ,
MRCO ,M ,MINELLA, RICH & CO., INC. , ,
MRCR ,M ,MERCER PARTNERS INCORPORATED , ,
MREY ,Q ,MICHAEL REYNOLDS , ,
MRKA ,M ,MERICKA & CO., INC. ,BEECHWOOD OH ,216-292-1100
MRLO ,M ,MARLEAU LEMIRE (U.S.A.), INC. ,NASDAQ TRADING ,514-877-3819
MRSC ,M ,MARSCO INVESTMENT CORPORATION , ,
MRSL ,M ,MARSHALL & CO. SECURITIES, INC. , ,
MRTN ,M ,FLEMING MARTIN INC. , ,
MSCA ,M ,MARCUS SCHLOSS & CO., INC. ,NEW YORK NY ,212-483-1575
MSCB ,M ,MAINE SECURITIES CORPORATION , ,
MSCC ,M ,MOORE & SCHLEY SECURITIES CORPORATION , ,
MSCH ,N ,MAGNA SECURITIES CORP. ,NASDAQ TRADING ,212-547-3700
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,NEW YORK NY ,212-761-5700
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,NASDAQ TRADING ,800-223-6559
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,AGCY TRADING ,800-223-9493
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,NASDAQ INT'L ,011-4471-425-6721
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,RISK ARBITRAGE ,212-761-5080
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,FOREIGN TRADING ,212-761-5540
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,CONVERTIBLE ARB. ,212-761-5600
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,SAN FRANCISCO, CA ,415-576-2033
MSCO ,M ,MORGAN STANLEY & CO., INCORPORATED ,INSTITUTIONAL ,212-761-5750
MSCS ,N ,Morgan Stanley Prime Correspondent Services , ,
MSFX ,M ,MASON STREET SECURITIES, INC. , ,
MSIM ,N ,MICHIGAN SECURITIES, INC. , ,
MSIO ,S ,MELVIN SPECIALISTS, L.L.C. , ,312-663-2288
MSLD ,M ,MERCER SECURITIES, LTD. , ,
MSMS ,M ,GLOBAL ACCESS FINANCIAL SERVICES ,LAKE SUCCESS (NY2) ,[phone]
MSNT ,M ,MELVIN SPECIALISTS, L.L.C. ,TRADING ,312-994-7768
MSRO ,M ,MESIROW FINANCIAL, INC. , ,800-248-7220
MSRO ,M ,MESIROW FINANCIAL, INC. ,CHICAGO,IL ,312-595-6620
MSRO ,M ,MESIROW FINANCIAL, INC. ,PREFERRED DESK ,312-595-6724
MSRV ,M ,MILESTONE FINANCIAL SERVICES, INC. , ,
MSSI ,M ,MARKLEY FINANCIAL SERVICES, INC. , ,
MSTR ,O ,MASTERTRADER.COM , ,
MSUI ,M ,M.S.U., INC. , ,
MTAA ,M ,MORGAN, TAYLOR & ASSOCIATES, INC. , ,
MTCO ,M ,MILLER TABAK + CO., LLC ,NEW YORK, NY ,212-370-2450
MTCO ,M ,MILLER TABAK + CO., LLC ,CONVERTIBLES ,212-867-8856
MTHH ,N ,MILLER TABAK HIRSCH & CO. , ,
MTNO ,M ,MONTANO SECURITIES CORPORATION , ,
MTRE ,M ,THE MONEY TREE, INC. , ,
MTRX ,M ,MATRIX SECURITY CORPORATION ,GARDEN CITY ,516-683-8920
MTSL ,M ,MARKETREND SECURITIES, LTD. , ,
MULE ,M ,MUELLER & COMPANY INC. ,NASDAQ/OTCBB TRADING ,732-364-9830
MUMA ,M ,MURPHEY, MARSEILLES, SMITH & NAMMACK, INC. , ,
MURC ,M ,BARRY MURPHY & COMPANY, INC. , ,
MURF ,M ,MURPHY & DURIEU ,NEW YORK, NY ,212-422-1941
MURF ,M ,MURPHY & DURIEU ,N.Y. CONVERTIBLE ,212-618-0915
MURF ,M ,MURPHY & DURIEU ,PFDS & WRNTS ,800-227-3210
MUZH ,M ,MUZINICH & CO., INC. , ,
MVPF ,M ,M.V.P. FINANCIAL LLC ,TRADING DESK, NY ,212-701-8580
MVST ,N ,MICROVEST SECURITIES CORP. , ,
MWCC ,M ,MONNESS CRESPI HARDT & CO., INC. ,NEW YORK, NY ,212-838-7575
MWMC ,M ,Mesirow Web Marsh, Inc. , ,
MWRE ,M ,FIRST TENNESSEE SECURITIES CORP. ,NASHVILLE, TENN ,888-801-3477
MWRE ,M ,FIRST TENNESSEE SECURITIES CORP. , ,615-734-6048
MWRI ,M ,MCADAMS WRIGHT RAGEN, INC. ,NASDAQ TRADING ,206-664-8888
MWRI ,M ,MCADAMS WRIGHT RAGEN, INC. ,WATTS LINE ,800-371-0710
MWSE ,E ,CHICAGO STOCK EXCHANGE ,DEMPSEY & COMPANY ,312-663-2634 (DFLR)
MWSE ,E ,CHICAGO STOCK EXCHANGE , ,312-663-2635
MWSE ,E ,CHICAGO STOCK EXCHANGE , ,800-999-0027
MWSE ,E ,CHICAGO STOCK EXCHANGE ,MELVIN SPECIALIST ,312-663-2288 (MSIO)
MWSE ,E ,CHICAGO STOCK EXCHANGE ,ROCK ISLD SPECIALIST ,312-663-2210 (HROC)
MWSE ,E ,CHICAGO STOCK EXCHANGE , ,800-334-3882
MWSE ,E ,CHICAGO STOCK EXCHANGE ,TRADELINK SECURITIES ,312-663-2639 (TLNK)
MWSE ,E ,CHICAGO STOCK EXCHANGE ,CHICAGO SECURITIES ,312-663-2815
MWSE ,E ,CHICAGO STOCK EXCHANGE ,SALVATORE AND CO ,312-663-2211 (SSAL)
MWSE ,E ,CHICAGO STOCK EXCHANGE ,SJS SECURITIES ,312-663-2727 (JAMI)
MWSE ,E ,CHICAGO STOCK EXCHANGE ,CHICAGO SECURITIES ,312-663-2175 (CSGO)
MWSE ,E ,CHICAGO STOCK EXCHANGE ,KWS TRADE PARTNERS ,312-663-2366
MWSE ,E ,CHICAGO STOCK EXCHANGE ,LCS, LLC ,312-499-6907 (LTGC)
MWSI ,M ,MORGAN WILSHIRE SECURITIES, INC. , ,
MWTI ,M ,MARKET WISE SECURITIES, LLC ,BROOMFIELD, CO ,877-658-8723
MXFG ,M ,MAXIMUM FINANCIAL INVESTMENT GROUP, INC. ,SOUTHFIELD, MI ,810-358-0808
MXXX ,M ,MILLENNIUM SECURITIES CORP.
NADL ,M ,WARREN D. NADEL & COMPANY ,GREENVALE NY ,516-625-3400
NAIB ,M ,NORTH AMERICAN INSTITUTIONAL BROKERS ,FORT LAUDERDALE, FL ,954-484-1490
NAIB ,M ,NORTH AMERICAN INSTITUTIONAL BROKERS ,NASDAQ/OTCBB TRADING ,800-952-6559
NANO ,O ,SBX INC. , ,
NASD ,M ,District 8 - Chicago , , N/A
NASP ,M ,NASDAQ/PICCARD , ,
NATC ,M ,NATIONAL CAPITAL L.L.C. ,OKLAHOMA CITY, OK ,405-842-1992
NATC ,M ,NATIONAL CAPITAL L.L.C. , ,800-378-5130
NATC ,M ,NATIONAL CAPITAL L.L.C. ,IRVINE, CA ,949-261-2138
NATC ,M ,NATIONAL CAPITAL L.L.C. ,PEORIA, IL ,800-881-7282
NATC ,M ,NATIONAL CAPITAL L.L.C. ,PEORIA, IL ,309-694-8170
NATL ,M ,NATIONAL SECURITIES CORPORATION ,NEW YORK ,212-417-3620
NATL ,M ,NATIONAL SECURITIES CORPORATION ,NEW YORK ,888-618-8181
NATL ,M ,NATIONAL SECURITIES CORPORATION ,S-SPOKANE WA ,800-321-9217
NATL ,M ,NATIONAL SECURITIES CORPORATION ,S-SPOKANE WA (RETAIL ,509-747-6800
NATL ,M ,NATIONAL SECURITIES CORPORATION ,T-SEATTLE WA ,800-426-1613
NATL ,M ,NATIONAL SECURITIES CORPORATION ,T-SEATTLE WA ,206-343-6221
NATY ,M ,NATCITY INVESTMENTS, INC. ,INDIANAPOLIS IN ,317-686-3509
NATY ,M ,NATCITY INVESTMENTS, INC. , ,800-891-1970
NAVI ,M ,NAVILLUS SECURITIES, INC. ,ALLENTOWN PA ,610-941-0300
NBCS ,M ,NBC SECURITIES, INC. ,NASDAQ TRADING ,205-583-3623
NBDB ,M ,NBD Bank, N.A. , ,
NBFI ,M ,NBC INTERNATIONAL (USA) INC. ,NASDAQ TRADING ,514-879-3144
NBII ,M ,BANC OF AMERICA INVESTMENT SERVICES, INC. , ,
NBSI ,M ,BMO NESBITT BURNS CORP. ,NEW YORK, NY ,212-702-1931
NBSI ,M ,BMO NESBITT BURNS CORP. , ,800-405-1219
NBSI ,M ,BMO NESBITT BURNS CORP. ,AGENCY ,212-702-1939
NBSI ,M ,BMO NESBITT BURNS CORP. ,AGENCY ,800-223-1181
NCCI ,O ,NORTHRIDGE CAPITAL CORPORATION , ,
NCKY ,M ,NATIONAL CITY INVESTMENTS CORPORATION , ,
NCSI ,N ,EMERGENT FINANCIAL GROUP, INC. , ,
NDBC ,M ,NDB CAPITAL MARKETS, LP ,NASDAQ TRADING ,212-294-7700
NDBC ,M ,NDB CAPITAL MARKETS, LP ,NEW YORK,NY ,800-435-1235
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TINTON FALLS ,732-212-4200
NDBC ,M ,NDB CAPITAL MARKETS, LP ,ARBITRAGE ,212-294-7744
NDBC ,M ,NDB CAPITAL MARKETS, LP ,BROKER DEALER DPT NY ,212-294-7920
NDBC ,M ,NDB CAPITAL MARKETS, LP , ,212-294-7754
NDBC ,M ,NDB CAPITAL MARKETS, LP ,BROKER DEALER DPT NY ,800-390-9931
NDBC ,M ,NDB CAPITAL MARKETS, LP ,BROKER DEALER DPT NY ,800-520-5112
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TINTON FALLS TRADING ,732-212-4200
NDBC ,M ,NDB CAPITAL MARKETS, LP ,BROKER DEALER DPT TF ,732-212-4270
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TINTON FALLS, SALES ,877-852-6506
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TINTON FALLS, BB ,877-852-6505
NDBC ,M ,NDB CAPITAL MARKETS, LP ,J ROOM ONLY ,212-294-7777
NDBC ,M ,NDB CAPITAL MARKETS, LP ,J ROOM ONLY ,800-966-3972
NDBC ,M ,NDB CAPITAL MARKETS, LP ,INSTITUTIONAL NJ ,800-390-7253
NDBC ,M ,NDB CAPITAL MARKETS, LP ,INSTITUTIONAL ,212-294-7900
NDBC ,M ,NDB CAPITAL MARKETS, LP ,BOSTON, MA ,617-753-9900
NDBC ,M ,NDB CAPITAL MARKETS, LP , ,800-585-5769
NDBC ,M ,NDB CAPITAL MARKETS, LP ,DENVER, CO ,720-904-2770
NDBC ,M ,NDB CAPITAL MARKETS, LP ,DENVER, CO ,800-525-3499
NDBC ,M ,NDB CAPITAL MARKETS, LP ,LOS ANGELES, CA ,213-624-4911
NDBC ,M ,NDB CAPITAL MARKETS, LP ,LOS ANGELES, CA ,800-421-0297
NDBC ,M ,NDB CAPITAL MARKETS, LP ,CHICAGI, ILL ,800-999-8073
NDBC ,M ,NDB CAPITAL MARKETS, LP ,CHICAGO, ILL ,312-985-0580
NDBC ,M ,NDB CAPITAL MARKETS, LP ,FOREIGN TRADING ,212-294-7788
NDBC ,M ,NDB CAPITAL MARKETS, LP ,FOREIGN TRADING ,800-435-1237
NDBC ,M ,NDB CAPITAL MARKETS, LP ,DENVER INSTITUTIONAL ,877-852-6502
NDBC ,M ,NDB CAPITAL MARKETS, LP ,DENVER INSTITUTIONAL ,720-904-9409
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TRINTON FALLS, NJ ,732-212-4300
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TRADING ,877-852-6505
NDBC ,M ,NDB CAPITAL MARKETS, LP ,SALES ,877-852-6506
NDBC ,M ,NDB CAPITAL MARKETS, LP ,TINTON FALLS BD DEPT ,732-212-4270
NDBC ,M ,NDB CAPITAL MARKETS, LP ,UNIONDALE, LI ,877-852-6508
NDBC ,M ,NDB CAPITAL MARKETS, LP ,SALES ,877-852-6509
NDRS ,N ,ND Resources, Inc. , ,
NDXT ,O ,NDX TRADING, INC. ,MINNEAPOLIS, MN ,612-331-8225
NDXT ,O ,NDX TRADING, INC. ,FORT WORTH, TX ,817-595-7330
NEAL ,M ,KING FINANCIAL SERVICES, INC. ,TRADING DEPT ,718-435-8694
NEED ,M ,NEEDHAM & COMPANY, INC. ,NEW YORK, NY ,212-371-8411
NEED ,M ,NEEDHAM & COMPANY, INC. ,NEW YORK, NY ,800-843-4446
NEHL ,M ,GREENBERG FINANCIAL GROUP , ,
NELS ,M ,NELSON SECURITIES,INC. ,SPOKANE, WA ,509-625-1980
NELS ,M ,NELSON SECURITIES,INC. ,SPOKANE, WA ,509-838-1313
NELS ,M ,NELSON SECURITIES,INC. ,SPOKANE, WA ,800-343-7799
NESC ,M ,NORTHEAST SECURITIES, INC. ,WESTBURY NY ,516-222-5312
NESS ,M ,NEW ENGLAND SECURITIES , ,
NETT ,O ,LOGAN ROCK ,ARLINGTON, VA ,703-525-1002
NETW ,M ,NETWORK 1 FINANCIAL SECURITIES INC. ,RED BANK NJ ,732-758-6533
NETW ,M ,NETWORK 1 FINANCIAL SECURITIES INC. ,NASDAQ TRADING ,800-783-6389
NEUB ,M ,NEUBERGER BERMAN, LLC ,NEW YORK, NY ,212-476-5666
NEUB ,M ,NEUBERGER BERMAN, LLC ,NASDAQ/OTCBB TRADING ,800-543-8481
NEUB ,M ,NEUBERGER BERMAN, LLC ,PERFERRED DESK ,212-476-5630
NEWB ,M ,CITICORP SECURITIES SERVICES, INC. ,NEW YORK, NY ,212-820-5700
NEWB ,M ,CITICORP SECURITIES SERVICES, INC. , ,800-944-1992
NEWC ,M ,NEWHARD, COOK & CO. INCORPORATED , ,
NEWP ,N ,NEWPOINT SECURITIES, LLC , ,
NEXA ,M ,NEXA SECURITIES ,NEWPORT BEACH, CA ,949-791-0200
NFGR ,N ,NATIONS FINANCIAL GROUP, INC. , ,
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC ,PRINCIPAL ,800-679-5748
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC , ,800-262-0680
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC , ,800-487-2452
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC , ,201-418-3439
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC , ,212-335-6200
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC ,BULLETIN BOARDS ,212-335-6222
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC ,AGENCY-NEW YORK ,212-335-6185
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC , ,800-762-1190
NFSC ,M ,NATIONAL FINANCIAL SERVICES LLC ,PRIN/AGEN BOSTON ,800-731-1689
NFSV ,M ,NATIONWIDE SECURITIES, INC. , ,
NHAM ,N ,NORTH HAMPTON PARTNERS, L.P. , ,
NIII ,M ,NOBLE INTERNATIONAL INVESTMENTS, INC. ,BOCA RATON, FL ,561-994-1191
NIII ,M ,NOBLE INTERNATIONAL INVESTMENTS, INC. ,TRADING ROOM ,561-994-1858
NIKO ,M ,THE NIKKO SECURITIES CO. INTERNATIONAL, INC. , ,
NISC ,O ,NATIONAL INVESTOR SERVICES CORP. ,NEW YORK, NY ,212-509-0055
NITE ,M ,KNIGHT SECURITIES, L.P. ,NASDAQ TRADING ,800-222-4910
NITE ,M ,KNIGHT SECURITIES, L.P. ,NASDAQ TRADING ,888-515-0031
NITE ,M ,KNIGHT SECURITIES, L.P. ,BULLETIN BOARD ,800-232-3684
NITE ,M ,KNIGHT SECURITIES, L.P. ,INTERNATIONAL ,800-762-0271
NITE ,M ,KNIGHT SECURITIES, L.P. ,BROKER/DEALER DESK ,888-302-9197
NITE ,M ,KNIGHT SECURITIES, L.P. ,INSTITUTIONAL DESK ,800-222-4895
NITE ,M ,KNIGHT SECURITIES, L.P. ,FOREIGN BULLETIN BD ,212-336-8841
NITE ,M ,KNIGHT SECURITIES, L.P. ,AFTR HRS TRDING DESK ,888-302-9197
NJPN ,M ,NEW JAPAN SECURITIES INTERNATIONAL INC. , ,
NLSI ,M ,NATHAN & LEWIS SECURITIES, INC. ,NEW YORK NY ,212-354-8800
NLSI ,M ,NATHAN & LEWIS SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,212-869-3820
NLSI ,M ,NATHAN & LEWIS SECURITIES, INC. ,RETAIL-DESK ,212-869-3692
NMRA ,M ,NOMURA SECURITIES INTERNATIONAL, INC. ,NEW YORK, NY ,212-667-2279
NMRA ,M ,NOMURA SECURITIES INTERNATIONAL, INC. ,NEW YORK, NY ,800-247-2061
NMRA ,M ,NOMURA SECURITIES INTERNATIONAL, INC. ,NASDAQ JAPAN ,212-667-2450
NODD ,M ,NODDINGS AND ASSOCIATES, INC. , ,
NORC ,N ,NORTHERN CAPITAL SECURITIES CORPORATION , ,
NORD ,M ,NORDBERG CAPITAL INC. ,NASDAQ TRADING ,212-753-9111
NORM ,M ,NORRIS & HIRSHBERG, INC. , ,
NORW ,M ,WELLS FARGO BROKERAGE SERVICES, L.L.C. ,MINNEAPOLIS, MN ,612-316-1000
NORX ,M ,NORCROSS SECURITIES, INC. , ,
NOVK ,M ,M.H. NOVICK & CO., INC. , ,
NOYE ,M ,NOYES PARTNERS INCORPORATED ,NEW YORK, N.Y. ,212-668-3000
NOYE ,M ,NOYES PARTNERS INCORPORATED ,STOCK TRADING ,212-668-3000
NOYE ,M ,NOYES PARTNERS INCORPORATED ,S.AFRICAN BOND TRAD. ,212-668-3000
NOYE ,M ,NOYES PARTNERS INCORPORATED ,STOCKS OR BONDS ,212-668-3000
NOYS ,M ,DAVID A. NOYES & COMPANY ,INDIANAPOLIS IN ,317-633-1723
NOYS ,M ,DAVID A. NOYES & COMPANY ,CHICAGO IL ,312-606-8221
NOYS ,M ,DAVID A. NOYES & COMPANY ,CHICAGO IL ,800-669-3732
NQCC ,M ,NASDAQ - CHOKE CHERRY MD , ,
NQCO ,M ,Computer Operations and Technical Support - Rockville ,NASDAQ , N/A
NQCS ,M ,NASDAQ COMPANY SERVICES , ,
NQDB ,M ,NASDAQ - DIAMONDBACK , ,
NQDO ,M ,District 4 - Kansas City ,NASDAQ DISTRICT ,303-446-3130
NQEF ,M ,Nasdaq Microsystems Support , ,
NQER ,M ,Nasdaq Economic Research , , N/A
NQIC ,M ,NASDAQ INVESTMENT CENTER , , N/A
NQKS ,M ,NASDAQ - K STREET - WASHINGTON DC ,TRADING ,202-728-8254
NQLD ,M ,International Services , ,
NQMA ,M ,NASDAQ SYSTEM ENGINEERING/NUTMEG , ,
NQMD ,M ,NASDAQ/KEY WEST OPERATIONS , , N/A
NQMO ,M ,NASDAQ Market Operations ,TRUMBULL MKT OPS ,203-378-0285
NQMO ,M ,NASDAQ Market Operations ,HELP DESK ,800-219-4861
NQMO ,M ,NASDAQ Market Operations ,TEST ,9999999999
NQMO ,M ,NASDAQ Market Operations ,TRADING OPERATIONS ,800-219-4861
NQMS ,M ,Nasdaq, Marketwatch ,ROCKVILLE, MD ,800-925-8156
NQMS ,M ,Nasdaq, Marketwatch ,STOCKWATCH ,800-537-3929
NQNO ,M ,Nasdaq Netcom , ,
NQPD ,M ,Nasdaq Product Development/NQPD/800083 ,NASDAQ NEW YORK ,212-858-4063
NQRE ,M ,NASDR Market Regulation , ,
NQSM ,M ,Computer Operations - Trumbull ,1801 K STREET NW ,301-590-6404
NQSS ,M ,Nasdaq Subscriber Services , ,
NQTM ,M ,Trading and Market Services - DC , ,
NQTS ,M ,Nasdaq Trading and Market Services , ,
NQWB ,M ,National Association of Securities Dealers, Inc. , ,
NRTH ,M ,NORTH COAST SECURITIES CORPORATION , ,
NSCC ,Q ,NATIONAL SECURITIES CORP. ,NEW YORK, NY ,212-412-8400
NSIF ,N ,NORSTAR SECURITIES INTERNATIONAL INC. ,TORONTO, ONTARIO ,416-361-3031
NSLC ,M ,NICHOLS, SAFINA, LERNER & CO. INC. , ,
NTBC ,M ,NEIDIGER, TUCKER, BRUNER, INC. ,DENVER, CO. ,303-825-3754
NTBC ,M ,NEIDIGER, TUCKER, BRUNER, INC. ,DENVER, CO. ,800-237-1520
NTBF ,N ,NESBITT BURNS, INC. ,TORONTO, ONTARIO ,416-359-6636
NTDB ,O ,NEBRASKA HUDSON COMPANY, INC. ,NEW YORK NY ,212-863-4200
NTDB ,O ,NEBRASKA HUDSON COMPANY, INC. ,TRADING ,800-888-3999
NTMG ,M ,NUTMEG SECURITIES, LTD. ,WESTPORT, CT ,888-800-4417
NTMG ,M ,NUTMEG SECURITIES, LTD. , ,203-226-1857
NTRC ,M ,NORTHERN TRUST SECURITIES, INC. , ,
NTRD ,C ,NEXTRADE ,TRADING ,727-446-6660
NUSA ,O ,FLEET ENTERPRISES, INC. , ,
NUTS ,M ,NUTLEY SECURITIES, INC. , ,
NVAS ,M ,NEW VERNON SECURITIES, LLC , ,
NVST ,M ,INVESTIN SECURITIES CORP. ,DALLAS, TX ,214-939-0110
NWBD ,M ,NORWEST BROKERAGE SERVICES, INC. , ,
NWMK ,N ,NEWMARK SECURITIES LTD. , ,
NWPT ,M ,NEWPORT SECURITIES CORPORATION ,NASDAQ TRADING ,714-957-1081
NWSI ,O ,NEW WORLD SECURITIES, INC. ,GARDEN CITY, NY ,800-420-6438
NWSR ,M ,NEWSOURCE SECURITIES, INC. , ,
NWST ,M ,NEVWEST SECURITIES CORPORATION ,TRADING DESK 1 ,877-424-8908
NWST ,M ,NEVWEST SECURITIES CORPORATION ,TRADING DESK ,702-257-4646
NYBI ,M ,NEW YORK BROKER, INC. ,HERNDON, VA ,703-234-2321
NYFO ,M ,NEW YORK & FOREIGN SECURITIES CORPORATION , ,
NYFX ,O ,NYFIX MILLENNIUM, L.L.C. ,NEW YORK, NY ,212-809-3532
NYNY ,M ,HASAN GROWNEY CO. INC.
OAHU ,M ,FRY & CO., INC. , ,
OAKF ,M ,OAKES, FITZWILLIAMS & CO. L.P. , ,
OBSA ,M ,SERFIN SECURITIES,INC. ,NEW YORK NY ,212-750-4232
OCAA ,M ,O'CONNOR & ASSOCIATES , ,
OCAP ,M ,OCEAN SECURITIES CORPORATION , ,
OCMI ,M ,OMNI CAPITAL MARKETS, INCORPORATED , ,
OCON ,M ,O'CONNOR SECURITIES INCORPORATED , ,
OCTI ,M ,O'CONO/TRADE,INC. ,BOSTON, MA ,617-227-3650
ODYS ,Q ,ODYSSEY PARTNERS , ,
OFCC ,N ,OBERLIN FINANCIAL CORPORATION , ,
OFFR ,M ,MARQUETTE FINANCIAL GROUP, INC. ,NASDAQ/OTCBB TRADING ,800-678-8999
OFGF ,M ,OFG FINANCIAL SERVICES, INC. , ,
OFRD ,M ,THE OAKFORD CORPORATION , ,
OFUT ,M ,OFFUTT SECURITIES, INC. ,NASDAQ TRADING ,410-584-9600
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,NEW YORK NY ,212-943-6400
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,NASDAQ TRADING ,212-943-6400
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,ARBITRAGE ,212-943-7616
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,WARRANTS,CONVERTABLE ,212-943-7610
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,FIXED-INCOMES , N/A
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED ,BULLETIN BOARDS ,212-514-2403
OGRU ,M ,OSCAR GRUSS & SON, INCORPORATED , ,800-332-2282
OHIO ,M ,FIFTH THIRD SECURITIES, INC. ,CINCINATI OH , N/A
OHIO ,M ,FIFTH THIRD SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,513-744-6430
OHIO ,M ,FIFTH THIRD SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-848-0927
OHIO ,M ,FIFTH THIRD SECURITIES, INC. ,CORPORATE BONDS ,513-744-7186
OIEN ,P ,OIEN SECURITIES, INC. , ,
OING ,M ,OFTRING & COMPANY, INC. ,NASDAQ TRADING ,508-791-7111
OKOK ,M ,STRATTON OAKMONT INC. , ,
OKRI ,M ,OAK RIDGE INVESTMENTS, INC. ,NASDAQ TRADING ,312-857-1040
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,DETROIT MI ,313-964-0616
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,NASDAQ TRADING ,800-426-9966
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,PREFERRED ,800-684-1900
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,INSTITUTIONAL ,800-535-6533
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,CONVERTIBLES ,313-964-2091
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,FIXED INCOME ,313-964-2091
OLDE ,M ,H&R BLOCK FINANCIAL ADVISORS, INC. ,LISTED TRADING ,800-684-1900
OLIE ,M ,OLSEN PAYNE & COMPANY ,SALT LAKE CITY, UT ,801-355-7543
OLIE ,M ,OLSEN PAYNE & COMPANY ,SALT LAKE CITY, UT ,800-453-5321
OLIE ,M ,OLSEN PAYNE & COMPANY ,SEATTLE, WA ,800-654-9929
OLIE ,M ,OLSEN PAYNE & COMPANY ,SEATTLE, WA ,509-623-1600
OLMM ,M ,OLMSTED & MULHALL, INC. , ,
OLYM ,M ,NT SECURITIES LLC ,MONROE, LA ,318-388-2349
ONEL ,M ,WILLIAM O'NEIL & COMPANY, INCORPORATED ,LOS ANGELES, CA ,310-574-5613
ONLI ,M ,HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. ,JERSEY CITY- TRADING ,201-499-8700
ONLI ,M ,HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. ,TRADES ,201-499-8712
ONLN ,N ,ONLINE STOCK MARKET, INC. , ,
ONST ,N ,ON-SITE TRADING INC. (THE RETAIL) , ,516-482-9292
ONYX ,M ,ONYX TRADING CORPORATION ,NASDAQ TRADING ,425-646-ONYX
ONYX ,M ,ONYX TRADING CORPORATION ,BELLEVUE, WA ,425-943-7689
ONYX ,M ,ONYX TRADING CORPORATION , ,425-646-6699
ONYX ,M ,ONYX TRADING CORPORATION ,TEMPORARY NUMBER ,425-943-7689
ONYX ,M ,ONYX TRADING CORPORATION , ,608-734-9041
OPEN ,Q ,OPPENHEIMER MANAGEMENT CORPORATION , ,
OPMA ,N ,OPTIMA SECURITIES, INC. , ,
OPCO, M , OPPENHEIMER & CO. INC.NASDAQ/OTCBB TRADING 212-422-7813
ORCL ,M ,ORACLE INVESTMENTS, INC. , ,
OREO ,P ,ORION TRADING, LLC ,AUBURN, CA ,512-453-8531
ORIN ,M ,ORION SECURITIES, INC. , ,
ORME ,M ,ORMES CAPITAL MARKETS, INC. ,NASDAQ TRADING ,212-361-1300
ORRI ,M ,ORRINGTON INVESTMENTS LIMITED PARTNERSHIP ,NASDAQ TRADING ,708-491-1166
OSBS ,M ,OSBORNE, STERN & COMPANY, INC. , ,
OSHN ,M ,THE AGEAN GROUP, INC , ,
OSTI ,M ,ON-SITE TRADING, INC. , ,
OTAA ,M ,OTA LIMITED PARTNERSHIP ,PURCHASE NY ,914-694-5851
OTAA ,M ,OTA LIMITED PARTNERSHIP ,NASDAQ TRADING ,914-694-5851
OTSB ,M ,OAK TREE SECURITIES, INC. , ,
OTTO ,M ,HAMILTON PARTNERS L.P. ,NASDAQ TRADING ,800-435-0801
OVER ,M ,J. A. OVERTON & CO., INC. , ,
OXDB ,M ,SAVOY DISCOUNT BROKERAGE ,SEATTLE, WA ,[phone]
PACA ,N ,PACIFIC CAPITAL MANAGEMENT ,ALHAMBRA, CA ,310-477-7155
PACC ,M ,PACIFIC SECURITIES , ,
PACK ,M ,PACKARD GROUP INC. , ,
PACS ,M ,PACIFIC CREST SECURITIES INC. ,PORTLAND OR ,503-727-0623
PACS ,M ,PACIFIC CREST SECURITIES INC. ,NASDAQ/OTCBB TRADING ,800-345-3565
PAFA ,M ,PAN-AMERICAN FINANCIAL ADVISERS , ,
PAFI ,M ,PACIFIC GLOBAL FUND DISTRIBUTORS, INC. , ,
PAGE ,M ,GRO CORPORATION ,HOUSTON, TX ,713-622-2194
PALC ,M ,PALI CAPITAL, LLC ,NEW YORK, NY ,212-546-0787
PALI ,M ,PAULI & COMPANY, INC , ,
PALM ,M ,JOSEPH CHARLES & ASSOC., INC. , ,
PAMC ,M ,PROGRESSIVE ASSET MANAGEMENT, INC. ,OAKLAND, CA ,510-834-3722
PAMC ,M ,PROGRESSIVE ASSET MANAGEMENT, INC. , ,800-786-2998
PAMC ,M ,PROGRESSIVE ASSET MANAGEMENT, INC. , ,510-834-3575
PAMS ,M ,PACIFIC AMERICAN SECURITIES, LLC ,NASDAQ/OTCBB TRADING ,858-320-2871
PAMS ,M ,PACIFIC AMERICAN SECURITIES, LLC ,SAN DIEGO, CA , N/A
PAMT ,M ,PARAMOUNT CAPITAL, INC. , ,
PARA ,M ,PARADISE VALLEY SECURITIES, INC. , ,
PARG ,M ,PARKGREEN SECURITIES CORP. , ,
PARI ,M ,BNP PARIBAS SECURITIES CORP. ,NEW YORK NY ,212-841-3600
PARI ,M ,BNP PARIBAS SECURITIES CORP. ,LATIN ,212-841-3950
PARK ,M ,S.C. PARKER & CO., INC. ,NASDAQ TRADING ,716-852-6858
PARL ,M ,PARLIAMENT HILL CAPITAL CORP. , ,
PARN ,M ,PARNASSUS INVESTMENTS , ,
PART ,M ,AMERICAN PARTNERS, L.P. ,LARCHMONT NY ,914-833-3000
PASC ,M ,PAS, INC. , ,
PASP ,N ,PASSPORT SECURITIES, INC. ,LA JOLLA, CA ,619-459-7067
PASQ ,M ,DUPASQUIER & CO., INC. ,NASDAQ TRADING ,212-908-4540
PAUL ,M ,PAULSON INVESTMENT COMPANY, INC. ,PORTLAND OR ,800-772-2048
PAUL ,M ,PAULSON INVESTMENT COMPANY, INC. ,PORTLAND OR ,503-243-6038
PAUL ,M ,PAULSON INVESTMENT COMPANY, INC. ,PORTLAND OR ,503-243-6011
PAUS ,M ,PAULSEN SECURITIES INC. ,BOSTON, MA ,617-266-0300
PBCC ,M ,PRIVATE BROKERS CORPORATION , ,
PBCS ,M ,PALM BEACH CAPITAL SERVICES GROUP, INC. , ,561-833-3535
PBCS ,M ,PALM BEACH CAPITAL SERVICES GROUP, INC. ,TRADING ,561-659-3283
PBFI ,M ,PALM BEACH SECURITIES, INC. , ,
PBJC ,M ,P.B. JAMESON & CO., INC. , ,
PBLC ,M ,PUBLIC SECURITIES, INC. ,SPOKANE WA ,509-892-5590
PBLC ,M ,PUBLIC SECURITIES, INC. ,OTC BULLETIN BOARD ,800-888-2325
PBLC ,M ,PUBLIC SECURITIES, INC. ,OTC BULLETIN BOARD ,800-934-3642
PBLI ,M ,PARKER BROMLEY LTD. , ,
PBON ,M ,PREBON FINANCIAL PRODUCTS INC. ,JERSEY CITY, NJ ,201-952-2780
PBRO ,M ,PETERSON BROTHERS SECURITIES COMPANY ,BLOOMINGTON MN ,952-844-2700
PBRO ,M ,PETERSON BROTHERS SECURITIES COMPANY ,NASDAQ/OTCBB TRADING ,952-844-2707
PBSI ,M ,PORTFOLIO BROKERAGE SERVICES, INC. ,DENVER CO ,303-294-0070
PCAP ,M ,PREFERREDTRADE, INC. ,MAIN NUMBER ,415-733-3000
PCAP ,M ,PREFERREDTRADE, INC. ,AGENCY DESK ,415-733-3079
PCAT ,M ,PERELMAN-CARLEY & ASSOCIATES INC. ,OMAHA, NB ,402-342-6000
PCCN ,O ,PACTUAL CAPITAL CORPORATION ,TRADING DESK ,212-702-4115
PCFF ,N ,Pacific Int'l Securities Inc. , ,604-664-2998
PCHR ,M ,PRIME CHARTER LTD. ,NEW YORK NY ,212-977-0613
PCHR ,M ,PRIME CHARTER LTD. ,FLORIDA ,561-367-4756
PCHS ,O ,PCH SECURITIES, INC. , ,
PCII ,O ,PENN CENTER INVESTMENTS, INC. ,DIRECT TRADING ,610-832-5999
PCII ,O ,PENN CENTER INVESTMENTS, INC. , ,610-832-8121
PCON ,M ,PECONIC SECURITIES LLC , ,212-433-7163
PCOS ,M ,PACIFIC CONTINENTAL SECURITIES CORPORATION , ,
PCSC ,M ,PACE SECURITIES, INC. ,NASDAQ TRADING ,800-221-1660
PCSL ,N ,PACIFIC COAST SECURITIES LLC , ,
PDOM ,M ,PRENTICE SECURITIES, INCORPORATED ,NEW YORK NY ,212-785-7700
PDOM ,M ,PRENTICE SECURITIES, INCORPORATED ,MILWAUKEE WI ,414-278-7870
PDSC ,O ,PRIME DEALER SERVICES CORP. ,BROOKLYN, NY ,718-754-5562
PDTI ,N ,PACIFIC ON-LINE TRADING & SECURITIES, INC. , ,
PECK ,M ,ANDREW PECK ASSOCIATES INC. , ,
PECO ,M ,PECAUT & CO. ,NASDAQ TRADING ,712-252-3268
PELL ,M ,BENCHMARK-PELLINORE GROUP, INC. ,NEW YORK, NY ,[phone]
PELR ,M ,J. LEE PEELER & COMPANY, INC. , ,
PENA ,M ,PENNALUNA & COMPANY ,COEUR D'ALENO ID ,208-667-7472
PENA ,M ,PENNALUNA & COMPANY ,NASDAQ TRADING ,888-263-7366
PENC ,M ,PENROD AND COMPANY , ,
PENG ,M ,THE PENNSYLVANIA GROUP, INCORPORATED ,NASDAQ TRADING ,610-354-0950
PENN ,M ,INVESTEC PMG CAPITAL ,W. CONSHOHOCKEN ,610-260-6474
PENN ,M ,INVESTEC PMG CAPITAL , ,212-925-1003
PENN ,M ,INVESTEC PMG CAPITAL ,NASDAQ/OTCBB TRADING ,800-762-8624
PENR ,M ,PENDRICK REEVES ASSOCIATES, INC. ,NASDAQ TRADING ,203-966-2900
PENS ,M ,PENINSULAR SECURITIES COMPANY ,GRAND RAPIDS, MI ,616-459-4336
PENS ,M ,PENINSULAR SECURITIES COMPANY ,WITHIN MICHIGAN ,800-234-4561
PERE ,M ,PEREGRINE FINANCIALS & SECURITIES, INC. , ,
PERF ,M ,PERFORMANCE SPECIALIST GROUP, LLC ,NYC TRADING DESK ,212-433-7768
PERF ,M ,PERFORMANCE SPECIALIST GROUP, LLC ,NYC TRADING DESK ,212-433-5458
PERF ,M ,PERFORMANCE SPECIALIST GROUP, LLC ,TRADING DESK ,212-433-7768
PERK ,M ,PERKINS, SMART & BOYD, INC. ,WICHITA KS ,316-263-8444
PERK ,M ,PERKINS, SMART & BOYD, INC. ,WICHITA, KS ,800-369-2920
PERL ,N ,PEARL MUITUAL FUNDS , ,
PERM ,O ,PEREMEL & CO., INC. ,BALTIMORE, MD ,[phone]
PERP ,O ,PERPETUAL SECURITIES, INC. , ,
PERS ,M ,PERSHING & CO., INC. ,NASDAQ ,800-356-1319
PERS ,M ,PERSHING & CO., INC. , ,201-413-4920
PERS ,M ,PERSHING & CO., INC. ,MUNICIPALS ,800-225-8284
PERS ,M ,PERSHING & CO., INC. , ,201-413-4870
PERS ,M ,PERSHING & CO., INC. ,GOVERNMENTS ,800-225-8284
