108 SECURITIES INC. (NRD# 38260 )


Exempt Market Dealer

17CAPITAL LLP (NRD# 37900 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

18 ASSET MANAGEMENT INC. (NRD# 32480 )


Portfolio Manager

1832 ASSET MANAGEMENT L.P./GESTION D'ACTIFS 1832 S.E.C. (NRD# 30050 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

3I FINANCIAL INVESTMENT SERVICES INC. (NRD# 25880 )


Mutual Fund Dealer

3IQ CORP. (NRD# 41350 )


Investment Fund Manager

400 CAPITAL MANAGEMENT LLC (NRD# 43590 )


International Investment Fund Manager - Exemption

4FRONT CAPITAL PARTNERS INC. (NRD# 38040 )


Exempt Market Dealer

50 SOUTH CAPITAL ADVISORS, LLC (NRD# 52540 )


International Investment Fund Manager - Exemption

7017065 CANADA INC. (NRD# 48000 )


International Investment Fund Manager - Exemption

A CUBED CAPITAL INC. (NRD# 53930 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

A.R. SCHMEIDLER & CO., INC. (NRD# 36130 )


International Adviser - Exemption

International Dealer - Exemption

AB PRIVATE CREDIT INVESTORS LLC (NRD# 51840 )


International Adviser - Exemption

ABBEY CAPITAL LIMITED (NRD# 37890 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ABERDEEN ASSET MANAGEMENT CANADA LIMITED (NRD# 37730 )


Portfolio Manager

ABERDEEN ASSET MANAGEMENT INC. (NRD# 12470 )


Investment Fund Manager

Portfolio Manager

ABERDEEN CAPITAL MANAGEMENT LLC (NRD# 41430 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ABERDEEN FUND DISTRIBUTORS, LLC (NRD# 30420 )


Exempt Market Dealer

ABERDEEN GLOBAL SERVICES S.A. (NRD# 46590 )


International Investment Fund Manager - Exemption

ABERDEEN GOULD CAPITAL MARKETS LTD. (NRD# 27200 )


Exempt Market Dealer

ABERDEEN INTERNATIONAL FUND MANAGERS LIMITED (NRD# 46530 )


International Dealer - Exemption

ABG SUNDAL COLLIER INC. (NRD# 18950 )


International Dealer - Exemption

ABINGDON CAPITAL CORPORATION (NRD# 53830 )


Exempt Market Dealer

ABN AMRO CLEARING CHICAGO LLC (NRD# 25320 )


International Dealer - Exemption

ACADIAN ASSET MANAGEMENT LLC (NRD# 6620 )


Exempt Market Dealer

Portfolio Manager

ACALYX ADVISORS, INC. (NRD# 53080 )


International Dealer - Exemption

ACASTA CAPITAL INC. (NRD# 42680 )


Exempt Market Dealer

ACATIS INVESTMENT GMBH (NRD# 45940 )


International Adviser - Exemption

ACC GLOBAL FINANCIAL INC. (NRD# 50490 )


Mutual Fund Dealer

ACCESS CAPITAL CORP. (NRD# 210 )


Exempt Market Dealer

ACCESS CAPITAL PARTNERS II (GUERNSEY) LIMITED (NRD# 42030 )


International Adviser - Exemption

ACCESS CAPITAL PARTNERS SA (NRD# 42020 )


International Adviser - Exemption

ACCESS SECURITIES, LLC (NRD# 37290 )


International Dealer - Exemption

ACCILENT CAPITAL MANAGEMENT INC. (NRD# 12410 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACCORD CAPITAL PARTNERS LLC (NRD# 55500 )


International Dealer - Exemption

ACCREDITED CAPITAL CORPORATION (NRD# 18780 )


Commodity Trading Manager

Exempt Market Dealer

ACCUMULUS CAPITAL MANAGEMENT, LLC (NRD# 36860 )


International Adviser - Exemption

ACERNIS CAPITAL MANAGEMENT INC. (NRD# 42110 )


Portfolio Manager

ACKER FINLEY ASSET MANAGEMENT INC. (NRD# 610 )


Investment Fund Manager

Portfolio Manager

ACKER FINLEY INC. (NRD# 140 )


Investment Dealer

ACM ADVISORS LTD. (NRD# 30360 )


Exempt Market Dealer

Investment Fund Manager

ACORN GLOBAL INVESTMENTS INC. (NRD# 18640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ACTION VALEUR AJOUTEE INC. (NRD# 19120 )


Portfolio Manager

ACUMEN CAPITAL FINANCE PARTNERS LIMITED (NRD# 6070 )


Investment Dealer

ADAMS STREET PARTNERS, LLC (NRD# 38570 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

ADAPTIVE ASSET MANAGEMENT LTD. (NRD# 49070 )


Portfolio Manager

ADDENDA CAPITAL INC. (NRD# 28190 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ADDINGTON FINANCIAL CORPORATION (NRD# 6890 )


Mutual Fund Dealer

ADROIT INVESTMENT MANAGEMENT LTD. / GESTION DE PLACEMENTS ADROIT LTEE (NRD# 11680 )


Portfolio Manager

ADVANCED CAPITAL CORPORATION (NRD# 46100 )


Exempt Market Dealer

ADVISORY CAPITAL GROUP CANADA INC. (NRD# 5180 )


Portfolio Manager

ADVISORY RESEARCH, INC. (NRD# 26480 )


International Adviser - Exemption

AEGIS CAPITAL CORP. (NRD# 40870 )


International Dealer - Exemption

AESSF III PRIVATE INVESTORS GP, LTD (NRD# 51770 )


International Investment Fund Manager - Exemption

AETOS ALTERNATIVES MANAGEMENT, LLC (NRD# 18360 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

AEW CAPITAL MANAGEMENT, LP (NRD# 43200 )


International Adviser - Exemption

AEW UK INVESTMENT MANAGEMENT LLP (NRD# 54340 )


International Investment Fund Manager - Exemption

AFINA CAPITAL MANAGEMENT INC. (NRD# 31010 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AGAWA FUND MANAGEMENT INC. (NRD# 53320 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AGECROFT PARTNERS, LLC (NRD# 41170 )


International Dealer - Exemption

AGF INTERNATIONAL ADVISORS COMPANY LTD (NRD# 52420 )


International Adviser - Exemption

AGF INVESTMENTS INC. / PLACEMENTS AGF INC. (NRD# 3640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

AGF SECURITIES (CANADA) LIMITED (NRD# 20 )


Investment Dealer

AGILITH CAPITAL INC. (NRD# 26360 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AHF CAPITAL PARTNERS INC. (NRD# 42210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AHL PARTNERS LLP (NRD# 49900 )


International Investment Fund Manager - Exemption

AIP ASSET MANAGEMENT INC. (NRD# 43370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AIP GLOBAL DIVERSIFIED VI GP LP (NRD# 47480 )


International Investment Fund Manager - Exemption

AIP GLOBAL IMPACT I GP LP (NRD# 52190 )


International Investment Fund Manager - Exemption

AIP PHOENIX II GP LP (NRD# 45390 )


International Investment Fund Manager - Exemption

AJO FUNDS, LLC (NRD# 54350 )


International Investment Fund Manager - Exemption

AJO, LP (NRD# 16910 )


International Adviser - Exemption

AKRE CAPITAL MANAGEMENT, LLC (NRD# 50280 )


International Investment Fund Manager - Exemption

ALAMBIC INVESTMENT MANAGEMENT L.P. (NRD# 51730 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ALBOURNE AMERICA LLC (NRD# 25150 )


