| Line | Entity Registrant Name | SIC | SIC Description | Sector | Activity | FAC Nonconforming Items | SEC Filing Page |
|---|---|---|---|---|---|---|---|
| 1 | Calamos Asset Management, Inc. /DE/ | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 2 | Capital Financial Holdings, Inc | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 3 | FEDERATED INVESTORS INC /PA/ | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 4 | FINANCIAL ENGINES, INC. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 5 | FXCM Inc. | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 6 | INTERCONTINENTAL EXCHANGE, INC. | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 7 | LEGG MASON, INC. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 8 | MGM Resorts International | 7011 | HOTELS AND MOTELS | Hotels/Other Lodging Establishments | CommercialAndIndustrial | 3 | SEC Filing Page |
| 9 | NATIONAL HOLDINGS CORP | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
| 10 | Optionable Inc | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 11 | Rubicon Financial Inc | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 12 | VALUE LINE INC | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 13 | WADDELL & REED FINANCIAL INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
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