PERS ,M ,PERSHING & CO., INC. , ,201-413-4870
PERS ,M ,PERSHING & CO., INC. ,CORPORATE BONDS ,800-225-8284
PERS ,M ,PERSHING & CO., INC. , ,201-413-4140
PERS ,M ,PERSHING & CO., INC. ,MORTGAGE BACKEDS ,800-225-8284
PERS ,M ,PERSHING & CO., INC. , ,201-413-4870
PERS ,M ,PERSHING & CO., INC. ,PREFERRED STOCKS ,800-424-3150
PERS ,M ,PERSHING & CO., INC. , ,201-413-4140
PERT ,M ,PERSHING TRADING COMPANY, L.P. ,JERSEY CITY NJ ,201-413-3531
PERT ,M ,PERSHING TRADING COMPANY, L.P. ,NASDAQ TRADING ,800-305-0161
PETR ,M ,GULF PACIFIC SECURITIES, INC. ,LOS ANGELES, CA ,213-930-1892
PFCO ,M ,PARKER FINANCIAL CORP. ,NASDAQ TRADING ,631-439-0306
PFGL ,M ,PRINCETON FINANCIAL GROUP, LLC , ,
PFIC ,M ,PFIC SECURITIES CORPORATION , ,
PFIN ,M ,PRINCIPAL FINANCIAL SECURITIES,INC. , ,
PFIS ,O ,PROFESSIONAL INVESTMENT SERVICES, INC. , ,
PFML ,M ,PARSONS FINANCIAL MANAGEMENT, LLC , ,
PFOR ,M ,CARL H. PFORZHEIMER & CO. ,NASDAQ TRADING ,212-223-6500
PFSI ,M ,PENSON FINANCIAL SERVICES, INC. ,D DALLAS, TX ,800-487-4531
PFSI ,M ,PENSON FINANCIAL SERVICES, INC. , ,214-765-1115
PFSM ,M ,PRINCOR FINANCIAL SERVICES CORPORATION , ,
PGCC ,M ,PRYOR, COUNTS & CO., INC. ,NASDAQ TRADING ,215-569-0274
PGHI ,O ,PITTSBURGH INVESTMENT BROKERS, INC. , ,
PGNE ,M ,PEREGRINE BROKERAGE INC. ,NEW YORK NY ,212-593-5920
PGON ,M ,PARAGON CAPITAL MARKETS, INC. ,NEW YORK NY ,212-785-4700
PGON ,M ,PARAGON CAPITAL MARKETS, INC. , ,800-345-0505
PGON ,M ,PARAGON CAPITAL MARKETS, INC. ,BROKER DLR SVC/AGENC ,212-742-0266
PGON ,M ,PARAGON CAPITAL MARKETS, INC. ,BROKER DLR SVC/AGENC ,888-450-0266
PGON ,M ,PARAGON CAPITAL MARKETS, INC. ,BOCA RATON, FLORIDA ,561-750-3777
PGON ,M ,PARAGON CAPITAL MARKETS, INC. , ,800-521-8877
PGRM ,M ,PURCELL GRAHAM INCORPORATED ,NEW YORK, NY ,212-612-4723
PGRM ,M ,PURCELL GRAHAM INCORPORATED ,NEW YORK, NY ,212-612-4724
PGRS ,N ,PROGRESSIVE EQUITIES MANAGEMENT, LLC ,HOUSTON, TX ,713-622-0255
PGSC ,M ,PROTECTIVE GROUP SECURITIES CORPORATION ,MINNEAPOLIS MN ,612-941-1140
PGSC ,M ,PROTECTIVE GROUP SECURITIES CORPORATION , ,612-305-0002
PHCO ,M ,PHILLIPS & COMPANY SECURITIES INC. ,NASDAQ TRADING ,[phone]
PHDC ,M ,PHD CAPITAL ,NEW YORK ,212-566-4972
PHEL ,M ,S.N. PHELPS & CO. , ,
PHLX ,E ,PHILADELPHIA STOCK EXCHANGE ,RICHARDT-ALYN & CO. ,215-563-7177 (RICA)
PHLX ,E ,PHILADELPHIA STOCK EXCHANGE ,FLYNN OPTIONS ,215-564-4866 (FLYN)
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. ,PHOENIX , N/A
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. ,NASDAQ & OTCBB TRDNG ,602-952-6822
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. , ,800-487-7474
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. ,GENERAL NUMBER ,800-999-1818
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. ,PARADISE VALLEY ,800-432-2322
PHSG ,M ,PEACOCK, HISLOP, STALEY & GIVEN, INC. ,PARADISE VALLEY ,602-953-7999
PHWD ,M ,PHELPS & WOODHEAD, INC. , ,
PICE ,P ,T. ROWE PRICE INVESTMENT SERVICES, INC. , ,
PICK ,M ,PRIVATE INVESTORS CARTEL, LTD. , ,
PICT ,N ,PICTET OVERSEAS INC. , ,514-350-6226
PILL ,M ,PHILLIP LOUIS TRADING, INC. ,TRADING DESK ,732-936-0130
PIMC ,M ,PROVIDENT INSTITUTIONAL MANAGEMENT , ,
PIMG ,C ,PIM GLOBAL EQUITIES - ECN , ,
PINE ,M ,PINEWOOD SECURITIES, CORP. , ,
PION ,M ,THE PIONEER GROUP, INC. , ,
PIPR ,M ,U.S. BANCORP PIPER JAFFRAY INC. ,MINNEAPOLIS, MN ,612-303-6200
PIPR ,M ,U.S. BANCORP PIPER JAFFRAY INC. ,MINNEAPOLIS, MN ,800-328-7488
PIPR ,M ,U.S. BANCORP PIPER JAFFRAY INC. ,CONVERTIBLE BONDS ,612-303-6203
PIPR ,M ,U.S. BANCORP PIPER JAFFRAY INC. ,PREFERRED DESK ,612-303-6600
PITT ,M ,GOLDIS - PITTSBURG INSTITUTIONAL SERVICES, INC. , ,
PIZA ,M ,MICHAELANGELO, L.P. ,NEW YORK NY ,212-867-4825
PIZA ,M ,MICHAELANGELO, L.P. , ,800-825-5630
PKHT ,M ,PARKER/HUNTER INCORPORATED ,PITTSBURGH PA ,412-562-8025
PKHT ,M ,PARKER/HUNTER INCORPORATED ,PITTSBURGH PA ,412-562-8026
PLAT ,N ,PLATINUM EQUITIES, INC. ,TRADING DESK ,585-697-0215
PLFA ,M ,EGS SECURITIES CORP. ,NASDAQ TRADING ,212-755-9000
PLFC ,M ,PAUL L. FORCHHEIMER & CO., INC. , ,
PLIM ,M ,PIM FINANCIAL SERVICES, INC. ,NASDAQ TRADING ,619-673-9647
PLLX ,M ,PARALLAX GROUP, INC. , ,
PLMA ,M ,PALOMA SECURITIES L.L.C. ,COS COB CT ,203-625-8300
PMCI ,M ,MACALLASTER PITFIELD MACKAY INC. ,NEW YORK, NY ,212-422-9366
PMCS ,M ,PRIME CAPITAL SERVICES, INC. ,POUGHKEEPSIE NY ,914-485-4046
PMCS ,M ,PRIME CAPITAL SERVICES, INC. ,NASDAQ TRADING ,800-552-0067
PMCS ,M ,PRIME CAPITAL SERVICES, INC. ,ROSLYN NY ,516-625-3234
PMCS ,M ,PRIME CAPITAL SERVICES, INC. ,BETHPAGE, NY ,516-735-6331
PMCS ,M ,PRIME CAPITAL SERVICES, INC. ,NASDAQ TRADING ,800-356-7262
PMFS ,M ,PORTSMOUTH FINANCIAL SERVICES ,SAN FRANCISCO ,925-988-8660
PMGT ,Q ,PORTFOLIO MANAGEMENT, INC. ,NASDAQ TRADING ,501-225-9404
PMKS ,M ,PMK SECURITIES & RESEARCH, INC. ,DELRAY BEACH, FL ,407-274-9006
PMKS ,M ,PMK SECURITIES & RESEARCH, INC. , ,800-487-7160
PNAM ,M ,PAN AMERICAN SECURITIES, INC. ,NEW YORK NY ,212-843-8355
POCA ,M ,POST OAK CAPITAL ADVISORS, INC. ,HOUSTON, TX ,713-840-8700
POND ,M ,POND EQUITIES ,BROOKLYN, NY ,718-437-3657
POND ,M ,POND EQUITIES ,NASDAQ TRADING ,718-871-2800
PONG ,N ,PARAGON CAPITAL MARKETS, INC. / RETAIL ,(PONG) ,212-785-4700
POPP ,M ,OPPENHEIMER & CLOSE, INC. ,NASDAQ TRADING ,212-489-7527
PORT ,M ,TRADEPORTAL SECURITIES, INC. ,NASDAQ TRADING ,888-882-0766
PORT ,M ,TRADEPORTAL SECURITIES, INC. , ,954-725-0766
POTI ,M ,FIRST POTOMAC INVESTMENT SERVICES, INC. , ,
POWL ,M ,E. E. POWELL & COMPANY INC. ,TRADING ,800-282-1940
POWY ,M ,PORTER & COMPANY , ,
PPLP ,M ,PPLP SECURITIES CORPORATION , ,
PPSV ,M ,PONTELLO PRIOR SCHUT & VLIEK, INC. , ,
PRAM ,M ,PRINCETON AMERICAN EQUITIES CORPORATION , ,
PRBK ,N ,P.R. BURKE & CO., INC. ,NEW YORK, NY ,212-809-1330
PRCD ,P ,MERRILL LYNCH PROFESSIONAL CLEARING CORP./CRANNER & CRANNER , ,
PRCE ,M ,PRINCETON FINANCIAL GROUP, INC. , ,
PRCP ,M ,PREMIER CAPITAL MANAGEMENT, INC. , ,
PRDW ,P ,MERRILL LYNCH PROFESSIONAL CLEARING CORP./DAIWA SECURITIES ,CLEARING ,212-612-6644
PREC ,N ,PRECISION SECURITIES, LLC ,SAN DIEGO, CA ,858-673-6653
PRES ,P ,PRESCOTT, BALL & TURBEN, INC. , ,
PRGI ,M ,PORTFOLIO RESOURCES GROUP, INC. ,NASDAQ TRADING ,305-372-0299
PRGM ,M ,PROGRAM TRADING CORP. ,TRADING ,561-338-4191
PRGP ,M ,GROUP ONE TRADING, L.P. , ,
PRHQ ,P ,ML PROFESSIONAL CC/HULL QUANTITATIVE OFFSHORE FUND , ,
PRIM ,M ,PACIFIC SOUTHERN SECURITIES, INC. , ,
PRIN ,M ,PRINCETON SECURITIES CORPORATION ,PRINCETON NJ , N/A
PRIN ,M ,PRINCETON SECURITIES CORPORATION ,NASDAQ TRADING ,800-611-5533
PRIN ,M ,PRINCETON SECURITIES CORPORATION ,NASDAQ TRADING ,609-987-0206
PRIN ,M ,PRINCETON SECURITIES CORPORATION ,MAIN NUMBER ,609-987-0500
PRKC ,O ,PARKER CAPITAL CORP. , ,
PRLT ,P ,MERRILL LYNCH PROFESSIONAL CLEARING CORP./LETCO SPECIALIST L.P. , ,
PRMD ,O ,THE RIDERWOOD GROUP INCORPORATED , ,
PRME ,M ,PRIME DISCOUNT SECURITIES, INC. , ,
PRMX ,M ,PRIMEX ,CHICAGO, IL ,312-332-4400
PROR ,O ,MERRILL LYNCH PROFESSIONAL CLEARING CORP/ORDER ROOM ,JERSEY CITY, NJ ,201-557-1119
PROR ,O ,MERRILL LYNCH PROFESSIONAL CLEARING CORP/ORDER ROOM ,JERSEY CITY, NJ ,800-568-8202
PROT ,M ,PROTECTED INVESTORS OF AMERICA ,SAN FRANCISCO, CA ,[phone]
PRSB ,M ,PRESIDENTIAL BROKERAGE, INC. ,DENVER, CO ,303-694-9813
PRSP ,M ,MERRILL LYNCH PROFESSIONAL CLEARING CORP/EDK , ,
PRSQ ,M ,MERRILL LYNCH PROFESSIONAL CLEARING CORP/SUSQUEHANNA , ,
PRST ,O ,MERRILL LYNCH PROFESSIONAL CLEARING CORP. , ,
PRTN ,M ,PRINTON, KANE & CO., L.P. , ,
PRUB ,M ,PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC. , ,
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,NEW YORK NY ,800-543-3033
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,NEW YORK NY ,212-778-3300
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,INSTITUTIONAL ,212-778-3321
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,INSTITUTIONAL ,800-532-2302
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,FOREIGN ,212-778-7600
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,CONVERTIBLE DESK ,212-778-3261
PRUS ,M ,PRUDENTIAL SECURITIES INCORPORATED ,PREFERRED DESK ,212-778-3885
PSAM ,O ,P. SCHOENFELD ASSET MANAGEMENT LLC ,NEW YORK, NY ,212-649-9550
PSCO ,M ,PIERRE R. SMITH & CO. , ,
PSGI ,M ,PREFERRED SECURITIES GROUP, INC. ,BOCA RATON, FL ,561-994-5598
PSIC ,M ,PROVIDENTIAL SECURITIES, INC. , ,
PSPO ,M ,PETERSON & COMPANY, INC. , ,
PSSL ,M ,AMARANTH SECURITIES L.L.C. ,GREENWICH, CT ,203-861-3288
PSTG ,M ,Prestige Financial Center, Inc. ,NASDAQ TRADING , 718-229-4500
PTAR ,P ,PENSTAR TRADING, LLC ,TRADING DEPARTMENT ,941-966-5700
PTGN ,N ,PATAGON.COM SECURITIES CORP. , ,
PTIS ,M ,PTI SECURITIES & FUTURES L. P. ,CHICAGO, IL ,312-663-3053
PTLV ,M ,PUTNAM LOVELL SECURITIES INC. ,NASDAQ TRADING ,212-546-7675
PTLV ,M ,PUTNAM LOVELL SECURITIES INC. ,NASDAQ TRADING ,877-428-9964
PTMT ,M ,PARAMOUNT INVESTMENTS INTERNATIONAL, INC. , ,
PTNM ,M ,PUTNAM INVESTMENTS , ,
PTNR ,M ,PLENGE, THOMAS & GUNNING SECURITIES, INC. ,NASDAQ TRADING ,602-952-6822
PTRI ,M ,PETRIE PARKMAN & CO., INC. ,NASDAQ TRADING ,303-292-3877
PTRS ,M ,PETERS SECURITIES CO., LP ,TRADING ,888-816-3915
PTRS ,M ,PETERS SECURITIES CO., LP ,COMPLIANCE ,312-606-1924
PTRS ,M ,PETERS SECURITIES CO., LP ,CLEARING ,312-606-1927
PTRS ,M ,PETERS SECURITIES CO., LP , ,316-606-1908
PTSI ,M ,PORTFOLIO TRADING SERVICES, INC. , ,
PTZZ ,M ,HERMAN, ALEXIS & CO., INC. , ,
PUGS ,M ,PUGLISI & CO. ,NASDAQ TRADING ,212-418-1212
PUGS ,M ,PUGLISI & CO. ,NEW YORK TRADING ,212-418-1212
PULT ,N ,PULSE TRADING, INC. , ,
PUNK ,M ,PUNK, ZIEGEL & COMPANY, L.P. ,NEW YORK NY ,212-308-2168
PURE ,M ,PURE TRADING INC ,DARIEN, IL ,630-960-9500
PURE ,M ,PURE TRADING INC , ,630-960-9500 (PURT)
PURT ,N ,PURE TRADING INC/SPECIAL ACCOUNT , ,
PVLI ,P ,LINSCO/PRIVATE LEDGER CORP. , ,
PWJC ,O ,UBS PAINEWEBBER INC. ,NEW YORK, NY ,212-713-3766
PWJC ,O ,UBS PAINEWEBBER INC. ,NEW YORK, NY ,800-221-5532
PWJC ,O ,UBS PAINEWEBBER INC. ,PREFERRED ,201-271-7181
PWJC ,O ,UBS PAINEWEBBER INC. ,FOREIGN DEPT-AGENCY ,212-713-3757
PWJC ,O ,UBS PAINEWEBBER INC. ,-PRINCIPAL ,212-713-3756
PWJC ,O ,UBS PAINEWEBBER INC. ,CONVERTIBLES ,212-713-3786
PXCO ,O ,PAX CLEARING COMPANY LIMITED PARTNERSHIP ,CHICAGO, IL ,312-957-0619
PXCO ,O ,PAX CLEARING COMPANY LIMITED PARTNERSHIP , ,888-842-0505
PYMD ,M ,PYRAMID FINANCIAL CORP. ,CUPERTINO, CA ,408-252-8000
QCAS ,M ,QUINCY CASS ASSOCIATES, INCORPORATED ,LOS ANGELES, CA ,213-473-4411
QCMG ,M ,LEIGHTON MCGILL GROUP, INC. , ,
QCSC ,M ,QUEEN CITY SECURITIES CORPORATION , ,
QRCC ,M ,US Clearing Corp. a Division of Fleet Securities ,NEW YORK NY ,212-747-1400
QRCC ,M ,US Clearing Corp. a Division of Fleet Securities ,NASDAQ TRADING ,212-747-6704
QRTZ ,M ,BEESON GREGORY INTERNATIONAL, LLC , ,
QSEC ,P ,REGIS SECURITIES CORPORATION , ,
QSIM ,N ,ING (US) Securities Futures Options , ,
QTMG ,M ,QUANTUM GROUP, LTD. ,NASDAQ TRADING ,800-409-4445
QTUM ,M ,QUANTUM TRADING ,ATLANTA, GA ,678-256-5250
QTUM ,M ,QUANTUM TRADING , ,404-317-6770
QUAD ,M ,QUADREX SECURITIES CORPORATION , ,
QUDA ,M ,THE EXCHANGE, INC. , ,
QUEC ,M ,QUEST CAPITAL STRATEGIES, INC. , ,
QUIN ,M ,PARK FINANCIAL GROUP, INC. ,WINTER PARK FL ,407-672-1313
QUIN ,M ,PARK FINANCIAL GROUP, INC. ,TRADING ,407-672-0946
QUIN ,M ,PARK FINANCIAL GROUP, INC. , , N/A
QUKR ,M ,QUAKER SECURITIES, INC. ,VALLEY FORGE PA ,610-935-8889
RACO ,M ,SHEARMAN, RALSTON INC. , ,
RAFF ,M ,RAFFENSPERGER, HUGHES & CO., INC. ,INDIANAPOLIS, IN ,317-635-4812
RAGN ,M ,WELLS FARGO INVESTMENTS, LLC ,SEATTLE WA ,206-343-5119
RAGN ,M ,WELLS FARGO INVESTMENTS, LLC ,NASDAQ/OTCBB TRADING ,800-426-5964
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,ST. PETERSBURG, FL ,800-237-5621
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,ST. PETERSBURG, FL ,727-573-8122
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,PREFERRED ,800-753-5017
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. , ,727-573-8496
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,CONVERTIBLE ,727-573-8909
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,FOREIGN ,727-575-5655
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,DETROIT, MI ,313-225-5711
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,DETROIT, MI ,800-521-1196
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,CLEVELAND, OH ,216-241-0986
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,CLEVELAND, OH ,800-321-2038
RAJA ,M ,RAYMOND JAMES & ASSOCIATES, INC. ,LISTED ,727-573-8751
RAMS ,M ,RAMIUS SECURITIES, L.L.C. ,MARKET MAKING ,212-845-7925/7926
RANB ,M ,RAINBOW INTERNATIONAL EQUITIES, INC. , ,
RAND ,M ,BARNARD JACOBS MELLET (USA) LLC ,EQUITIES ,212-980-4300
RAND ,M ,BARNARD JACOBS MELLET (USA) LLC ,BONDS ,212-980-3288
RAND ,M ,BARNARD JACOBS MELLET (USA) LLC ,NEW YORK/MAIN ,800-554-6693
RANS ,M ,RUAN SECURITIES CORPORATION ,DELRAY BEACH FL ,407-274-9006
RANS ,M ,RUAN SECURITIES CORPORATION ,NASDAQ TRADING ,800-487-7160
RANY ,M ,T. J. RANEY & SONS , ,
RAPH ,M ,RAPHAEL, L.P. ,NEW YORK NY ,212-867-4826
RBAA ,M ,RBC DOMINION SECURITIES ARBITRAGE LIMITED ,NASDAQ TRADING ,212-361-3729
RBCD ,M ,RBC CAPITAL MARKETS ,TRADING D/R SITE ,718-391-7286
RBCD ,M ,RBC CAPITAL MARKETS ,TRADING D/R SITE ,718-391-7819
RBCD ,M ,RBC CAPITAL MARKETS ,NEW YORK, NY ,212-858-7379
RBCD ,M ,RBC CAPITAL MARKETS , ,800-421-0232
RBCD ,M ,RBC CAPITAL MARKETS , ,212-858-7329
RBCD ,M ,RBC CAPITAL MARKETS , ,212-858-7383
RBCW ,N ,RUTHERFORD, BROWN & CATHERWOOD, LLC ,PHILADELPHIA, PA ,215-981-0882
RBFC ,N ,ROYALBLUE FINANCIAL CORPORATION , ,
RBLT ,M ,RICHARD A. ROSENBLATT & COMPANY, INC. ,NEW YORK NY ,212-509-1550
RBYN ,M ,ROBYNS CAPITAL CORP. , ,
RCAP ,M ,ROTH CAPITAL PARTNERS, LLC ,NEWPORT BEACH, CA ,949-720-5778
RCAP ,M ,ROTH CAPITAL PARTNERS, LLC ,NASDAQ TRADING ,800-200-2788
RCCM ,M ,RONEY CAPITAL MARKETS/DIVISION OF FIRST CHICAGO CAPITAL MARKETS , ,
RCCO ,M ,RICHTER & CO., INC. ,NEW YORK, NY ,212-421-6300
RCKT ,Q ,APOLLO EQUITIES TRADING , ,
RCLI ,M ,RCL NORTHWEST, INC. , ,
RCRS ,M ,ROOSEVELT & CROSS, INCORPORATED ,NEW YORK NY ,212-514-8591
RCRS ,M ,ROOSEVELT & CROSS, INCORPORATED ,NEW YORK NY ,800-344-3302
RCSK ,M ,RUANE, CUNNIFF & CO., INC. ,NEW YORK, NY ,212-832-5280
RCSL ,N ,ROSENTHAL COLLINS SECURITIES, L.L.C ,CHICAGO, IL ,312-341-5900
RDCG ,N ,RD CAPITAL GROUP, INC. ,HOTO REY, PR ,787-282-0303
RDNK ,M ,RAIKE FINANCIAL GROUP INC. ,ATLANTA, GA ,770-516-6512
RDSS ,M ,RDSC, LLC , ,
RDWD ,M ,REDWOOD SECURITIES GROUP, INC. ,SAN FRANCISCO, CA ,415-954-8390
REAL ,M ,REPUBLIC EQUITIES OF AMERICA LTD ,TRADING ,212-344-0824
REAL ,M ,REPUBLIC EQUITIES OF AMERICA LTD ,OFFICE ,212-269-0005
REAV ,M ,W. H. REAVES & CO., INC. ,NASDAQ TRADING ,212-422-1433
RECO ,M ,RECOM SECURITIES, INC. ,MINNEAPOLIS MN ,612-339-5566
REDI ,C ,REDIBOOK ECN LLC. ,OPERATIONS ,212-433-6230
REDI ,C ,REDIBOOK ECN LLC. ,TRADING ,212-433-6808
REDI ,C ,REDIBOOK ECN LLC. ,HELP DESK ,212-433-6230
REDI ,C ,REDIBOOK ECN LLC. ,COMPLIANCE ,212-433-6808
REDW ,M ,REDWOOD BROKERAGE SERVICES, INC. ,NEW YORK, NY ,212-361-1630
REFC ,M ,REFCO SECURITIES, LLC ,NEW YORK, NY ,212-693-7655
REGR ,M ,REGISTER & AKERS INVESTMENTS, INC. ,ATLANTA, GA ,404-364-2180
REID ,M ,REID AND ASSOCIATES ,ALBANY, NY ,518-458-7445
RELC ,M ,RELIANCE CAPITAL, INC. , ,
RENC ,O ,RC SECURITIES, INC. ,NEW YORK, NY ,212-451-9100
REND ,M ,REYNDERS, GRAY & CO., INCORPORATED ,NEW YORK NY ,212-944-2255
RENN ,M ,RENAISSANCE FINANCIAL SECURITIES CORP. , ,
RENS ,M ,RENSSELAER SECURITIES CORP. ,ALBANY, NY ,518-274-3149
REPG ,N ,FIRST REPUBLIC GROUP, LLC ,NEW YORK, NY ,212-681-4100
RETA ,M ,REICH & TANG DISTRIBUTORS, INC. ,NASDAQ TRADING ,212-830-5200
RFGI ,M ,RUSHMORE SECURITIES CORPORATION , ,972-308-8845
RGCC ,O ,REGIONAL CLEARING CORP. , ,
RGCY ,O ,THE REGENCY GROUP, INC. , ,
RGIL ,M ,GILFORD SECURITIES INCORPORATED ,NEW YORK NY ,212-888-7247
RGIL ,M ,GILFORD SECURITIES INCORPORATED ,NEW YORK NY ,800-334-4451
RGIL ,M ,GILFORD SECURITIES INCORPORATED ,HUNTINGTON, LI ,631-547-9030
RGLD ,M ,REGAL DISCOUNT SECURITIES, INC. ,CHICAGO IL ,312-554-2240
RGRC ,M ,RGR FINANCIAL CORP. , ,
RHCI ,M ,RICHMOND HILLCREST & COMPANY, INC. ,TRADING DESK ,800-974-7424
RHCI ,M ,RICHMOND HILLCREST & COMPANY, INC. ,TRADING DESK ,310-461-1184
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,ATLANTA, GA ,404-266-6271
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,ATLANTA, GA ,800-241-0445
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,CONVERTIBLE BONDS ,800-282-2668
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,CONVERTIBLE BONDS ,404-266-6465
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,NEW YORK NY ,212-291-3555
RHCO ,M ,THE ROBINSON-HUMPHREY COMPANY, LLC ,NEW YORK NY ,800-221-3478
RHDL ,M ,FFG INVESTMENTS INC. , ,
RHIC ,M ,R H INVESTMENT CORPORATION, INC. ,ENCINO, CA ,818-386-6425
RHIC ,M ,R H INVESTMENT CORPORATION, INC. , ,800-890-1629
RHIC ,M ,R H INVESTMENT CORPORATION, INC. , ,818-386-6415
RHIL ,M ,ROUND HILL SECURITIES, INC. ,TRADING ,925-743-4330
RHIL ,M ,ROUND HILL SECURITIES, INC. ,MAIN ,925-820-3980
RHLE ,M ,RYAN, LEE & CO., INC. ,MCLEAN VA ,703-847-3103
RHLE ,M ,RYAN, LEE & CO., INC. ,NASDAQ TRADING ,800-394-5154
RHUT ,M ,ROYAL HUTTON SECURITIES CORP. , ,
RICA ,M ,VANDERBILT SECURITIES ,PHILADELPHIA PA ,215-563-7177
RICA ,M ,VANDERBILT SECURITIES ,PHILADELPHIA PA ,800-563-7180
RICH ,M ,REICH & CO., INC. , ,
RIED ,M ,RIEDL FIRST SECURITIES COMPANY OF KANSAS , ,
RILY ,M ,B. RILEY AND CO. INC. ,LOS ANGELES, CA ,310-966-1440
RIMS ,M ,M. RIMSON & CO., INC. , ,
RJCO ,M ,R. A. JOHNSON AND COMPANY, INC. , ,
RJFG ,M ,AMERITRADE INSTITUTIONAL SERVICES, INC. , ,
RJJZ ,M ,RJJ PASADENA SECURITIES, INC. ,NASDAQ TRADING ,213-753-7300
RJSC ,N ,R. J. STREICHEN & COMPANY INC. a/o 1/10/2001 , ,
RJTS ,N ,R. J. THOMPSON SECURITIES, INC. ,TRADING DEPT. ,402-951-2619
RKEL ,M ,RICKEL & ASSOCIATES, INC. , ,
RKGR ,N ,R.K. GRACE & COMPANY , ,
RKHS ,N ,ROCKHOUSE SECURITIES LLC ,TRADING DESK ,314-336-2680
RKHS ,N ,ROCKHOUSE SECURITIES LLC ,TRADING DESK ,866-327-7547
RKIL ,M ,ROCK ISLAND SECURITIES, INC. ,CHICAGO, IL ,312-895-2678
RLEW ,M ,R. LEWIS SECURITIES, INC. ,NEW YORK NY , 212-838-0056
RLPI ,M ,RICHARDS, LYNCH & PEGHER, INC. , ,
RMAT ,O ,RAMAT SECURITIES LTD. ,NASDAQ TRADING ,216-514-3333
RMAT ,O ,RAMAT SECURITIES LTD. ,NASDAQ TRADING ,888-306-9406
RMCC ,M ,ROBERT M. COHEN & CO., INC. ,GREAT NECK NY ,516-829-3764
RMDU ,M ,ROTAN MOSLE INC. , ,
RMPI ,M ,RICHARDS, MERRILL & PETERSON, INC. ,NASDAQ TRADING ,509-624-1345
RMRK ,M ,RICHMARK CAPITAL CORPORATION , ,
RMSI ,M ,ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC. ,DENVER CO ,800-538-2432
RMSI ,M ,ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC. ,DENVER CO ,303-629-0303
RMST ,M ,R.M. STARK & CO., INC. ,DEL RAY BEACH, FL ,561-243-3815
RNDA ,M ,RONDA INC , ,
RNYS ,M ,REPUBLIC NEW YORK SECURITIES CORPORATION , ,
ROAN ,M ,ROAN CAPITAL PARTNERS L.P. , ,
ROBI ,M ,ROBINSON & ROBINSON, INC. , ,
ROBO ,M ,RODGERS BROTHERS, INC. ,PITTSBURGH PA ,412-281-1940
ROBS ,M ,SCOTT SECURITIES, INC. , ,
ROBT ,M ,ROBOTTI & COMPANY, INCORPORATED ,NEW YORK, NY ,212-986-0800
ROCH ,M ,ROCHDALE SECURITIES CORPORATION ,NEW YORK, NY ,800-478-2311
ROCH ,M ,ROCHDALE SECURITIES CORPORATION ,NEW YORK, NY ,212-588-3434
ROCK ,M ,SHAMROCK PARTNERS, LTD ,MEDIA PA ,610-566-4900
ROCK ,M ,SHAMROCK PARTNERS, LTD ,WATTS ,800-326-4900
ROCK ,M ,SHAMROCK PARTNERS, LTD ,TRADING ,610-566-3872
ROCM ,N ,RIM SECURITIES LLC ,NEW YORK, NY ,212-588-3400
RODE ,M ,RODECKER & COMPANY, INVESTMENT BROKERS, INC. ,NASDAQ TRADING ,248-358-2282
RODM ,M ,RODMAN & RENSHAW, INC. ,NEW YORK, NY ,212-356-0512
RODR ,M ,RODMAN & RENSHAW INC. , ,
ROME ,M ,ROAN-MEYERS ASSOCIATES, LP ,NEW YORK, NY ,212-742-4200
ROMO ,M ,ROMANO BROTHERS AND COMPANY ,NASDAQ TRADING ,847-866-7700
RORE ,M ,EDWARD C. RORER & CO., INC. , ,
ROSE ,N ,WALKER ROSE, INC. , ,
ROSS ,M ,ROSS SECURITIES CORP. , ,
ROTC ,M ,REYNOLDS KENDRICK STRATTON, INC. , ,
ROTH ,M ,WERBEL-ROTH SECURITIES, INC. ,NASDAQ TRADING ,800-881-2468
ROTH ,M ,WERBEL-ROTH SECURITIES, INC. ,BOCA RATON FL ,561-391-2460
ROTP ,M ,RIVER OAKS TRADING, L.P. ,HOUSTON, TX ,713-521-3007
ROUL ,M ,ROULSTON RESEARCH CORP. ,CLEVELAND OH ,216-431-3535
ROWE ,M ,ROWE & COMPANY, INC. , ,
ROYL ,M ,ROYAL ALLIANCE ASSOCIATES, INC. ,NEW YORK NY ,212-551-5225
RPII ,M ,ROYCE PARK INVESTMENTS, INC. , ,
RPLM ,M ,ROYAL PALM INVESTMENTS, LTD. ,BOCA RATON, FL ,561-969-3868
RPSC ,M ,RAUSCHER PIERCE REFSNES, INC. , ,
RREZ ,M ,SAMUEL A RAMIREZ & CO., INC. ,NASDAQ TRADING ,212-248-0533
RSAI ,O ,ROSS, SINCLAIRE & ASSOCIATES, INC. ,NASDAQ TRADING ,513-381-3939
RSAT ,M ,RAS TRADING, L.P. ,NASDAQ TRADING ,312-629-2665
RSCL ,N ,MORGENSTERN, CARAPICO AND COMPANY , ,
RSEC ,M ,ROTHSCHILD LIEBERMAN LTD. ,GREENWICH, CT ,212-349-0100
RSEC ,M ,ROTHSCHILD LIEBERMAN LTD. ,GREENWICH, CT ,203-863-7700
RSEC ,M ,ROTHSCHILD LIEBERMAN LTD. ,GREENWICH, CT ,800-835-8800
RSKY ,N ,REDSKY SECURITIES, INC. , ,
RSNJ ,M ,ATLANTIC GROUP SECURITIES, INC. , ,
RSNY ,M ,RICHARDSON GREENSHIELDS SECURITIES INC. , ,
RSSE ,M ,FRANK RUSSELL SECURITIES, INC. , ,
RSSF ,M ,ROBERTSON STEPHENS, INC. ,NASDAQ TRADING ,415-693-3386
RSSF ,M ,ROBERTSON STEPHENS, INC. ,CONVERTIBLES CA ,415-693-3215
RSSF ,M ,ROBERTSON STEPHENS, INC. ,BOSTON MA ,617-542-9393
RSSF ,M ,ROBERTSON STEPHENS, INC. ,NEW YORK NY ,212-319-8900
RSSF ,M ,ROBERTSON STEPHENS, INC. ,LISTED TRADING ,800-227-3394
RSSF ,M ,ROBERTSON STEPHENS, INC. ,LISTED TRADING ,415-693-3406
RTHS ,M ,ROTHSCHILD INVESTMENT CORPORATION ,NASDAQ TRADING ,312-781-1820
RTJC ,M ,R.T. JONES CAPITAL EQUITIES, INC. , ,
RTOD ,M ,ROBERT TODD FINANCIAL CORP. , ,
RTRS ,M ,RELIANT TRADING ,NASDAQ TRADING ,414-241-1810
RUBI ,N ,RUBICON SECURITIES, INCORPORATED ,NASDAQ TRADING ,610-660-5512
RUBI ,N ,RUBICON SECURITIES, INCORPORATED , ,610-660-5513
RUDY ,M ,DEPAOLIS & CO. ,NEW YORK NY ,212-668-0255
RUSH ,M ,PEGASUS CAPITAL CORPORATION , ,
RUSL ,O ,RUSSELL INVESTMENT CORPORATION ,METAIRE, LA ,504-524-2900
RUSO ,M ,RUSSO SECURITIES INC. ,STATEN ISLAND NY ,718-448-3335
RUTL ,M ,RUTLAND SECURITIES L.P. , ,
RVRS ,M ,RVR SECURITIES CORP. , ,
RWTD ,M ,REDWOOD TRADING, LLC ,SAN FRANCISCO ,415-962-3553
RYAL ,M ,ROYAL SECURITIES COMPANY ,NASDAQ TRADING ,616-538-2550
RYAN ,M ,RYAN, BECK & CO., LLC. ,LIVINGSTON,NJ ,800-325-7926
RYAN ,M ,RYAN, BECK & CO., LLC. ,NASDAQ TRADING ,800-395-7926
RYAN ,M ,RYAN, BECK & CO., LLC. ,LIVINGSTON,NJ ,973-597-5875
RYAN ,M ,RYAN, BECK & CO., LLC. ,RYANP ,800-374-7926
RYAN ,M ,RYAN, BECK & CO., LLC. ,RYANF FLORIDA ,800-940-9987
RYCE ,M ,ROYCE INVESTMENT GROUP, INC. , ,
RYCO ,M ,S. W. RYAN & COMPANY, INC. ,BALA CYNWYD PA ,610-668-8241
RYDS ,M ,RBC Dominion Securities Corporation (2) ,TRADING DESK ,800-421-0232
RYDS ,M ,RBC Dominion Securities Corporation (2) , ,212-858-7070
RYDX ,M ,RYDEX SERIES TRUST , ,
RYFG ,M ,RICHEY FINANCIAL GROUP, INC.
SAAA ,N ,Seidler Amdec/Gene Phillips (CTCI) , ,
SABC ,M ,STEIN ABBOTT AND COMPANY INC. , ,
SABL ,M ,SABLE CAPITAL MARKETS, INC. , ,
SABS ,M ,SANTA BARBARA SECURITIES, INC. , ,
SACH ,M ,THE SACHS COMPANY , ,
SACM STERNE AGEE CAPITAL MARKETS, INC., BOCA RATON, FL 561-368-8373, 800-930-3536
SACO ,M ,SACCO SECURITIES CORPORATION , ,
SADA ,M ,SPERBER ADAMS & COMPANY, INC. , ,
SAGE ,M ,SAGE, RUTTY & CO., INC. ,ROCHESTER NY ,716-232-7423
SAGE ,M ,SAGE, RUTTY & CO., INC. ,ROCHESTER NY ,716-232-3760
SAGR ,M ,LEE SAGER JR. INC. , ,
SAIN ,O ,SECURITIES AMERICA, INC. ,OMAHA, NE ,402-399-9111
SAKL ,N ,STEPHEN A. KOHN & ASSOCIATES, LTD. , ,
SAKS ,M ,SACKS INVESTMENT COMPANY, INC. , ,
SALB ,M ,SALOMON BROTHERS INC. , ,
SALI ,M ,STERNE, AGEE & LEACH, INC. ,SALI , N/A
SALI ,M ,STERNE, AGEE & LEACH, INC. ,NASDAQ/OTCBB TRADING ,800-239-2408
SALI ,M ,STERNE, AGEE & LEACH, INC. ,CONVERTIBLES ,800-239-2408
SALI ,M ,STERNE, AGEE & LEACH, INC. ,ATLANTA, GA ,404-841-9322
SALI ,M ,STERNE, AGEE & LEACH, INC. , , N/A
SALI ,M ,STERNE, AGEE & LEACH, INC. ,BIRMINGHAM, AL ,205-252-1814
SAMF ,M ,SOUTHEASTERN ASSET MANAGEMENT , ,
SAMI ,M ,SPECTRUM ASSET MANAGEMENT, INC. ,NASDAQ TRADING ,203-322-0189
SANA ,M ,SANSTRUM & ASSOCIATES, INC. , ,
SANJ ,M ,SAN JACINTO SECURITIES, INC. ,DALLAS TX ,214-750-7693
SANJ ,M ,SAN JACINTO SECURITIES, INC. , ,800-750-7693
SANS ,M ,JOHN F. SCHULTE, INC. , ,
SANT ,M ,SANTANDER CENTRAL HISPANO INVESTMENT SECURITIES INC. ,NEW YORK NY ,212-350-3659
SANT ,M ,SANTANDER CENTRAL HISPANO INVESTMENT SECURITIES INC. ,NASDAQ TRADING ,212-756-9160
SANY ,M ,SANYO SECURITIES AMERICA INC. , ,
SAPR ,M ,SAPERSTON FINANCIAL INC. , ,
SASA ,M ,SARROFF, SAGER & CO. , ,
SASI ,M ,THE SEIDLER COMPANIES INCORPORATED ,IRVINE,CA ,800-260-4724
SASI ,M ,THE SEIDLER COMPANIES INCORPORATED ,NASDAQ/OTCBB TRADING ,800-421-0164
SATC ,M ,SATURNA CAPITAL CORPORATION , ,
SATI ,M ,SERVICE ASSET MANAGEMENT COMPANY ,NY, NY TRADING ,646-366-7900
SAUC ,M ,SAUCEDA & GRANVILLE SECURITIES, INC. ,DENVER, CO ,303-534-1444
SAUC ,M ,SAUCEDA & GRANVILLE SECURITIES, INC. ,TRADING ,800-642-7282
SAVY ,M ,SAVOY CAPITAL MANAGEMENT, INC. , ,
SAXP ,M ,FOSTER & MARSHALL INC. , ,