International Adviser - Exemption

ALBOURNE PARTNERS (CANADA) LIMITED (NRD# 47650 )


Portfolio Manager

ALCENTRA EUROPEAN DLF A LIMITED (NRD# 46910 )


International Investment Fund Manager - Exemption

ALCENTRA EUROPEAN DLF GP LIMITED (NRD# 50610 )


International Investment Fund Manager - Exemption

ALCENTRA EUROPEAN DLF INVESTOR FEEDER LIMITED PARTNERSHIP (NRD# 46900 )


International Investment Fund Manager - Exemption

ALDERSLEY SECURITIES INC. (NRD# 5540 )


Mutual Fund Dealer

Portfolio Manager

ALEXANDER CAPITAL GROUP INC. (NRD# 22840 )


Exempt Market Dealer

ALEXANDRIA CAPITAL, LLC (NRD# 54300 )


International Adviser - Exemption

ALGONQUIN CAPITAL CORPORATION (NRD# 46400 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNED CAPITAL PARTNERS INC. (NRD# 2340 )


Investment Dealer

Investment Fund Manager

ALIGNVEST CAPITAL MANAGEMENT INC. (NRD# 42570 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALIGNVEST INVESTMENT MANAGEMENT CORPORATION (NRD# 49100 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

ALKEON CAPITAL MANAGEMENT, LLC (NRD# 46130 )


International Investment Fund Manager - Exemption

ALL GROUP FINANCIAL SERVICES INC. (NRD# 22960 )


Investment Dealer

ALLARD PARTNERS LIMITED (NRD# 40280 )


International Dealer - Exemption

ALLARD PARTNERS MANAGEMENT LIMITED (NRD# 42620 )


International Investment Fund Manager - Exemption

ALLARD, ALLARD & ASSOCIES INC. (NRD# 20120 )


Portfolio Manager

ALLBLUE LIMITED (NRD# 42310 )


International Investment Fund Manager - Exemption

ALLEN & COMPANY LLC (NRD# 40400 )


International Dealer - Exemption

ALLEN INVESTMENT MANAGEMENT LLC (NRD# 56150 )


International Adviser - Exemption

ALLIANCEBERNSTEIN CANADA, INC. (NRD# 100 )


Exempt Market Dealer

Portfolio Manager

ALLIANCEBERNSTEIN L.P. (NRD# 43600 )


International Investment Fund Manager - Exemption

ALLIANZ GLOBAL INVESTORS GMBH (NRD# 45610 )


International Investment Fund Manager - Exemption

ALLIANZ GLOBAL INVESTORS U.S. LLC / ALLIANZ INVESTISSEURS MONDIAUX E.-U. (NRD# 9820 )


Exempt Market Dealer

International Adviser - Exemption

International Investment Fund Manager - Exemption

ALLIED CAPITAL CORPORATION (NRD# 4390 )


Exempt Market Dealer

ALLOY INVESTMENTS ADVISORS, LLC (NRD# 48760 )


International Investment Fund Manager - Exemption

ALLSTATE INVESTMENT MANAGEMENT COMPANY (NRD# 46260 )


International Adviser - Exemption

ALLVISTA INVESTMENT MANAGEMENT INC. (NRD# 27610 )


Portfolio Manager

ALPENROSE WEALTH MANAGEMENT AG (NRD# 34200 )


International Adviser - Exemption

ALPHA PATRIMOINE S.A. (NRD# 53280 )


International Adviser - Exemption

International Dealer - Exemption

ALPHAFIXE CAPITAL INC. (NRD# 28220 )


Investment Fund Manager

Portfolio Manager

ALPHAGEN CAPITAL LIMITED (NRD# 39860 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ALPHANORTH ASSET MANAGEMENT (NRD# 26330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALPHAPARITY, LLC (NRD# 52550 )


International Investment Fund Manager - Exemption

ALPHAPLANUM INC. (NRD# 48980 )


Portfolio Manager

ALPHAPRO MANAGEMENT INC. (NRD# 34600 )


Investment Fund Manager

ALPINVEST PARTNERS B.V. (NRD# 45880 )


International Investment Fund Manager - Exemption

ALPS ADVISORS, INC. (NRD# 49870 )


International Investment Fund Manager - Exemption

ALPS DISTRIBUTORS, INC. (NRD# 7770 )


International Dealer - Exemption

ALTA WEST MORTGAGE CAPITAL CORPORATION (NRD# 33610 )


Exempt Market Dealer

ALTACORP CAPITAL INC. (NRD# 33040 )


Investment Dealer

ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC (NRD# 51060 )


International Dealer - Exemption

ALTERNATIVE CAPITAL GROUP INC. / GROUPE CAPITAL ALTERNATIF INC. (NRD# 42220 )


Exempt Market Dealer

ALTIMUM MUTUALS INC. (NRD# 15640 )


Mutual Fund Dealer

ALTIUM WEALTH ARCHITECTURE INC. / ALTIUM ARCHITECTURE DE PATRIMOINE INC. (NRD# 44490 )


Portfolio Manager

ALTRINSIC GLOBAL ADVISORS, LLC (NRD# 23170 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ALTUS SECURITIES INC. (NRD# 5960 )


Investment Dealer

ALVAREZ & MARSAL CANADA SECURITIES ULC (NRD# 39430 )


Exempt Market Dealer

ALYESKA INVESTMENT GROUP, L.P. (NRD# 47870 )


International Investment Fund Manager - Exemption

AMALA PARTNERS LLP (NRD# 54710 )


International Dealer - Exemption

AMBIT CAPITAL PRIVATE LIMITED (NRD# 48430 )


International Dealer - Exemption

AMERICA NORTHCOAST SECURITIES, INC. (NRD# 38810 )


International Dealer - Exemption

AMERICAN CAPITAL ACSF MANAGEMENT, LLC (NRD# 46980 )


International Investment Fund Manager - Exemption

AMERICAN CENTURY INVESTMENT MANAGEMENT, INC. (NRD# 12830 )


International Adviser - Exemption

AMG DISTRIBUTORS, INC. (NRD# 49750 )


International Dealer - Exemption

AMHERST PIERPONT SECURITIES LLC (NRD# 55050 )


International Dealer - Exemption

AMP CAPITAL INVESTORS LIMITED (NRD# 49420 )


International Adviser - Exemption

International Dealer - Exemption

AMUNDI ASSET MANAGEMENT (NRD# 50170 )


International Adviser - Exemption

AMUNDI CANADA INC. (NRD# 27710 )


Exempt Market Dealer

Portfolio Manager

ANALYTIC INVESTORS, LLC (NRD# 30280 )


Portfolio Manager

ANCHORAGE CAPITAL GROUP, L.L.C. (NRD# 43610 )


International Investment Fund Manager - Exemption

ANDBANC ADVISORY LLC (NRD# 46510 )


International Adviser - Exemption

ANDBANK (BAHAMAS) LIMITED (NRD# 51700 )


International Dealer - Exemption

ANDREW GARRETT, INC. (NRD# 49830 )


International Dealer - Exemption

ANGELLIST ADVISORS, LLC (NRD# 57110 )


Restricted Dealer

ANGELO, GORDON & CO., L.P. (NRD# 43620 )


International Investment Fund Manager - Exemption

ANGELO, GORDON EUROPE LLP (NRD# 47610 )


International Dealer - Exemption

ANNAPOLIS CAPITAL LIMITED (NRD# 30040 )


