| Line | Entity Registrant Name | SIC | SIC Description | Sector | Activity | FAC Nonconforming Items | SEC Filing Page |
|---|---|---|---|---|---|---|---|
| 1 | AMERIPRISE FINANCIAL INC | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 2 | Aspect FuturesAccess LLC | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 3 | BKF CAPITAL GROUP INC | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 4 | BlackRock Global Horizons I L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 5 | BLACKSTONE GROUP L.P. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 6 | Carlyle Group L.P. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 7 | CASTLE HOLDING CORP | 6199 | FINANCE SERVICES | Nondepository Credit Institutions | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 8 | Cowen Group, Inc. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 9 | CUR MEDIA, INC. | 4832 | RADIO BROADCASTING STATIONS | Communications | CommercialAndIndustrial | 0 | SEC Filing Page |
| 10 | EMERGING CTA PORTFOLIO LP | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 11 | FBR & CO. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 12 | GAIN Capital Holdings, Inc. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 13 | GOLDMAN SACHS GROUP INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 14 | INSTITUTIONAL FINANCIAL MARKETS, INC. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 15 | Interactive Brokers Group, Inc. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
| 16 | JEFFERIES GROUP LLC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 17 | JMP Group Inc. | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 18 | JONES FINANCIAL COMPANIES LLLP | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 19 | KKR & Co. L.P. | 6282 | INVESTMENT ADVICE | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 20 | LADENBURG THALMANN FINANCIAL SERVICES INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
| 21 | LPL Financial Holdings Inc. | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 22 | MANAGED FUTURES PREMIER ABINGDON L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 23 | MANAGED FUTURES PREMIER AVENTIS II L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 24 | MANAGED FUTURES PREMIER BHM L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 25 | MANAGED FUTURES PREMIER GRAHAM L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 26 | MANAGED FUTURES PREMIER WARRINGTON L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 27 | ML BlueTrend FuturesAccess LLC | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 28 | ML SELECT FUTURES I LP | 6200 | SECURITY AND COMMODITY BROKERS, DEALERS, EXCHANGES AND SERVICES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 29 | ML Transtrend DTP Enhanced FuturesAccess LLC | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 30 | ML Winton FuturesAccess LLC | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 31 | MORGAN STANLEY | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 1 | SEC Filing Page |
| 32 | MORGAN STANLEY SMITH BARNEY CHARTER CAMPBELL LP | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 33 | MORGAN STANLEY SMITH BARNEY CHARTER WNT L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 34 | MORGAN STANLEY SMITH BARNEY SPECTRUM CURRENCY & COMMODITY L.P. | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 35 | MORGAN STANLEY SMITH BARNEY SPECTRUM TECHNICAL LP | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 36 | NESTOR PARTNERS | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 37 | Piper Jaffray Companies | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 38 | RAYMOND JAMES FINANCIAL INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 3 | SEC Filing Page |
| 39 | SCHWAB CHARLES CORP | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 40 | Siebert Financial Corp | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 41 | STIFEL FINANCIAL CORP | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 42 | SUMMIT FINANCIAL SERVICES GROUP INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 2 | SEC Filing Page |
| 43 | SWS GROUP INC | 6211 | SECURITY BROKERS, DEALERS AND FLOTATION COMPANIES | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
| 44 | Systematic Momentum FuturesAccess LLC | 6221 | COMMODITY CONTRACTS BROKERS AND DEALERS | Securities and Commodities Brokers/Dealers/Exchanges/Services | SecuritiesBasedRevenue | 0 | SEC Filing Page |
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