SBCI ,M ,SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC. , ,
SBCO ,M ,ADT ENTERPRISES , ,
SBHU ,M ,SALOMON SMITH BARNEY/MUTUAL FUNDS DIVISION , ,
SBLC ,M ,S. B. LEWIS & COMPANY , ,
SBLT ,M ,SUNBELT SECURITIES, INC. ,HOUSTON, TX ,713-965-9510
SBRL ,M ,JOHN A. SIBERELL & CO. ,SOUTHBEND, IN ,219-232-4855
SBRT ,M ,MURIEL SIEBERT & CO., INC. ,TRADING ,212-644-2405
SBRT ,M ,MURIEL SIEBERT & CO., INC. ,NEW YORK NY ,212-644-2400
SBSG ,M ,S.B.S. FINANCIAL GROUP, INC. , ,
SBSH ,M ,SALOMON SMITH BARNEY INC. ,NEW YORK NY ,212-723-7169
SBSH ,M ,SALOMON SMITH BARNEY INC. ,NASDAQ TRADING ,800-223-7743
SBSH ,M ,SALOMON SMITH BARNEY INC. ,AGENCY ,800-922-0143
SBSH ,M ,SALOMON SMITH BARNEY INC. ,AGENCY ,212-816-3605
SBSH ,M ,SALOMON SMITH BARNEY INC. ,AGENCY ,212-816-3607
SBSH ,M ,SALOMON SMITH BARNEY INC. ,AGENCY ,212-816-3632
SBSH ,M ,SALOMON SMITH BARNEY INC. ,ARBITRAGE ,212-698-5000
SBSH ,M ,SALOMON SMITH BARNEY INC. ,WATTS ,800-553-5674
SBSH ,M ,SALOMON SMITH BARNEY INC. ,FOREIGN ,212-723-7185
SBSH ,M ,SALOMON SMITH BARNEY INC. ,DERIVATIVES ,212-723-5407
SBSH ,M ,SALOMON SMITH BARNEY INC. ,19C3 TRADING ,212-723-7235
SBSH ,M ,SALOMON SMITH BARNEY INC. ,CONVERTIBLE TRADING ,212-723-7252
SBSH ,M ,SALOMON SMITH BARNEY INC. ,PREFERRED ,212-723-7455
SBSL ,M ,STERLING BROKERAGE SERVICES, LLC , ,
SCAP ,M ,SHIELDS & COMPANY ,NEW YORK, NY ,212-320-3001
SCFS ,N ,ROTH CAPITAL PARTNERS VENTURE BANKING ,NASDAQ TRADING ,714-263-2817
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,TRADING D/R SITE ,201-963-9100
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,TRADING D/R SITE ,201-963-3311
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,J-JERSEY CITY NJ ,212-514-5140
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,J-JERSEY CITY NJ ,201-963-3311
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. , ,800-631-3094
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,J-INSTITUTIONAL TRG ,201-963-5760
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,J-INSTITUTIONAL TRG ,212-804-3321
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,C-CHICAGO, IL ,312-346-8115
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,C-CHICAGO, IL ,800-621-1663
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,P-PISCATAWAY, JN ,732-885-0056
SCHB ,M ,SCHWAB CAPITAL MARKETS L.P. ,DISASTER TRADING # ,201-963-3311
SCHO ,M ,SCHOFF & BAXTER, INC. , ,
SCIG ,O ,SOUTHCOAST INVESTMENT GROUP, INC. ,IRVINE, CA ,714-475-4228
SCLT ,N ,SAGE CLEARING LIMITED PARTNERSHIP ,CHICAGO, IL ,312-663-7243
SCMC ,M ,SCOTIA CAPITAL (USA) INC. ,NEW YORK COMPLIANCE ,212-225-6775
SCMC ,M ,SCOTIA CAPITAL (USA) INC. ,NASDAQ TRADING DESK ,514-287-3613
SCMF ,N ,SCOTIA CAPITAL INC. ,CANADA ,[phone]
SCMI ,M ,SUNBELT CAPITAL MANAGEMENT, INC. , ,
SCSI ,M ,SWERGOLD, CHEFITZ & INCORPORATED , ,
SCST ,M ,SEACOAST INVESTOR SERVICES, INC. ,NASDAQ TRADING ,561-286-7323
SCTI ,M ,VERTICAL CAPITAL PARTNERS, INC. , ,
SCUD ,P ,SCUDDER INVESTOR SERVICES, INC. , ,
SDBC ,P ,SUMMIT FINANCIAL SERVICES GROUP, INC. , ,
SDCC ,M ,S. D. COHN & CO., INC. , ,
SDIC ,M ,SAUER, DAZEY INVESTMENT COMPANY , ,
SDLR ,M ,SANDLER, O'NEILL & PARTNERS, L.P. ,NEW YORK NY ,212-466-8020
SDNY ,M ,STOCKTON EQUITIES GROUP , ,
SEAB ,M ,SEABOARD SECURITIES, INC. ,FLORHAM PK, NJ ,973-514-1500
SEAB ,M ,SEABOARD SECURITIES, INC. ,NASDAQ TRADING ,973-514-1699
SEAP ,M ,SEAPORT SECURITIES CORP. ,NEW YORK, NY ,212-482-8689
SEAS ,M ,SEASIDE SECURITIES INC. ,ASPEN CO ,970-925-3898
SECD ,M ,SECURITY DEALERS GUILD, INC. ,TARRYTOWN, NY ,[phone]
SECT ,O ,SECURITIES TRADING, INC. ,CINCINNATI, OH ,513-579-1000
SECU ,M ,SECURITY DISTRIBUTORS, INC. , ,
SECX ,Q ,SEC , ,
SEGE ,N ,SEGERDAHL & COMPANY, INC. ,MILWAUKEE, WI ,414-291-7820
SEGI ,M ,STERLING ENTERPRISES GROUP, INC. ,ST. PETERSBURG, FL ,727-384-6550
SEIC ,M ,SEI INVESTMENTS DISTRIBUTION CO. , ,
SEMC ,M ,TUSCANY EQUITY MANAGEMENT CORPORATION , ,
SENT ,M ,SENTRA SECURITIES CORPORATION ,SAN DIEGO CA ,619-584-7030
SENT ,M ,SENTRA SECURITIES CORPORATION ,NASDAQ TRADING ,1-800-748-5709
SERL ,N ,SEARLE & CO. , ,
SESL ,M ,SESLIA SECURITIES , ,
SETR ,N ,PACESETTER 1, L.P. , ,
SETT ,M ,SECURITIES SETTLEMENT CORPORATION ,NEW YORK NY , N/A
SFCO ,M ,SAFECO INVESTMENT SERVICES, INC. , ,
SFGC ,M ,SOMERSET FINANCIAL GROUP, INC. ,NEW JERSEY ,609-430-1078
SFGC ,M ,SOMERSET FINANCIAL GROUP, INC. ,NASDAQ/BB TRADING ,609-688-4310
SFGI ,O ,SUPERIOR FINANCIAL GROUP, INC. , ,
SFII ,M ,SFI INVESTMENTS, INC. ,NEW YORK, NY ,212-509-1000
SFIM ,M ,STATE FARM INVESTMENT MANAGEMENT CORP. , ,
SFPS ,M ,SF INVESTMENTS, INC. ,NASDAQ TRADING ,312-554-7507
SFSI ,N ,SUPERIOR FINANCIAL SERVICES,INC. , ,
SFSS ,M ,S F SENTRY SECURITIES, INC. ,SAN FRANCISCO, CA ,415-399-4430
SFTZ ,M ,SHERMAN, FITZPATRICK & CO., INC. , ,
SGAM ,M ,SEASONGOOD & MAYER ,NASDAQ TRADING ,513-621-2000
SGCL ,M ,SAGE CLEARING CORPORATION ,SAN FRANCISCO, CA ,415-781-7430
SGMS ,M ,S.G. MARTIN SECURITIES LLC ,WESTBURY NY ,516-869-0900
SGMS ,M ,S.G. MARTIN SECURITIES LLC ,WESTBURY NY ,800-563-0090
SGMS ,M ,S.G. MARTIN SECURITIES LLC ,TRADING ,516-997-9670
SGRA ,M ,STAMFORD CAPITAL, STERLING GRACE & CO., INC. , ,
SHAK ,M ,M.S. FARRELL & COMPANY, INC. ,NASDAQ/OTCBB TRADING ,212-495-5112
SHAL ,M ,SWARTWOOD, HESSE INC. , ,
SHAM ,M ,SHAMUS GROUP, INC. ,NASDAQ TRADING ,212-208-9258
SHAM ,M ,SHAMUS GROUP, INC. ,NEW YORK, NY ,212-480-4900
SHAW ,M ,D.E. SHAW SECURITIES, L.L.C. ,INSTITUTIONAL ,800-792-7429
SHAW ,M ,D.E. SHAW SECURITIES, L.L.C. ,THIRD MARKET TRADING ,800-326-0000
SHEA ,M ,THE HAMILTON-SHEA GROUP, INC. , ,
SHEE ,M ,J. E. SHEEHAN & COMPANY, INC. ,NASDAQ TRADING ,212-888-9020
SHEM ,M ,THE SHEMANO GROUP, INC. ,SAN FRANCISCO ,415-274-3234
SHEM ,M ,THE SHEMANO GROUP, INC. , ,415-274-3236
SHEP ,M ,SHEPHERD FINANCIAL GROUP, LLC ,VERNON HILLS, IL. ,847-680-1100
SHEP ,M ,SHEPHERD FINANCIAL GROUP, LLC ,NASDAQ TRADING ,800-290-3247
SHFS ,M ,SMITH HAYES FINANCIAL SERVICES CORPORATION ,NASDAQ TRADING ,402-476-3000
SHIF ,M ,J. L. SCHIFFMAN & CO., INC. , ,
SHLD ,M ,THE CAMELOT GROUP, INC. ,FT. LAUDERDALE, FL ,954-563-8240
SHMN ,Q ,SHERMAN & CO. , ,
SHMR ,M ,O'CONNOR & COMPANY LLC ,CHICAGO IL ,312-347-4716
SHMR ,M ,O'CONNOR & COMPANY LLC ,NASDAQ TRADING ,800-971-2122
SHOC ,M ,SSI SECURITIES CORP. ,NASDAQ TRADING ,800-327-1536
SHOE ,M ,SHOENBERG, HIEBER INC. , ,
SHON ,M ,SCHONFELD SECURITIES, LLC ,JERICHO, NY ,516-822-1372
SHON ,M ,SCHONFELD SECURITIES, LLC ,NEW YORK, NY ,212-223-4281
SHON ,M ,SCHONFELD SECURITIES, LLC ,CHICAGO, IL ,312-357-6600
SHON ,M ,SCHONFELD SECURITIES, LLC ,BOCA RATON, FL ,407-447-9140
SHOR ,M ,LOMBARD SECURITIES,INC. , ,
SHRC ,M ,SHELTER ROCK SECURITIES CORP. , ,
SHRE ,M ,SHUFRO, ROSE & CO., LLC ,NEW YORK, NY ,212-754-5100
SHRP ,M ,SHARPE CAPITAL, INC. , ,
SHRR ,M ,CARL P. SHERR AND COMPANY ,WORCESTER MA ,508-791-7126
SHRR ,M ,CARL P. SHERR AND COMPANY ,TRADING ,508-755-6633
SHTG ,P ,SHORELINE TRADING GROUP LLC ,LOS ANGELES, CA ,213-614-1950
SHUK ,M ,SHUKLA FINANCIAL SERVICES, INC. , ,
SIBO ,M ,PRIME EXECUTIONS, INC. ,NASDAQ TRADING ,212-785-0200
SIDP ,M ,SYDNEY PREVOR AND CO. INC. ,SANTURCE, PR ,[phone]
SIGM ,M ,SIGMA FINANCIAL CORPORATION ,NASDAQ TRADING ,734-663-1611
SIGT ,M ,SUSQUEHANNA INVESTMENT GROUP ,PHILADELPHIA PA ,215-963-7117
SIIC ,M ,SYMMETRIC INVESTMENTS, INC. , ,
SILK ,M ,SPEAR, LEEDS & KELLOGG, L.P. ,o-ARBITRAGE ,212-433-7272
SILK ,M ,SPEAR, LEEDS & KELLOGG, L.P. ,NASDAQ/OTCBB AGENCY ,212-433-7220
SILK ,M ,SPEAR, LEEDS & KELLOGG, L.P. , ,800-454-5720
SILV ,M ,SILVER, GRAY & CO., INC. , ,
SIMM ,M ,SIMMONS & COMPANY INTERNATIONAL ,HOUSTON TX ,713-223-7893
SIMM ,M ,SIMMONS & COMPANY INTERNATIONAL ,NASDAQ OPERATIONS ,800-856-3240
SIMP ,M ,MARTIN SIMPSON & COMPANY, INC. , ,
SING ,N ,S&L, L.L.C. , ,
SINO ,M ,EQUITIES TRADING CORP. ,NASDAQ TRADING ,212-267-2525
SINV ,M ,STELLAR INVESTMENTS, INC. , ,
SITE ,M ,CAPITAL INSIGHT BROKERAGE , ,
SIZE, M ,Anonymous Interest Traders, 1-800-777-5606 Click Here For More Info
SJAM ,M ,THE STUART-JAMES COMPANY, INCORPORATED , ,
SJNO ,M ,SCHARFF & JONES, INC. , ,
SKEF ,N ,SKEFFINGTON SECURITIES, L.L.C. , ,
SKIN ,M ,ZA ASSOCIATES, INC. , ,
SKIT ,M ,S. K. INVESTMENTS , ,
SLES ,M ,SCHLESINGER SECURITIES CORP. , ,
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,JERSEY CITY, NJ ,212-422-2400
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,NASDAQ TRADING ,800-526-3160
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,INSTITUTIONAL DEPT ,212-344-4530
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,OTCBB/PINK SHEETS ,212-227-4300
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,0TCBB/PINK SHEETS ,800-222-0890
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS , ,212-422-2405
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS , ,212-422-2406
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS , ,212-422-2407
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS , ,212-422-2408
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,INTERNATIONAL DEPT ,800-451-6097
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,CANADIAN/FOREIGN ,212-248-4154
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,CANADIAN/FOREIGN ,800-451-6097
SLKC ,M ,SPEAR LEEDS & KELLOGG CAPITAL MARKETS ,COMPLIANCE ,888-229-1297
SLOW ,M ,KERN, SUSLOW SECURITIES, INC. ,NEW YORK NY ,212-943-8888
SLOW ,M ,KERN, SUSLOW SECURITIES, INC. ,NASDAQ TRADING ,212-747-0443
SLSW ,M ,SLS SECURITIES COMPANY , ,
SLVR ,P ,SILVERADO ARBITRAGE TRADING LTD. , ,
SMAC ,M ,SMITH, HAGUE & CO., INCORPORATED , ,
SMAR ,M ,SAN MARINO SECURITIES, INC. , ,
SMBA ,M ,SMITH BORKUM HARE INC , ,
SMBH ,M ,SMITH, BENTON & HUGHES, INC. , ,
SMCO ,P ,SERVICE ASSET MANAGEMENT COMPANY ,CHICAGO, TRADING ,312-372-7300
SMCO ,P ,SERVICE ASSET MANAGEMENT COMPANY ,CHICAGO, TRADING ,888-630-4900
SMCO ,P ,SERVICE ASSET MANAGEMENT COMPANY ,ANN ARBOR,MI TRADING ,734-222-3120
SMCO ,P ,SERVICE ASSET MANAGEMENT COMPANY ,ANN ARBOR,MI TRADING ,888-988-0100
SMCU ,M ,SMITH CULVER INVESTMENTS , ,
SMFA ,M ,SOUTHEAST BANK BROKERAGE SERVICE, INC. , ,
SMFN ,M ,SAMCO FINANCIAL SERVICES, INC. ,PHOENIX, AZ ,602-230-9865
SMFN ,M ,SAMCO FINANCIAL SERVICES, INC. ,NASDAQ TRADING ,800-775-9372
SMHI ,M ,SANDERS MORRIS HARRIS INC. ,HOUSTON, TX ,713-250-4242
SMHI ,M ,SANDERS MORRIS HARRIS INC. ,NASDAQ/OTCBB TRADING ,800-346-9925
SMHI ,M ,SANDERS MORRIS HARRIS INC. ,GARDEN CITY, NY ,516-739-2116
SMHI ,M ,SANDERS MORRIS HARRIS INC. ,ALTERNATE LINE ,516-739-2117
SMMO ,M ,SMITH, MOORE & CO. ,ST. LOUIS, MO , N/A
SMMO ,M ,SMITH, MOORE & CO. ,AGENCY ORDERS ,314-421-5225
SMMO ,M ,SMITH, MOORE & CO. ,MARKET MAKING ,800-264-0659
SMMO ,M ,SMITH, MOORE & CO. , ,314-725-9979
SMRI ,M ,SECURITIES MANAGEMENT & RESEARCH, INC. , ,
SNCM ,M ,SMITH NEW COURT, INC. , ,
SNDS ,M ,SANDS BROTHERS & CO., LTD. ,NEW YORK, NY ,212-697-4527
SNDS ,M ,SANDS BROTHERS & CO., LTD. ,NEW YORK, NY ,212-697-4361
SNDS ,M ,SANDS BROTHERS & CO., LTD. ,SWITCHBOARD ,800-348-4825
SNDS ,M ,SANDS BROTHERS & CO., LTD. , ,800-866-6116
SNDS ,M ,SANDS BROTHERS & CO., LTD. ,INSTITUTIONAL TRD ,212-697-0350
SNDV ,M ,SOUNDVIEW TECHNOLOGY CORPORATION ,OLD GREENWICH, CT ,203-321-7310
SNDV ,M ,SOUNDVIEW TECHNOLOGY CORPORATION ,NASDAQ TRADING ,800-543-2365
SNKR ,M ,STRATEGIC RISK MANAGEMENT, INC. ,NEW YORK, NY ,212-344-9699
SNTE ,M ,SENATE SECURITIES , ,
SNTL ,M ,SENTINEL FINANCIAL SERVICES COMPANY , ,
SOAR ,M ,STERLING FINANCIAL INVESTMENT GROUP, INC. ,BOCA RATON/AGENCY ,561-672-4699
SOAR ,M ,STERLING FINANCIAL INVESTMENT GROUP, INC. ,PRINCIPAL ,561-672-4712
SOBE ,M ,SOUTH BEACH SECURITIES, INC. , ,
SOCK ,M ,SOCHET & COMPANY , ,
SOCO ,M ,HIBERNIA SOUTHCOAST CAPITAL, INC. ,NEW ORLEANS, LA ,888-757-5768
SOCO ,M ,HIBERNIA SOUTHCOAST CAPITAL, INC. ,NEW ORLEANS, LA ,504-593-6105
SOGO ,M ,WM FINANCIAL SERVICES, INC. ,PORTLAND, OR ,503-299-4369
SOGO ,M ,WM FINANCIAL SERVICES, INC. ,PORTLAND, OR ,800-547-1759
SOLO ,M ,SOLOWEY & CO. ,MIAMI, FL ,305-670-2228
SORE ,M ,MERIT CAPITAL ASSOCIATES, INC. ,WESTPORT, CT ,203-341-3520
SORE ,M ,MERIT CAPITAL ASSOCIATES, INC. ,NASDAQ TRADING ,800-405-1000
SOTC ,S ,SYDAN & CO. , ,
SPCC ,M ,SECURITIES & INVESTMENT PLANNING CO. ,NASDAQ TRADING ,973-701-9272
SPCS ,O ,LEGEND SECURITIES, INC. ,TRADING ,718-605-0586
SPEC ,M ,SPECTRUM TRADING PARTNERS L.P. ,NASDAQ TRADING ,212-908-7519
SPEN ,M ,SPENCER CLARKE LLC ,NASDAQ TRADING ,212-446-6161
SPER ,M ,JMC INVESTMENT SERVICES, INC. , ,
SPGL ,M ,SPYGLASS TRADING, L.P. ,DALLAZ, TX ,214-890-8895
SPHN ,M ,STEPHENS INC. ,LITTLE ROCK AR ,501-377-2076
SPHN ,M ,STEPHENS INC. ,LITTLE ROCK AR ,800-643-9690
SPIN ,M ,SPENCER EDWARDS, INC. ,TRADING ,303-741-2612
SPIN ,M ,SPENCER EDWARDS, INC. ,ALTERNATE TRADING # ,303-740-8448
SPLM ,M ,SPELMAN & CO., INC. ,SAN DIEGO CA ,619-584-7030
SPLM ,M ,SPELMAN & CO., INC. ,NASDAQ TRADING ,1-800-748-5364
SPRR ,M ,GLOBALCOMM SECURITIES, INC. ,GLENDALE CA ,818-547-2216
SPRR ,M ,GLOBALCOMM SECURITIES, INC. ,NASDAQ TRADING ,800-455-2211
SPRT ,M ,SOUTHPORT SECURITIES, LLC , ,
SPWI ,M ,SPENCER-WINSTON SECURITIES CORPORATION ,NEW YORK ,212-840-2444
SRES ,M ,SECURITY RESEARCH ASSOCIATES, INC. ,TRADING, CA ,415-925-0198
SRES ,M ,SECURITY RESEARCH ASSOCIATES, INC. , ,800-463-0446
SRIS ,N ,SANFORD ROBERTS, INC. , ,
SRMT ,M ,STRATEGIC RESOURCE MANAGEMENT, INC. , ,
SRPR ,M ,JR SECURITIES COMPANY, INC. ,NASDAQ TRADING ,310-551-1624
SRRA ,M ,SIERRA BROKERAGE SERVICES, INC. ,COLUMBUS, OH ,614-442-9451
SRRA ,M ,SIERRA BROKERAGE SERVICES, INC. ,NASDAQ TRADING ,800-837-3351
SRSI ,M ,SOUTH RICHMOND SECURITIES, INC. , ,
SSAL ,N ,SALVATORE & CO., INC. ,CHICAGO, IL ,312-663-2211
SSBS ,M ,STATE STREET CAPITAL MARKETS, LLC ,BOSTON, MA ,617-664-1800
SSCC ,M ,FIDUCIARY FINANCIAL SERVICES CORP. ,NEW YORK, NY ,212-313-2500
SSCL ,M ,STUART STONE & CO., LLC , ,
SSCM ,M ,STATE CAPITAL MARKETS CORPORATION , ,
SSCO ,N ,SAFRA SECURITIES CORPORATION ,NEW YORK, NY ,212-704-5500
SSEC ,M ,SCHNEIDER SECURITIES, INC. ,DENVER CO ,303-832-0780
SSEC ,M ,SCHNEIDER SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-533-6536
SSEC ,M ,SCHNEIDER SECURITIES, INC. ,NEW YORK ,212-697-0687
SSEC ,M ,SCHNEIDER SECURITIES, INC. ,NEW JERSEY ,732-219-6933
SSEC ,M ,SCHNEIDER SECURITIES, INC. ,ENGLEWOOD, CO ,720-488-5400
SSEC ,M ,SCHNEIDER SECURITIES, INC. , ,000-000-0000
SSET ,N ,SUNSET FINANCIAL SERVICES, INC. , ,
SSIC ,M ,SCOTTRADE, INC. ,AGENCY ,314-965-8667
SSIC ,M ,SCOTTRADE, INC. ,NASDAQ TRADING ,888-735-1980
SSNG ,M ,SISUNG SECURITIES CORPORATION ,NASDAQ TRADING ,504-544-7700
SSNI ,M ,SECURITIES SERVICE NETWORK, INC. ,KNOXVILLE, TN ,[phone]
SSSI ,M ,SOUTHAMPTON INVESTMENT SERVICES INC. , ,
STAD ,N ,EQUITABLE ADVISORS, INC. , ,
STAF ,M ,ROM-BO TRADING CO. ,CHICAGO, IL ,800-337-4293
STAP ,N ,STANDARD AND POORS SECURITIES , ,
STAR ,M ,STARR SECURITIES, INC. ,N-NEW YORK, NY ,212-847-3232
STAR ,M ,STARR SECURITIES, INC. ,NEW YORK, NY ,800-346-6010
STDB ,M ,STATE DISCOUNT BROKERS, INC. , ,
STEP ,Q ,ST2 L.P. ,PRINCETON, NJ ,609-921-9071
STEQ ,M ,SUNTRUST CAPITAL MARKETS, INC. ,NASHVILLE, TN ,615-780-4170
STEQ ,M ,SUNTRUST CAPITAL MARKETS, INC. ,NASHVILLE, TN ,800-800-1751
STFC ,N ,STUART FRANKEL & CO., INCORPORATED , ,
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,ST. LOUIS, MO ,314-342-2100
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,ST. LOUIS, MO ,800-776-6821
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,BONDS ,314-342-2107
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,BONDS ,800-359-6889
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,ST.LOUIS, MO. ,800-776-6821
STFL ,M ,STIFEL, NICOLAUS & COMPANY, INCORPORATED ,DENVER, CO ,888-407-4477
STFM ,M ,THE STAMFORD COMPANY, INC. , ,
STFO ,M ,STERLING FOSTER & COMPANY, INC. ,MELVILLE NY ,516-843-8000
STFO ,M ,STERLING FOSTER & COMPANY, INC. ,NASDAQ TRADING ,516-843-8022
STGC ,N ,STERLING, GRACE MUNICIPAL SECURITIES CORPORATION , ,
STGS ,M ,STONEGATE SECURITIES, INC. ,NASDAQ TRADING ,214-871-8900
STIR ,M ,STIRES & CO., INC. ,NEW YORK ,212-481-6990
STLG ,M ,STERLING INVESTMENT SERVICES, INC. ,CHICAGO, IL ,312-236-0676
STLR ,N ,PRIME SOLUTIONS SECURITIES, INC. , ,
STNE ,M ,STONE SECURITIES CORPORATION ,TRADING ,617-248-0353
STNG ,O ,STRONG INVESTMENTS, INC. , ,
STNR ,M ,STEIN ROE & FARNHAM , ,
STNY ,M ,STANDARD NEW YORK SECURITIES, INC. ,NEW YORK, NY ,212-752-1726
STNY ,M ,STANDARD NEW YORK SECURITIES, INC. , ,800-782-8723
STOC ,M ,SIERRA TRADING GROUP, L.P. ,PRINCETON NJ ,609-921-3113
STOK ,O ,The Stock Market (O/E) ,LOS ANGELES CA ,310-577-7460
STON ,M ,MORGAN GLADSTONE & CO. INC. , ,
STOX ,M ,STOCKCROSS, INC. ,BOSTON MA ,617-367-5700
STOX ,M ,STOCKCROSS, INC. ,NASDAQ/OTCBB TRADING ,617-367-6397
STRE ,N ,THESTREETDIRECT, LLC ,RALEIGH, NC ,800-322-4133
STRE ,N ,THESTREETDIRECT, LLC ,RALEIGH,NC ,919-846-9396
STRO ,M ,STROME SECURITIES, L.P. ,SANTA MONICA CA ,310-917-6619
STRO ,M ,STROME SECURITIES, L.P. ,NASDAQ/OTCBB TRADING ,800-967-6619
STSH ,M ,STEIN, SHORE SECURITIES, INC. , ,
STSI ,M ,SPENCER TRASK VENTURES, INC. ,NASDAQ TRADING ,212-418-8577
STSP ,N ,SUNPOINT SECURITIES, INC. , ,
STSS ,M ,FIRST TRADE SECURITIES, INC. ,WASHINGTON, DC ,202-466-6890
STST ,P ,STATE STREET CORP. , ,
STTS ,M ,INSTITUTIONAL DIRECT INC. , ,
STVT ,M ,STANDARD INVESTMENT CHARTERED INCORPORATED ,CHINO HILLS, CA ,909-590-2199
STWK ,M ,STOCKWALK.COM, INC. , ,
SUBE ,M ,SUBERT SECURITIES, LLC ,PARAMUS NJ ,201-587-0404
SUFI ,N ,SUSQUEHANNA FINANCIAL GROUP, INC. , ,
SUIC ,O ,STOCK USA, INC. , ,
SUIS ,N ,CAPITAL SUISSE SECURITIES, INC. ,TRADING DESK ,415-283-4830
SUMT ,M ,SUMMIT BROKERAGE SERVICES, INC. , ,
SUNG ,M ,SUNLOGIC SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,510-793-7800
SUNR ,O ,SUNRISE SECURITIES CORP. ,NASDAQ TRADING ,212-421-9044
SUNR ,O ,SUNRISE SECURITIES CORP. ,NEW YORK, NY ,212-421-1616
SUNS ,M ,SUNSTONE DISTRIBUTION SERVICES, LLC , ,
SUPE ,M ,Nasdaq Supervisory Symbol/SUPE/800081 ,TRUMBULL, CT ,[phone]
SUPE ,M ,Nasdaq Supervisory Symbol/SUPE/800081 ,ALTOONA , N/A
SUPE ,M ,Nasdaq Supervisory Symbol/SUPE/800081 ,ALPACA , N/A
SUPE ,M ,Nasdaq Supervisory Symbol/SUPE/800081 ,TEST ,999999999
SUPP ,M ,SUPPES SECURITIES, INC. , ,
SUPR ,M ,Nasdaq System Symbol/SUPR/800084 , , N/A
SUPS ,O ,SUPERTRADE SECURITIES, INC. ,HOUSTON, TX ,281-561-5768
SURF ,M ,OCEAN SECURITIES CORPORATION , ,
SUSQ ,M ,SUSQUEHANNA CAPITAL GROUP ,BALA CYNWYD, PA , N/A
SUSQ ,M ,SUSQUEHANNA CAPITAL GROUP ,NASDAQ TRADING ,610-617-2999
SUSQ ,M ,SUSQUEHANNA CAPITAL GROUP ,CONVERTIBLES DESK ,610-617-2802
SUSQ ,M ,SUSQUEHANNA CAPITAL GROUP ,OTCBB ,610-617-2802
SUTR ,M ,SUTRO & CO. INCORPORATED ,SAN FRANCISCO, CA ,415-445-8505
SUTR ,M ,SUTRO & CO. INCORPORATED ,SAN FRANCISCO, CA ,800-227-4422
SUTR ,M ,SUTRO & CO. INCORPORATED ,CONVERTIBLES ,415-445-8600
SUTR ,M ,SUTRO & CO. INCORPORATED , ,800-443-0050
SUTR ,M ,SUTRO & CO. INCORPORATED ,PREFERRED ,415-445-8341
SVGS ,N ,MYDISCOUNTBROKER.COM , ,
SWCC ,O ,MJK CLEARING, INC. ,MINNEAPOLIS, MN ,800-745-1666
SWCC ,O ,MJK CLEARING, INC. ,MINNEAPOLIS, MN ,763-591-2731
SWCK ,M ,SOUTHWICK INVESTMENTS, INC. , ,
SWCO ,M ,SCHRODER & CO. INC. , ,
SWEM ,M ,SLOATE, WEISMAN, MURRAY & COMPANY, INC. ,NEW YORK, NY ,212-310-0888
SWEN ,M ,SWENEY CARTWRIGHT & COMPANY ,COLUMBUS OH ,800-334-7481
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TORONTO, CANADA ,416-351-0540
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TRADING ,416-351-7667
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TRADING ,416-341-6937
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TRADING ,416-351-0525
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TRADING ,416-351-7342
SWFT ,N ,SWIFT TRADE SECURITIES INC. ,TRADING ,416-351-7853
SWIS ,N ,SWISS AMERICAN SECURITIES INC. ,NEW YORK, N.Y. ,212-612-8705
SWSS ,M ,SWISS FINANCIAL SECURITIES, INC. ,CHICAGO, IL ,312-986-0500
SWST ,M ,SWS SECURITIES INC. ,DALLAS, TX ,214-859-9190
SWST ,M ,SWS SECURITIES INC. ,DALLAS, TX ,800-527-7655
SWST ,M ,SWS SECURITIES INC. ,AGCY DESK ,214-859-9197
SWST ,M ,SWS SECURITIES INC. ,LISTED TRADING ,214-859-6032
SWST ,M ,SWS SECURITIES INC. ,CLOSED END FUNDS ,888-821-7221
SWSW ,M ,S.W. BACH & COMPANY , ,
SXXX ,M ,SUSSEX SECURITIES LLC , ,
SYNG ,O ,SYNERGY INVESTMENT GROUP, LLC ,CHARLOTTE, NC ,704-333-7637
TACO ,M ,TRADERS ADVANTAGE , ,
TADV ,M ,TRUSTED SECURITIES ADVISORS CORP. , ,
TAEP ,N ,TRUST ADVISORS TRADING LLC ,NEW YORK, NY ,203-454-7171
TAFT ,M ,CITADEL TRADING GROUP L.L.C. ,CHICAGO, IL ,312-443-8401
TAGS ,N ,TAGLICH BROTHERS, INC. ,NASDAQ TRADING ,212-509-5590
TAIS ,Q ,TRANSAMERICA INVESTMENT SERVICES , ,
TAJG ,M ,TAJ GLOBAL EQUITIES, INC. ,TAMPA FL ,813-288-9236
TAJG ,M ,TAJ GLOBAL EQUITIES, INC. ,NASDAQ TRADING ,800-229-4825
TALN ,M ,TALON SECURITIES, INC. ,CHICAGO IL ,312-422-5444
TAMR ,M ,TAMAR SECURITIES, INC. ,NASDAQ TRADING ,216-595-0496
TARP ,M ,TARPON SCURRY INVESTMENTS, INC. ,NEW YORK, NY ,212-635-9560
TARP ,M ,TARPON SCURRY INVESTMENTS, INC. , ,800-959-1481
TASF ,M ,Tasse & Associates , ,
TASN ,M ,TASIN & COMPANY, INC. , ,
TATA ,M ,THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES ,REDLANDS, CA ,[phone]
TAUF ,N ,TAURUS CAPITAL MARKETS LTD. ,TORONTO, ONTARIO ,416-361-2000
TBTB ,M ,CAMBRIDGE GROUP INVESTMENTS, LTD. , ,
TCAM ,N ,OM TECHNOLOGIES , ,
TCAN ,N ,TCADVISORS NETWORK INC. , ,
TCCC ,P ,ABN AMRO INCORPORATED/CORRESPONDENT CLEARING ,CHICAGO, IL , N/A
TCCM ,M ,TRANSGLOBAL CAPITAL CORPORATION , ,
TCEG ,M ,THE CONCORD EQUITY GROUP, LLC ,LAURENCE HARBOR, NJ , N/A
TCEG ,M ,THE CONCORD EQUITY GROUP, LLC ,NASDAQ/OTCBB TRADING ,732-203-0187
TCGS ,M ,TRADECO GLOBAL SECURITIES, INC. , ,
TCMC ,N ,BBV CAPITAL MARKETS OF PUERTO RICO , ,
TCNI ,M ,TEXAS CAPITAL SECURITIES, INC. , ,
TCOW ,Q ,TRUST COMPANY OF THE WEST , ,
TCST ,M ,TRADECAST SECURITIES, LTD. ,HOUSTON, TX ,877-627-1144
TDCP ,N ,TRADESCAPE SECURITIES, LLC , ,
TDDI ,O ,TRADEWELL DISCOUNT INVESTING, LLC , ,
TDII ,M ,TDI, INCORPORATED ,NASDAQ TRADING ,303-799-5100
TDIS ,P ,TRADERS INSTITUTIONAL SECURITIES, INC. , ,
TDSC ,M ,TRACK DATA SECURITIES CORPORATION ,BROOKLYN, NY ,718-923-3232
TDSI ,M ,TD SECURITIES (USA) INC. , ,800-760-6580
TDSI ,M ,TD SECURITIES (USA) INC. , ,212-827-7275
TEDP ,N ,FINANCIAL PLANNING SECURITIES, INC. , ,
TERA ,M ,TERRA SECURITIES CORPORATION , ,
TEXC ,M ,TEXAS CAPITAL MARKETS, INCORPORATED , ,
TFAB ,M ,THE FIRST AMERICAN INVESTMENT BANKING CORPORATION , ,
TFBS ,M ,TRADESTAR INVESTMENTS,INC. , ,
TFSC ,M ,TWENTY-FIRST SECURITIES CORPORATION ,NASDAQ TRADING ,212-308-4626
TFSI ,M ,TRAFALGAR FINANCIAL SERVICES, INC. , ,
TFSL ,M ,TECKMEYER FINANCIAL SERVICES, L.L.C. , ,
TGII ,M ,TRANSGLOBAL INVESTMENTS INC. ,NASDAQ TRADING ,415-296-1200
TGUL ,M ,TUCKER ANTHONY CLEARY GULL ,MILWAUKEE, WI ,414-291-4514
TGUL ,M ,TUCKER ANTHONY CLEARY GULL , ,800-292-4549
TGUL ,M ,TUCKER ANTHONY CLEARY GULL ,BOSTON, MA ,800-548-3759
TGUL ,M ,TUCKER ANTHONY CLEARY GULL ,BOSTON, MA ,617-725-2253
TGUL ,M ,TUCKER ANTHONY CLEARY GULL ,DENVER, COLORADO ,888-888-2525
THAM ,M ,THAMESWAY INC. , ,
THIM ,N ,THIEME SECURITIES, INC. , ,
THKF ,N ,Thomson Kernaghan & Co. LTD. ,TORONTO, CANADA ,[phone]
THLD ,M ,TRANS-HUDSON, L.L.C. ,MONTEBELLO, NY ,914-369-0013
THNK ,M ,THINKEQUITY PARTNERS ,MINNEAPOLIS ,612-692-8006
THNK ,M ,THINKEQUITY PARTNERS , ,888-684-8292
THRD ,M ,THE THIRD MARKET CORP. ,CHICAGO IL ,312-629-2999
THRD ,M ,THE THIRD MARKET CORP. ,TRADING ,800-264-1259
THWH ,M ,ACUMENT SECURITIES, INC. ,SAN FRANCISCO CA ,415-597-6815
THWH ,M ,ACUMENT SECURITIES, INC. ,GENERAL ,800-669-4483
TIAD ,M ,TRIAD SECURITIES CORP ,NEW YORK NY ,212-349-8060
TICK ,M ,SUMMIT TRADING, INC. , ,
TIED ,M ,E*TRADE INSTITUTIONAL SECURITIES, INC. ,NEW YORK, NY ,212-826-6868
TIGC ,P ,TIG CAPITAL SECURITIES CO. , ,
TIGR ,M ,TIGER INVESTMENT GROUP, INC. , ,
TIME ,O ,INVESTSCAPE INC. ,W.BLOOMFIELD,MI ,248-855-6866
TINY ,M ,TRINITY EQUITY TRADING, INC. , ,
TITN ,M ,TITAN SECURITIES, L.L.C. ,NASDAQ TRADING ,312-696-2050
TJAS ,M ,TEJAS SECURITIES GROUP, INC. ,AUSTIN, TX ,#
TJAS ,M ,TEJAS SECURITIES GROUP, INC. ,OTC ,512-306-5235
TJAS ,M ,TEJAS SECURITIES GROUP, INC. ,LISTED ,512-306-5263
TJAS ,M ,TEJAS SECURITIES GROUP, INC. ,INSTITUTIONAL ,512-306-5236
TKCO ,M ,TRAUTMAN WASSERMAN & COMPANY, INC. ,NEW YORK NY ,212-575-6653
TKCO ,M ,TRAUTMAN WASSERMAN & COMPANY, INC. ,NASDAQ TRADING ,212-575-6652
TLSC ,M ,TOLUCA PACIFIC SECURITIES CORP. , ,
TLWS ,N ,TLW SECURITIES, LLC , ,
TMAI ,M ,TJM SECURITIES, INC. , ,
TMBI ,M ,THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. ,ACT SERVICE DESK ,317-581-4000
TMBR ,M ,TIMBER HILL LLC ,TRADING ,203-618-5841
TMBR ,M ,TIMBER HILL LLC ,COMPLIANCE ,203-618-5863
TMBR ,M ,TIMBER HILL LLC ,PROGRAMMERS ,203-618-5814
TMBR ,M ,TIMBER HILL LLC ,PROGRAMMERS ,203-618-5889
TMOR ,N ,TRAVIS MORGAN SECURITIES INC. , ,
TMPO ,M ,TEMPO SECURITIES CORPORATION , ,
TMSI ,M ,THOMSON MCKINNON SECURITIES INC. , ,
TNTO ,O ,TERRA NOVA TRADING, L.L.C. ,CHICAGO, IL ,800-452-6294
TNTO ,O ,TERRA NOVA TRADING, L.L.C. ,TRADING ,312-827-3640