Exempt Market Dealer

Investment Fund Manager

ANSON ADVISORS INC. (NRD# 42730 )


Exempt Market Dealer

Portfolio Manager

ANTARES INVESTMENT MANAGEMENT, INC. (NRD# 18330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ANTYA INVESTMENTS INC. (NRD# 49320 )


Portfolio Manager

ANZ SECURITIES, INC. (NRD# 10180 )


International Dealer - Exemption

AON HEWITT INVESTMENT MANAGEMENT INC. (NRD# 51900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

AON SECURITIES INC. (NRD# 9360 )


International Adviser - Exemption

International Dealer - Exemption

AON SECURITIES INVESTMENT MANAGEMENT INC. (NRD# 51270 )


Commodity Trading Manager

Portfolio Manager

APAX VIII GP CO. LIMITED (NRD# 37460 )


International Dealer - Exemption

APOLLO CREDIT SHORT OPPORTUNITIES FUND (OFFSHORE) LTD. (NRD# 52760 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

APOLLO EPF MANAGEMENT II, L.P. (NRD# 41890 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

APOLLO MANAGEMENT VIII, L.P. (NRD# 44910 )


International Investment Fund Manager - Exemption

APOLLO SPECIAL SITUATIONS FUND L.P. (NRD# 55150 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

APS ASSET MANAGEMENT PTE LTD (NRD# 40180 )


Portfolio Manager

AQR CAPITAL MANAGEMENT, LLC (NRD# 33420 )


Exempt Market Dealer

International Adviser - Exemption

International Investment Fund Manager - Exemption

AQUEDUCT CAPITAL GROUP, LLC (NRD# 37280 )


International Dealer - Exemption

AR3 CAPITAL MANAGEMENT INC. (NRD# 41210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARAB BANK (SWITZERLAND) LTD. (NRD# 53900 )


International Adviser - Exemption

International Dealer - Exemption

ARC FINANCIAL CORP. (NRD# 2960 )


Exempt Market Dealer

ARCHER CAPITAL MANAGEMENT, L.P. (NRD# 54040 )


International Investment Fund Manager - Exemption

ARDIAN INVESTMENT UK LTD (NRD# 45000 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ARENA INVESTORS, LP (NRD# 52960 )


International Adviser - Exemption

ARES INVESTOR SERVICES, LLC (NRD# 50710 )


International Dealer - Exemption

ARES MANAGEMENT LLC (NRD# 47060 )


International Adviser - Exemption

ARES MANAGEMENT UK LIMITED (NRD# 50200 )


International Investment Fund Manager - Exemption

ARES REAL ESTATE MANAGEMENT HOLDINGS, LLC (NRD# 51960 )


International Investment Fund Manager - Exemption

ARGENTIERE CAPITAL AG. (NRD# 49850 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ARGENTIERE CAPITAL LP (NRD# 49780 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ARGENTUM ASSET MANAGEMENT INC. (NRD# 57190 )


International Adviser - Exemption

ARGOSY SECURITIES INC. (NRD# 5450 )


Investment Dealer

ARIEL INVESTMENTS, LLC (NRD# 18390 )


International Adviser - Exemption

ARIES WEALTH MANAGEMENT LLC (NRD# 51800 )


International Adviser - Exemption

ARISTEIA CAPITAL, L.L.C. (NRD# 43640 )


International Investment Fund Manager - Exemption

ARISTOTLE CAPITAL MANAGEMENT, LLC (NRD# 25200 )


International Adviser - Exemption

ARMAJARO ASSET MANAGEMENT LLP (NRD# 57170 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ARMSTRONG SHAW ASSOCIATES INC. (NRD# 32190 )


Portfolio Manager

AROHI ASSET MANAGEMENT PTE. LTD. (NRD# 36790 )


Portfolio Manager

ARROW CAPITAL MANAGEMENT INC. (NRD# 9540 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARROWGRASS CAPITAL PARTNERS LLP (NRD# 53210 )


International Adviser - Exemption

International Dealer - Exemption

ARROWGRASS INVESTMENT MANAGEMENT LTD (NRD# 53230 )


International Investment Fund Manager - Exemption

ARROWSTREET CAPITAL GLOBAL EQUITY LONG/SHORT FEEDER FUND (FEEDER) LIMITED (NRD# 46940 )


International Investment Fund Manager - Exemption

ARROWSTREET CAPITAL, LIMITED PARTNERSHIP (NRD# 9320 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

ARROWSTREET MULTI-STRATEGY UMBRELLA PLC (NRD# 42320 )


International Investment Fund Manager - Exemption

ARTEMIS INVESTMENT MANAGEMENT LIMITED (NRD# 18440 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ARTISAN PARTNERS DISTRIBUTORS LLC (NRD# 41260 )


International Dealer - Exemption

ARTISAN PARTNERS LIMITED PARTNERSHIP (NRD# 31230 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ARTIST CAPITAL LLC (NRD# 49230 )


International Dealer - Exemption

ASANTE CAPITAL GROUP LLP (NRD# 41330 )


International Dealer - Exemption

ASB CAPITAL MANAGEMENT LLC (NRD# 52720 )


International Investment Fund Manager - Exemption

ASCEND CAPITAL LIMITED PARTNERSHIP (NRD# 39110 )


International Investment Fund Manager - Exemption

ASCEND CAPITAL, LLC (NRD# 31080 )


International Investment Fund Manager - Exemption

Portfolio Manager

ASCENDO FINANCIAL SOLUTIONS INC. (NRD# 47570 )


Exempt Market Dealer

ASCENTA FINANCE CORP. (NRD# 23800 )


Exempt Market Dealer

ASHMORE EQUITIES INVESTMENT MANAGEMENT (US) LLC (NRD# 22890 )


International Adviser - Exemption

ASHMORE INVESTMENT ADVISORS LIMITED (NRD# 49810 )


International Adviser - Exemption

International Dealer - Exemption

ASHMORE INVESTMENT MANAGEMENT LIMITED (NRD# 12280 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

ASIA ALTERNATIVES MANAGEMENT LLC (NRD# 47460 )


International Investment Fund Manager - Exemption

ASPECT CAPITAL LIMITED (NRD# 32850 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ASSANTE CAPITAL MANAGEMENT LTD./GESTION DE CAPITAL ASSANTE LTEE (NRD# 1160 )


Investment Dealer

ASSANTE FINANCIAL MANAGEMENT LTD./GESTION FINANCIERE ASSANTE LTEE (NRD# 25750 )


Exempt Market Dealer

Mutual Fund Dealer

ASSF OPERATING MANAGER IV, L.P. (NRD# 49300 )


International Investment Fund Manager - Exemption

ASTENBECK CAPITAL MANAGEMENT LLC (NRD# 44750 )


International Investment Fund Manager - Exemption

ASTERION FUND SERVICES (OFFSHORE) LTD. (NRD# 56040 )


International Investment Fund Manager - Exemption

ASTON HILL ASSET MANAGEMENT INC. (NRD# 12690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ASTON HILL CAPITAL MARKETS INC. (NRD# 10890 )


Investment Fund Manager

Portfolio Manager

ATALAYA CAPITAL MANAGEMENT LP (NRD# 44680 )


International Investment Fund Manager - Exemption

ATB INVESTMENT MANAGEMENT INC. (NRD# 14430 )


Investment Fund Manager

Portfolio Manager

ATB SECURITIES INC. (NRD# 16070 )


Investment Dealer

ATHYRIUM CAPITAL MANAGEMENT, LP (NRD# 51640 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ATLANTIC TRUST COMPANY, N.A. (NRD# 46210 )


International Adviser - Exemption

ATLANTIC-PACIFIC CAPITAL, INC. (NRD# 16420 )


International Dealer - Exemption

ATLAS CAPITAL INC. (NRD# 56370 )


Exempt Market Dealer

AUERBACH GRAYSON & COMPANY LLC (NRD# 32300 )


International Dealer - Exemption

AURION CAPITAL MANAGEMENT INC. / GESTION DE PLACEMENTS AURION INC. (NRD# 3380 )


Investment Fund Manager

Portfolio Manager

AURORA INVESTMENT MANAGEMENT L.L.C. (NRD# 16200 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

AUSPICE CAPITAL ADVISORS LTD. (NRD# 25850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED (NRD# 33390 )


International Dealer - Exemption

AUTHENTIC ASSET MANAGEMENT INC./GESTION D'ACTIFS AUTHENTIC INC. (NRD# 50110 )


Commodity Trading Manager

Portfolio Manager

AUTONOMY CAPITAL (JERSEY) L.P. (NRD# 43710 )


International Investment Fund Manager - Exemption

AVANDA INVESTMENT MANAGEMENT PTE. LTD. (NRD# 55700 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

AVENTICUM CAPITAL MANAGEMENT (QATAR) LLC (NRD# 55660 )


International Investment Fund Manager - Exemption

AVENTICUM CAPITAL MANAGEMENT (SWITZERLAND) LTD (NRD# 55880 )


International Investment Fund Manager - Exemption

AVENTICUM CAPITAL MANAGEMENT (UK) LLP (NRD# 55650 )


International Investment Fund Manager - Exemption

AVENTICUM REAL ESTATE PARTNERS EUROPE GP LTD. (NRD# 55320 )


International Investment Fund Manager - Exemption

AVENTINE MANAGEMENT GROUP INC. (NRD# 14850 )


Investment Fund Manager

Portfolio Manager

AVENUE ENERGY OPPORTUNITIES PARTNERS, LLC (NRD# 51470 )


International Investment Fund Manager - Exemption

AVENUE INVESTMENT MANAGEMENT INC. (NRD# 15660 )


Portfolio Manager

AVIVA INVESTORS AMERICAS LLC (NRD# 43450 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

AVIVA INVESTORS CANADA INC. (NRD# 8420 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

AVIVA INVESTORS LUXEMBOURG S.A. (NRD# 56950 )


International Investment Fund Manager - Exemption

AVONDALE PARTNERS, LLC (NRD# 12290 )


International Dealer - Exemption

AXA REAL ESTATE INVESTMENT MANAGERS SGP. (NRD# 46110 )


International Investment Fund Manager - Exemption

AXA ROSENBERG INVESTMENT MANAGEMENT LLC / GESTION D'INVESTISSEMENTS AXA ROSENBERG (NRD# 12090 )


International Adviser - Exemption

AXCESS CAPITAL ADVISORS INC. (NRD# 34040 )


Exempt Market Dealer

AXIOM CAPITAL MANAGEMENT, INC. (NRD# 34340 )


International Dealer - Exemption

AXIOM INTERNATIONAL INVESTORS LLC (NRD# 43730 )


International Investment Fund Manager - Exemption

AXONIC CAPITAL LLC (NRD# 48700 )


International Investment Fund Manager - Exemption

AYAL CAPITAL ADVISORS LIMITED (NRD# 44670 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B. RILEY & CO., LLC (NRD# 33000 )


International Dealer - Exemption

B.A.F. CAPITAL MANAGEMENT INC. (NRD# 40250 )


Restricted Portfolio Manager

B.E.S.T. INVESTMENT COUNSEL LIMITED (NRD# 8500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

B.S.P. FUNDS CANADA INC. (NRD# 30320 )


Exempt Market Dealer

B2B BANK FINANCIAL SERVICES INC./B2B BANQUE SERVICES FINANCIERS INC. (NRD# 4330 )


Exempt Market Dealer

Mutual Fund Dealer

B2B BANK SECURITIES SERVICES INC. / B2B BANQUE SERVICES DE VALEURS MOBILIERES INC. (NRD# 6690 )


Investment Dealer

BA SECURITIES, LLC (NRD# 54390 )


International Dealer - Exemption

BAADER BANK AG (NRD# 45920 )


International Dealer - Exemption

BAADER HELVEA AG (NRD# 24250 )


International Dealer - Exemption

BAADER HELVEA INC. (NRD# 20810 )


International Dealer - Exemption

BABSON CAPITAL MANAGEMENT LLC (NRD# 440 )


International Adviser - Exemption

BAHL & GAYNOR, INC (NRD# 45740 )


International Adviser - Exemption

BAILLIE GIFFORD & CO LIMITED (NRD# 48560 )


International Investment Fund Manager - Exemption

Portfolio Manager

BAILLIE GIFFORD OVERSEAS LIMITED (NRD# 460 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

Portfolio Manager

BAINCO INTERNATIONAL INVESTORS, LLC (NRD# 53720 )


International Adviser - Exemption

BAKER GILMORE & ASSOCIES INC. / BAKER GILMORE & ASSOCIATES INC. (NRD# 400 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

BALLENTINE PARTNERS, LLC (NRD# 38370 )


International Adviser - Exemption

BALYASNY ASSET MANAGEMENT L.P. (NRD# 38870 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BANCA IMI SECURITIES CORP. (NRD# 18370 )


International Dealer - Exemption

BANCO DO BRASIL SECURITIES LLC (NRD# 28470 )


International Dealer - Exemption

BANCO VOTORANTIM SECURITIES, INC. (NRD# 33030 )


International Dealer - Exemption

BANK HAPOALIM (SWITZERLAND) LTD. (NRD# 39220 )


International Adviser - Exemption

International Dealer - Exemption

BANK HAPOALIM B.M. (NRD# 39200 )


International Adviser - Exemption

International Dealer - Exemption

BANK JULIUS BAER (MONACO) SAM (NRD# 35410 )


International Adviser - Exemption

International Dealer - Exemption

BANK JULIUS BAER & CO. LTD (NRD# 33770 )


International Adviser - Exemption

International Dealer - Exemption

BANK LEUMI LE ISRAEL B.M. (NRD# 39210 )


International Dealer - Exemption

BANK OF AMERICA, N.A. (NRD# 11220 )


International Adviser - Exemption

International Dealer - Exemption

BANQUE NATIONALE INVESTISSEMENTS INC./NATIONAL BANK INVESTMENTS INC. (NRD# 28750 )


Investment Fund Manager

Mutual Fund Dealer

BANQUE SYZ SA (NRD# 48320 )


International Adviser - Exemption

BANWELL FINANCIAL INC. (NRD# 10300 )


Exempt Market Dealer

Mutual Fund Dealer

BARCLAYS BANK PLC (NRD# 54950 )


International Dealer - Exemption

BARCLAYS CAPITAL CANADA INC. (NRD# 23970 )


Investment Dealer

BARCLAYS CAPITAL INC. (NRD# 6800 )


International Adviser - Exemption

International Dealer - Exemption

BARCLAYS CAPITAL SECURITIES LIMITED (NRD# 18860 )


International Dealer - Exemption

BARING INTERNATIONAL INVESTMENT LIMITED (NRD# 480 )


Portfolio Manager

BARING NORTH AMERICA LLC (NRD# 6480 )