TNTO ,O ,TERRA NOVA TRADING, L.L.C. ,MAIN ,312-827-3600
TNTO ,O ,TERRA NOVA TRADING, L.L.C. ,MAIN II ,800-228-4216
TNTO ,O ,TERRA NOVA TRADING, L.L.C. ,SUBSCRIBER INFO ,800-258-5409
TOCQ ,M ,TOCQUEVILLE SECURITIES L.P. ,NASDAQ TRADING ,212-698-0856
TODA ,N ,BROOKFIELD SECURITIES, INC. , ,
TONE ,O ,TRADE ONE SECURITIES , ,
TONY ,M ,ANTHONY INVESTMENT CO. , ,
TORO ,M ,VALDES & MORENO, INC. ,NASDAQ TRADING ,816-455-7200
TORS ,M ,TREND TRADER, LLC ,SCOTTSDALE, AZ ,602-948-1146
TORY ,M ,TORREY PINES SECURITIES, INC. ,SOLANA BEACH CA ,858-259-9921
TORY ,M ,TORREY PINES SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-688-8670
TORY ,M ,TORREY PINES SECURITIES, INC. , ,858-259-9939
TORY ,M ,TORREY PINES SECURITIES, INC. ,INSTITUTIONAL TRDG ,800-456-8679
TORY ,M ,TORREY PINES SECURITIES, INC. ,PHONE PROBLEM LINE ,858-259-9939
TORY ,M ,TORREY PINES SECURITIES, INC. ,PHONE PROBLRM LINE ,858-259-9921
TPAC ,N ,TRITON PACIFIC CAPITAL, LLC , ,
TPAZ ,Q ,TOPAZ HOLDING , ,
TPCP ,P ,MCAULIFFE TRADING LLC ,COVINGTON, LA ,504-809-7000
TPFG ,M ,THE PARTNERS FINANCIAL GROUP, INC. , ,
TPMR ,N ,TRADE-PMR INC. , ,
TPSE ,M ,THE PARKINS INVESTMENT SECURITIES CORPORATION , ,
TRAB ,M ,TRAUB AND COMPANY, INC. , ,
TRAN ,M ,TRANSACTION SERVICES INC. , ,
TRAV ,M ,PATTERSON TRAVIS, INC. ,ENGLEWOOD, CO ,800-377-8625
TRAV ,M ,PATTERSON TRAVIS, INC. ,ENGLEWOOD, CO ,303-790-1373
TRAV ,M ,PATTERSON TRAVIS, INC. ,ENGLEWOOD, CO ,303-790-1457
TRDE ,M ,TRADETECH SECURITIES L.P. , ,
TRDI ,O ,TRADING EDGE, INC. , ,
TRDT ,M ,TRIDENT SECURITIES, INC. ,NASDAQ TRADING ,800-340-6355
TRDT ,M ,TRIDENT SECURITIES, INC. , ,404-249-6644
TRDW ,M ,GROSSMAN & CO., LLC. ,DIX HILLS NY ,631-242-0603
TRDW ,M ,GROSSMAN & CO., LLC. ,NASDAQ TRADING ,407-648-4898
TREA ,O ,TREASURE FINANCIAL CORP. ,RICHARDSON, TX ,[phone]
TREY ,M ,TRENDALYSIS SECURITIES, INC. , ,
TRIB ,M ,TRIBECA INVESTMENTS, L.L.C. ,NEW YORK, NY ,212-816-2612
TRIM ,M ,TRIMARK SECURITIES, INC. ,PURCHASE, NY ,914-251-5800
TRIM ,M ,TRIMARK SECURITIES, INC. ,TRADING ,800-677-8746
TRIM ,M ,TRIMARK SECURITIES, INC. ,SERVICE DESK ,800-436-8736
TRIM ,M ,TRIMARK SECURITIES, INC. ,BLOCK DESK ,800-669-1811
TRIM ,M ,TRIMARK SECURITIES, INC. ,CHICAGO, IL ,312-553-8350
TRIM ,M ,TRIMARK SECURITIES, INC. ,TRADING/SERVICE ,800-430-3434
TRIP ,N ,TRIDENT PARTNERS LTD. , ,
TRIT ,M ,TRINITY TRADING COMPANY, LTD. ,NEW YORK, NY ,212-972-6622
TRND ,M ,NEXTREND TRADING, INC. ,RICHARDSON, TX ,972-470-9265
TRNS ,M ,TRANSATLANTIC SECURITIES COMPANY ,NASDAQ TRADING ,212-431-6041
TRNX ,N ,TRINIX SECURITIES LLC ,TRADING ,516-357-8889
TRON ,M ,TAMARON INVESTMENTS, INC. , ,
TRPP ,M ,TRIPP & CO., INC. ,NEW YORK NY ,212-608-608
TRRT ,M ,TRADERIGHT SECURITIES ,BOCA RATON, FL ,561-338-8050
TRUB ,M ,TRUBEE, COLLINS & CO., INC. ,NASDAQ TRADING ,716-849-1401
TRWN ,M ,T.R. WINSTON & COMPANY, INC. ,BEDMINSTER NJ ,908-234-9600
TSFI ,M ,TAYLOR STUART FINANCIAL, INC. , ,
TSFT ,N ,TRADESOFT, INC. , ,
TSGI ,M ,TRADEWAY SECURITIES GROUP, INC. ,VISTA, CA ,[phone]
TSRV ,M ,TRADING SERVICES GROUP, INC. , ,
TTMC ,M ,THE THIRD MARKET CORP. NASDAQ ONLY ,CHICAGO, IL ,312-327-1400
TTMC ,M ,THE THIRD MARKET CORP. NASDAQ ONLY ,NASDAQ TRADING ,866-359-1400
TTRD ,N ,TECH-TRADE CAPITAL LLC , ,
TTTR ,O ,TWIN TRUST TRADING LLC , ,
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,BOSTON, MA ,800-548-3759
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,BOSTON, MA ,617-725-2253
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,BOSTON, MA ,888-397-2327
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,RICHMOND, VA ,804-643-1295
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,DENVER, CO ,888-888-2525
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,NEW YORK, NY ,212-225-8110
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,LANCASTER, PA ,800-646-8647
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,LANCASTER, PA ,717-560-3042
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,MILWAUKEE, WI ,414-291-4514
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,MILWAUKEE, WI ,800-292-4549
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,CONVERTIBLES NJ ,201-499-5962
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,CONVERTIBLES NY ,212-225-8140
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,CONVERTIBLES WATTS ,800-545-8603
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,ARBITRAGE ,212-225-8061
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,PREFERRED ,212-225-8230
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,RICHMOND VA ,800-666-2816
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,VA TRADING ,804-643-1295
TUCK ,M ,TUCKER ANTHONY INCORPORATED ,MAIN CORP. NUMBER ,804-225-1400
TURN ,N ,TURNING POINT SECURITIES, LLC ,NASDAQ TRADING ,312-362-4820
TUSH ,M ,TUSCHNER & COMPANY, INC. , ,
TUSK ,M ,ELEPHANTX ONLINE SECURITIES, LLC , ,
TVAN ,M ,TEEVAN & CO., INC. ,LITTLE SILVER, NJ ,908-219-7606
TWAN ,M ,MARK TWAIN BROKERAGE SERVICES, INC. ,ST. LOUIS, MO ,314-997-9237
TWEE ,M ,TWEEDY, BROWNE COMPANY LLC ,NEW YORK, NY ,212-916-0606
TWEN ,M ,AMERICAN CENTURY INVESTMENT SERVICES INC. , ,
TWPT ,M ,THOMAS WEISEL PARTNERS LLC ,SAN FRANCISCO, CA ,415-364-2800
TWPT ,M ,THOMAS WEISEL PARTNERS LLC ,WATTS LINE ,877-241-0900
TWTR ,M ,THE THORNWATER COMPANY, L.P. ,TRADING ,212-806-1010
TXBS ,N ,TRADEX BROKERAGE SERVICE, INC. ,NASDAQ TRADING ,212-619-0919
TXCF ,M ,J.P. MORGAN SECURITIES OF TEXAS, INC. , ,
TYLO ,M ,CHANCELLOR DOUGALL & COMPANY, INC. ,NASDAQ TRADING ,312-346-1066
TYME ,N ,TYM SECURITIES, INC. ,DALLAS, TX ,214-365-9400
UBSW ,M ,UBS WARBURG LLC ,TRADING DEPT ,203-719-7600
UCPL ,M ,UTENDAHL CAPITAL PARTNERS, L.P. , ,
UEPI ,M ,UNION EQUITY PARTNERS, INC. , ,
UHLM ,N ,UHLMANN INVESTMENTS, LLC , ,
ULTI ,N ,ULTIMUS , ,
UNCO ,M ,UNDERWOOD, NEUHAUS & CO., INCORPORATED , ,
UNEQ ,M ,UNITED EQUITIES COMPANY, LLC ,NEW YORK, NY ,212-349-2877
UNEQ ,M ,UNITED EQUITIES COMPANY, LLC ,NEW YORK, NY ,800-233-1935
UNEX ,N ,UNX, INC. , ,
UNFI ,P ,Unified Fund Services, Inc. , ,
UNIV ,M ,UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP ,NEW YORK, NY ,212-219-3815
UNMG ,M ,UNIFIED FINANCIAL SECURITIES, INC. ,INDIANAPOLIS, IN ,317-634-5999
UNTD ,M ,WADDELL & REED, INC. , ,
UPSI ,M ,UNITED PACIFIC SECURITIES, INC. , ,
USAA ,N ,USAA INVESTMENT MANAGEMENT COMPANY ,SAN ANTONIO, TX ,800-531-8294
USAC ,M ,USA CAPITAL , ,
USCC ,M ,U.S. SECURITIES CLEARING CORP. , ,
USDB ,N ,U.S. DISCOUNT BROKERAGE, INC. ,ROCKY RIVER, OH ,440-356-3151
USEC ,M ,UNIVERSAL SECURITIES CORPORATION , ,
USFA ,M ,U.S. SECURITIES & FUTURES CORP. ,NASDAQ TRADING ,212-509-8079
USLF ,N ,Union Securities LTD ,VANCOUVER, B.C. ,604-687-2201
USRF ,M ,U.S. RICA FINANCIAL, INC. ,SAN JOSE, CA ,408-929-2234
USSP ,N ,UST SECURITIES CORP. (THE RETAIL) ,JERSEY CITY, NJ ,201-418-8331
USST ,M ,UST SECURITIES CORP. , ,
USTC ,O ,U.S. TRADING CORP. ,GARDEN CITY, NY ,516-357-9829
USTS ,M ,UST SECURITIES CORP./SPECIAL ACCOUNT ,JERSEY CITY, NJ ,800-759-8787
UVST ,M ,UVEST INVESTMENT SERVICES ,NASDAQ TRADING ,800-277-7700
VAIL ,M ,VAIL SECURITIES INVESTMENT, INC. ,MAIN TRADING ,970-479-6001
VAIL ,M ,VAIL SECURITIES INVESTMENT, INC. ,TRADING ,970-476-5531
VAIL ,M ,VAIL SECURITIES INVESTMENT, INC. , ,970-476-5483
VALA ,M ,D H BRUSH & ASSOCIATES, INC. , ,
VALM ,M ,VALMARK SECURITIES, INC. , ,
VANG ,M ,THE VANGUARD GROUP INC , ,
VANT ,M ,REICH & CO., INC. , ,
VASL ,M ,VASILIOU & COMPANY, INC. ,NASDAQ TRADING ,212-486-4400
VCAP ,M ,VANGUARD CAPITAL ,SAN DIEGO CA ,619-455-5090
VCAP ,M ,VANGUARD CAPITAL ,NASDAQ/OTCBB TRADING ,800-743-5090
VCLM ,M ,VAN CLEMENS & CO. INCORPORATED , ,
VCTR ,M ,VECTOR PARTNERS L.P. , ,
VDMX ,M ,VAN DER MOOLEN SPECIALISTS USA, LLC ,NEW YORK, NY ,212-495-0898
VDMX ,M ,VAN DER MOOLEN SPECIALISTS USA, LLC ,NASDAQ TRADING ,800-396-6295
VECT ,M ,VECTOR SECURITIES INTERNATIONAL, INC. ,DEERFIELD IL ,847-374-3849
VECT ,M ,VECTOR SECURITIES INTERNATIONAL, INC. ,NASDAQ TRADING ,800-621-6211
VEST ,M ,INVESTORS CHOICE SECURITIES INC. , ,
VFIN ,M ,FIRST COLONIAL SECURITIES ,NASDAQ TRADING ,800-792-1142
VFIN ,M ,FIRST COLONIAL SECURITIES ,OTCBB/PINK SHEETS ,800-487-0577
VFIN ,M ,FIRST COLONIAL SECURITIES ,OTCBB/PINK SHEETS ,561-981-1314
VGRD ,M ,VANGUARD MARKETING CORPORATION ,VALLEY FORGE, PA ,610-669-8986
VICT ,M ,JEFFREY BROOKS, INC. , ,
VIEW ,M ,VIEWTRADE SECURITIES, INC. ,BOCA RATON, FL ,561-368-6061
VIEW ,M ,VIEWTRADE SECURITIES, INC. , ,877-613-9872
VIPI ,M ,VALUE INVESTING PARTNERS, INC. ,NEW YORK NY ,212-370-5157
VIPI ,M ,VALUE INVESTING PARTNERS, INC. ,NASDAQ TRADING ,800-440-8474
VISN ,M ,VISION SECURITIES INC. ,CEDARHURST NY ,516-374-7216
VMRU ,M ,VMR CAPITAL MARKETS US ,NASDAQ TRADING ,310-785-0620
VMRU ,M ,VMR CAPITAL MARKETS US ,LOS ANGELAS, CA ,310-785-0609
VNDM ,M ,VANDHAM SECURITIES CORP. ,NEW YORK NY ,212-223-7510
VOLM ,M ,NEOVEST TRADING ,ATLANTA, GA ,404-231-1207
VOLM ,M ,NEOVEST TRADING ,TRADING ,800-805-6595
VOSS ,M ,VOSS & CO., INC. ,NASDAQ TRADING ,703-569-9300
VPSI ,M ,V P SECURITIES, INC. , ,
VSTA ,M ,VISTA SECURITIES INC.
WAAS ,N ,C.B. HILL & ASSOCIATES, INC. , ,
WABR ,O ,WALL STREET ACCESS ,NEW YORK NY ,1-800-326-5195
WACH ,M ,WACHOVIA BROKERAGE SERVICE ,WINSTON SALEM NC ,800-448-7189
WACL ,M ,WACHTEL & CO., INC. ,WASHINGTON DC ,202-898-1018
WACM ,M ,WACHOVIA SECURITIES, INC. ,CHARLOTTE, NC ,704-379-9301
WACM ,M ,WACHOVIA SECURITIES, INC. ,NASDAQ/OTCBB TRADING ,800-438-4134
WACM ,M ,WACHOVIA SECURITIES, INC. ,ATLANTA TRADING ,404-240-5040
WACM ,M ,WACHOVIA SECURITIES, INC. ,ATLANTA TRADING ,800-241-3338
WACM ,M ,WACHOVIA SECURITIES, INC. , ,212-233-1225
WACM ,M ,WACHOVIA SECURITIES, INC. ,CONVERTIBLES ,404-240-5055
WACM ,M ,WACHOVIA SECURITIES, INC. ,CONVERTIBLES ,800-423-6452
WACM ,M ,WACHOVIA SECURITIES, INC. ,PREFERRED PINK SHEET ,800-438-4939
WACM ,M ,WACHOVIA SECURITIES, INC. ,OTC AGENCY/BALTIMORE ,800-446-1016
WAIC ,M ,WESTAMERICA INVESTMENT GROUP , ,
WAIN ,M ,H.C. WAINWRIGHT & CO., INC. ,BOSTON MA ,617-227-3100
WAIN ,M ,H.C. WAINWRIGHT & CO., INC. ,NASDAQ/OTCBB TRADING ,212-856-6200
WAKE ,M ,WAKEFIELD FINANCIAL CORPORATION , ,
WALD ,M ,WALDRON & CO., INC. , ,
WALL ,M ,WALL STREET DISCOUNT CORPORATION (THE) ,NASDAQ TRADING ,212-747-3344
WALT ,N ,CAPITAL GROWTH RESOURCES , ,
WALY ,M ,LOEWENBAUM & CO., INCORPORATED , ,
WANG ,N ,WANG INVESTMENT ASSOCIATES, INC. ,NASDAQ TRADING ,718-353-9264
WARB ,M ,S.G. WARBURG & CO. INC. , ,
WASA ,M ,WASATCH STOCK TRADING, INC. , ,
WASS ,M ,THOS. K. WASSERMAN & ASSOCIATES, INC. , ,
WATH ,M ,TD WATERHOUSE INVESTOR SERVICES, INC. , ,212-806-3500
WATH ,M ,TD WATERHOUSE INVESTOR SERVICES, INC. ,ORDER ROOM ,212-428-8618
WATH ,M ,TD WATERHOUSE INVESTOR SERVICES, INC. ,OTC TRADING ,201-369-8830
WATH ,M ,TD WATERHOUSE INVESTOR SERVICES, INC. ,BULLETIN BOARD ,201-369-8889
WATH ,M ,TD WATERHOUSE INVESTOR SERVICES, INC. ,BULLETIN BOARD ,800-500-3905
WATL ,M ,A.B. WATLEY, INC. ,NASDAQ TRADING ,212-425-1279
WATL ,M ,A.B. WATLEY, INC. ,INSTITUTIONAL ,212-604-9136
WATL ,M ,A.B. WATLEY, INC. , ,800-223-6545
WATL ,M ,A.B. WATLEY, INC. ,NASDAQ TRADING ,212-422-1664 (WTLY)
WATR ,N ,WATERS, PARKERSON & CO., INC. , ,
WAVE ,M ,DEL MAR SECURITIES, INC. , ,
WAXM ,M ,WAXMAN SECURITIES INC. ,NASDAQ TRADING ,516-294-1003
WAYG ,M ,GRAYSON FINANCIAL LLC , ,
WAYN ,M ,WAYNE HUMMER INVESTMENTS L.L.C. ,CHICAGO, ILL ,312-431-1700
WBBC ,P ,WESTFIELD BAKERINK BROZAK, LLC , ,
WBLP ,P ,WEST BROADWAY PARTNERS L.P. ,NEW YORK, NY ,212-371-6104
WBLR ,M ,WILLIAM BLAIR & COMPANY L.L.C. ,CHICAGO IL ,312-236-4502
WBLR ,M ,WILLIAM BLAIR & COMPANY L.L.C. ,CHICAGO IL ,312-236-1600
WBLR ,M ,WILLIAM BLAIR & COMPANY L.L.C. ,NASDAQ TRADING ,800-621-2214
WBMK ,M ,W.B. MCKEE SECURITIES, INC. ,PHOENIX AZ ,602-954-7365
WBMK ,M ,W.B. MCKEE SECURITIES, INC. ,NASDAQ TRADING ,602-266-2878
WBRO ,M ,WILEY BROS. -AINTREE CAPITAL, LLC ,NASHVILLE, TN ,615-254-1181
WBRO ,M ,WILEY BROS. -AINTREE CAPITAL, LLC ,NASHVILLE, TN ,800-827-9276
WBSS ,M ,SIMONTON SECURITIES CORPORATION , ,
WBST ,N ,WEB STREET SECURITIES, INC. , ,
WCAI ,M ,WINDSOR CAPITAL ADVISORS, LLC ,GARDEN CITY, NY ,516-877-2026
WCAP ,P ,WINEBRENNER CAPITAL PARTNERS, LLC , ,
WCCX ,N ,WEST CANADA CLEARING , , N/A
WCDB ,N ,WISE CHOICE DISCOUNT BROKERAGE, INC. ,NEW YORK, NY ,212-566-6074
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. ,NASDAQ TRADING/BALT. ,410-230-2000
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. , ,877-669-6742
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. ,AGENCY ,800-446-1016
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. ,OLD GREENWICH, CT ,203-698-1111
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. , ,800-523-6786
WCHV ,M ,FIRST UNION CAPITAL MARKETS CORP. ,PREFERRED DESK ,800-331-9674
WCMP ,M ,LEXIT CAPITAL, LLC ,NASDAQ TRADING ,212-433-6490
WCSL ,M ,L.M. DREW & ASSOCIATES , ,
WDCO ,M ,WILSON-DAVIS & CO., INC. ,SALT LAKE CITY, UT ,801-532-6761
WDCO ,M ,WILSON-DAVIS & CO., INC. ,SALT LAKE CITY, UT ,800-453-5735
WDCO ,M ,WILSON-DAVIS & CO., INC. ,SALT LAKE, AGENCY ,801-363-4322
WDCO ,M ,WILSON-DAVIS & CO., INC. ,PHOENIX, AZ ,800-448-4565
WDCO ,M ,WILSON-DAVIS & CO., INC. , ,480-951-9513
WDCO ,M ,WILSON-DAVIS & CO., INC. ,DENVER, CO ,800-628-7271
WDCO ,M ,WILSON-DAVIS & CO., INC. , ,303-793-0120
WDCO ,M ,WILSON-DAVIS & CO., INC. ,* ,800-959-8599
WDCO ,M ,WILSON-DAVIS & CO., INC. , ,888-872-9326
WDCO ,M ,WILSON-DAVIS & CO., INC. ,OREGON ,800-475-5966
WDCO ,M ,WILSON-DAVIS & CO., INC. , ,503-827-7026
WDCO ,M ,WILSON-DAVIS & CO., INC. ,BOCA RATON, FL. ,561-330-7790
WDCO ,M ,WILSON-DAVIS & CO., INC. , ,800-254-1465
WDSB ,P ,HELFANT GROUP, INC. , ,
WEBE ,P ,MERRILL WEBER & CO., LLC , ,
WEBI ,M ,R.B. WEBSTER INVESTMENTS, INC. , ,
WECI ,M ,WINSLOW, EVANS & CROCKER, INC. ,BOSTON MA ,617-227-4300
WECI ,M ,WINSLOW, EVANS & CROCKER, INC. ,NASDAQ TRADING ,617-723-2205
WECK ,M ,D. WECKSTEIN & CO., INC. ,NEW YORK NY ,212-986-3422
WECK ,M ,D. WECKSTEIN & CO., INC. ,NEW YORK NY ,800-366-1250
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,LOS ANGELES, CA ,213-688-4450
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,NASDAQ/OTCBB TRADING ,800-421-0251
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,FIXED INCOME(CORP) ,213-688-4480
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,FIXED INCOME(GOVTS) ,213-688-4500
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,NEW YORK NY ,212-742-0920
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,NEW YORK NY ,800-221-2540
WEDB ,M ,WEDBUSH MORGAN SECURITIES INC. ,NASDAQ PORTLAND ,503-471-1880
WEED ,M ,WEEDEN & CO.L.P. ,N-GREENWICH , N/A
WEED ,M ,WEEDEN & CO.L.P. ,NASDAQ/OTCBB TRADING ,203-861-7650
WEED ,M ,WEEDEN & CO.L.P. , ,800-289-9333
WEED ,M ,WEEDEN & CO.L.P. ,FOREIGN ,203-861-7740
WEED ,M ,WEEDEN & CO.L.P. ,LISTED ,203-861-7670
WEED ,M ,WEEDEN & CO.L.P. , ,800-843-9333
WEED ,M ,WEEDEN & CO.L.P. ,BOSTON ,800-777-9333
WEED ,M ,WEEDEN & CO.L.P. ,CHICAGO ,800-234-9333
WEED ,M ,WEEDEN & CO.L.P. ,SAN FRANCISCO ,800-333-9333
WEED ,M ,WEEDEN & CO.L.P. ,DALLAS ,800-444-9333
WEGD ,M ,L.C. WEGARD & CO., INC. , ,
WEGE ,M ,CORPORACION CORNUCOPIA , ,
WEGI ,M ,WORLD EQUITY GROUP, INC. , ,
WEIS ,O ,GEORGE WEISS ASSOCIATES, INC. , ,
WEKS ,M ,WECHSLER & CO., INC. ,MOUNT KISCO,NY ,914-242-6000
WEKS ,M ,WECHSLER & CO., INC. ,MOUNT KISCO,NY ,800-221-7244
WELC ,M ,H. G. WELLINGTON & CO., INC. , ,
WELP ,M ,Wells Fargo Bank , ,
WELR ,M ,WELLSHIRE SECURITIES, INC. , ,
WELS ,M ,WELLS FARGO SECURITIES, LLC ,SAN FRANCISCO, CA ,800-603-5969
WELS ,M ,WELLS FARGO SECURITIES, LLC ,OREGON ,503-228-2868
WELS ,M ,WELLS FARGO SECURITIES, LLC ,OREGON ,800-423-2124
WELS ,M ,WELLS FARGO SECURITIES, LLC ,NASDAQ TRADING ,800-603-5969
WELS ,M ,WELLS FARGO SECURITIES, LLC ,LISTED INSTITUTIONAL ,800-889-2859
WELS ,M ,WELLS FARGO SECURITIES, LLC ,PREFERRED STOCKS ,415-645-0803
WELT ,M ,S.R. WELTZ, JR. & COMPANY, L.P. , ,
WESN ,M ,WESTERN SECURITIES CLEARING CORP. ,NASDAQ TRADING ,619-702-9709
WESX ,O ,WESTOR ONLINE, INC. , ,
WETH ,M ,WEATHERLY SECURITIES CORPORATION ,NEW YORK, N.Y. ,212-412-7275
WETH ,M ,WEATHERLY SECURITIES CORPORATION ,TRADING ,877-801-0387
WEXL ,M ,H.G. WEXLER, INC. , ,
WEXS ,N ,WEXFORD CLEARING SERVICES CORPORATION , ,
WFGI ,P ,WORLD FINANCIAL GROUP, INC. ,NASDAQ TRADING DESK ,646-248-7345
WFRD ,M ,WATERFORD FINANCIAL, INC. ,MINNEAPOLIS, MN ,612-338-1097
WFRD ,M ,WATERFORD FINANCIAL, INC. ,NASDAQ/OTCBB TRADING ,612-337-2418
WFSI ,M ,WINDHAM FINANCIAL SERVICES, INC. ,VERMONT ,[phone]
WGAL ,M ,W.J. GALLAGHER & COMPANY, INC. ,PASADENA CA ,818-304-0057
WGAL ,M ,W.J. GALLAGHER & COMPANY, INC. , ,213-681-0601
WGCO ,M ,CIBC WOOD GUNDY SECURITIES CORP. ,NEW YORK, NY ,212-806-5300
WGIF ,P ,CIBC TRADING (DELAWARE CORP.) , ,
WGTC ,M ,WG TRADING COMPANY LIMITED PARTNERSHIP ,GREENWICH, CT ,203-863-8410
WGWS ,M ,WALSH, GREENWOOD & CO. , ,
WHCC ,M ,WEBER, HALL, SALE & ASSOCIATES, INC. , ,
WHEL ,M ,W. N. WHELEN & CO., INC. , ,
WHNS ,M ,W.H. NEWBOLD'S SON & CO., INC. , ,
WHTM ,N ,WILSON HTM (USA) INC. , ,
WHTN ,Q ,Wharton School of Business , ,
WIBC ,M ,WINDSOR IBC, INC. , ,
WICI ,M ,WASHINGTON INVESTMENT CORPORATION , ,
WICK ,M ,BORTHWICK ASSOCIATES, INC. , ,
WIDE ,M ,NATIONWIDE SECURITIES CORPORATION , ,
WIEN ,M ,WIEN SECURITIES CORP. ,JERSEY CITY NJ ,201-216-9100
WIEN ,M ,WIEN SECURITIES CORP. ,JERSEY CITY NJ ,800-624-0050
WIEN ,M ,WIEN SECURITIES CORP. ,JERSEY CITY NJ ,212-227-7733
WIEN ,M ,WIEN SECURITIES CORP. ,BOCA RATON FL ,561-361-0771
WIEN ,M ,WIEN SECURITIES CORP. , ,800-898-2777
WIEN ,M ,WIEN SECURITIES CORP. ,INTERNATIONAL ,888-306-1998
WIEN ,M ,WIEN SECURITIES CORP. , ,561-361-0951
WILL ,M ,WILLIAM ALLEN & COMPANY INCORPORATED , ,
WILS ,M ,WILLIAM SCOTT & CO. L.L.C. , ,
WINC ,M ,THE WINCHESTER GROUP, INC. ,NASDAQ TRADING ,212-486-7966
WINE ,M ,D. E. WINE INVESTMENTS INC. ,HOUSTON TX ,281-586-9640
WINE ,M ,D. E. WINE INVESTMENTS INC. ,NASDAQ TRADING ,1-800-327-5477
WING ,M ,WASHINGTON SQUARE SECURITIES, INC. , ,
WINK ,M ,WIN CAPITAL CORP. ,NEW YORK ,516-628-1585
WINK ,M ,WIN CAPITAL CORP. ,NASDAQ/OTCBB TRADING ,888-386-5534
WINS ,M ,NEW WINDSOR ASSOCIATES, L.P. ,NEW YORK,NY ,212-755-1056
WINS ,M ,NEW WINDSOR ASSOCIATES, L.P. , ,212-755-1053
WINV ,M ,WEBER INVESTMENT CORPORATION ,NASDAQ/OTCBB TRADING ,214-954-9444
WINV ,M ,WEBER INVESTMENT CORPORATION ,DALLAS TX ,800-442-7146
WINZ ,M ,WINCHESTER INVESTMENT SECURITIES, INC. ,OVERLAND PARK KS ,913-491-5529
WISI ,M ,WESTERN INTERNATIONAL SECURITIES, INC. ,DENVER, CO ,303-757-1600
WITE ,N ,WITENBERG INVESTMENT COMPANIES, INC. ,BEVERLY HILLS, CA ,310-724-5550
WITS ,M ,WHITESIDE AND COMPANY, INC. , ,
WITT ,M ,WIT CAPITAL CORPORATION , ,
WJCO ,P ,WALTON JOHNSON & COMPANY ,NASDAQ TRADING ,214-522-6770
WKLR ,N ,WINKLER SECURITIES CORPORATION ,LOS ANGELES, CA ,800-311-7486
WKWW ,M ,WILLIAM K. WOODRUFF & COMPANY INCORPORATED , ,
WLBP ,N ,WESTLB PANMURE SECURITIES INC. ,NEW YORK, NY ,212-403-3900
WLDC ,M ,WORLDCO, L.L.C. ,TRADING ,212-292-0220
WLFD ,M ,WALFORD & COMPANY, INC. , ,
WLFF ,M ,WOLFF INVESTMENT GROUP INCORPORATED ,NEW YORK, NY ,212-943-5200
WLLC ,N ,GEORGE WEISS & COMPANY LLC , ,
WLMS ,M ,THE WILLIAMS CAPITAL GROUP, L.P. ,NEW YORK, NY ,212-830-4550
WLSC ,M ,WILLIAM LAWRENCE SECURITIES, INC. , ,
WLSN ,M ,WILSON INSTITUTIONAL SECURITIES, INC. , ,
WMBU ,M ,THE (WILSON) WILLIAMS FINANCIAL GROUP ,NASDAQ TRADING ,972-661-8700
WMIN ,M ,WESTMINSTER SECURITIES CORPORATION ,NEW YORK NY ,212-376-8735
WMIN ,M ,WESTMINSTER SECURITIES CORPORATION ,NASDAQ ,800-445-6749
WMIN ,M ,WESTMINSTER SECURITIES CORPORATION ,MIAMI FL ,305-949-1700
WMIN ,M ,WESTMINSTER SECURITIES CORPORATION ,FT LAUDERDALE ,954-938-8368
WMPB ,N ,WM. P. BRENNAN & COMPANY, INC. , ,
WMSI ,M ,WALSH, MANNING SECURITIES, INC. ,NASDAQ TRADING ,800-656-1411
WMSI ,M ,WALSH, MANNING SECURITIES, INC. , ,212-968-1370
WMSI ,M ,WALSH, MANNING SECURITIES, INC. ,FIXED INCOME ,800-862-3079
WNGR ,M ,WANGER ASSET MANAGEMENT, LP , ,
WNOL ,M ,W.J. NOLAN & COMPANY, INC. , ,
WNUT ,M ,WALNUT STREET SECURITIES, INC. , ,
WOFX ,N ,WOFEX BROKERAGE, INC. , ,
WOLF ,M ,S. J. WOLFE & CO. ,DAYTON, OH ,937-223-1626
WOLF ,M ,S. J. WOLFE & CO. ,DAYTON, OH ,800-262-2244
WOOD ,M ,WOOD (ARTHUR W.) COMPANY, INC. ,BOSTON MA ,617-542-4224
WOOD ,M ,WOOD (ARTHUR W.) COMPANY, INC. ,NASDAQ/OTCBB TRADING ,800-553-3001
WOOT ,M ,SOUTHERN FINANCIAL GROUP, INC. , ,
WORL ,N ,WORLD TRADE FINANCIAL CORPORATION ,NASDAQ TRADING ,858-459-4324
WORL ,N ,WORLD TRADE FINANCIAL CORPORATION , ,858-454-9729
WOTC ,M ,MORGAN GRANT CAPITAL CORP. , ,
WPAC ,N ,WHITE PACIFIC SECURITIES, INC. , ,
WPCO ,M ,DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. ,NEW YORK NY ,212-969-7897
WPCO ,M ,DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC. ,NASDAQ TRADING ,800-828-4139
WPGC ,M ,WEISS, PECK & GREER, L.L.C. ,TRADING ,212-908-9686
WPST ,M ,W. P. STEWART & CO., INC. ,NEW YORK, NY ,441-295-8585
WRGR ,M ,WARNER GROUP, INC. , ,
WRHC ,M ,WILLIAM R. HOUGH & CO. ,ST. PETERSBURG FL ,727-895-8865
WRHC ,M ,WILLIAM R. HOUGH & CO. , ,800-234-9705
WRHC ,M ,WILLIAM R. HOUGH & CO. ,LISTED ,727-895-8865
WRIS ,M ,WESTPORT RESOURCES INVESTMENT SERVICES, INC. ,NASDAQ TRADING ,203-222-4888
WRIS ,M ,WESTPORT RESOURCES INVESTMENT SERVICES, INC. , ,800-592-9747
WRLL ,M ,WR LAZARD, LAIDLAW & LUTHER INCORPORATED ,NEW YORK ,212-406-0434
WRLL ,M ,WR LAZARD, LAIDLAW & LUTHER INCORPORATED , ,800-635-9475 EXT 325
WRPI ,N ,WRP INVESTMENTS, INC. ,YOUNGSTOWN, OH ,216-759-2023
WSCC ,P ,WASHINGTON SECURITIES CORPORATION ,NEW YORK NY ,212-709-9400
WSCO ,M ,WSM HOLDINGS, L.L.C. ,*** SEE NFSC *** , N/A
WSCS ,M ,WS CLEARING, INC. , ,
WSCW ,N ,WS Clearing, Inc./Second Clearing ,GLENDALE, CA ,[phone]
WSCX ,N ,WORKMAN SECURITIES CORPORATION , ,
WSEC ,M ,WESTHEIMER SECURITIES CORP. , ,
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,NEW YORK NY ,212-422-9145
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,NEW YORK NY ,212-422-9146
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,NEW YORK NY ,800-221-8662
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,AGENCY DESK ,212-480-4321
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,NEW YORK ,212-422-9144
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,BOCA RATON FLORIDA ,561-981-9991
WSEI ,M ,WALL STREET EQUITIES INCORPORATED ,BOCA RATON FLORIDA ,800-232-8552
WSFG ,M ,WALL STREET FINANCIAL GROUP, INC. ,ROCHESTER, NY ,[phone]
WSGI ,M ,WILLIAMS SECURITIES GROUP, INC. , ,
WSHI ,M ,WILSHIRE ASSOCIATES INCORPORATED ,SANTA MONICA, CA ,[phone]
WSIF ,N ,WIDMANN, SIFF & CO., INC. , ,
WSJI ,Q ,WALL STREET JOURNAL , ,
WSLS ,M ,WESSELS, ARNOLD & HENDERSON, L.L.C. , ,
WSRK ,N ,WESTROCK CAPITAL MANAGEMENT, INC. , ,
WSSS ,M ,WM SMITH SECURITIES INCORPORATED ,DENVER, CO ,303-831-9696
WSTD ,M ,WESTFIELD FINANCIAL CORPORATION , ,
WSTI ,M ,GLOBAL PARTNERS SECURITIES INC. ,BB TRADING ,212-391-2585
WSTI ,M ,GLOBAL PARTNERS SECURITIES INC. , ,800-248-9784
WSTI ,M ,GLOBAL PARTNERS SECURITIES INC. ,LISTED TRADING ,800-248-9784
WSWS ,M ,WALL STREET WEST, INC. , ,
WTCO ,O ,WILLIAMS TRADING LLC , ,
WTFD ,P ,WATERFORD CAPITAL, INC. , ,
WTKA ,M ,WESTONKA INVESTMENTS, INC. , ,
WTLL ,M ,WHITEHALL SECURITIES, INC. , ,
WTLY ,O ,A.B. Watley - Special Account ,NASDAQ TRADING ,212-422-1577
WTLY ,O ,A.B. Watley - Special Account ,TRADING DESK ,212-422-1100 EXT 5226
WTOF ,N ,WOLVERTON SECURITIES (USA), LTD. ,VANCOUVER, B.C. ,800-708-3343
WTRI ,M ,WATERFORD INVESTOR SERVICES, INC. , ,
WTSP ,M ,WASSERMAN & ASSOCIATES, INC. , ,
WUSA ,M ,WEST AMERICA SECURITIES CORP ,LOS ANGELES, CA ,805-777-9124
WWII ,M ,WHITEHALL WELLINGTON INVESTMENTS, INC. , ,
WYOM ,M ,WYOMING FINANCIAL SECURITIES, INC. ,CASPER, WY ,307-235-6200
WYSE ,M ,WYSER-PRATTE & CO., INC. ,NEW YORK, NY ,212-495-5353
XNDU ,N ,XANADU PARTNERS, LLC , ,
YACM ,M ,TALLEY & COMPANY , ,
YAGR ,M ,YAEGER SECURITIES, INC. , ,
YAMA ,M ,YAMAICHI INTERNATIONAL (AMERICA) INC. , ,
YAMN ,M ,YAMNER & CO., INC. , ,800-221-5676
YAMN ,M ,YAMNER & CO., INC. ,FAIRLAWN, NJ ,201-791-4449
YANK ,M ,YANKEE FINANCIAL GROUP, INC. ,NASDAQ TRADING ,516-968-9700
YCGI ,M ,YOUNG CAPITAL GROUP (LIMITED PARTNERSHIP) , ,
YDBI ,M ,YOUR DISCOUNT BROKER, INC. ,BOCA RATON, FL ,561-447-9399
YKTN ,M ,YORKTON SECURITIES INC. ,VANCOUVER, BC ,800-283-8555
YLPL ,P ,LINSCO/PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED ,NASDAQ TRADING
YORK ,M ,YORKTON CAPITAL INC. ,CHICAGO, IL ,312-236-0880
YORK ,M ,YORKTON CAPITAL INC. ,OTCB ,877-484-9675
YORK ,M ,YORKTON CAPITAL INC. ,MONTREAL ,514-925-2895
YOSE ,M ,YORK SECURITIES, INC. ,NEW YORK, NY ,212-349-9696
YOSE ,M ,YORK SECURITIES, INC. , ,800-847-7501
YOST ,N ,YOUNG, STOVALL AND COMPANY ,NASDAQ TRADING ,305-666-2511
YSPI ,M ,R. ROWLAND & CO., INCORPORATED , ,
ZEGL ,M ,ZIEGLER THRIFT TRADING, INC. , ,
ZEUS ,M ,ZEUS SECURITIES, INC. , ,
ZIVI ,M ,ZIV INVESTMENT COMPANY , ,
ZORN ,M ,BALIS & ZORN INC. , ,
ZOUL ,M ,N.B. ZOULLAS SECURITIES, INC. ,NEW YORK, NY ,212-350-5315
ZWIG ,M ,PXP SECURITIES CORP