Exempt Market Dealer

Investment Fund Manager

BARINGS REAL ESTATE ADVISERS LLC (NRD# 53670 )


International Adviser - Exemption

BARINGS SECURITIES LLC (NRD# 13400 )


International Dealer - Exemption

BAROMETER CAPITAL MANAGEMENT INC. (NRD# 10920 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARON CAPITAL MANAGEMENT, INC. (NRD# 37780 )


International Adviser - Exemption

BARRAGE CAPITAL INC. (NRD# 37070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BARRANTAGH INVESTMENT MANAGEMENT INC. (NRD# 5360 )


Portfolio Manager

BARRINGTON RESEARCH ASSOCIATES, INC. (NRD# 32260 )


International Dealer - Exemption

BARROW, HANLEY, MEWHINNEY & STRAUSS, LLC (NRD# 30470 )


International Adviser - Exemption

BASKIN FINANCIAL SERVICES INC. (NRD# 7050 )


Portfolio Manager

BAYFRONT CAPITAL PARTNERS LTD. (NRD# 31330 )


Exempt Market Dealer

BAYVIEW FUND MANAGEMENT, LLC. (NRD# 48400 )


International Investment Fund Manager - Exemption

BB&T SECURITIES, LLC (NRD# 47930 )


International Dealer - Exemption

BBS SECURITIES INC (NRD# 27620 )


Investment Dealer

BBVA SECURITIES INC. (NRD# 20890 )


International Dealer - Exemption

BCP SECURITIES LLC (NRD# 34210 )


International Dealer - Exemption

BCV ASSET MANAGEMENT INC. (NRD# 24700 )


Portfolio Manager

BDCM OPPORTUNITY FUND IV ADVISER, L.L.C. (NRD# 51150 )


International Investment Fund Manager - Exemption

BDT & COMPANY, LLC (NRD# 35800 )


International Dealer - Exemption

BEACON HILL FINANCIAL CORPORATION (NRD# 23410 )


International Dealer - Exemption

BEACON SECURITIES LIMITED/VALEURS MOBILIERES BEACON LTEE (NRD# 15540 )


Investment Dealer

BECKSLEY CAPITAL INC. / CAPITAL BECKSLEY INC. (NRD# 540 )


Exempt Market Dealer

BELCO PRIVATE CAPITAL INC. (NRD# 35250 )


Exempt Market Dealer

BELLECAPITAL AG (NRD# 55540 )


International Adviser - Exemption

BELLOTTI CAPITAL PARTNERS INC. (NRD# 23350 )


Exempt Market Dealer

BELLWETHER CONSULTING LLC (NRD# 41370 )


International Adviser - Exemption

BELLWETHER INVESTMENT MANAGEMENT INC. (NRD# 21600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BENEFIT STREET PARTNERS LLC (NRD# 49460 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BER TOV CAPITAL CORPORATION (NRD# 25280 )


Exempt Market Dealer

BERCHWOOD PARTNERS LLC (NRD# 26710 )


International Dealer - Exemption

BERENBERG ASSET MANAGEMENT LLC (NRD# 57100 )


International Adviser - Exemption

BERENBERG CAPITAL MARKETS LLC (NRD# 40740 )


International Dealer - Exemption

BERINGER CAPITAL PARTNERS LTD. (NRD# 21360 )


Exempt Market Dealer

BEUTEL, GOODMAN & COMPANY LTD./BEUTEL, GOODMAN & COMPAGNIE LTEE. (NRD# 260 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BFI WEALTH MANAGEMENT (INTERNATIONAL) LTD. (NRD# 53550 )


International Adviser - Exemption

BGC BROKERS, L.P. (NRD# 37030 )


International Dealer - Exemption

BGC FINANCIAL, L.P. (NRD# 30640 )


International Dealer - Exemption

BIMCOR INC. (NRD# 270 )


Investment Fund Manager

Portfolio Manager

BIRCHLEAF INVESTMENTS INC. (NRD# 9390 )


Investment Fund Manager

Portfolio Manager

BITTERROOT CAPITAL ADVISORS, LLC (NRD# 36550 )


Portfolio Manager

BKC CAPITAL INC. (NRD# 43070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK CREEK INVESTMENT MANAGEMENT INC. (NRD# 18900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACK SWAN DEXTERITAS INC. (NRD# 41290 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACKBRIDGE CAPITAL MANAGEMENT CORP. (NRD# 35230 )


Exempt Market Dealer

Investment Fund Manager

BLACKCRANE CAPITAL LLC (NRD# 49610 )


International Adviser - Exemption

BLACKHEATH FUND MANAGEMENT INC. (NRD# 29840 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

BLACKROCK (LUXEMBOURG) S.A. (NRD# 50850 )


International Investment Fund Manager - Exemption

BLACKROCK ASSET MANAGEMENT CANADA LIMITED/GESTION D'ACTIFS BLACKROCK CANADA LIMITEE (NRD# 3900 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLACKROCK ASSET MANAGEMENT IRELAND LIMITED (NRD# 44760 )


International Investment Fund Manager - Exemption

BLACKROCK CAPITAL MANAGEMENT, INC. (NRD# 33330 )


International Investment Fund Manager - Exemption

BLACKROCK EXECUTION SERVICES (NRD# 10830 )


International Dealer - Exemption

BLACKROCK FINANCIAL MANAGEMENT, INC. (NRD# 6810 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BLACKROCK FUND MANAGERS LIMITED (NRD# 51010 )


International Investment Fund Manager - Exemption

BLACKROCK INSTITUTIONAL TRUST COMPANY, NATIONAL ASSOCIATION (NRD# 18480 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BLACKROCK INVESTMENT MANAGEMENT (UK) LIMITED (NRD# 35830 )


International Adviser - Exemption

BLACKROCK INVESTMENT MANAGEMENT, LLC (NRD# 41930 )


International Investment Fund Manager - Exemption

BLACKROCK INVESTMENTS, LLC (NRD# 36100 )


International Dealer - Exemption

BLACKSTONE ADVISORY PARTNERS L.P. (NRD# 45690 )


International Dealer - Exemption

BLACKSTONE ALTERNATIVE ASSET MANAGEMENT L.P. (NRD# 37910 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BLACKSTONE MULTI-ASSET ADVISORS L.L.C (NRD# 49340 )


International Investment Fund Manager - Exemption

BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C. (NRD# 45680 )


International Investment Fund Manager - Exemption

BLACKSTONE STRATEGIC ALLIANCE ADVISORS LLC. (NRD# 51480 )


International Investment Fund Manager - Exemption

BLAIR FRANKLIN CAPITAL PARTNERS INC. (NRD# 41310 )


Exempt Market Dealer

BLAKENEY GENERAL PARTNERS IV LIMITED (NRD# 51460 )


International Investment Fund Manager - Exemption

BLAKENEY LLP (NRD# 51380 )


International Adviser - Exemption

International Dealer - Exemption

BLENHEIM FUND MANAGEMENT, LLC (NRD# 46830 )


International Investment Fund Manager - Exemption

BLOOM BURTON & CO. LIMITED (NRD# 49560 )


Investment Dealer

BLOOM INVESTMENT COUNSEL, INC. (NRD# 280 )


Investment Fund Manager

Portfolio Manager

BLOOM TREE (GP), LLC (NRD# 52180 )


International Investment Fund Manager - Exemption

BLOOM TREE PARTNERS, LLC (NRD# 52170 )


International Investment Fund Manager - Exemption

BLOOMBERG TRADEBOOK CANADA COMPANY (NRD# 11870 )


Futures Commission Merchant

Investment Dealer

BLOOMBERG TRADEBOOK LLC (NRD# 7350 )


International Dealer - Exemption

BLOOMBERGSEN INC. (NRD# 26810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BLUE HARBOUR GROUP, L.P. (NRD# 56140 )


International Investment Fund Manager - Exemption

BLUE RIBBON FUND MANAGEMENT LTD. (NRD# 35270 )


Investment Fund Manager

BLUE SAND SECURITIES LLC (NRD# 48040 )


International Dealer - Exemption

BLUE SKY WATER PARTNERS PTY LIMITED (NRD# 55560 )


International Investment Fund Manager - Exemption

BLUE WAVE INVESTMENTS INC. (NRD# 56660 )


Commodity Trading Manager

BLUEBAY ASSET MANAGEMENT LLP (NRD# 40510 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

BLUEBAY DIRECT LENDING FUND I GENERAL PARTNER LIMITED (NRD# 43770 )


International Investment Fund Manager - Exemption

BLUEBAY FUNDS MANAGEMENT COMPANY S.A. (NRD# 45020 )


International Investment Fund Manager - Exemption

BLUECREST CAPITAL INTERNATIONAL LIMITED (NRD# 42270 )


International Investment Fund Manager - Exemption

BLUECREST CAPITAL MANAGEMENT (CANADA) LIMITED / GESTION DE CAPITAUX (CANADA) BLUECREST LIMITEE (NRD# 45980 )


Commodity Trading Manager

Portfolio Manager

BLUECREST CAPITAL MANAGEMENT LIMITED (NRD# 49860 )


International Dealer - Exemption

BLUEMATRIX LIMITED (NRD# 50140 )


International Investment Fund Manager - Exemption

BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC (NRD# 40060 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BLUENOSE INVESTMENT MANAGEMENT INC. (NRD# 14820 )


Portfolio Manager

BLUESKY INVESTMENT COUNSEL INC. (NRD# 56080 )


Portfolio Manager

BLUETREND FUND LIMITED (NRD# 42290 )


International Investment Fund Manager - Exemption

BLUEWATER INVESTMENT MANAGEMENT INC. (NRD# 4950 )


Portfolio Manager

BMO ASSET MANAGEMENT CORP. (NRD# 7800 )


Commodity Trading Manager

Portfolio Manager

BMO ASSET MANAGEMENT INC./BMO GESTION D'ACTIFS INC. (NRD# 1850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BMO CAPITAL MARKETS CORP. (NRD# 9000 )


International Dealer - Exemption

BMO CAPITAL MARKETS LIMITED (NRD# 33570 )


International Dealer - Exemption

BMO INVESTMENTS INC./BMO INVESTISSEMENTS INC. (NRD# 550 )


Investment Fund Manager

Mutual Fund Dealer

BMO INVESTORLINE INC./BMO LIGNE D'ACTION INC. (NRD# 250 )


Investment Dealer

BMO NESBITT BURNS INC. (NRD# 2580 )


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

BMO PRIVATE INVESTMENT COUNSEL INC./BMO GESTION PRIVEE DE PLACEMENTS INC. (NRD# 1810 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNP PARIBAS (NRD# 48960 )


International Dealer - Exemption

BNP PARIBAS (CANADA) VALEURS MOBILIERES INC./BNP PARIBAS (CANADA) SECURITIES INC. (NRD# 23310 )


Investment Dealer

BNP PARIBAS PRIME BROKERAGE, INC. (NRD# 37000 )


International Dealer - Exemption

BNP PARIBAS SECURITIES CORP. (NRD# 2920 )


International Dealer - Exemption

BNY MELLON ASSET MANAGEMENT CANADA LTD. (NRD# 6140 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BNY MELLON CAPITAL MARKETS LLC (NRD# 24070 )


International Dealer - Exemption

BNY MELLON GLOBAL MANAGEMENT LIMITED (NRD# 57220 )


International Investment Fund Manager - Exemption

BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD. (NRD# 47950 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC. (NRD# 5810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BOC INTERNATIONAL (USA) INC. (NRD# 29790 )


International Dealer - Exemption

BOLTON CAPITAL CANADA INC. (NRD# 46550 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BONDS.COM, INC. (NRD# 38010 )


International Dealer - Exemption

BONWICK CAPITAL PARTNERS, LLC (NRD# 49210 )


Exempt Market Dealer

BORDEAUX CAPITAL INC. (NRD# 53840 )


Exempt Market Dealer

BOSTON PARTNERS GLOBAL INVESTORS, INC. (NRD# 24560 )


International Adviser - Exemption

BOSTON PARTNERS SECURITIES, L.L.C. (NRD# 24720 )


International Dealer - Exemption

BOSTONIA GLOBAL SECURITIES LLC (NRD# 24630 )


International Dealer - Exemption

BOWMONT CAPITAL AND ADVISORY LTD. (NRD# 34800 )


Exempt Market Dealer

BRACEBRIDGE CAPITAL, LLC (NRD# 46610 )


International Investment Fund Manager - Exemption

BRADESCO SECURITIES, INC. (NRD# 30500 )


International Dealer - Exemption

BRANDES INVESTMENT PARTNERS & CO. (NRD# 7570 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT (CANADA), ULC (NRD# 6360 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC (NRD# 6540 )


International Adviser - Exemption

BRANT SECURITIES LIMITED (NRD# 300 )


Investment Dealer

BRASIL PLURAL SECURITIES LLC (NRD# 44380 )


International Dealer - Exemption

BREAN CAPITAL, LLC (NRD# 29190 )


International Dealer - Exemption

BRETON HILL CAPITAL LTD. (NRD# 32370 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BREVAN HOWARD CAPITAL MANAGEMENT LP (NRD# 42910 )


International Investment Fund Manager - Exemption

BREVAN HOWARD US LLC (NRD# 33230 )


International Dealer - Exemption

BRICKBURN ASSET MANAGEMENT INC. (NRD# 14220 )


Investment Fund Manager

Portfolio Manager

BRIDGEPORT ASSET MANAGEMENT INC. (NRD# 25060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRIDGEWATER ASSOCIATES, LP (NRD# 21400 )


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

BRIDGING FINANCE INC. (NRD# 44620 )


Exempt Market Dealer

Restricted Portfolio Manager

BRIGADE CAPITAL MANAGEMENT, LP (NRD# 43440 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

BRIGADE CAPITAL UK LLP (NRD# 51520 )


International Adviser - Exemption

BRISTOL GATE CAPITAL PARTNERS INC. (NRD# 23210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BRIX RCR INC. (NRD# 42230 )


Exempt Market Dealer

BROAD STREET REAL ESTATE CREDIT PARTNERS II GP. L.L.C. (NRD# 47700 )


International Investment Fund Manager - Exemption

BROADVIEW CAPITAL MANAGEMENT INC. (NRD# 29090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROKERTEC AMERICAS LLC (NRD# 12360 )


International Dealer - Exemption

BROMPTON FUNDS LIMITED (NRD# 37530 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOK CAPITAL CORPORATION (NRD# 4790 )


Exempt Market Dealer

BROOKFIELD FINANCIAL SECURITIES LP (NRD# 52080 )


Investment Dealer

BROOKFIELD INVESTMENT MANAGEMENT (CANADA) INC. (NRD# 22390 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKFIELD INVESTMENT MANAGEMENT INC. (NRD# 21490 )