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Reverse split

For a reverse split to occur, a Company’s legal Counsel needs the following:
1.A corporate resolution authorizing the reverse stock split and the terms.
2.The completion of the 2 page verification form (see attachment).
3.A copy of the CUSIP number (note your legal counsel will need Points 1, 2 and 5 before they can apply)
4.The completion of a letter for NASD stating the terms of the split and
5.Confirmation of the State of Incorporation, the par value and the shares authorized after the split.

General Note: Upon receiving the above, a Company’s Legal Counsel then will notify the NASD / FINRA / NASDAQ of the reverse split with the TA Verification Resolution. They request (note this is not a requirement at this time just a request) for 10 business days notice of any corporate action before this takes effect but often this can do this within a week if you prefer.

The following is a list of steps required to effect the reverse split.
Most of these steps will be effected by your Legal Counsel and will not require the Company’s involvement. There are a few forms that Legal Counsel will be forwarding to the Company for execution.
1.Obtain new CUSIP number.
2.Deliver corporate resolution authorizing the reverse stock split and the terms to Transfer Agent.
3.The completion of the Transfer Agent Verification Form.
4.Deliver new CUSIP number to Transfer Agent.
5.Confirm state of incorporation, the par value and the shares authorized after the split to Transfer Agent.
6.Deliver Transfer Agent Verification Form to OTCBB.
7.Deliver old and new CUSIP number to OTCBB.
8.Obtain new symbol from OTCBB.
9.Effect split on - - -- (Date) 2008. To confirm with OTCBB whether trading must halt.
10.File amendment to Certificate of Incorporation with the respective State on ------- (Date) 2008 and
11.Deliver instruction letter to Transfer Agent regarding issuance of shares.

FINRA Rules For Corporate Actions

Effective September 27, 2010, the SEC has approved new FINRA Rule 6490 (Processing of Company Related Actions). Rule 6490 requires that corporations whose securities are trading on the over the counter market (OTCQX, OTCQB, OTCBB or PinkSheets) timely notify FINRA of certain corporate actions, such as dividends, forward or reverse splits, rights or subscription offerings, and name changes. The Rule grants FINRA discretionary power when processing documents related to the announcements, and implements fees for these services.

FINRA and the OTCBB
FINRA (the Financial Industry National Regulatory Authority) operates the OTC Bulletin Board and processes corporate actions for changes such as splits and name changes. FINRA also issues trading symbols to over the counter (non-exchange) traded issuers and maintains a symbols database for issuers. When processing by FINRA of a corporate action is complete, FINRA notifies the OTC marketplace of such changes and actions, such as repricing securities following a forward or reverse split, or issuing a new trading symbol following a name change or merger.
Historically, FINRA’s role has been largely ministerial with limited jurisdiction to impose informational or other requirements, and no power to reject requested changes. However, the SEC began to express concern that certain parties were using FINRA to assist in fraudulent activities, such as usurping the corporate identity of publicly traded entities by either reinstating an entity with no authority or creating new entities with the same name as the public entity. Accordingly, Rule 6490 was created.
=====================
FINRA Rule, 6490, recently enacted in September 2010, requires issuers of equities and debt securities not listed on exchanges to provide timely notice to FINRA of certain corporate actions. These corporate actions include name changes, forward stock splits, reverse stock splits, distributions of cash or securities such as dividends, stock splits and other actions, and rights and subscription offerings. The new Rule codifies the Securities Exchange Act Rule 10b-17. The Rule requires issuers to complete and file a document with FINRA at least 10 business days prior to the record date of the corporate action. FINRA approval must be received prior to the corporate action becoming effective. In addition, FINRA may request additional documents, conduct detailed and selective reviews of the issuer submissions and cause the issuer to delay the announcement of its corporate action. A FINRA review will be triggered if any of the five factors set forth in Rule 6490 are thought to be present:

Enforcement of FINRA Rule 6490 has resulted in significant fees for issuers with securities traded on the OTC Markets, OTCQB, Pink Sheets and OTCBB. FINRA Rule 6490 requires issuers to provide notice to FINRA of certain company-related actions most of which are common in connection with companies who go public in reverse mergers with public shell companies. These actions include corporate name changes and other actions requiring amendments to the issuer's articles of incorporation, dividends and stock splits. Issuers who fail to provide the required notice to FINRA could be subject to a $5,000 fine.

FINRA's ability to charge issuers started in 2010. FINRA primarily oversees broker-dealer member firms, but it also performs certain functions for issuers of over-the-counter securities including those quoted on the OTC Markets OTCQB, Pink Sheets and OOTCBB.

Issuers may be subject to the jurisdiction of FINRA or SEC Rule 10b-17, which requires publicly traded companies to notify FINRA in advance of certain corporate actions including:

i) dividends or other distributions in cash or kind; ii) stock splits or reverse stock splits, dividends, or rights or other subscription offerings; iii) name change; iv) mergers, acquisitions, dissolutions or other company control transactions; and v) bankruptcy or liquidations.

Issuers with securities quoted on the OTCBB, OTC Markets OTCQB or Pink Sheets should determine whether FINRA notice is required before taking these corporate actions. Issuers that pay dividends must ensure notice is provided to FINRA at least 10 days before the dividend record date.

No formal announcement, no PR
stock split announced 12/26/2012 http://nvsos.gov/sosentitysearch/corpActions.aspx?lx8nvq=mPYmw2RWk84hxu8pIhET1w%253d%253d&CorpName=FBC+HOLDING+INC.

[junewong]

SEC amends rules (5-9-2011) on regulation of OTC Equity Securities..


http://finra.complinet.com/en/display/display.html?rbid=2403&element_id=9737&print=1


10-42 SEC Approves Amendments to Establish Regulation NMS-Principled Rules in Market for OTC Equity Securities

Effective Dates: FINRA Rules 6434, 6437 and 6450: February 11, 2011; FINRA Rule 6460 and NASD Rule 2320: May 9, 2011

FINRA Rule 6240
FINRA Rule 6434
FINRA Rule 6437
FINRA Rule 6450
FINRA Rule 6460
FINRA Rule 6540
NASD Rule 2320
SEA Regulation NMS
Suggested Routing

Compliance
Legal
Operations
Senior Management
Technology
Trading and Market Making Key Topic(s)

Access Fees
Limit Order Display
Locking and Crossing Quotations
Minimum Pricing Increment
OTC Equity Securities
Quotations

Executive Summary

Effective February 11, 2011, and May 9, 2011, are new FINRA rules that extend certain Regulation NMS protections to quoting and trading of over-the-counter (OTC) Equity Securities.1 For OTC Equity Securities, these new rules:
• set forth the permissible pricing increments for the display of quotations and acceptance of orders;
• require firms to avoid locking and crossing quotations within an inter-dealer quotation system;
• establish a cap on access fees imposed against a firm's published quotation; and
• require an OTC Market Maker, subject to certain exceptions, to display the full size of customer limit orders that improve the price of the marker maker's displayed quotation or that represent more than a de minimis change in the size of the market maker's quote if at the best bid or offer (BBO).

The text of the amendments can be found in the FINRA Manual at www.finra.org/finramanual.

Questions regarding this Notice should be directed to Racquel Russell, Assistant General Counsel, Office of General Counsel, at [phone].

Background and Discussion

FINRA is implementing new rules to extend certain SEC Regulation NMS protections to quoting and trading in OTC Equity Securities2 (NMS-Principled Rules). The NMS-Principled Rules include rules:
• defining quotation pricing increments;
• prohibiting locked and crossed quotations;
• implementing a cap on access fees; and
• requiring the display of customer limit orders by OTC Market Makers.3

FINRA believes that applying these Regulation NMS principles to OTC Equity Securities will enhance market quality and investor protection in this market.

The rules addressing minimum pricing increments for OTC Equity Securities (Rule 6434), prohibiting locked and crossed quotations in OTC Equity Securities (Rule 6437) and restricting access fees imposed against a firm's published quotation in OTC Equity Securities (Rule 6450) will become effective on February 11, 2011. The rule requiring the display of customer limit orders in OTC Equity Securities (Rule 6460) will become effective on May 9, 2011.

Restrictions on Sub-penny Quoting

FINRA Rule 6434 provides that, for OTC Equity Securities priced equal to or greater than $1.00 per share, no firm shall display, rank or accept a bid or offer, an order or an indication of interest in any OTC Equity Security that is priced in an increment smaller than $0.01. For OTC Equity Securities priced less than $1.00 per share, Rule 6434 prohibits firms from displaying, ranking or accepting a bid or offer, an order or an indication of interest priced in an increment smaller than $0.0001. However, in recognition of the smaller price points of OTC Equity Securities, where an order or indication of interest itself is priced less than $0.0001, a firm may rank or accept (but not display) such order or indication of interest in an increment of $0.000001 or greater.

Locked and Crossed Markets

FINRA Rule 6437 requires firms to implement policies and procedures to reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security.

The rule defines a "crossing quotation" as "the display of a bid for an OTC Equity Security at a price that is higher than the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that is lower than the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."4

The term "locking quotation" is defined as "the display of a bid for an OTC Equity Security at a price that equals the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that equals the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."5

Access Fee Cap

FINRA Rule 6450 provides that a firm may not impose, nor permit to be imposed, non-subscriber access or post-transaction fees against its published quotation in any OTC Equity Security that exceed or accumulate to more than certain specified limits. Specifically, if a published quotation is priced equal to or greater than $1.00, the access fee cap is $0.003 per share, which is the same cap under SEC Regulation NMS. However, with respect to published quotations priced under $1.00, the access fee cap for OTC Equity Securities is the lesser of: (i) 0.3% of the published quotation price on a per share basis, or (ii) 30% of the minimum pricing increment under Rule 6434 relevant to the display of the quotation on a per-share basis.

Consistent with Regulation NMS's framework, FINRA's new NMS-Principled Rules also make clear that market makers, as well as alternative trading systems (ATSs), are permitted to charge access fees within the parameters of the access fee cap. In addition, FINRA Rule 6540(c) previously required that an ATS or electronic communication network (ECN) reflect non-subscriber access or post-transaction fees in the ATS's or ECN's posted quote in the OTC Bulletin Board montage—but this requirement is being eliminated.

Limit Order Display

FINRA Rule 6460 requires OTC Market Makers displaying a priced quotation in any OTC Equity Security in an inter-dealer quotation system to immediately6 publish a bid or offer that reflects:
• the price and the full size of each customer limit order held by the OTC Market Maker that is at a price that would improve the bid or offer of such OTC Market Maker in such security; and
• the full size of each customer limit order held by the OTC Market Maker that:
• is priced equal to the bid or offer of such OTC Market Maker for such security;
• is priced equal to the BBO of the inter-dealer quotation system in which the OTC Market Maker is quoting; and
• represents more than a de minimis change7 in relation to the size associated with the OTC Market Maker's bid or offer.

Rule 6460 also includes parallel exceptions currently in place in Regulation NMS's limit order display rule (Rule 604 of SEC Regulation NMS). Thus, the new rule excepts any customer limit order that is:
• executed upon receipt of the order;
• placed by a customer who expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed;
• an odd-lot order;
• a block size order, unless a customer placing such order requests that the order be displayed;
• delivered immediately upon receipt to a national securities exchange or an ECN that widely disseminates such order and that complies with enumerated requirements with respect to that order;8
• delivered immediately upon receipt to another OTC Market Maker that complies with the requirements of this rule with respect to that order; or
• an all-or-none order.

Because FINRA Rule 6434 provides that firms may rank and accept (but not display) orders and indications of interest in an increment of $0.000001 or greater where an order or indication of interest itself is priced less than $0.0001, the limit order display rule likewise exempts from the display requirement any customer limit order that is priced less than $0.0001 per share.

Frequently Asked Questions
Question 1: FINRA Rule 6460 contains a de minimis standard applicable in situations where a customer limit order equals an OTC Market Maker's displayed price and that price is equal to the BBO. Will FINRA use the SEC's Regulation NMS Rule 604 interpretation of de minimis of 10 percent or less?

Response: Yes. In connection with all of FINRA's NMS-Principled Rules, FINRA generally intends to adopt the same interpretive positions taken by the SEC in connection with the comparable provisions of Regulation NMS, unless explicitly noted otherwise. Thus, the size of a customer limit order is considered de minimis for purposes of Rule 6460 if it is less than or equal to 10 percent of the displayed size associated with an OTC Market Maker's bid or offer.

Question 2: Must firms aggregate multiple, same-priced customer limit orders to determine whether the de minimis standard has been exceeded?

Response: Yes. As is required by the SEC in connection with Regulation NMS's limit order display rule, firms must aggregate same-priced customer limit orders in OTC Equity Securities at the BBO in order to determine if the de minimis standard has been exceeded and the currently displayed quotation size updated.9 The SEC specifically stated that all orders previously considered de minimis and not displayed must be added to the order under consideration for purposes of the de minimis calculation.10 The same requirement shall apply under FINRA Rule 6460.

Question 3: Rule 6460 generally requires OTC Market Makers to display the full size of any customer limit order that improves the price of the firm's quote if at the BBO. If the size of the customer limit order is less than the tier size requirements of Rule 6450 (Minimum Quotation Size Requirements for OTC Equity Securities), is the firm required to display the limit order?

Response: No. If a firm receives a customer limit order in an OTC Equity Security at a price that improves such firm's displayed quotation, but for a size that is less than the tier size requirements of Rule 6450, the firm is not required to display the price and full size of such customer limit order.

For example, if an OTC Market Maker's quote is $9.98–$10.00 (500x500) and the market maker receives a customer limit order to buy 200 shares at $9.99, the market maker is not required to display the customer limit order because it is less than the minimum tier-size requirement for securities priced between $1.01 and $10.00 (500 shares) under Rule 6450. However, if the market maker receives additional customer limit orders to buy at $9.99 that, together, equal 500 shares or greater, the market maker would be required to change its quotation to $9.99–$10.00 and to reflect the aggregate size of such orders.

Question 4: Rule 6460 generally requires OTC Market Makers to publish "immediately" customer limit orders. What is FINRA's definition of "immediately?"

Response: As stated above, FINRA generally intends to adopt those interpretative positions taken by the SEC in connection with comparable requirements under Regulation NMS. The SEC has stated that, unless relying on one of the exceptions to the limit order display rule, specialists or OTC Market Makers must display customer limit orders as soon as is practicable after receipt which, under normal market conditions, would require display no later than 30 seconds after receipt.11

Question 5: Under Regulation NMS, a "block size" with respect to an order means it is: (A) of at least 10,000 shares or (B) for a quantity of stock having a market value of at least $200,000. Does this same definition apply to Rule 6460?

Response: No. Rule 6460(d)(2) provides that "block size" with respect to an order means it is of at least 10,000 shares and has a market value of at least $100,000, which also is consistent with the large order size exception under NASD IM-2110-2 (Trading Ahead of Customer Limit Order). As discussed in the Proposing Release,12 because of the lower average trade prices (and corresponding higher average total share amount) of orders in OTC Equity Securities, FINRA believes that a 10,000 share standard alone would potentially exclude customer limit orders that should be displayed.
Regulatory Notice
Notice Type

Rule Amendment Referenced Rules & Notices

FINRA Rule 6240
FINRA Rule 6434
FINRA Rule 6437
FINRA Rule 6450
FINRA Rule 6460
FINRA Rule 6540
NASD Rule 2320
SEA Regulation NMS
Suggested Routing

Compliance
Legal
Operations
Senior Management
Technology
Trading and Market Making Key Topic(s)

Access Fees
Limit Order Display
Locking and Crossing Quotations
Minimum Pricing Increment
OTC Equity Securities
Quotations

Executive Summary

Effective February 11, 2011, and May 9, 2011, are new FINRA rules that extend certain Regulation NMS protections to quoting and trading of over-the-counter (OTC) Equity Securities.1 For OTC Equity Securities, these new rules:
• set forth the permissible pricing increments for the display of quotations and acceptance of orders;
• require firms to avoid locking and crossing quotations within an inter-dealer quotation system;
• establish a cap on access fees imposed against a firm's published quotation; and
• require an OTC Market Maker, subject to certain exceptions, to display the full size of customer limit orders that improve the price of the marker maker's displayed quotation or that represent more than a de minimis change in the size of the market maker's quote if at the best bid or offer (BBO).

The text of the amendments can be found in the FINRA Manual at www.finra.org/finramanual.

Questions regarding this Notice should be directed to Racquel Russell, Assistant General Counsel, Office of General Counsel, at [phone].

Background and Discussion

FINRA is implementing new rules to extend certain SEC Regulation NMS protections to quoting and trading in OTC Equity Securities2 (NMS-Principled Rules). The NMS-Principled Rules include rules:
• defining quotation pricing increments;
• prohibiting locked and crossed quotations;
• implementing a cap on access fees; and
• requiring the display of customer limit orders by OTC Market Makers.3

FINRA believes that applying these Regulation NMS principles to OTC Equity Securities will enhance market quality and investor protection in this market.

The rules addressing minimum pricing increments for OTC Equity Securities (Rule 6434), prohibiting locked and crossed quotations in OTC Equity Securities (Rule 6437) and restricting access fees imposed against a firm's published quotation in OTC Equity Securities (Rule 6450) will become effective on February 11, 2011. The rule requiring the display of customer limit orders in OTC Equity Securities (Rule 6460) will become effective on May 9, 2011.

Restrictions on Sub-penny Quoting

FINRA Rule 6434 provides that, for OTC Equity Securities priced equal to or greater than $1.00 per share, no firm shall display, rank or accept a bid or offer, an order or an indication of interest in any OTC Equity Security that is priced in an increment smaller than $0.01. For OTC Equity Securities priced less than $1.00 per share, Rule 6434 prohibits firms from displaying, ranking or accepting a bid or offer, an order or an indication of interest priced in an increment smaller than $0.0001. However, in recognition of the smaller price points of OTC Equity Securities, where an order or indication of interest itself is priced less than $0.0001, a firm may rank or accept (but not display) such order or indication of interest in an increment of $0.000001 or greater.

Locked and Crossed Markets

FINRA Rule 6437 requires firms to implement policies and procedures to reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security.

The rule defines a "crossing quotation" as "the display of a bid for an OTC Equity Security at a price that is higher than the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that is lower than the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."4

The term "locking quotation" is defined as "the display of a bid for an OTC Equity Security at a price that equals the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that equals the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."5

Access Fee Cap

FINRA Rule 6450 provides that a firm may not impose, nor permit to be imposed, non-subscriber access or post-transaction fees against its published quotation in any OTC Equity Security that exceed or accumulate to more than certain specified limits. Specifically, if a published quotation is priced equal to or greater than $1.00, the access fee cap is $0.003 per share, which is the same cap under SEC Regulation NMS. However, with respect to published quotations priced under $1.00, the access fee cap for OTC Equity Securities is the lesser of: (i) 0.3% of the published quotation price on a per share basis, or (ii) 30% of the minimum pricing increment under Rule 6434 relevant to the display of the quotation on a per-share basis.

Consistent with Regulation NMS's framework, FINRA's new NMS-Principled Rules also make clear that market makers, as well as alternative trading systems (ATSs), are permitted to charge access fees within the parameters of the access fee cap. In addition, FINRA Rule 6540(c) previously required that an ATS or electronic communication network (ECN) reflect non-subscriber access or post-transaction fees in the ATS's or ECN's posted quote in the OTC Bulletin Board montage—but this requirement is being eliminated.

Limit Order Display

FINRA Rule 6460 requires OTC Market Makers displaying a priced quotation in any OTC Equity Security in an inter-dealer quotation system to immediately6 publish a bid or offer that reflects:
• the price and the full size of each customer limit order held by the OTC Market Maker that is at a price that would improve the bid or offer of such OTC Market Maker in such security; and
• the full size of each customer limit order held by the OTC Market Maker that:
• is priced equal to the bid or offer of such OTC Market Maker for such security;
• is priced equal to the BBO of the inter-dealer quotation system in which the OTC Market Maker is quoting; and
• represents more than a de minimis change7 in relation to the size associated with the OTC Market Maker's bid or offer.

Rule 6460 also includes parallel exceptions currently in place in Regulation NMS's limit order display rule (Rule 604 of SEC Regulation NMS). Thus, the new rule excepts any customer limit order that is:
• executed upon receipt of the order;
• placed by a customer who expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed;
• an odd-lot order;
• a block size order, unless a customer placing such order requests that the order be displayed;
• delivered immediately upon receipt to a national securities exchange or an ECN that widely disseminates such order and that complies with enumerated requirements with respect to that order;8
• delivered immediately upon receipt to another OTC Market Maker that complies with the requirements of this rule with respect to that order; or
• an all-or-none order.

Because FINRA Rule 6434 provides that firms may rank and accept (but not display) orders and indications of interest in an increment of $0.000001 or greater where an order or indication of interest itself is priced less than $0.0001, the limit order display rule likewise exempts from the display requirement any customer limit order that is priced less than $0.0001 per share.

Frequently Asked Questions
Question 1: FINRA Rule 6460 contains a de minimis standard applicable in situations where a customer limit order equals an OTC Market Maker's displayed price and that price is equal to the BBO. Will FINRA use the SEC's Regulation NMS Rule 604 interpretation of de minimis of 10 percent or less?

Response: Yes. In connection with all of FINRA's NMS-Principled Rules, FINRA generally intends to adopt the same interpretive positions taken by the SEC in connection with the comparable provisions of Regulation NMS, unless explicitly noted otherwise. Thus, the size of a customer limit order is considered de minimis for purposes of Rule 6460 if it is less than or equal to 10 percent of the displayed size associated with an OTC Market Maker's bid or offer.

Question 2: Must firms aggregate multiple, same-priced customer limit orders to determine whether the de minimis standard has been exceeded?

Response: Yes. As is required by the SEC in connection with Regulation NMS's limit order display rule, firms must aggregate same-priced customer limit orders in OTC Equity Securities at the BBO in order to determine if the de minimis standard has been exceeded and the currently displayed quotation size updated.9 The SEC specifically stated that all orders previously considered de minimis and not displayed must be added to the order under consideration for purposes of the de minimis calculation.10 The same requirement shall apply under FINRA Rule 6460.

Question 3: Rule 6460 generally requires OTC Market Makers to display the full size of any customer limit order that improves the price of the firm's quote if at the BBO. If the size of the customer limit order is less than the tier size requirements of Rule 6450 (Minimum Quotation Size Requirements for OTC Equity Securities), is the firm required to display the limit order?

Response: No. If a firm receives a customer limit order in an OTC Equity Security at a price that improves such firm's displayed quotation, but for a size that is less than the tier size requirements of Rule 6450, the firm is not required to display the price and full size of such customer limit order.

For example, if an OTC Market Maker's quote is $9.98–$10.00 (500x500) and the market maker receives a customer limit order to buy 200 shares at $9.99, the market maker is not required to display the customer limit order because it is less than the minimum tier-size requirement for securities priced between $1.01 and $10.00 (500 shares) under Rule 6450. However, if the market maker receives additional customer limit orders to buy at $9.99 that, together, equal 500 shares or greater, the market maker would be required to change its quotation to $9.99–$10.00 and to reflect the aggregate size of such orders.

Question 4: Rule 6460 generally requires OTC Market Makers to publish "immediately" customer limit orders. What is FINRA's definition of "immediately?"

Response: As stated above, FINRA generally intends to adopt those interpretative positions taken by the SEC in connection with comparable requirements under Regulation NMS. The SEC has stated that, unless relying on one of the exceptions to the limit order display rule, specialists or OTC Market Makers must display customer limit orders as soon as is practicable after receipt which, under normal market conditions, would require display no later than 30 seconds after receipt.11

Question 5: Under Regulation NMS, a "block size" with respect to an order means it is: (A) of at least 10,000 shares or (B) for a quantity of stock having a market value of at least $200,000. Does this same definition apply to Rule 6460?

Response: No. Rule 6460(d)(2) provides that "block size" with respect to an order means it is of at least 10,000 shares and has a market value of at least $100,000, which also is consistent with the large order size exception under NASD IM-2110-2 (Trading Ahead of Customer Limit Order). As discussed in the Proposing Release,12 because of the lower average trade prices (and corresponding higher average total share amount) of orders in OTC Equity Securities, FINRA believes that a 10,000 share standard alone would potentially exclude customer limit orders that should be displayed.

Question 6: Rule 6460 provides an exception from the limit order display requirement for orders where the customer "expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed." What type of documentation does FINRA expect firms to maintain in connection with such customer requests?

Response: As similarly stated by the SEC in connection with Regulation NMS's limit order display rule, FINRA expects firms to discharge their responsibilities in such a manner as to allow adequate supervision of compliance with the customer's request not to display the full size of a limit order or to display pursuant to discretionary authority provided by the customer, and does not believe it necessary to mandate a particular method of recordkeeping.13 In addition, as stated in other contexts, FINRA believes that firms relying on this or any other exception should be able to proffer evidence of its eligibility for and compliance with the exception.

However, FINRA notes that standardized disclaimers or contractual language in new account agreements would not be deemed an individual request by a customer that its order or orders not be displayed.14 In contrast, adequate evidence of a customer's request that a firm not display a limit order may, for example, include an affirmative letter from (or contract with) the customer specifically providing that the firm refrain from displaying the full size of a single order or a class of orders, or a notation entered on an order ticket or in the firm's order-management system made contemporaneously at the time of order receipt.

Question 7: Must ECNs displaying a quotation on an inter-dealer quotation service comply with the limit order display rule?

Response: No. FINRA Rule 6460 applies only to OTC Market Makers. However, we note that an exception exists for OTC Market Makers that deliver immediately a customer limit order to a national securities exchange or an ECN that widely disseminates such order and that complies with certain other requirements. Such requirements prescribe, among other things, that the ECN must provide to an inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN.15
Regulatory Notice
Notice Type

Rule Amendment Referenced Rules & Notices

FINRA Rule 6240
FINRA Rule 6434
FINRA Rule 6437
FINRA Rule 6450
FINRA Rule 6460
FINRA Rule 6540
NASD Rule 2320
SEA Regulation NMS
Suggested Routing

Compliance
Legal
Operations
Senior Management
Technology
Trading and Market Making Key Topic(s)

Access Fees
Limit Order Display
Locking and Crossing Quotations
Minimum Pricing Increment
OTC Equity Securities
Quotations

Executive Summary

Effective February 11, 2011, and May 9, 2011, are new FINRA rules that extend certain Regulation NMS protections to quoting and trading of over-the-counter (OTC) Equity Securities.1 For OTC Equity Securities, these new rules:
• set forth the permissible pricing increments for the display of quotations and acceptance of orders;
• require firms to avoid locking and crossing quotations within an inter-dealer quotation system;
• establish a cap on access fees imposed against a firm's published quotation; and
• require an OTC Market Maker, subject to certain exceptions, to display the full size of customer limit orders that improve the price of the marker maker's displayed quotation or that represent more than a de minimis change in the size of the market maker's quote if at the best bid or offer (BBO).

The text of the amendments can be found in the FINRA Manual at www.finra.org/finramanual.

Questions regarding this Notice should be directed to Racquel Russell, Assistant General Counsel, Office of General Counsel, at [phone].

Background and Discussion

FINRA is implementing new rules to extend certain SEC Regulation NMS protections to quoting and trading in OTC Equity Securities2 (NMS-Principled Rules). The NMS-Principled Rules include rules:
• defining quotation pricing increments;
• prohibiting locked and crossed quotations;
• implementing a cap on access fees; and
• requiring the display of customer limit orders by OTC Market Makers.3

FINRA believes that applying these Regulation NMS principles to OTC Equity Securities will enhance market quality and investor protection in this market.

The rules addressing minimum pricing increments for OTC Equity Securities (Rule 6434), prohibiting locked and crossed quotations in OTC Equity Securities (Rule 6437) and restricting access fees imposed against a firm's published quotation in OTC Equity Securities (Rule 6450) will become effective on February 11, 2011. The rule requiring the display of customer limit orders in OTC Equity Securities (Rule 6460) will become effective on May 9, 2011.

Restrictions on Sub-penny Quoting

FINRA Rule 6434 provides that, for OTC Equity Securities priced equal to or greater than $1.00 per share, no firm shall display, rank or accept a bid or offer, an order or an indication of interest in any OTC Equity Security that is priced in an increment smaller than $0.01. For OTC Equity Securities priced less than $1.00 per share, Rule 6434 prohibits firms from displaying, ranking or accepting a bid or offer, an order or an indication of interest priced in an increment smaller than $0.0001. However, in recognition of the smaller price points of OTC Equity Securities, where an order or indication of interest itself is priced less than $0.0001, a firm may rank or accept (but not display) such order or indication of interest in an increment of $0.000001 or greater.

Locked and Crossed Markets

FINRA Rule 6437 requires firms to implement policies and procedures to reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security.

The rule defines a "crossing quotation" as "the display of a bid for an OTC Equity Security at a price that is higher than the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that is lower than the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."4

The term "locking quotation" is defined as "the display of a bid for an OTC Equity Security at a price that equals the displayed price of an offer for such OTC Equity Security in the same inter-dealer quotation system, or the display of an offer for an OTC Equity Security at a price that equals the displayed price of a bid for such OTC Equity Security in the same inter-dealer quotation system."5

Access Fee Cap

FINRA Rule 6450 provides that a firm may not impose, nor permit to be imposed, non-subscriber access or post-transaction fees against its published quotation in any OTC Equity Security that exceed or accumulate to more than certain specified limits. Specifically, if a published quotation is priced equal to or greater than $1.00, the access fee cap is $0.003 per share, which is the same cap under SEC Regulation NMS. However, with respect to published quotations priced under $1.00, the access fee cap for OTC Equity Securities is the lesser of: (i) 0.3% of the published quotation price on a per share basis, or (ii) 30% of the minimum pricing increment under Rule 6434 relevant to the display of the quotation on a per-share basis.

Consistent with Regulation NMS's framework, FINRA's new NMS-Principled Rules also make clear that market makers, as well as alternative trading systems (ATSs), are permitted to charge access fees within the parameters of the access fee cap. In addition, FINRA Rule 6540(c) previously required that an ATS or electronic communication network (ECN) reflect non-subscriber access or post-transaction fees in the ATS's or ECN's posted quote in the OTC Bulletin Board montage—but this requirement is being eliminated.

Limit Order Display

FINRA Rule 6460 requires OTC Market Makers displaying a priced quotation in any OTC Equity Security in an inter-dealer quotation system to immediately6 publish a bid or offer that reflects:
• the price and the full size of each customer limit order held by the OTC Market Maker that is at a price that would improve the bid or offer of such OTC Market Maker in such security; and
• the full size of each customer limit order held by the OTC Market Maker that:
• is priced equal to the bid or offer of such OTC Market Maker for such security;
• is priced equal to the BBO of the inter-dealer quotation system in which the OTC Market Maker is quoting; and
• represents more than a de minimis change7 in relation to the size associated with the OTC Market Maker's bid or offer.

Rule 6460 also includes parallel exceptions currently in place in Regulation NMS's limit order display rule (Rule 604 of SEC Regulation NMS). Thus, the new rule excepts any customer limit order that is:
• executed upon receipt of the order;
• placed by a customer who expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed;
• an odd-lot order;
• a block size order, unless a customer placing such order requests that the order be displayed;
• delivered immediately upon receipt to a national securities exchange or an ECN that widely disseminates such order and that complies with enumerated requirements with respect to that order;8
• delivered immediately upon receipt to another OTC Market Maker that complies with the requirements of this rule with respect to that order; or
• an all-or-none order.

Because FINRA Rule 6434 provides that firms may rank and accept (but not display) orders and indications of interest in an increment of $0.000001 or greater where an order or indication of interest itself is priced less than $0.0001, the limit order display rule likewise exempts from the display requirement any customer limit order that is priced less than $0.0001 per share.

Frequently Asked Questions
Question 1: FINRA Rule 6460 contains a de minimis standard applicable in situations where a customer limit order equals an OTC Market Maker's displayed price and that price is equal to the BBO. Will FINRA use the SEC's Regulation NMS Rule 604 interpretation of de minimis of 10 percent or less?

Response: Yes. In connection with all of FINRA's NMS-Principled Rules, FINRA generally intends to adopt the same interpretive positions taken by the SEC in connection with the comparable provisions of Regulation NMS, unless explicitly noted otherwise. Thus, the size of a customer limit order is considered de minimis for purposes of Rule 6460 if it is less than or equal to 10 percent of the displayed size associated with an OTC Market Maker's bid or offer.

Question 2: Must firms aggregate multiple, same-priced customer limit orders to determine whether the de minimis standard has been exceeded?

Response: Yes. As is required by the SEC in connection with Regulation NMS's limit order display rule, firms must aggregate same-priced customer limit orders in OTC Equity Securities at the BBO in order to determine if the de minimis standard has been exceeded and the currently displayed quotation size updated.9 The SEC specifically stated that all orders previously considered de minimis and not displayed must be added to the order under consideration for purposes of the de minimis calculation.10 The same requirement shall apply under FINRA Rule 6460.

Question 3: Rule 6460 generally requires OTC Market Makers to display the full size of any customer limit order that improves the price of the firm's quote if at the BBO. If the size of the customer limit order is less than the tier size requirements of Rule 6450 (Minimum Quotation Size Requirements for OTC Equity Securities), is the firm required to display the limit order?

Response: No. If a firm receives a customer limit order in an OTC Equity Security at a price that improves such firm's displayed quotation, but for a size that is less than the tier size requirements of Rule 6450, the firm is not required to display the price and full size of such customer limit order.

For example, if an OTC Market Maker's quote is $9.98–$10.00 (500x500) and the market maker receives a customer limit order to buy 200 shares at $9.99, the market maker is not required to display the customer limit order because it is less than the minimum tier-size requirement for securities priced between $1.01 and $10.00 (500 shares) under Rule 6450. However, if the market maker receives additional customer limit orders to buy at $9.99 that, together, equal 500 shares or greater, the market maker would be required to change its quotation to $9.99–$10.00 and to reflect the aggregate size of such orders.

Question 4: Rule 6460 generally requires OTC Market Makers to publish "immediately" customer limit orders. What is FINRA's definition of "immediately?"

Response: As stated above, FINRA generally intends to adopt those interpretative positions taken by the SEC in connection with comparable requirements under Regulation NMS. The SEC has stated that, unless relying on one of the exceptions to the limit order display rule, specialists or OTC Market Makers must display customer limit orders as soon as is practicable after receipt which, under normal market conditions, would require display no later than 30 seconds after receipt.11

Question 5: Under Regulation NMS, a "block size" with respect to an order means it is: (A) of at least 10,000 shares or (B) for a quantity of stock having a market value of at least $200,000. Does this same definition apply to Rule 6460?

Response: No. Rule 6460(d)(2) provides that "block size" with respect to an order means it is of at least 10,000 shares and has a market value of at least $100,000, which also is consistent with the large order size exception under NASD IM-2110-2 (Trading Ahead of Customer Limit Order). As discussed in the Proposing Release,12 because of the lower average trade prices (and corresponding higher average total share amount) of orders in OTC Equity Securities, FINRA believes that a 10,000 share standard alone would potentially exclude customer limit orders that should be displayed.

Question 6: Rule 6460 provides an exception from the limit order display requirement for orders where the customer "expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed." What type of documentation does FINRA expect firms to maintain in connection with such customer requests?

Response: As similarly stated by the SEC in connection with Regulation NMS's limit order display rule, FINRA expects firms to discharge their responsibilities in such a manner as to allow adequate supervision of compliance with the customer's request not to display the full size of a limit order or to display pursuant to discretionary authority provided by the customer, and does not believe it necessary to mandate a particular method of recordkeeping.13 In addition, as stated in other contexts, FINRA believes that firms relying on this or any other exception should be able to proffer evidence of its eligibility for and compliance with the exception.

However, FINRA notes that standardized disclaimers or contractual language in new account agreements would not be deemed an individual request by a customer that its order or orders not be displayed.14 In contrast, adequate evidence of a customer's request that a firm not display a limit order may, for example, include an affirmative letter from (or contract with) the customer specifically providing that the firm refrain from displaying the full size of a single order or a class of orders, or a notation entered on an order ticket or in the firm's order-management system made contemporaneously at the time of order receipt.

Question 7: Must ECNs displaying a quotation on an inter-dealer quotation service comply with the limit order display rule?

Response: No. FINRA Rule 6460 applies only to OTC Market Makers. However, we note that an exception exists for OTC Market Makers that deliver immediately a customer limit order to a national securities exchange or an ECN that widely disseminates such order and that complies with certain other requirements. Such requirements prescribe, among other things, that the ECN must provide to an inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN.15

Question 8: Rule 6437 requires a firm to implement policies and procedures that reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security. What is a firm's obligation if it is unable to access another firm's quote?

Response: FINRA recognizes that a firm's quotation may, on occasion, inadvertently lock or cross another firm's quotation. Thus, similar to Rule 6240 (Prohibition from Locking or Crossing Quotations in NMS Stocks), FINRA expects firms' policies and procedures to require the quoting participant to make "reasonable efforts" to first contact or route an order to execute against the full displayed size of any quotation before locking and crossing that quotation.

For example, a firm may also include so-called "ship and post" procedures that require that it attempt to execute against a relevant displayed quotation while posting a quotation that could lock or cross such a quotation. In addition, firms' policies and procedures must be reasonably designed to enable the reconciliation of locked or crossed quotations, including requiring the firm to take reasonable action to resolve the locked or crossed market when such firm is responsible for displaying the locking or crossing quotation. If a firm has made reasonable attempts to access another firm's already-existing quotation but is unable to do so, such firm may then display its quotation, even if it would lock or cross the quotation of the other firm.

Question 9: If a firm is holding a customer order that must be re-priced because of a corporate action (e.g., a stock dividend, split or reverse split), may the firm round the adjusted price to a permissible increment?

Response: Yes. As similarly stated by SEC staff in connection with Regulation NMS's minimum pricing increment rule, FINRA Rule 6434 does not require a firm to cancel an order that was permissible when accepted, but for which the price must be adjusted due to a corporate action.16 However, the firm would violate the rule by displaying or ranking the re-priced order at an increment not permitted by the rule.

The same principle applies to other types of orders that were permissible when accepted, but whose prices must be adjusted; e.g., an order accepted before the rule's effective date may be re-priced to conform to the requirements of the rule without canceling the order. Firms always must round down in the case of an order to buy, and up in the case of an order to sell.

Question 10: If a firm receives a customer limit order priced in an increment that may be accepted but not displayed pursuant to Rule 6434, must the firm provide order protection to such un-displayed customer order?

Response: Yes. While firms would not be required to display customer limit orders priced in an increment less than $0.0001 (pursuant to Rule 6460), a firm's order protection obligations under IM-2110-2 (Trading Ahead of Customer Limit Order) would continue to apply.17

1 See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving File No. SR-FINRA-2009-054). In this order, the SEC also approved proposed changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540. The changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540 will become effective on February 11, 2011.

2 "OTC Equity Security" means any equity security that is not an "NMS stock" as that term is defined in Rule 600(b)(47) of Regulation NMS; provided, however, that the term OTC Equity Security shall not include any Restricted Equity Security. See FINRA Rule 6420(c). Rule 600(b)(47) of Regulation NMS defines "NMS stock" as "any NMS security other than an option." NMS security means "any security or class of securities for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options." See Rule 600(b)(47) of Regulation NMS.

3 "OTC Market Maker" refers to a FINRA firm that holds itself out as a market maker by entering proprietary quotations or indications of interest for a particular OTC Equity Security in any inter-dealer quotation system, including any system that the SEC has qualified pursuant to Section 17B of the Exchange Act. A firm is an OTC Market Maker only in those OTC Equity Securities in which it displays market making interest via an inter-dealer quotation system. See FINRA Rule 6420.

4 See Rule 6437(b)(1).

5 See Rule 6437(b)(2).

6 See Frequently Asked Question # 4 above for a discussion of FINRA's expectations with regard to the timing of display of customer limit orders.

7 See Frequently Asked Question # 1 above for a discussion of the meaning of "de minimis."

8 The ECN must (1) provide to a national securities exchange, national securities association or inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN; and (2) provide, to any broker or dealer, the ability to effect a transaction with a priced order widely disseminated by the ECN entered therein by an OTC market maker that is: (A) equivalent to the ability of any broker or dealer to effect a transaction with an OTC market maker pursuant to the rules of the applicable national securities exchange, national securities association or inter-dealer quotation system to which the ECN supplies such bids and offers; and (B) at the price of the highest priced buy order or lowest priced sell order, or better, for the lesser of the cumulative size of such priced orders entered therein by OTC market makers at such price, or the size of the execution sought by the broker or dealer, for such security.

9 See Securities Exchange Act Release No. 37619A (September 6, 1996); 61 FR 48290 (September 12, 1996) ("SEC Display Rule Adopting Release").

10 Id. at note 179.

11 See SEC Display Rule Adopting Release. Also, as stated in Notice to Members 99-99 in connection with the SEC's limit order display requirements, FINRA notes that any systematic delay in the display of customer limit orders, regardless of how long, would constitute a violation of FINRA's limit order display rule. However, there is no "bright line, absolute" standard governing the number of seconds an OTC Market Maker has to complete its choice of displaying, executing, or routing a customer limit order. In addition, a firm may operate an automated system that defaults to display customer limit orders within 30 seconds of receipt, so long as the firm makes every effort to display the limit orders as soon as possible manually or otherwise.

12 See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009) ("Proposing Release").

13 See SEC Display Rule Adopting Release at note 186.

14 See also SEC Display Rule Adopting Release at 48304.

15 See Rule 6460(c)(1).

16 Division of Market Regulation: Responses to Frequently Asked Questions Concerning Rule 612 (Minimum Pricing Increment) of Regulation NMS at Question #3.

17 For customer limit orders priced less than $.00001, the minimum amount of price improvement required is the lesser of $0.000001 or one-half (½) of the current inside spread. See NASD IM-2110-2(a).

©2012 FINRA. All rights reserved.
Question 8: Rule 6437 requires a firm to implement policies and procedures that reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security. What is a firm's obligation if it is unable to access another firm's quote?

Response: FINRA recognizes that a firm's quotation may, on occasion, inadvertently lock or cross another firm's quotation. Thus, similar to Rule 6240 (Prohibition from Locking or Crossing Quotations in NMS Stocks), FINRA expects firms' policies and procedures to require the quoting participant to make "reasonable efforts" to first contact or route an order to execute against the full displayed size of any quotation before locking and crossing that quotation.

For example, a firm may also include so-called "ship and post" procedures that require that it attempt to execute against a relevant displayed quotation while posting a quotation that could lock or cross such a quotation. In addition, firms' policies and procedures must be reasonably designed to enable the reconciliation of locked or crossed quotations, including requiring the firm to take reasonable action to resolve the locked or crossed market when such firm is responsible for displaying the locking or crossing quotation. If a firm has made reasonable attempts to access another firm's already-existing quotation but is unable to do so, such firm may then display its quotation, even if it would lock or cross the quotation of the other firm.

Question 9: If a firm is holding a customer order that must be re-priced because of a corporate action (e.g., a stock dividend, split or reverse split), may the firm round the adjusted price to a permissible increment?

Response: Yes. As similarly stated by SEC staff in connection with Regulation NMS's minimum pricing increment rule, FINRA Rule 6434 does not require a firm to cancel an order that was permissible when accepted, but for which the price must be adjusted due to a corporate action.16 However, the firm would violate the rule by displaying or ranking the re-priced order at an increment not permitted by the rule.

The same principle applies to other types of orders that were permissible when accepted, but whose prices must be adjusted; e.g., an order accepted before the rule's effective date may be re-priced to conform to the requirements of the rule without canceling the order. Firms always must round down in the case of an order to buy, and up in the case of an order to sell.

Question 10: If a firm receives a customer limit order priced in an increment that may be accepted but not displayed pursuant to Rule 6434, must the firm provide order protection to such un-displayed customer order?

Response: Yes. While firms would not be required to display customer limit orders priced in an increment less than $0.0001 (pursuant to Rule 6460), a firm's order protection obligations under IM-2110-2 (Trading Ahead of Customer Limit Order) would continue to apply.17

1 See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving File No. SR-FINRA-2009-054). In this order, the SEC also approved proposed changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540. The changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540 will become effective on February 11, 2011.

2 "OTC Equity Security" means any equity security that is not an "NMS stock" as that term is defined in Rule 600(b)(47) of Regulation NMS; provided, however, that the term OTC Equity Security shall not include any Restricted Equity Security. See FINRA Rule 6420(c). Rule 600(b)(47) of Regulation NMS defines "NMS stock" as "any NMS security other than an option." NMS security means "any security or class of securities for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options." See Rule 600(b)(47) of Regulation NMS.

3 "OTC Market Maker" refers to a FINRA firm that holds itself out as a market maker by entering proprietary quotations or indications of interest for a particular OTC Equity Security in any inter-dealer quotation system, including any system that the SEC has qualified pursuant to Section 17B of the Exchange Act. A firm is an OTC Market Maker only in those OTC Equity Securities in which it displays market making interest via an inter-dealer quotation system. See FINRA Rule 6420.

4 See Rule 6437(b)(1).

5 See Rule 6437(b)(2).

6 See Frequently Asked Question # 4 above for a discussion of FINRA's expectations with regard to the timing of display of customer limit orders.

7 See Frequently Asked Question # 1 above for a discussion of the meaning of "de minimis."

8 The ECN must (1) provide to a national securities exchange, national securities association or inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN; and (2) provide, to any broker or dealer, the ability to effect a transaction with a priced order widely disseminated by the ECN entered therein by an OTC market maker that is: (A) equivalent to the ability of any broker or dealer to effect a transaction with an OTC market maker pursuant to the rules of the applicable national securities exchange, national securities association or inter-dealer quotation system to which the ECN supplies such bids and offers; and (B) at the price of the highest priced buy order or lowest priced sell order, or better, for the lesser of the cumulative size of such priced orders entered therein by OTC market makers at such price, or the size of the execution sought by the broker or dealer, for such security.

9 See Securities Exchange Act Release No. 37619A (September 6, 1996); 61 FR 48290 (September 12, 1996) ("SEC Display Rule Adopting Release").

10 Id. at note 179.

11 See SEC Display Rule Adopting Release. Also, as stated in Notice to Members 99-99 in connection with the SEC's limit order display requirements, FINRA notes that any systematic delay in the display of customer limit orders, regardless of how long, would constitute a violation of FINRA's limit order display rule. However, there is no "bright line, absolute" standard governing the number of seconds an OTC Market Maker has to complete its choice of displaying, executing, or routing a customer limit order. In addition, a firm may operate an automated system that defaults to display customer limit orders within 30 seconds of receipt, so long as the firm makes every effort to display the limit orders as soon as possible manually or otherwise.

12 See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009) ("Proposing Release").

13 See SEC Display Rule Adopting Release at note 186.

14 See also SEC Display Rule Adopting Release at 48304.

15 See Rule 6460(c)(1).

16 Division of Market Regulation: Responses to Frequently Asked Questions Concerning Rule 612 (Minimum Pricing Increment) of Regulation NMS at Question #3.

17 For customer limit orders priced less than $.00001, the minimum amount of price improvement required is the lesser of $0.000001 or one-half (½) of the current inside spread. See NASD IM-2110-2(a).

©2012 FINRA. All rights reserved.
Question 6: Rule 6460 provides an exception from the limit order display requirement for orders where the customer "expressly requests, either at the time that the order is placed or prior thereto pursuant to an individually negotiated agreement with respect to such customer's orders, that the order not be displayed." What type of documentation does FINRA expect firms to maintain in connection with such customer requests?

Response: As similarly stated by the SEC in connection with Regulation NMS's limit order display rule, FINRA expects firms to discharge their responsibilities in such a manner as to allow adequate supervision of compliance with the customer's request not to display the full size of a limit order or to display pursuant to discretionary authority provided by the customer, and does not believe it necessary to mandate a particular method of recordkeeping.13 In addition, as stated in other contexts, FINRA believes that firms relying on this or any other exception should be able to proffer evidence of its eligibility for and compliance with the exception.

However, FINRA notes that standardized disclaimers or contractual language in new account agreements would not be deemed an individual request by a customer that its order or orders not be displayed.14 In contrast, adequate evidence of a customer's request that a firm not display a limit order may, for example, include an affirmative letter from (or contract with) the customer specifically providing that the firm refrain from displaying the full size of a single order or a class of orders, or a notation entered on an order ticket or in the firm's order-management system made contemporaneously at the time of order receipt.

Question 7: Must ECNs displaying a quotation on an inter-dealer quotation service comply with the limit order display rule?

Response: No. FINRA Rule 6460 applies only to OTC Market Makers. However, we note that an exception exists for OTC Market Makers that deliver immediately a customer limit order to a national securities exchange or an ECN that widely disseminates such order and that complies with certain other requirements. Such requirements prescribe, among other things, that the ECN must provide to an inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN.15

Question 8: Rule 6437 requires a firm to implement policies and procedures that reasonably avoid displaying, or engaging in a pattern or practice of displaying, locking or crossing quotations in any OTC Equity Security. What is a firm's obligation if it is unable to access another firm's quote?

Response: FINRA recognizes that a firm's quotation may, on occasion, inadvertently lock or cross another firm's quotation. Thus, similar to Rule 6240 (Prohibition from Locking or Crossing Quotations in NMS Stocks), FINRA expects firms' policies and procedures to require the quoting participant to make "reasonable efforts" to first contact or route an order to execute against the full displayed size of any quotation before locking and crossing that quotation.

For example, a firm may also include so-called "ship and post" procedures that require that it attempt to execute against a relevant displayed quotation while posting a quotation that could lock or cross such a quotation. In addition, firms' policies and procedures must be reasonably designed to enable the reconciliation of locked or crossed quotations, including requiring the firm to take reasonable action to resolve the locked or crossed market when such firm is responsible for displaying the locking or crossing quotation. If a firm has made reasonable attempts to access another firm's already-existing quotation but is unable to do so, such firm may then display its quotation, even if it would lock or cross the quotation of the other firm.

Question 9: If a firm is holding a customer order that must be re-priced because of a corporate action (e.g., a stock dividend, split or reverse split), may the firm round the adjusted price to a permissible increment?

Response: Yes. As similarly stated by SEC staff in connection with Regulation NMS's minimum pricing increment rule, FINRA Rule 6434 does not require a firm to cancel an order that was permissible when accepted, but for which the price must be adjusted due to a corporate action.16 However, the firm would violate the rule by displaying or ranking the re-priced order at an increment not permitted by the rule.

The same principle applies to other types of orders that were permissible when accepted, but whose prices must be adjusted; e.g., an order accepted before the rule's effective date may be re-priced to conform to the requirements of the rule without canceling the order. Firms always must round down in the case of an order to buy, and up in the case of an order to sell.

Question 10: If a firm receives a customer limit order priced in an increment that may be accepted but not displayed pursuant to Rule 6434, must the firm provide order protection to such un-displayed customer order?

Response: Yes. While firms would not be required to display customer limit orders priced in an increment less than $0.0001 (pursuant to Rule 6460), a firm's order protection obligations under IM-2110-2 (Trading Ahead of Customer Limit Order) would continue to apply.17

1 See Securities Exchange Act Release No. 62359 (June 22, 2010), 75 FR 37488 (June 29, 2010) (Order Approving File No. SR-FINRA-2009-054). In this order, the SEC also approved proposed changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540. The changes to FINRA Rules 6430, 6431, 6432, 6433, 6435, 6440, and Rule 6540 will become effective on February 11, 2011.

2 "OTC Equity Security" means any equity security that is not an "NMS stock" as that term is defined in Rule 600(b)(47) of Regulation NMS; provided, however, that the term OTC Equity Security shall not include any Restricted Equity Security. See FINRA Rule 6420(c). Rule 600(b)(47) of Regulation NMS defines "NMS stock" as "any NMS security other than an option." NMS security means "any security or class of securities for which transaction reports are collected, processed, and made available pursuant to an effective transaction reporting plan, or an effective national market system plan for reporting transactions in listed options." See Rule 600(b)(47) of Regulation NMS.

3 "OTC Market Maker" refers to a FINRA firm that holds itself out as a market maker by entering proprietary quotations or indications of interest for a particular OTC Equity Security in any inter-dealer quotation system, including any system that the SEC has qualified pursuant to Section 17B of the Exchange Act. A firm is an OTC Market Maker only in those OTC Equity Securities in which it displays market making interest via an inter-dealer quotation system. See FINRA Rule 6420.

4 See Rule 6437(b)(1).

5 See Rule 6437(b)(2).

6 See Frequently Asked Question # 4 above for a discussion of FINRA's expectations with regard to the timing of display of customer limit orders.

7 See Frequently Asked Question # 1 above for a discussion of the meaning of "de minimis."

8 The ECN must (1) provide to a national securities exchange, national securities association or inter-dealer quotation system the prices and sizes of the orders at the highest buy price and the lowest sell price for such security entered in, and widely disseminated by, the ECN; and (2) provide, to any broker or dealer, the ability to effect a transaction with a priced order widely disseminated by the ECN entered therein by an OTC market maker that is: (A) equivalent to the ability of any broker or dealer to effect a transaction with an OTC market maker pursuant to the rules of the applicable national securities exchange, national securities association or inter-dealer quotation system to which the ECN supplies such bids and offers; and (B) at the price of the highest priced buy order or lowest priced sell order, or better, for the lesser of the cumulative size of such priced orders entered therein by OTC market makers at such price, or the size of the execution sought by the broker or dealer, for such security.

9 See Securities Exchange Act Release No. 37619A (September 6, 1996); 61 FR 48290 (September 12, 1996) ("SEC Display Rule Adopting Release").

10 Id. at note 179.

11 See SEC Display Rule Adopting Release. Also, as stated in Notice to Members 99-99 in connection with the SEC's limit order display requirements, FINRA notes that any systematic delay in the display of customer limit orders, regardless of how long, would constitute a violation of FINRA's limit order display rule. However, there is no "bright line, absolute" standard governing the number of seconds an OTC Market Maker has to complete its choice of displaying, executing, or routing a customer limit order. In addition, a firm may operate an automated system that defaults to display customer limit orders within 30 seconds of receipt, so long as the firm makes every effort to display the limit orders as soon as possible manually or otherwise.

12 See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009) ("Proposing Release").

13 See SEC Display Rule Adopting Release at note 186.

14 See also SEC Display Rule Adopting Release at 48304.

15 See Rule 6460(c)(1).

16 Division of Market Regulation: Responses to Frequently Asked Questions Concerning Rule 612 (Minimum Pricing Increment) of Regulation NMS at Question #3.

17 For customer limit orders priced less than $.00001, the minimum amount of price improvement required is the lesser of $0.000001 or one-half (½) of the current inside spread. See NASD IM-2110-2(a).

©2012 FINRA. All rights reserved.

[Stock_Barber]

DTCC Chills

Awesome link:

http://investorshub.advfn.com/boards/read_msg.aspx?message_id=80509675

[1center]

Trademark & Patent info

http://www.trademarkia.com/

[junewong]

OTC Market tiers

OTC Markets Group established a categorization system to indicate the level of financial and corporate disclosure provided by the companies using its quotation system. Apart from the OTCQX tier, the disclosure categories do not signify issuer quality or merit of any security. Categorization is based on the level and timeliness of a company's disclosure and OTCQB and any of the OTC Pink categories can include both high quality as well as speculative, distressed, or questionable companies. Investors are encouraged to use caution when considering many these companies for investment[10].