Commodity Trading Manager

Portfolio Manager

BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAUX BROOKFIELD SOUNDVEST LTEE (NRD# 1830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BROOKVEST CAPITAL CORPORATION (NRD# 40310 )


Exempt Market Dealer

BROWN ADVISORY LLC (NRD# 52280 )


International Adviser - Exemption

BROWN BROTHERS HARRIMAN & CO. (NRD# 4140 )


International Adviser - Exemption

BSM CAPITAL CORPORATION (NRD# 27360 )


Exempt Market Dealer

BT CROISSANCE GLOBALE / BT GLOBAL GROWTH INC. (NRD# 34190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BTG PACTUAL GLOBAL ASSET MANAGEMENT LIMITED (NRD# 47260 )


International Investment Fund Manager - Exemption

BTG PACTUAL US CAPITAL LLC (NRD# 33010 )


International Dealer - Exemption

BTIG, LLC (NRD# 26520 )


International Dealer - Exemption

BUDROS, RUHLIN & ROE, INC. (NRD# 43190 )


International Adviser - Exemption

BUILDERS CAPITAL MANAGEMENT CORP. (NRD# 36850 )


Exempt Market Dealer

BULL CAPITAL MANAGEMENT INC./ GESTION DE CAPITAUX BULL INC (NRD# 24930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BULLION MANAGEMENT SERVICES INC. (NRD# 34690 )


Investment Fund Manager

BULLION MARKETING SERVICES INC. (NRD# 21450 )


Exempt Market Dealer

BURCH & COMPANY, INC. (NRD# 51830 )


International Dealer - Exemption

BURGUNDY ASSET MANAGEMENT LTD./GESTION D'ACTIFS BURGUNDY LTEE (NRD# 360 )


Investment Fund Manager

Portfolio Manager

BURKETT ASSET MANAGEMENT LIMITED (NRD# 50550 )


Portfolio Manager

BURLINGTON CAPITAL MANAGEMENT LTD. (NRD# 18790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

BUSH ASSOCIES LTEE / BUSH ASSOCIATES LTD (NRD# 19180 )


Portfolio Manager

BUTLER CAPITAL INVESTMENTS, LLC (NRD# 39090 )


International Dealer - Exemption

BUTTONWOOD SELECT OPPORTUNITIES MANAGEMENT ASSOCIATES LLC (NRD# 54580 )


International Investment Fund Manager - Exemption

BYBROOK CAPITAL LLP (NRD# 56760 )


International Investment Fund Manager - Exemption

C.L. KING & ASSOCIATES, INC. (NRD# 52780 )


International Dealer - Exemption

C.S. MCKEE, L.P. (NRD# 23390 )


International Adviser - Exemption

C.S.T. CONSULTANTS INC./CONSULTANTS C.S.T. INC. (NRD# 790 )


Investment Fund Manager

Scholarship Plan Dealer

CADIAN CAPITAL MANAGEMENT LP (NRD# 48030 )


International Investment Fund Manager - Exemption

CADO INVESTMENT FUND MANAGEMENT INC. (NRD# 34050 )


Investment Fund Manager

CAIRN CAPITAL LIMITED (NRD# 40380 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

CAIRN CAPITAL NORTH AMERICA, INC. (NRD# 40260 )


International Adviser - Exemption

CALAMOS ADVISORS LLC (NRD# 17190 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

CALDWELL INTERNATIONAL SECURITIES CORP. (NRD# 37600 )


International Dealer - Exemption

CALDWELL INVESTMENT MANAGEMENT LTD. (NRD# 6930 )


Investment Fund Manager

Portfolio Manager

CALDWELL SECURITIES LTD. (NRD# 750 )


Investment Dealer

CALEDON CAPITAL MANAGEMENT INC. (NRD# 29280 )


Exempt Market Dealer

Portfolio Manager

CALLIDUS CAPITAL CORPORATION (NRD# 41450 )


Exempt Market Dealer

Investment Fund Manager

CALROSSIE INVESTMENT MANAGEMENT INC. (NRD# 25680 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMARES CAPITAL LLP (NRD# 49600 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

CAMBRIDGE ASSOCIATES LIMITED, LLC (NRD# 48660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAMBRIDGE ASSOCIATES LLC (NRD# 10820 )


International Adviser - Exemption

CAMERON STEPHENS SECURITIES LTD. (NRD# 43180 )


Exempt Market Dealer

CAMPBELL & COMPANY, LP (NRD# 46730 )


International Investment Fund Manager - Exemption

CAMPBELL FINANCIAL SERVICES, LLC (NRD# 39240 )


International Dealer - Exemption

CAMPBELL LUTYENS & CO. LTD (NRD# 21280 )


International Dealer - Exemption

CAMPBELL, LEE & ROSS INVESTMENT MANAGEMENT INC. (NRD# 10320 )


Portfolio Manager

CANACCORD ASSET MANAGEMENT INC./CANACCORD GESTION D'ACTIFS INC. (NRD# 25790 )


Exempt Market Dealer

CANACCORD GENUITY (AUSTRALIA) LIMITED (NRD# 43530 )


International Dealer - Exemption

CANACCORD GENUITY CORP./CORPORATION CANACCORD GENUITY (NRD# 900 )


Investment Dealer

CANACCORD GENUITY INC. (NRD# 23140 )


International Dealer - Exemption

CANACCORD GENUITY LIMITED (NRD# 42820 )


International Dealer - Exemption

CANADA LIFE ASSET MANAGEMENT LIMITED (NRD# 33820 )


International Adviser - Exemption

CANADIAN IMPERIAL BANK OF COMMERCE (NRD# 43310 )


International Investment Fund Manager - Exemption

CANADIAN RESOURCES CAPITAL CORPORATION (NRD# 40220 )


Exempt Market Dealer

CANADIAN SHAREOWNER INVESTMENTS INC. / INVESTISSEMENTS ACTIONNAIRES CANADIENS INC. (NRD# 9180 )


Investment Dealer

CANDEAL.CA INC (NRD# 11860 )


Investment Dealer

CANDOR FINANCIAL GROUP INC. (NRD# 6650 )


Mutual Fund Dealer

CANFIN MAGELLAN INVESTMENTS INC. (NRD# 6870 )


Exempt Market Dealer

Mutual Fund Dealer

CANOE FINANCIAL LP (NRD# 32950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CANSO FUND MANAGEMENT LTD. (NRD# 34570 )


Investment Fund Manager

CANSO INVESTMENT COUNSEL LTD. (NRD# 7190 )


Exempt Market Dealer

Portfolio Manager

CANTAB CAPITAL PARTNERS LLP (NRD# 51310 )


International Dealer - Exemption

CANTOR FITZGERALD & CO. (NRD# 880 )


International Dealer - Exemption

CANTOR FITZGERALD CANADA CORPORATION (NRD# 24390 )


Investment Dealer

CANTOR FITZGERALD EUROPE (NRD# 30450 )


International Dealer - Exemption

CANYON CAPITAL ADVISORS LLC. (NRD# 46780 )


International Investment Fund Manager - Exemption

CAPEVIEW CAPITAL LLP (NRD# 39320 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

CAPFINANCIAL PARTNERS, LLC (NRD# 49770 )


International Adviser - Exemption

CAPITA FINANCIAL MANAGERS (IRELAND) LIMITED (NRD# 52560 )


International Investment Fund Manager - Exemption

CAPITAL CANADA LIMITED (NRD# 580 )


Exempt Market Dealer

CAPITAL CCFL S.E.N.C. (NRD# 34270 )