OTCQX

The OTCQX tier includes both large cap multinational and domestic growth companies. OTCQX companies are required to have the highest financial and operational standards in the over-the-counter equity market[12] . To be traded on this tier, companies undergo a qualitative review by OTC Markets Group[13]. Companies are not required to be registered with or reporting to the U.S. Securities and Exchange Commission (SEC), but must post financial information with OTC Markets Group. In addition, US companies must be ongoing operations (no shells etc) and may not be in bankruptcy, while foreign issuers must meet the requirements of qualified Non-US exchanges. [9][14]. Additional oversight of OTCQX securities is provided by requiring every issuer to be sponsored by approved third-party investment banks or law firms, called Principal American Liaison (PAL) for non-US issuers and Designated Advisors For Disclosure (DADs) for US issuers[12][9][14].

OTCQB

OTCQB companies must be registered with and reporting to the SEC or a U.S. regulatory agency. There are no financial or qualitative standards to be in this tier.

OTC Pink

OTC Pink is an open marketplace that has no financial standards or reporting requirements. The stock of companies in the OTC Pink tier are not required to be registered with the SEC. Companies in this category are further categorized by the level and timeliness of information they provide to investors and may have current, limited or no public disclosure. OTC Pink securities range from shells and highly speculative development stage companies to international names.

OTC Pink Current Information

Companies that have submitted information no older than six months to the OTC Markets data and news service or have made a filing on the SEC's EDGAR system in the previous six months are rated as having current information. This category includes shell companies or development stage companies with little or no operations as well as companies without audited financial statements.

OTC Pink Limited Information

Companies that are unwilling or unable to meet OTC Markets' Guidelines for Providing Adequate Current Information but have submitted some but not all of current information required are rated as having limited information. These are often companies with financial reporting problems, economic distress, or in bankruptcy.

OTC Pink No Information

This tier indicates companies that are unwilling or unable to provide disclosure to the public markets. Companies in this category do not make current information available via OTC Markets disclosure and news service, or if they do, the available information is older than six months. This category includes defunct companies that have ceased operations as well as 'dark' companies with questionable management and market disclosure practices. Securities of publicly traded companies that are not willing to provide information to investors are considered highly risky.

Caveat emptor - buyer beware

There is a public interest concern associated with the company. This may include a spam campaign, stock promotion or known investigation of fraudulent activity committed by the company or insiders. During a spam campaign, any stock that is not in the Current Information category will also have its quotes blocked on otcmarkets.com.

Link to view footnotes..

http://en.wikipedia.org/wiki/OTC_Markets_Group#cite_note-Canadian-11

[qwertytrader]

good morning get down crew

$CMGO - $SEEK - $RCHN

$DRL - $CEP - $MXWL - $GTAT

my personal radar picks

[junewong]

As far as I am concerned everything you do (and I appreciate it) is great..thanks poem..:)

[PoemStone]

And hello to you too, Quick!!

[PoemStone]

Well/now, hello in here. Wanting you'all the/best. B'marked.

I'm not a daytrader (yet). . But I will def support you 'guys'.

And will start reposting from here to my boards where it would
look good and be helpful.

More than one way to get things done.
My old-habit way has now produced [4] five-baggers,
[1] of them a 17-bagger, and several doubles and triples.

Well, the point is to present as much as possible to
heroic stock pickers who read our stuff.

PoemStone.

If junewong says it's ok, I want to put up a link
this way under:

"Sector & Specialist Boards"

[junewong]

Great post on shorts and naked shorts...


NOTE THE LINK....I would suggest you guys provide a link that disputes this.

Posted by: patchman Date: Wednesday, March 03, 2010 6:31:31 PM
In reply to: fourkids_9pets who wrote msg# 648 Post # of 951

Short Sale Volume Reporting’s are deceiving.

I spoke to FINRA today and found out some very interesting things that until now I did not fully understand. I knew there was something wrong with this transparency of information but was not 100% sure what it was. I think I have my answer and it was enlightening.

I was first directed to the Notice to Members memo dated 9/29/2009

http://www.finra.org/Industry/Regulation/Notices/2009/P120045

The individual I spoke with wanted to make clear that to maintain proper trade volume reporting accuracy, a trade with multiple legs in the trade would only be reported once in the volume reports. The example given would be.

Investor A is long 100 shares and wants to sell. They enter the order through their broker that is routed to a market maker. That market maker will go out and sell the stock into the market before they have bought the stock from you/your broker to close out their account. They do not take possession first as there is no guarantee they can sell the order into the market. By this Notice, the actual sale INTO the market is a short sale because the market maker sold the stock into the market BEFORE they had purchased the stock from you. It is a technicality since they know there position will be closed out minutes later when they go in and buy your shares. To avoid doubling up on trade volume and distorting the picture, only the sale into the market (consolidated tape) is recorded and not the second leg which was the sale transaction between seller and market maker.

So, this is why the short sale volume is high but also why the FTD’s and bi-Monthly short interest reports are not showing any indications of this volume. The short isn’t really a short it is the execution of a long sale by a market maker. The key language in the FINRA notice is this:


Quote:
--------------------------------------------------------------------------------
The Daily Short Sale Volume File will provide daily access to the aggregate volume of short sales in NMS Stocks and OTC Equity Securities reported to a consolidated tape and traded over-the-counter during regular trading hours on each trading day.
--------------------------------------------------------------------------------



Consolidated tape is the open market where the transaction between seller and market maker is not done at the consolidated tape. That call this the media transaction.

Now for those wondering about Bona-Fide Market Making, I found out it can still be done but not electronically. The 15c-211 applies to electronic trade. Market Makers can continue to execute Bona-Fide Market making through phonic transactions but those sales made would be reported in the short interest reports bi-monthly and if not closed out will be reported as FTD’s in the system like any other trade failure.

Hope this helps at least clear up the high short interest volume reports seen. The reason the number is not 100% is because not all orders are routed thru independent market makers.


Since there is so much discussion and confusion on this I would request this be added as a sticky note since it clears up the confusions here.

[junewong]

Games that short sellers play..


http://www.buyins.net/articles/gamesshortsellersplay.pdf

[junewong]

Why shorting a penny stock is difficult at best..however some are turning to offshore accounts where it can much easier..

1. Extremely high margin requirements in relationship to the value of the shares sold short..a major broker that I use (Etrade) and I am sure the others are close if not the same..require you to have $2.50 worth of margin on deposit in order to sell each share short..keep in mind that these funds or marginable securities may not be withdrawn or used for other uses until the short is covered..so to tie up $2.50 to sell a .05 stock short seems somewhat short sighted..

2. The difficulty of finding a broker that is willing to accomdate a investor that wants to do these type of trades..guess for a larger client they may try harder..there are some Interactive Brokers is one ..

3. Borrowing the shares to short can be hard for several reasons..many times pennies are kept in a cash account and the shares have to be in a margin account to be lent out by the broker...many brokers will not even check for availability..also there are offshore accounts where large amounts of pennies are kept..in addition these accounts allow much more leverage and escape regulation

[junewong]

Trading vs Investing Stocks


Trading vs. Investing on the surface these two strategies are very similar, the idea is to buy a financial instrument at a low price and sell it at a higher price. However when you look deeper into the strategies, the differences is great. So what is the difference between trading and investing? Most people will answer this question by saying that trading is short-term and investing is long-term. While this is not inaccurate, there are other important factors that distinguish the two, which are essential to understand in order to make money.

One of the key differences between trading and investing is the time frame of the transaction. Traders are quickly in and out of potions as one is aiming to capitalize on short term price movements. Thus when you enter a trade, like investing you do so always with risk management in mind, but the amount of portfolio risk varies. Most traders are looking for a least a 2:1 risk reward ratio, with a downsize portfolio stop of around 2%. An investment, on the other hand, is typically held for several months to several years or more. With an investment one would be less worried about the perfect entry condition and be able to allocate a 5% draw down in the portfolio before worrying about exiting the position.

The frequency of the transaction is another key difference. Trading usually consists of a large number of transactions, each with smaller gains. The idea is that many small gains add up to a large profit. An investor looks for large gains with fewer transactions. A trader is focused on changes in the price of the security. The underlying company may be the best-run company in the world or the worst run company. The price can go up or it can go down as long as the price of the stock moves the trader can make money. A trader looks at historical prices with the idea that past prices can be used to forecast future prices. It is very common to look at trends, moving averages, volume, or a number of other technical indicators to help predict the future movements of the security.

A trader spends most of his time looking at the charts of a security’s price and for the most part ignores the fundamentals of the underlying company or asset. An investor is less interested in historical prices and focuses her attention on the fundamentals of the company or asset. The purpose of an investment is to find a security that is undervalued by the market and will provide a return of capital gains and income that compensates the investor for the risk taken. Factors considered for an investment are the financial condition of the company, the quality of the management, the competitive advantage the company holds in the market, and the potential growth of the security’s price and dividends.

Discipline is the most important quality needed to make money trading or investing. A trader must use discipline to develop and back-test a unique strategy that has proven to profit in the past, strictly follow the strategy, and make sure that downside risk is minimized in each trade. An investor must be disciplined to carry out all due diligence in the research and valuation of the company, equally minimizing their downside risk.

[junewong]

Actions to Take When a Stock Price Declines


There are numerous reasons why a stock's price falls and it is up to you as a stock investor to determine the cause. By identifying why the price is falling, you are far better equipped to decide if it is time to sell your stock position or if the fall in value presents an opportunity to purchase additional shares of a stock. The key is neither to react every time a stock you own dips, nor to become so emotionally attached to an investment; the decision to sell a stock should be similar to the decision to buy a stock. But the price paid for a stock must be put aside when deciding if it is time to sell. The sell decision should focus on a company's potential prospects and fundamentals relative to its current stock price. If the reasons for buying the company—i.e., its fundamentals have not changed, then there may be no reason to sell. Many investors lose sight of this and allow their emotions to dictate their sell decisions. When you look at stocks that are declining in price, often you will find recurring themes that, once identified, can help you decide what your next step should be.

Market Weakness

Weakness in the overall stock market, by itself, is never a good reason to sell your stocks. Markets rise and fall, but history has shown that over the long term a well-diversified portfolio of stocks will not only generate a positive return, but also provide the best chance for providing a return above the rate of inflation. It is a good idea, however, to compare the performance of an individual stock to that of the overall stock market. One of the main goals of any stock investing strategy is to achieve returns above those of the overall market for a given level of risk. Most stocks react to market moves in a consistent pattern. Further investigation is warranted if the price movement of a stock suddenly starts to deviate from its past relationship with the stock market or related index. Even if the company appears to be in the same condition as it was when you bought it, a lagging stock price in relation to the overall stock market may mean that there are investors that believe that the stock's fundamentals have changed. In this situation, you might consider selling your position instead of waiting for information to surface.

Stock Prices and Industry Cycles

All industries, to some extent, have a pattern to their movement. Most industries follow a seasonal pattern, with sales stronger in some portion of the year. Economic cycles are even more pronounced and longer lasting. Some industries move in tandem with the economy—rising as the economy expands and falling when it contracts—while others are counter-cyclical, meaning they move in the opposite direction of the economy as a whole. No matter what the cycle, you should not sell a stock investment just because its industry has entered into the decline portion of a cycle. As a long-term investor, you should be aware of any cyclical behavior in a stock's industry before you buy the stock, and you should be prepared to hold the stock through the upward as well as the downward portions of the cycle. Just as the market as a whole can have a bearing on an individual stock's price, so too can the industry in which the firm operates. A downturn in a stock can be attributed to the cyclical nature of its industry, a long-term secular trend, structural weakness within the industry, government regulation of the industry, or liability issues facing the industry.

Structural Changes in an Industry

There are times when a decline in the overall industry signals a time for you to sell your shares. One such example involves structural changes within the industry. Structural considerations, as the name implies, strike at the very heart of the industry and ultimately can determine its survival or failure. Structural changes can be brought about by several things, including technology and competition. Companies within industries faced with structural changes will more than likely see some change in their fundamentals. The extent of the impact, as well as the industry's and company's ability to adapt, will determine whether the time has come to sell.

Competitor Announcements

Companies do not operate in a vacuum, and what happens to one company can impact those around them, especially those that are competitors. Announcements from a company that deal with overall industry conditions will, to some extent, have an impact on its competitors. When a company issues a warning regarding its operations, the first thing an investor should do is discern if the problem is unique to the company or is an industry-wide problem. Bad news that points to a weakness in the overall market or industry does not bode well for other companies that are in a similar industry.

Maintaining your objectivity during these times is important to your investing success. Unfortunately, there are no simple, mechanical rules that are effective for when to sell a stock. Nothing substitutes for an understanding of what economic, industry, and firm fundamentals drive your stock's price. By examining the situation rationally and doing your homework to determine if the fundamentals of the company have changed, you are better equipped to determine whether the time has come to sell your stock.

[junewong]

Short Selling Strategies


Short selling entails selling of a security that the seller does not own, or any sale that is completed by the delivery of a security borrowed by the seller. Short sellers assume that they will be able to buy the stock at a lower amount than the price at which they sold short and there are numerous of ways to sell short a stock. In this article we will mentions a few of these strategies.

A. Traditional Short Sale: Borrow the stock against a fifty percent margin. This is the only type of short sale that can be squeezed when the share price moves up because the short seller must add money to their margin account.

B. A Market Maker Short Sale: U. S. Market Makers are not required to make physical delivery of stock certificates when they sell it. They are assumed to be a repository of the company's shares.

C. A Brokerage House Short Sale: This is a decision not to execute a buy order from a client, but show the stock as owned by the client on their monthly brokerage firm account statement.

D. A Clearing House Short Sale: The Clearing House doesn't execute the buy order, but credits it to the brokerage firm client's account.

E. A Naked Short Sale: This is where two brokerage firms agree to trade stock in a company with neither brokerage firm requesting physical delivery of the share certificates.

F. An Insider Short Sale: This is when insiders with restricted stock use it to sell short their company. It's illegal. It was a common practice when the Regulation S Hold Period was 40 days.

G. A Ferrari Short Sale: This is where a bloc of stock is purchased. The stock is converted to derivatives, thus factoring the stock one hundred fold or more. The short sale doesn't occur in the Stock Market, but the derivative owners are holding a short position.

H. The DTC Short Sale: This is when Depository Trust Companies use the stock they hold to sell short that stock.

I. The International Short Sale: Stock's created offshore. The company is listed to trade outside the United States (usually Canada). However the company is trading in the States. The shares are sold into the States. The Short Sale is moved to the Primary Country, where the local brokers can ensure that the short position will be covered by the listed company, if there is ever a successful short squeeze.

J. The Arbitrage Short Sale: LTV - Scattered Securities is an example of this short play. The Court in the LTV reorganization determined the exchange rate for new shares for old shares at three cents. The Market didn't read the Court decision. The old shares traded far higher than the Court Ordered exchange rate. The short sale was done by selling old shares and buying new shares before the Court mandated exchange of share certificates.

K. The Street Stock Short Sale: Sellers who are insiders or who allege to be insiders sell counterfeit stock to buyers outside regular market channels.

L. The MIDI Short Sale: Brokers sell stock at prices well above the actual trading price of the stock. This has been popular with German OTC stocks sold into the Middle East. The gap between the sale price and the trading price is an effective short sale.

M. The Depository Receipt Short Sale: Using counterfeit stock, the seller deposits it into an overseas bank. They then sell Depository Receipts against the counterfeit shares held by the bank. I've seen this done in Asia.

N. The Margined Short Sale: Buyer buys stock on margin. They can't take physical delivery of their share certificates. The broker sells the margined account non-existent stock (a short sale).

O. The Takeover Short Sale: Brokers add non-existent stock into a takeover with stock transaction. The buyer pays for the non-existent shares. The short seller gets cash or stock in the buyers company.

P. The Attrition Short Sale: For OTC stocks about 3% of the beneficial owners of the stock disappear each year. They die; forget they own the stock, etc. Brokers can safely sell short 3% of the float each year relying on the fact that the beneficial owners will never claim their stock.

Q. Reg S Short Sale. Same format as the Warrant or Option Short sale, but using cheap Reg S stock. The short seller is exposed for one year.

R. The Lending Short Sale. This was used by the guy who introduced me to the business. You offer to lend 90% of the face value of the stock to the borrower for a long period of time. Your interest rate is better than that of a bank. You take in the stock and sell it. You lend 90% of the proceeds from the sale. You are now short the stock. You collect your interest payments until the borrower defaults on the loan.

[junewong]

Good Margin Definition from Interactive Brokers..

The definition of margin includes three important concepts: the Margin Loan, the Margin Deposit and the Margin Requirement. The Margin Loan is the amount of money that an investor borrows from his broker to buy securities. The Margin Deposit is the amount of equity contributed by the investor toward the purchase of securities in a margin account. The Margin Requirement is the minimum amount that a customer must deposit and it is commonly expressed as a percent of the current market value. The Margin Deposit can be greater than or equal to the Margin Requirement. We can express this as an equation:

Margin Loan + Margin Deposit = Market Value of Security
Margin Deposit >= Margin Requirement

Borrowing money to purchase securities is known as "buying on margin". When an investor borrows money from his broker to buy a stock, he must open a margin account with his broker, sign a related agreement and abide by the broker's margin requirements. The loan in the account is collateralized by investor's securities and cash. If the value of the stock drops too much, the investor must deposit more cash in his account, or sell a portion of the stock.


Initial and Maintenance Margin

The Federal Reserve Board and self-regulatory organizations (SROs), such as the New York Stock Exchange and FINRA, have clear rules regarding margin trading. In the United States, the Fed's Regulation T allows investors to borrow up to 50 percent of the price of the securities to be purchased on margin. The percentage of the purchase price of securities that an investor must pay for is called the initial margin. To buy securities on margin, the investor must first deposit enough cash or eligible securities with a broker to meet the initial margin requirement for that purchase.

Once an investor has started buying a stock on margin, the NYSE and FINRA require that a minimum amount of equity be maintained in the investor's margin account. These rules require investors to have at least 25 percent of the total market value of the securities they own in their margin account. This is called the maintenance margin. For market participants identified as pattern day traders, the maintenance margin requirement is a minimum of $25,000 (or 25% of the total market value of the securities, whichever is higher).

When the balance in the margin account falls below the maintenance requirement, the broker can issue a margin call requiring the investor to deposit more cash, or the broker can liquidate the position.



Brokers also set their own minimum margin requirements called "house requirements". Some brokers extend more lenient lending conditions than others and lending terms may also vary from one client to the other but brokers must always operate within the parameters of margin requirements set by regulators.

Not all securities can be bought on margin. Buying on margin is a double-edged sword that can translate into bigger gains or bigger losses. In volatile markets, investors who borrowed from their brokers may need to provide additional cash if the price of a stock drops too much for those who bought on margin or rallies too much for those who shorted a stock. In such cases, brokers are also allowed to liquidate a position, even without informing the investor. Real-time position monitoring is a crucial tool when buying on margin or shorting a stock.


IB Real-Time Margining

Interactive Brokers uses real-time margining to allow you to see your trading risk at any moment of the day. Our real-time margin system applies margin requirements throughout the day to new trades and trades already on the books and enforces initial margin requirements at the end of the day, with real-time liquidation of positions instead of delayed margin calls. This system allows us to maintain our low commissions because we do not have to spread the cost of credit losses to customers in the form of higher costs.

Our real-time margin system allows you to see your trading risk at any moment of the day using the real-time activity monitoring features in Trader Workstation. For more information about real-time margin monitoring, see the Real-Time Monitoring Margin page.


Universal AccountSM

Your Interactive Brokers Universal Account is authorized to trade both securities products and commodities/futures products and therefore consists of two underlying accounts, a securities account governed by rules of the U.S. Securities and Exchange Commission (SEC) and a futures account governed by rules of the U.S. Commodity Futures Trading Commission (CFTC).

Whether you have assets in an IB securities account or in an IB futures account, your assets are protected by U.S. federal regulations governing how brokers like IB must protect your property and funds. In the IB securities account, your assets are protected by SEC and SIPC rules. In the IB futures account, your assets are protected by CFTC rules requiring segregation of customer funds. You are also protected by IB's strong financial position and our conservative risk management philosophy. See IB's Strength & Security page.

As part of the IB Universal Account service, IB is authorized to automatically transfer funds as necessary between your IB securities account and your IB futures account in order to satisfy margin requirements in either account. You can configure how you want IB to handle the transfer of excess funds between accounts on the Excess Funds Sweep page in Account Management: you can choose to sweep funds to the securities account, to the futures account, or you can choose to not sweep excess funds at all.


Margin Model

Margin requirements are calculated either on a rules basis and/or a risk basis

.Margin Calculation Basis

Rule-Based Margin System: Predefined and static calculations are applied to each position or predefined groups of positions ("strategies"). Reg T accounts: US stocks, index options, stock options, single stock futures, and mutual funds.

All accounts: Forex; bonds; Canadian, European, and Asian stocks; and Canadian stock options and index options.

Risk-Based Margin System: Exchanges consider the maximum one day risk on all the positions in a complete portfolio, or subportfolio together (for example, a future and all the options delivering that future). Portfolio Margin accounts: US stocks, index options, stock options, single stock futures, and mutual funds.

All accounts: All futures and future options in any account. Non-US/Non-Canadian stock options and index options in any account.


Margin requirements for each underlying are listed on the appropriate exchange site for the contract. A summary of the requirements for the major futures contracts as well as links to the exchange sites are available on our Futures Margin Requirements page.


Extreme Margin Model

Systems that derive risk-based margin requirements deliver adequate assessments of the risk for complex derivative portfolios under small/moderate move scenarios. Such systems are less comprehensive when considering large moves in the price of the underlying stock or future. IB has enhanced the basic exchange margin models with algorithms that consider the portfolio impact of larger moves up 30% (or even higher for extremely volatile stocks). This 'Extreme Margin Model' may increase the margin requirement for portfolios with net short options positions, and is particularly sensitive to short positions in far out-of-the-money options.


If you sell a security short, you must have sufficient equity in your IB account to cover any fees associated with borrowing the security. If you borrow the security through IB, IB will borrow the security on your behalf and your account must have sufficient collateral to cover the margin requirements of the short sale.To cover administrative fees and stock borrowing fees, IB must post 102% of the value of the security borrowed as collateral with the lender. In instances in which the security shorted is hard to borrow, borrowing fees charged by the lender may be so high (greater than the interest earned) that the short seller must pay additional interest for the privilege of borrowing a security. Customers may view the indicative short stock interest rates for a specific stock through the Short Stock (SLB) Availability tool located in the Tools section of their Account Management page. For more information concerning shorting stocks and associated fees, visit the "Shortable Stock" page on the IB website

Note:
In the interest of ensuring the continued safety of its clients, IB may modify certain margin policies to adjust for unprecedented volatility in financial markets. The changes will promote reduction of leverage in client portfolios and help ensure that clients' accounts are appropriately capitalized.
IB is focused on prudent, realistic, and forward looking approaches to risk management. In order to provide the broadest notification to our clients, we will post announcements to the IB System Status page. We strongly encourage all clients to monitor this web page for advance alerts regarding margin policy changes.
Note that the credit check for order entry always considers the initial margin of existing positions. Therefore, although an account may be holding an existing position at 35%, for example, it is the initial margin requirement of that position that is used in the credit check calculation for order acceptance.

[QuickDraw007]

GROV Looking Sick For Tomorrow!! Report, Interview, Analysis!!

http://www.stocklegends.com/todays-alert/

[QuickDraw007]

Sweet Board June!

[junewong]

I was thinking the exact same thing..I will get one going..

[Stock_Barber]

Great stuff here June! I wonder if it is possible to make a Table of Contents stickey? Obviously we'd have to update it often! :)

[junewong]

Day Trading Margin Requirements:

We are issuing this investor guidance to provide some basic information about day trading margin requirements and to respond to a number of frequently asked questions that we have received. We also encourage you to read our Notice to Members and Federal Register notice about the rules.


Summary of the Day-Trading Margin Requirements



The rules adopt a new term "pattern day trader," which includes any margin customer that day trades (buys then sells or sells short then buys the same security on the same day) four or more times in five business days, provided the number of day trades are more than six percent of the customer's total trading activity for that same five-day period. Under the rules, a pattern day trader must maintain minimum equity of $25,000 on any day that the customer day trades. The required minimum equity must be in the account prior to any day-trading activities. If the account falls below the $25,000 requirement, the pattern day trader will not be permitted to day trade until the account is restored to the $25,000 minimum equity level.



The rules permit a pattern day trader to trade up to four times the maintenance margin excess in the account as of the close of business of the previous day. If a pattern day trader exceeds the day-trading buying power limitation, the firm will issue a day-trading margin call to the pattern day trader. The pattern day trader will then have, at most, five business days to deposit funds to meet this day-trading margin call. Until the margin call is met, the day-trading account will be restricted to day-trading buying power of only two times maintenance margin excess based on the customer's daily total trading commitment. If the day-trading margin call is not met by the fifth business day, the account will be further restricted to trading only on a cash available basis for 90 days or until the call is met.



In addition, the rules require that any funds used to meet the day-trading minimum equity requirement or to meet any day-trading margin calls remain in the pattern day trader's account for two business days following the close of business on any day when the deposit is required. The rules also prohibit the use of cross-guarantees to meet any of the day-trading margin requirements.


Frequently Asked Questions



Why the change?

The primary purpose of the day-trading margin rules is to require that certain levels of equity be deposited and maintained in day-trading accounts, and that these levels be sufficient to support the risks associated with day-trading activities. It was determined that the prior day-trading margin rules did not adequately address the risks inherent in certain patterns of day trading and had encouraged practices, such as the use of cross-guarantees, that did not require customers to demonstrate actual financial ability to engage in day trading.



Most margin requirements are calculated based on a customer's securities positions at the end of the trading day. A customer who only day trades does not have a security position at the end of the day upon which a margin calculation would otherwise result in a margin call. Nevertheless, the same customer has generated financial risk throughout the day. The day-trading margin rules address this risk by imposing a margin requirement for day trading that is calculated based on a day trader's largest open position (in dollars) during the day, rather than on his or her open positions at the end of the day.



Were investors given an opportunity to comment on the rules?

The rules were approved by the NASD Regulation Board of Directors and then filed with the Securities and Exchange Commission (SEC). On February 18, 2000, the SEC published NASD's proposed rules for comment in the Federal Register. The SEC also published for comment substantially similar rule changes that were proposed by the New York Stock Exchange (NYSE). The SEC received over 250 comment letters in response to the publication of these rule changes. Both the NASD and NYSE filed with the SEC written responses to these comment letters. On February 27, 2001, the SEC approved both the NASD and NYSE day-trading margin rules. As noted above, the NASD rules became operational on September 28, 2001.


Definitions



What is a day trade?

Day trading refers to buying then selling or selling short then buying the same security on the same day. Just purchasing a security, without selling it later that same day, would not be considered a day trade.



Does the rule affect short sales?

As with current margin rules, all short sales must be done in a margin account. If you sell short and then buy to cover on the same day, it is considered a day trade.



Does the rule apply to day trading options?

Yes. The day trading margin rule applies to day trading in any security, including options.



What is a pattern day trader?

You will be considered a pattern day trader if you trade four or more times in five business days and your day-trading activities are greater than six percent of your total trading activity for that same five-day period.



Your brokerage firm also may designate you as a pattern day trader if it knows or has a reasonable basis to believe that you are a pattern day trader. For example, if the firm provided day trading training to you before opening your account, it could designate you as a pattern day trader.



Would I still be considered a pattern day trader if I engage in four or more day trades in one week, then refrain from day trading the next week?

In general, once your account has been coded as a pattern day trader, the firm will continue to regard you as a pattern day trader even if you do not day trade for a five-day period. This is because the firm will have a "reasonable belief" that you are a pattern day trader based on your prior trading activities. However, we understand that you may change your trading strategy. You should contact your firm if you have decided to reduce or cease your day trading activities to discuss the appropriate coding of your account.


Day Trading Minimum Equity Requirement



What is the minimum equity requirement for a pattern day trader?

The minimum equity requirements on any day in which you trade is $25,000. The required $25,000 must be deposited in the account prior to any day-trading activities and must be maintained at all times.



Why is the minimum equity requirement for pattern day traders higher than the current minimum equity requirement of $2,000?

The minimum equity requirement of $2,000 was established in 1974, before the technology existed to allow for electronic day trading by the retail investor. As a result, the $2,000 minimum equity requirement was not created to apply to day-trading activities Rather, the $2,000 minimum equity requirement was developed for the buy-and-hold investor who retained securities collateral in his/her account, where the securities collateral was (and still is) subject to a 25 percent regulatory maintenance margin requirement for long equity securities. This collateral could be sold out if the securities declined substantially in value and were subject to a margin call. The typical day trader, however, is flat at the end of the day (i.e., he is neither long nor short securities). Therefore, there is no collateral for the brokerage firm to sell out to meet margin requirements and collateral must be obtained by other means. Accordingly, the higher minimum equity requirement for day trading provides the brokerage firm a cushion to meet any deficiencies in the account resulting from day trading.



How was the $25,000 requirement determined?

The credit arrangements for day trading margin accounts involve two parties -- the brokerage firm processing the trades and the customer. The brokerage firm is the lender and the customer is the borrower. In determining whether the existing $2,000 minimum equity requirement was sufficient for the additional risks incurred with day trading, we obtained input from a number of brokerage firms, since these are the entities extending the credit. The majority of firms felt that in order to take on the increased intra-day risk associated with day trading, they wanted a $25,000 "cushion" in each account in which day trading occurred. In fact, firms are free to impose a higher equity requirement than the minimum specified in the rules, and many of them already had imposed a $25,000 requirement on day trading accounts before the day trading margin rules were revised.



Does the $25,000 minimum equity requirement have to be 100 percent cash or could it be a combination of cash and securities?

You can meet the $25,000 minimum equity requirement with a combination of cash and eligible securities.



Can I cross-guarantee my accounts to meet the minimum equity requirement?

No, you can't use a cross-guarantee to meet any of the day-trading margin requirements. Each day-trading account is required to meet the minimum equity requirement independently, using only the financial resources available in the account.



What happens if the equity in my account falls below the minimum equity requirement?

If the account falls below the $25,000 requirement, you will not be permitted to day trade until you deposit cash or securities in the account to restore the account to the $25,000 minimum equity level.



I'm always flat at the end of the day. Why do I have to fund my account at all? Why can't I just trade stocks, have the brokerage firm mail me a check for my profits or, if I lose money, I'll mail the firm a check for my losses?

This would in effect be a 100 percent loan to you to purchase equity securities. It is saying you should be able to trade solely on the firm's money without putting up any of your own funds. This type of activity is prohibited, as it would put your firm (and indeed the U.S. securities industry) at substantial risk.



Why can't I leave my $25,000 in my bank?

The money must be in the brokerage account because that is where the trading and risk is occurring. These funds are required to support the risks associated with day-trading activities. It is important to note that the Securities Investor Protection Corporation (SIPC) may protect up to $500,000 for each customer's securities account, with a limitation of $250,000 in claims for cash.


Day Trading Buying Power



What is my day-trading buying power under the rules?

You can trade up to four times your maintenance margin excess as of the close of business of the previous day.



It is important to note that your firm may impose a higher minimum equity requirement and/or may restrict your trading to less than four times the day trader's maintenance margin excess. You should contact your brokerage firm to obtain more information on whether it imposes more stringent margin requirements.


Day Trading Margin Calls



What if I exceed my day-trading buying power?

If you exceed your day-trading buying power limitations, your brokerage firm will issue a day-trading margin call to you. You will have, at most, five business days to deposit funds to meet this day-trading margin call. Until the margin call is met, your day-trading account will be restricted to day-trading buying power of only two times maintenance margin excess based on your daily total trading commitment. If the day-trading margin call is not met by the fifth business day, the account will be further restricted to trading only on a cash available basis for 90 days or until the call is met.


Accounts



Does this rule change apply to cash accounts?

Day trading in a cash account is generally prohibited. Day trades can occur in a cash account only to the extent the trades do not violate the free-riding prohibition of Federal Reserve Board's Regulation T. In general, failing to pay for a security before you sell the security in a cash account violates the free-riding prohibition. If you free-ride, your broker is required to place a 90-day freeze on the account.



Does this rule apply only if I use leverage?

No, the rule applies to all day trades, whether you use leverage (margin) or not. For example, many options contacts require that you pay for the option in full. As such, there is no leverage used to purchase the options. Nonetheless, if you engage in numerous options transactions during the day you are still subject to intra-day risk. You may not be able to realize the profit on the transaction that you had hoped for and may indeed incur substantial loss due to a pattern of day-trading options. Again, the day trading margin rule is designed to require that funds be in the account where the trading and risk is occurring.



Can I withdraw funds that I use to meet the minimum equity requirement or day trading margin call immediately after they are deposited?

No, any funds used to meet the day-trading minimum equity requirement or to meet any day-trading margin calls must remain in your account for two business days following the close of business on any day when the deposit is required.

[junewong]

How to Hypothecate Common Stock


Hypothecation is a legal term meaning to pledge something of value as collateral. In the financial markets, to hypothecate common stock means to pledge it when a broker loans you money for stock transactions. In simple terms, you hypothecate common stock when you open a margin account with a broker. Margin accounts are required not only for buying stocks on margin, but for any trade that may involve borrowing funds, including short sales, stock futures and options.


Instructions

Apply with a brokerage firm to open a margin account. Because you will have borrowing privileges, this is like opening other credit accounts. You'll need a good credit score and a statement of your net worth and income. Under federal regulations, if you work for a firm that handles securities, you must also have your employer's written permission.


Read the hypothecation agreement carefully before you sign it. Under federal law and New York Stock Exchange rules, your broker must require that you put up a minimum amount (called the margin requirement) anytime you borrow money for a transaction and keep a minimum equity (called the maintenance requirement) while holding any margined security. However, brokers are free to impose stricter standards, so don't assume the hypothecation agreement requires only the legal minimums. Sign the hypothecation agreement once you understand the terms.


Deposit the required cash minimum to complete opening your margin account. Typically initial deposits must be two to three times as large as those required for regular cash brokerage accounts, and as much as 10 times more than that for day trading accounts. For example, if the minimum for a cash account is $1000, expect a margin account minimum to be around $2500, and $25,000 for day trading.


Understand your obligations when you hypothecate common stock. You are agreeing that any common stock or other cash and securities in the account are collateral for the money you borrow. If the market goes against you, you will get a margin call from your broker. At that point you must add enough cash to the account to bring it up to margin requirements or your broker is required to sell any securities in the account needed to recover the money you have borrowed.
Sponsored Links


The broker will charge interest on funds you borrow and these must be factored in when estimating the advisability of a particular stock transaction. Bear in mind that margin transactions exist to allow you to leverage stock trades, increasing your risk as well as possible profit.

[junewong]

Useful links relating to investing..



1512g Filings - http://1512g.com/
American Stock Exchange - http://www.nyse.com/attachment/amex_landing.htm
Authorized Shares for Nevada and Other States - http://www.authorized-shares.com/
Barrons - http://online.barrons.com/public/main
BioHealth - http://www.biohealthinvestor.com/
BioMed - http://biomedreports.com/
BioSpace - http://www.biospace.com/
Bloomberg - http://www.bloomberg.com
Business News - http://www.bloomberg.com
Business News - http://www.reuters.com/finance/markets
Business News Portal - http://www.businesswire.com/portal/site/home/
BusinessWeek - http://www.businessweek.com/
Candlesticks - www.candlesticker.com/Default.asp
Chart Analysis - www.stockcharts.com/school/doku.php
Chart Video Lessons - http://investorshub.advfn.com/boards/read_msg.aspx?message_id=46647251
Charts - http://bigcharts.marketwatch.com/avatar.asp
Charts - http://chartpatterns.com/
Charts - http://stockcharts.com/
Charts - http://www.incrediblecharts.com/technical/candlesticks.htm
China Business News - http://www.chinadaily.com.cn/bizchina/index.html
China Business News - http://www.xinhuanet.com/english2010/business/index.htm
China Technology News - http://www.chinatechnews.com/
Clinical Trials - http://www.clinicaltrials.gov/
CNBC - http://www.cnbc.com
CNNMoney.com - http://www.money.cnn.com/
Corporate Bankruptcy - http://www.sec.gov/investor/pubs/bankrupt.htm
Corporate Records Search - http://www.coordinatedlegal.com/SecretaryOfState.html
Corporate Records Search - http://www.searchsystems.net/list.php?nid=398
CUSIP number - http://activequote.fidelity.com/mmnet/SymLookup.phtml
DD Amanda - http://ddamanda.com/Members/AmandaChartStart.php
DD Machine - http://www.ddmachine.com/
Deregistering - http://www.aaii.com/commentary/articles/200601_stockstrategies.cfm
Dividends - http://www.dividenddetective.com/
Document Research - http://www.10kwizard.com/main.php
Earnings - http://www.earningswhispers.com/calendar.asp
Education - http://www.investopedia.com/?viewed=1
Email Address Verifier - http://verify-email.org/
EYE ON THE FDA - http://www.eyeonfda.com/
FINRA Daily Short List - www.regsho.finra.org/regsho-Index.html
Floats - http://investorshub.advfn.com/boards/board.aspx?board_id=15223
Fool.com - http://www.fool.com
Forbes - http://www.forbes.com/home_usa
Form 4 Filings - http://www.secform4.com/index.php
Google News Business - http://news.google.com/?ned=us&topic=b
Google News Home - http://news.google.com/
Holiday Schedule for Stock Markets - http://www.allstocks.com/html/stock_markets_holidays.html
High Short Interest Stocks - http://www.highshortinterest.com/
Insider Buy & Sell Info - http://www.insidercow.com/latestFillings/buyByCompany.jsp;jsessionid=00CD11F05D6090BBECE249167FD45A5B
Investing Glossary - http://www.investorwords.com/
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[junewong]

Top 25 Axioms Of OTC Investing

Subtitle: Understand These And You Might Have A Shot At Surviving The OTC Marketplace

Author: vantillian http://investorshub.advfn.com/boards/profile.asp?user=94357

INTRO
I am calling these 25 points "axioms" in that they are propositions that are not necessarily proved or demonstrated but rather are self-evident to those who trade/invest on the OTC. In other words, these truths should be taken for granted and serve as a starting point or a foundation when deducing or inferring other propositions about OTC investing. I will not seek to prove these axioms to you...they just simply ARE. An axiom appeals to no other authority for verification...it stands on its own as the truth. Therefore, with these axioms we are dealing more with beliefs and less with facts. But without fundamental beliefs, you will have nothing whereby to interpret the facts. So sit up and pay attention because the following are very important ideas that could keep you from losing your shirt and help you to win nicely at playing the OTC market.

1. The Center Stage Axiom
The longer an issue stays in the spotlight...the worse. There's always one or more good reasons as to WHY a company is trading on the OTC...especially if it is a sub-penny company. There have been many times in the past couple years I thought I had found that "true gem" that was going to be another Yahoo. I believed in it big time. I bought into it big time! But after the initial run and a dead-cat bounce or two...things began surfacing that were completely damaging to the demand for the stock. Simply put, the higher a stock climbs in the investing world, the more its rear end shows...and OTC butts ain't pretty. Are there the occasional rule breakers here? Yes (usually they are reverse merger plays). But those stocks are few and far between and they generally uplist very quickly to a higher exchange. As a general rule, the longer a company stays in the limelight, the more enemies it will attract. Bashers. Shorters. Bidwhackers. Apathy. New shares from various and sundry places (especially DILUTION and restricted shares coming off restriction). It's always a war to make the PPS (read: Price Per Share) go up on any issue. Don't stay too long at the war. Fight as long as you are advancing and retreat the moment you see the enemy reinforcements gathering. Or possibly better yet...retreat before you think you even heard the enemy reinforcements. Remember, it's not your job to make a stock PPS go up, it's your job to make your portfolio grow. OTC valor is much different than armed forces valor.

2. The Carpe Diem Axiom
Always take *some* profit when you're sitting on significant gains 50% or higher. Unless you are already independently wealthy and view OTC investing *only* as gambling for FUN (which isn't an altogether bad thing to view it as), take profit. The way to accumulate wealth playing OTC issues is to always exit too soon. Furthermore, it leaves one feeling pretty dern good when he left some on the table for the next guy and was not the chucklehead that singlehandedly killed the run. If it does make you feel good that you were the chucklehead that killed the run, shame on you. Always remember...you do not know the next time buying pressure will allow you to leak out of shares without injuring a stock and/or your portfolio! Seize the day. Seize the opportunity strong buying pressure provides.

3. The Itchy Trigger-Finger Axiom
Someone always has shares to sell to ruin a run. Read it again: Someone ALWAYS has shares to sell to ruin a run. Make this statement your computer desktop and/or screensaver. Say it to yourself ten times whenever you start your trading day. Paint it on the ceiling above your bed so it's the first thing you see in the morning. Please understand that someone owns a whole lot of whatever stock you're jazzed about at much lower average than you -- and often times they own it for NUTHIN' (i.e. compensated promoters, debtors, relatives of CEO, etc.). Also, if you think that YOU are the ONE that is holding all the shares that could potentially ruin a run...think again. Only God knows where all the shares are or will be coming from...because who knows what kind of shorts will attach themselves to your play and sell you nothing but VAPOR.

4. The Domino Effect Axiom
Almost everyone that loses money playing the OTC looks to point a finger somewhere. They want someone or some entity to blame for their loss. Forget that the CEO sold 100M shares into the open market, they'd rather lash out at the popular poster that promoted, endorsed, and otherwise "pumped" the stock. Here's what folks like that should understand...there is a domino effect of people getting screwed. Here's an illustration: the CEO legitimately plans NOT to sell shares but some emergency comes up...and believe me..."emergencies" almost always come up for these guys! Selling shares is the easiest way for him to raise the money and "After all," the CEO justifies to himself, "the reason I went public in the first place was to raise money." The problem here is that the CEO failed to tell his promoters and/or closest investors about his need to raise funds and that group of people is living under the assumption that the share structure is stable (i.e the supply will remain the same). So the CEO got screwed by somebody and had to pay up. He screws the promoters and his closest investors and they had to pay up. Now the promoters and close investors will probably screw another batch of investors. Scenarios like this have happened more times than I can count! When something goes wrong and you're holding several thousand dollars worth of stock, you're not going to be looking to inform the world about things that will negatively affect the stock's PPS! You're looking for ways to bring in buying pressure, not decrease it! Folks love pumpers/promoters when they are helping the stock they are in go up. Folks hate those same pumpers/promoters when their stock is going down. Heroes and zeroes in the microcap world are one and the same...it just depends on the day. Remember this though...if the guy at the top decides to take advantage of people...he most certainly will succeed. What you need to know is your place in the food chain. And friends, if you're a rookie to the OTC world...you are a bottom feeder that gets caught eating the crap of all the other fish in the ocean when the "Domino Effect Axiom" kicks into high gear.

5. The Vapor Shares Axiom
If you see a poster battling the idea of shorting OTC issues with determination and vigil, sit up and pay attention...that poster is either a short himself or working on behalf of the shorts. People and/or groups with the right connections can and do short OTC issues...many times they short stock into oblivion with the full approval and consent of the leadership of the company. Contrary to popular belief, many OTC CEOs don't give a flying fig newton what their stock price does...what they care about is getting their hands on YOUR MONEY. There is alot of money to be made when a stock goes up. There is even more money to be made when a stock goes down if you were selling vapor all the way down to .0001 and cover there. Microocap hedge funds exist. Microcap hedge funds manipulate stocks and steal the money of good people. Unless you are a microcap hedge fund yourself, you can almost never win a battle against a powerful microcap hedgie that is shorting the snot out of your beloved stock. Remember, this is an "axiom" that stands on its own. I will not seek to prove the validity of this point to you. You must simply either accept it or reject it.

6. The Glass-Half-Empty Axiom
Bashers on message boards are a very real force to contend with and it's not a coincidence that I've put this axiom after the "Vapor Shares Axiom." It is easier to get a person to sell a stock than it is to buy a stock...and they know this very well. If your stock's message board becomes infested with bashers...be careful! Unless you believe the company has some incredible news that may force these guys to cover or unless you know of a group with mega-bank that is going to push the stock and perhaps force a cover...be careful when playing with shorty. Many of these bashers will try and convince you that they are there out of the kindness of their heart to try and rescue other investors from the perils of a diluting CEO or worse. Nope. Their motives are to bring the PPS down down down. Bashers, in the end, are almost always right eventually because they are bashing OTC issues. They know axioms like "The Center Stage Axiom" too!!!

7. The Supply IS Demand Axiom
I have seen several runs simply because a stock has a low share structure. A low supply creates demand. Know the share structure. On plays where the TA is gagged, plan to exit within hours of entering and play the momentum only unless you have STRONG and SOLID reason to believe the stock will go up. Call transfer agents. Learn what authorized shares, outstanding shares, and float mean. The share structure is the first thing I look for when making a new investment...it should be the first thing you look for too. If a company is not willing to be transparent in this area, you can bet there's a hundred other areas they're not willing to be transparent about. I have and continue to invest in plays where the transfer agents are gagged (unable to report to you what the current share structure is) but I don't plan to stay invested for long.

8. The Don't Click The Mouse Yet Axiom
Never buy a stock at the high of day after a significant run (good rule of thumb here may be 70-80%). Wait for a pullback. And while you're waiting, do some due diligence. Check the company's filings on pinksheets.com or otcbb.com. Read a few of their PRs. Check the history of the leadership there. Call the transfer agent (T/A) and ask for the share structure. And on stocks that are pulling back, buy at the bid. Remember that it takes both bid buyers and ask buyers to make a stock PPS go up.

9. The Morning Patience Axiom
The first hour of the market is "amateur hour." With most first-hours on hot issues, it'll either be extreme bid whackage which will cause some panic selling which will create some excellent buying opportunities later in the morning OR it will be extreme ask slappage which will lead to a pullback around lunchtime. I hardly ever buy during the first hour of the trading day, and I'd venture to say 80-90% of the time that decision has paid off. I'd rather watch a few missed opportunities than be stuck in a bunch of "apparent" ones.

10. The Bruised Knee Axiom
There are too many enemies against an OTC issue's PPS going up to NEVER lose a battle. Know how to take a defeat. You lost. YOU made a mistake. Evaluate what went wrong. Evaluate why YOU lost money. It's okay to lose money occasionally but it's not okay to be just as dumb after as you were before! Think, think, THINK! Don't make the error again. Get smarter. Listen, school is expensive...tuition rates are high! If you want to make money trading the OTC you had better plan to spend the first year in school.

11. The Show-Me-The-Money Axiom
I once asked a poster that was complaining about getting lied to on a message board: "Are you stupid in any other areas?" Seriously folks, everyone on a stock message board has an agenda...including ME. Including YOU. Consider how often your posts are seasoned with fiction and/or things that you simply DO NOT KNOW TO BE CERTAIN. Consider that you have most likely served up a poo-poo platter covered thickly with powdered sugar. Trusting stock message boards for accurate due diligence is like trusting the National Enquirer for accurate UFO sightings.

Quote:
12. The I'm-Rubber-And-You're-Glue Axiom

Develop thick skin if you plan to post on stock message boards much. 'Nuff said.

13. The Know-Your-Anthropology Axiom
Understand the nature of man! For this axiom, you need to be somewhat of a Christian theologian. The Bible clearly teaches us that mankind is not naturally good...he is naturally evil (Psalm 14 is a good place to start). The word Christian theologians use to describe our condition is "depravity." Because of the fall of man, we are morally corrupt in every part of our being and tend toward wickedness (i.e. greed, theft, lying). We stand in need of redemption from a Savior. So understand that you are playing amongst people (including yourself) that are not naturally good...they are naturally bad. In other words, you're playing with fire. Lies, half-truths, and misrepresentations abound in the OTC world. You better take EVERYTHING with a grain-of-salt the size of Texas. Some posters require more salt than others to digest. Be an evaluator of people. Learn how to ask the right questions. Make sure your yellow flags and red flags are ALWAYS working.

14. The Early-To-The-Party Axiom
Be willing to buy lower what you bought higher. I have often arrived to a party early. By "party" I mean a gathering of people and people's money that will result in a stock's PPS going much higher. By "early" I mean I got there before the stock was sitting at a low. I am always somewhat discouraged when a purchase I made continues to go down. But if I have done solid due diligence in the company, I often take it as an opportunity to add more shares cheaper and lower my average. In other words, don't look at your initial investment as dead money and hope that it goes back up again so you can get out. Average down, do the due, and then promote your stock to others and help jumpstart the party. Be a spark plug.

15. The Next! Axiom
Be looking to get out of an issue the moment you get in. Have an exit strategy in place. By buying a stock you are not entering into any kind of formal arrangement like matrimony. You are an investor and as such your goal is to make money. If your investment should go up within the first 20-30 minutes of purchase why is it any different taking some profit then as if it took 20-30 days for it to go up? Get in. Lock in profits. Ride freebies.

16. The Grow-Up Axiom
Somebody once said: "If somebody screws you once, shame on them. But if somebody screws you twice, shame on you." In the OTC world I would modify it a bit to say: "If somebody screws you once, shame on you. If somebody screws you twice, you really are a moron." Take responsibility for ALL your investment decisions. Almost nothing ever happens as planned or hoped here on the OTC. There are too many enemies against making a stock's PPS go up. If you're going to play the game down here...you better be ready to accept FULL and COMPLETE responsibility for EVERYTHING YOU DO IN THIS INVESTING REALM. Point the finger of blame at only one place: yourself.

17. The Ask-Yourself-Why Axiom
Understand that many of the people encouraging you to buy an issue are compensated promoters whether they disclaim it or not. Most times they do not have your best interest in mind, they have their best interest in mind cause they're sitting on a mountain of stock and can't wait to turn paper into cash. It has been said that "the man that can answer the question 'what' will always have a job but the man that can answer the question 'why' will always be his boss." Be continually evaluating EVERYTHING by asking questions that begin with "WHY."

18. The What-Was-That-Again? Axiom
Understand you are almost NEVER getting the whole story. The only way optimists will survive in the OTC is if they become compensated promoters. Pessimists can either become paid bashers or fast flippers. The OTC calls for realism. Be a realist. To be a true OTC realist you need to know and understand all that you are up against to make a stock's PPS go up.

19. The Public-Versus-Private Posts Axiom
Many of the people pumping stocks are stuck in them and want to inspire a whole new wave of bagholders to come take their place. Often times what is being said on the public message boards is completely different than what those same posters are saying behind closed doors. Realize this. Digest this. Embrace this. Don't be naive.

20. The Buy-The-Story-Not-The-Company Axiom
So you bought a stock because of a solid PR that came out. Cool. Why did you buy? Because of the story. Do you really know anything else about the company? Is it real? Do they have a big building? Do they have equipment? Are they producing? Forget all that. In many ways it is irrelevant. If you are going to invest in the OTC you had better learn to invest in STORIES. Now, ironically, one of the dictionary definitions for "story" is "a lie or fabrication." Do you really think that you are investing in the same caliber of companies on the OTC as you would on the NASDAQ or NYSE? Don't be naive! Do you think what your company outlined in that lovely PR is really going to happen? Two words for you my friend: SAFE HARBOR. In the OTC you are investing in POTENTIAL ALONE; therefore, be a discerner of the POTENTIAL OF THAT COMPANY'S STORY. What has great potential? Water to China? American Idol in a 3-D world? Gasoline replacement in a weed? Oh yeah baby! All those STORIES have great POTENTIAL. But there's a monster "IF" involved in every one of those. After some time, the reality that the "IF" is gonna stay a big "IF" sinks in and the stock PPS encounters a slow death. Sadly, some of the really real OTC companies go unnoticed because they do not have a great story with potential. The term many investors use to refer to the story is "kool aid." Does your stock have good "kool aid?" Well, does the potential of your company make you want to buy it? Does it make other want to buy it? I try to avoid investing in OTC issues that do not have good kool aid flowage or the potential for good kool aid flowage. Wow. What a concept. On the OTC sometimes you have to invest in the POTENTIAL POTENTIAL of a company. (That last sentence wasn't a misprint. Read it twice if you need to.)

21. The Don't-Gamble-Away-The-Mortgage Axiom
You *should* expect to lose your entire investment. You *should* expect to lose more money than you make playing OTC issues until you wise up, learn these axioms, and behave according to them. If you are playing the OTC to try and make some quick money to pay off a debt, good luck with that. Unless you are an experienced OTC Jedi Master that does this for a living (and I'm by no means saying that I am one or that I have arrived!), you better ONLY USE MONEY YOU CAN AFFORD TO LOSE.

22. The Dingleberry Axiom
This is the term I save for bidwhackers. Realize that the OTC market is unfortunately full of people that don't understand the concept of selling at the offer. They are more than happy to whack out the bids on an issue for their lunch money. Realize that usually the longer an issue stays in the spotlight, the more problem it is gonna have with dingleberries, er, whackers.

23. The Bid And Offer Axiom
Level 2 is often the truest of truths in the OTC. It tells a very accurate story. If you cannot afford to spend your day glued to L2 watching the issues you're trading...you shouldn't expect winning trades on the OTC. I simply cannot stress enough the importance of having LIVE Level 2 and understanding it. Spend some time paper trading which watching L2s. Practice. Practice. Learn. You just gotta understand what the Level 2s are telling you. Some of my friends would also come in here at this point and say it is not only L2 it is also the chart. I would argue that it is MORE L2 and LESS the chart. By understanding and watching L2 I feel like I can identify dilution much faster than by simply looking at a chart and all its indicators.

24. The CEO Is A Scumbag Axiom
Now I know we're all quick to defend our favorite CEO...but the truth is he or she is a scumbag. Now what level of scumbag she or he is I cannot say...but with confidence I can say that every OTC CEO is a scumbag. Deal with it.

25. The Know Your Friends And Enemies Axiom
You will have a hard time succeeding down here without friends. Any amount of public success will bring you more friends and new enemies. Understand which is which. Keep your nose clean. Loose lips sink ships. Know when its time to sever a relationship. Know when its time to repair a relationship. Know your associates.

Now, I must ask you, knowing all of the above, do you REALLY want to mess around with penny stocks? I mean...really???

Okay.

Those of you that have never traded in the OTC or are just beginning to trade down here and are right now shaking your head and thinking that you somehow transcend these axioms...you will have to learn the hard way. Traders like me will end up with your money. I want to thank you in advance for helping build my portfolio.

Those of you scared out of your gourd right now...GOOD. You should be. You should realize that you're absolutely nuts to be risking money down here (and I use the term "down here" on purpose) in the OTC!!!

Investing in the OTC is very risky. It's riskier than Alaskan King Crab fishing! But the rewards often outweigh the risk. The lure of monster profits is too much for many of us to say "no" to. The idea of finding that one true gem in a million that becomes the next Yahoo is too strong a draw for many of us to avoid. The surge of adrenalin that comes when profiting 100% on your money within the same hour you made the trade is addicting. The fun that comes from finding friends and having a successful trade with them is indeed AWESOME.

The OTC is a crazy world that attracts some pretty crazy people...and yet I have chosen to live in this world...I have accepted the consequences of investing in the OTC. I feel safer putting my money in an OTC issue than a NASDAQ or NYSE issue because I understand the OTC.

I have written all of the above as a student, not a teacher. I will always be a student of the OTC...ever learning. I do believe that is a good attitude to have if you want to truly be a successful OTC trader/investor. I do hope that some of what I have said above will help you retain and/or build your bank!

If you want to quibble about something I've stated above or you'd like to tweak something to make it a little more accurate...please feel free to come and engage me on my Van Scan board here: http://investorshub.advfn.com/boards/board.aspx?board_id=12481

Sincerely,

vantillian

NOTE: This material is original with me but please disperse and dispense far and wide as long as you give credit and you think it will be helpful.

[junewong]

Link to check on dividends..

http://www.dividendinvestor.com/

[junewong]

Link to check on availability of shares to borrow to short..

http://tinyurl.com/csn3ev2


Link to check daily short sales..

http://otcshortreport.com/


Link to check bimonthly short interest..

http://shortsqueeze.com/

[junewong]

How Different Brokers Handle Lending Shares To Short-Sellers


A question among many retail investors' mind is how to prevent short sellers from borrowing our own shares. This is a good question because when our shares are lent to short sellers the shares are effectively used against ourselves in helping put downward pressure on our stock. In principle, if people can't borrow shares they can't do further short selling. There are exceptions to this principle, i.e., naked short selling which is done both legally and illegally. Market Makers are allowed to legally naked short a stock as long as they stay within the parameters of law. Whether the legal requirements are always followed is another story.

A recent headline exposed illegal naked shorting and immoral practices at Goldman Sachs (NYSE: GS) and Bank of America (NYSE: BAC) (Goldman, Merrill E-Mails Show Naked Shorting, Filing Says?).

Many retail investors think by placing a Good Till Canceled order (GTC) they can prevent their shares from being lent. A quick survey of some brokers indicated this to be more of a myth than reality. While some brokers may act as such, most don't recognize an open order as prohibitive of lending shares.

The surest way to prevent lending of shares is to have shares in a "Cash" a.k.a. "Type 1" account. Some brokers like Fidelity Investments allow positions to be in Type 1 and Type 2 (Margin) in the same account. Some like Scottrade do not allow mixing of Type 1 and Type 2 in the same account so a customer has to open two separate accounts, one as Cash and one as Margin.

Moving shares between account types is simple - some brokers even allow it to be done on the phone - some require a fax or email confirmation.

Different brokers treat margin accounts differently as stated in their margin agreement. Some like Charles Schwab (NYSE: SCHW) only lend out shares up to the amount of the account's margin debit balance. This is a more favorable treatment than Wells Fargo's (NYSE: WFC) policy that regardless of carrying a debit balance or not if you have shares in a margin account they're lent out. This is in line with Wells Fargo Brokerage's poor ratings. Scottrade is somewhere in between. They will only lend out shares if you have a debit balance but even a 1 cent debit balance allows them to lend out all your shares (although their margin agreement says they can lend out shares in a margin account regardless of whether there's a debit balance or not).

The best way to prevent borrowing of shares is to have all of one's shares in a Cash account, or transfer the shares to the Transfer Agent, or get a certificate. If margin buying power is needed a good practice is to have only enough shares in a margin account to give the buying power one needs and the rest in a Cash account.

This subject is particularly important to holders of heavily shorted stocks which have had a big run up like Arena Pharmaceuticals (NASDAQ: ARNA) which has recently doubled and in my opinion is on the way for at least another double upon FDA approval which is expected on or before 27 June 2012. When a stock makes a big upward jump, shorts can get margin calls and some big shorts may want to dampen the rally by shorting more so they need to borrow shares.

In the case of Arena the majority of shares are held by retail investors which makes the stock more volatile. When the majority of shares are owned by institutions, which typically have lower turnover, a stock price is more stable. Being able to borrow shares is important for day traders and swing traders who short highly volatile stocks. With imminent approval, demand for shares by institutions should put further pressure on short sellers. Many retail longs like to help put further pressure on shorts and one of the easiest ways to do this is to make sure their shares are held in a "Cash" account.

Lastly, some brokers have a securities lending program which return to the customer some of the interest earned from lending their shares out. Some brokers just pocket that interest and the customer gets nothing for lending shares out. In my opinion lending out shares is never a good idea because it makes your shares work against yourself, and even if you earn a bit of income, you'd probably make more from a rise in the stock price which you'd help with by not making your shares available for shorting.

[junewong]

FINRA Rule 6460, Display of Customer Limit Orders,


May 9, 2011 – NEW YORK – FINRA Rule 6460, Display of Customer Limit Orders, became effective today. This marks the first time that mandatory limit order display, originally implemented for exchange-listed stocks in 1997, will be extended to the OTC marketplace. The limit order display rule requires OTC market makers to display the price and size of any customer limit order that improves the price or size of their own published quote.


Prior to this change, many OTC market makers displayed the best price of customer limit orders as a result of the strong competition between broker-dealers. The limit order display rule will likely not lead to drastic changes in quote prices, although it will affect published quote sizes, since many firms previously displayed quote sizes only up to the minimum quote size tier.


Limit order display is the most recent in a series of new rules in the OTC marketplace that have long applied only to the listed markets. These new rules, most of which became effective during the first half of 2011, govern locked and crossed markets, allow access fees to be included in published quotes, and restrict sub-penny quoting.


To learn more about FINRA's limit order display policies, visit FINRA's website here: www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p122114.pdf.


To learn more about the 2011 FINRA changes affecting the OTC marketplace, please view OTC Markets Group’s Compliance Alert: FINRA Rule Changes.

[junewong]

FINRA Rule 6460, Display of Customer Limit Orders, Effective May 9th, 2011
The new rule, effective yesterday, is great for penny stocks. Before this rule market makers would only show 5,000 shares on the bid and ask while traders would have no idea how many shares were available to either buy or sell. It may sound a bit drastic, but a few years from now traders will wonder how they managed to trade without seeing the true share information, much like people today wonder how they ever got around years ago without their cell phones.

The benefits of this rule weren't any clearer than today with FBCD, when market maker ETMM showed 880,000 shares on the bid at $.051. A trader would feel much more comfortable buying a stock when he/she knows that there is over $40,000 worth of demand at a specific price. Its really pretty simple. A strong bid will garner strong buying, a weak bid will likely trigger selling. Those 5,000 block buys to bolster the bid won't last anymore as traders can now see right through them. There is now a true depth to the level II.



This type of transparency is great for penny stocks. It really works both ways as a thin offer could lead to buyers, while a light bid could lead to selling. Either way it allows the market to find the price for a stock without having to wonder how many shares are available for sale or purchase.

[junewong]

Nice letter regarding advertised size on MM bids and offers..



October 14, 2001


Dear Mr. Katz,
I am writing to you with great urgency regarding the above referenced proposed rule
change which calls for eliminating the 1000 share display size rule as well as
eliminating current reserve size and automatic refresh requirements. As the watchdog
of the stock trading industry, the Securities and Exchange Commission (SEC) has thus
far been prudent in attempting to stifle the ongoing fraudulent tactics of some
collusive Market Makers (MM). The practice of actually seeking out manipulative
trading methods and unscrupulously taking advantage of loopholes in your laws to
line their pockets at the cost of the public investor has been repetitive and has
historically lead to criminal charges and punitive fines. I present this brief
reminder only to alert your authoritative department that the seedy character of the
selectively deceptive may be returning one again. (Please note that I do not wish to
include all MMs as deceptive. Most are hard working men and women like you and I.
However, it appears that certain sel

f-serving MMs tend to be quite influential over the National Association of Securities
Dealers (NASD) and their other fraternal brother, the National Association of Securities
Dealers Automated Quotation (NASDAQ). To pretend that these three entities do not
interact toward a common greedy goal is naive and dangerous.

This time the NASD is proposing to eliminate their current 1000 share display size
and the size requirement of the automatic refresh rule. As it stands now, a MMs display
size is decremented by orders received via the Small Order Execution System (SOES),
the MM must decrement accordingly until the size displayed is executed against. The
automatic refresh requirement is a minimum of 1000 shares if the reserve size is greater
than 1000 or the remainder of the reserve size if it is less than 1000 shares.

The goal of the SEC has been to maintain a level playing field so that the average
investor is not blindly swindled in the whirlwind of price fixing, market manipulation
and fabricated price fluctuations that may be concocted by certain stock brokers or
MMs. I urge you to step in and flex your protective muscles NOW. Allowing a MM to sit
on any side of the market (buy or sell) with only 100 shares displayed and only 100
shares of automatic refresh required is permitting MM even easier access to
unnaturally direct a stocks movement. Moreover, the reserve size rule is virtually
eliminated and with it the limited transparency of a securities flow. Another thing
cleverly done away with is the MMs claimed risk - which has been the core of their
arguments for any rule change proposed. They are asking to decease their risk in an
unprecedented way but yet be afforded to continue their superior trading status over
mere investors and traders. (Remember, MM do not have to adhere to any short-sale
rules nor do they have to honor orders presented to them over the Selectnet broadcast
system - even at their current inside quotation!).

Dear Mr. Katz , all stocks find their natural level as determined by buyers and
sellers and daily market conditions. Do you know that that permitting a MM to display
only 100 shares during a particular stock movement affords them increased control to
manipulate the natural flow and speed of that security while profiting virtually
risk-free. The following is just one example of manipulating price fluctuations,
reducing transparency interfering with the natural flow of a stock move and ultimately
hurting the small investor in the pocket. And I do not need to remind you that this
pocket has become increasingly sensitive considering our current economic situation.

An investor, Mr. Hopenpray wants to buy 5000 shares of ABCD stock at any price up to
$10.65. At about the same time a smaller investor, Mrs. Pickum, wishes to buy 700
shares of ABCD at the market price but no higher than $10.75. The stock is currently
bid at 10 and offered at 10.05.

There are currently several MM offering to sell stock at 10.05, several more at 10.10
and more scattered through to 11.15. There are also 3000 cumulative shares offered by
various ECNs (Electronically Compared Network) from 10.05 through 10.20. Note that all
the mms are displaying only 100 shares, with unknown reserve size nor any requirements
to display any portion of such other than only 100 shares!!

A MM (symbol RATT) notices that he is selling 100 shares of ABCD at 10.05 rather
quickly via SOES and has gone thru 800 shares at this price. He observes the same for
several other MM at 10.05 and quickly buys the 3000 shares from the visible ECNs for
an average price of 10.12. He also replaces these three 1000 share ECN orders with
three new 100 share ECN orders to sell stock at 10.16 and 10.17 (thus slowing this
movement so as to better judge where to sell his net 2200 shares of ABCD). RATT's
ECN orders are executed against by the 5000 share order which has thus far been able
to buy only 200 shares from 10.05 - 10.35. The remaining 2000 shares continue to drive
the price of ABCD to 10.65, where RATT unloads his remaining 1600 shares. Finally,
Mrs. Pickums purchases her shares at 10.65.

The way the market operates now, 5000 shares of ABCD would more likely get filled
between 10.05 and 10.35 (even with the creative trickeries of MM placing 100 share
ECN orders to slow movement and create conditions favorable them). I believe that
another motivating factor to this proposal was that this current practice of throwing
100 share ECN orders into a stock, is becoming costly and bothersome. I suggest to you,
Mr. , that this manipulative behavior be curbed by requiring a 1000 share minimum
for ECN orders placed by MMs.

Returning to my example, Mrs. Pickum would probably pay no higher than $10.45 for 700
shares of ABCD, not $10.65. Mr. Hopenpray's 5000 share investment would have been
filled by an average price of $10.30 not $10.50. Even though 5000 shares is a
seemingly large order, Mr. Hopenpray does not need to spend one thousand dollars
more for his investment decision. Certainly Mrs. Pickum could use the one hundred
and seventy-five dollars in her pocket.

The above example is obviously not based on a precise formula, but the reality of
actually allowing this proposal a chance to go through, can be seen in it. The example
displays only one type of a plausible stock move. Believe me, There are over six
thousand securities to choose from and MM will utilize these tricks on heavier moving
volatile securities, making more risk-free money while continuously draining liquidity.

Dear Mr. Katz , I have been a registered representative for over 12 years. In that
time I have only seen proposals from the NASD that favors MM with blanket disregard
for the average investor. I have also witnessed landmark criminal charges of collusion
and market manipulation by MM. Like most small investors, my salary affords me a
modest living and I struggle daily to support my family. The times we live in are
quite turbulent both economically and psychologically. I do not want to think that
a handful of ruthless entrepreneurs dare to enrich their lives at the expense of
the public investor. I ask you to consider why the NASD would push so long and hard
for the current SUPER SOES system (which was their rules of reserve size and
automatic refresh requirements) and then when law makers' attention are diverted
toward a larger cause, a surreptitious attempt to fast track an unjustifiable rule
change (it is slated to begin in about two weeks!!!). At the same time they enforce !
their slap in our collective face by requiring the investor to pay one dollar to
the MM per SOES execution. Please, Mr Katz , I implore you to once again support
the public and not allow this travesty to stand. I cannot find one ounce of
justification for this proposal. It is a clear attempt to continue the organized
crime-like stronghold that certain MM use to squeeze money from the average investor.

My customers, my family and I thank you and your agency for your past input as
our acting eyes and ears and law enforcers. Only a few short years ago it was
regarded as a manipulative and deceptive practice for a MM to maintain inside
quotes for 100 shares in 1000 share tier size stocks. The reasons being similar to
the ones portrayed in my brief example. However, today we have ECNs that MM can
utilize to enter 100 share momentum thwarting orders in their favor. Can you believe
that they have the nerve to request a rule change to allow for 100 share ONLY
requirements. Your governing has certainly curtailed many fraudulent efforts and
I sincerely hope you see the hidden mockery of this so called rule change.



With Gratitude,


Neal King
Registered Representative

[junewong]

FINRA Short Sale Reporting Explained.

Spoke with the staff at the FINRA's Corporations, Market Regulation
Department to get an explanation of the reports and what the infor-
mation is that they contain. Here is the information.

The bi-weekly reports are directly off the books of the corporation
(usually done by the transfer agent) for short sales that are open at
the close of the day, for the day three days earlier. For example, if
the reporting date is the 15th of August, then the information that is
presented is the 12th of August. If there are no open short sale trans-
actions as of the close of the 12th of August, then the report shows
0 (zero) open short sales. This report it therefore not a true reflection
of the actual short sales being transacted on any given day.

The Daily Short Sales reports, on the other hand, are a measure of
the daily short activity, with certain inconsistencies. It is a report off
the 'daily tape', which means it does not include any short sales that
occur in the pre-trade or post-trade periods. Further, as has been
discussed on this board previously, the short sales volume includes
MM short sales that may be covered within seconds of the transac-
tion. The requirement for this report was establihed by the SEC, but
the SEC has yet to require that FINRA seperate true short sales from
MM short sales for the purposes of liquidity.

Interpretation:
By working within the reporting dates of the biweekly reports, it is
possible to circumvent the spirit of the law required of reporting of
short sales. By closing out all short sales on the expected date of
the biweekly report, it will appear that there is little or no short
sales activity. MM's and shorters know this. Refer to the post
referenced below and see if it can be determined if the activity
changes because of an expected reporting date. Pay particular
attention to the days in which the percentage of short sales trans-
actions to overall volume is about 10% or less. Then review the
percentages on days where the biweekly reporting will not occur.
Suggest a pattern?

It was because of this circumvention of the spirit of the law that the
SEC required the daily short sales reports. Each transaction must
be marked as to whether it is a short sale, so each transaction could
be identified as to being a short true short sale or a MM's liquidity
short sale. However, the MM's have contended that such information
is proprietary and would give others information about their trading
stategies, placing the MM's at a disadvantage. (It must be okay for
investors to be at a disadvantage, but not okay for MM's.) As a com-
promsise to get the exchanges and MM's to report on a daily basis,
the SEC softened the daily reporting requirement that would have
required the seperation of 'liquidity' short sales from investors short
sales.

SHORTS data explained by FINRA...phone call 3 minutes ago i spoke to FINRA regarding their daily SHO list which seems to show 30-70 % off all the volume in thousands of stocks as 'short sales'. they explained the 2 factors which tend to inflate the short sale data beyond what is normally considered a short sale, i.e. a person or firm borrowing shares which are then sold.

1. all marketmaker sells to buyers for which the MM doesnt at that moment possess the stock would go onto the list. the shorts data is sent to SEC at time of execution, so during the course of a day, a MM may trade 20M shares of company xyz, of which 10M of those shares were initiated as short sales and the other 10M were buys to cover those shorts. despite the fact that their net position at the end of the day is flat, the data would show 10M shares as having been short sales.
this applies even to grey sheet stocks. despite the fact there is no MM making bids and asks, MM's can and do call around to other MM's to find willing sellers to match buy orders and vice-versa.

2. the other factor that could affect the daily short figure is very interesting. if a sale is being initiated by the holder of restricted 144 stock, even though the owner of those shares is technically a long, the sale is listed as a short sale because the actual certificates are not yet "clean" via the transfer agent.

they confirmed that in order to ascertain the true "open short" position one should look at the bi-monthly short report. it was also stated that any of the daily shorts which were not delivered within the prescribed time would definitely end up on the FTD lis

[junewong]

Want to get down stop on by

[junewong]

Post anything to do with anything

[junewong]

Archives for useful information

[otcbargains]

I'm ready to get down!

[junewong]

This is the get down crew