Exempt Market Dealer

CAPITAL FUND MANAGEMENT SA (NRD# 41860 )


International Investment Fund Manager - Exemption

CAPITAL GUARDIAN TRUST COMPANY (NRD# 4070 )


International Adviser - Exemption

CAPITAL INSIGHT PARTNERS,LLC (NRD# 40440 )


Portfolio Manager

CAPITAL INSTITUTIONAL SERVICES, INC. (NRD# 960 )


International Dealer - Exemption

CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA),INC. (NRD# 10500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CAPITAL INTERNATIONAL MANAGEMENT COMPANY, SARL (NRD# 52730 )


International Investment Fund Manager - Exemption

CAPITAL INTERNATIONAL, INC. (NRD# 41950 )


International Investment Fund Manager - Exemption

CAPITAL ONE SECURITIES, INC. (NRD# 31420 )


International Dealer - Exemption

CAPITAL STREET GROUP INVESTMENT SERVICES, INC. (NRD# 25970 )


Exempt Market Dealer

CAPSTONE INVESTMENT ADVISORS, LLC (NRD# 45500 )


International Investment Fund Manager - Exemption

CAPULA INVESTMENT MANAGEMENT LLP (NRD# 38550 )


International Dealer - Exemption

CAPULA MANAGEMENT LIMITED (NRD# 42640 )


International Investment Fund Manager - Exemption

CAR VAL INVESTORS, LLC (NRD# 46630 )


International Adviser - Exemption

CARDINAL CAPITAL MANAGEMENT INC. (NRD# 12920 )


Investment Fund Manager

Portfolio Manager

CARDINAL CAPITAL MANAGEMENT, L.L.C. (NRD# 54280 )


International Adviser - Exemption

CARDINAL POINT CAPITAL MANAGEMENT INC. (NRD# 14810 )


Portfolio Manager

CARILLON TOWER ADVISERS, INC. (NRD# 56510 )


International Investment Fund Manager - Exemption

CARLISLE CAPITAL MORTGAGE CORPORATION (NRD# 40340 )


Exempt Market Dealer

CARLSON CAPITAL, L.P. (NRD# 44480 )


International Investment Fund Manager - Exemption

CARNE GLOBAL FUND MANAGERS (IRELAND) LIMITED (NRD# 54400 )


International Investment Fund Manager - Exemption

CARNEGIE, INC. (NRD# 34750 )


International Dealer - Exemption

CARNES CAPITAL CORPORATION (NRD# 52040 )


International Dealer - Exemption

CARTE WEALTH MANAGEMENT INC. (NRD# 24540 )


Exempt Market Dealer

Mutual Fund Dealer

CASGRAIN & COMPAGNIE LIMITEE / CASGRAIN & COMPANY LIMITED (NRD# 990 )


Investment Dealer

CASPA CONSULTING & INVESTMENT MANAGEMENT LTD. (NRD# 56590 )


International Adviser - Exemption

CASSELS INVESTMENT MANAGEMENT INC. (NRD# 9500 )


Portfolio Manager

CASSIO CAPITAL PARTNERS INC. (NRD# 50630 )


Exempt Market Dealer

CASTLE RIDGE ASSET MANAGEMENT LIMITED (NRD# 52910 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CASTLEARK MANAGEMENT, LLC (NRD# 50430 )


International Adviser - Exemption

CASTLEBAY WEALTH MANAGEMENT INC. (NRD# 54260 )


Portfolio Manager

CASTLEMOORE INC. (NRD# 20640 )


Portfolio Manager

CATTERTON MANAGEMENT COMPANY, L.L.C. (NRD# 44610 )


International Investment Fund Manager - Exemption

CAUSEWAY CAPITAL MANAGEMENT LLC (NRD# 17330 )


International Adviser - Exemption

CAXTON ASSOCIATES LP (NRD# 49630 )


International Investment Fund Manager - Exemption

CBP QUILVEST S.A. (NRD# 52230 )


International Adviser - Exemption

International Dealer - Exemption

CBRE CAPITAL ADVISORS, INC. (NRD# 45650 )


International Dealer - Exemption

CBRE CLARION SECURITIES, LLC (NRD# 23000 )


International Adviser - Exemption

CBRE GLOBAL INVESTMENT PARTNERS FUND SERIES S.A.R.L. (NRD# 50090 )


International Investment Fund Manager - Exemption

CCA CAPITAL LLC (NRD# 43560 )


International Dealer - Exemption

CEDAR ROCK CAPITAL LIMITED (NRD# 31780 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

CELERNUS INVESTMENT PARTNERS INC. (NRD# 38730 )


Investment Fund Manager

Portfolio Manager

CENKOS SECURITIES PLC (NRD# 49030 )


International Adviser - Exemption

International Dealer - Exemption

CENTERBRIDGE SPECIAL CREDIT PARTNERS GENERAL PARTNER III, L.P. (NRD# 54680 )


International Investment Fund Manager - Exemption

CENTURION ASSET MANAGEMENT INC. (NRD# 32750 )


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

CEPHEI CAPITAL MANAGEMENT (HONG KONG) LIMITED (NRD# 45090 )


International Adviser - Exemption

CERTUS WEALTH MANAGEMENT INC. (NRD# 7940 )


Portfolio Manager

CEVIAN CAPITAL LIMITED (NRD# 41920 )


International Investment Fund Manager - Exemption

CF GLOBAL TRADING, LLC (NRD# 25570 )


International Dealer - Exemption

CGOV ASSET MANAGEMENT (NRD# 5590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHALKSTREAM CAPITAL GROUP, L.P. (NRD# 43810 )


International Investment Fund Manager - Exemption

CHAMPLAIN ADVISORS, LLC (NRD# 35770 )


International Dealer - Exemption

CHARDAN CAPITAL MARKETS LLC (NRD# 32830 )


International Dealer - Exemption

CHARLEMAGNE CAPITAL (IOM) LIMITED (NRD# 42650 )


International Investment Fund Manager - Exemption

CHARLEMAGNE CAPITAL (UK) LIMITED (NRD# 42050 )


International Dealer - Exemption

CHEVERNY CAPITAL INC. (NRD# 54890 )


Exempt Market Dealer

CHEYNE CAPITAL MANAGEMENT (UK) LLP (NRD# 42390 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

CHIEFSWOOD INVESTMENT MANAGEMENT INC. (NRD# 11180 )


Portfolio Manager

CHILDREN'S EDUCATION FUNDS INC./FONDS D'ETUDES POUR LES ENFANTS INC. (NRD# 1180 )


Investment Fund Manager

Scholarship Plan Dealer

CHILTON INVESTMENT COMPANY, LLC (NRD# 41850 )


International Investment Fund Manager - Exemption

CHINA EVERBRIGHT SECURITIES (HK) LIMITED (NRD# 56540 )


International Dealer - Exemption

CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED (NRD# 38740 )


International Dealer - Exemption

CHINA RENAISSANCE SECURITIES (US) INC. (NRD# 57140 )


International Dealer - Exemption

CHIPPINGHAM FINANCIAL GROUP LIMITED/GROUPE FINANCIER CHIPPINGHAM LIMITEE (NRD# 11370 )


Futures Commission Merchant

Investment Dealer

CHOU ASSOCIATES MANAGEMENT INC. (NRD# 600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHS ASSET MANAGEMENT INC. (NRD# 28660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CHURCHILL CAPITAL LTD. (NRD# 46670 )


International Adviser - Exemption

International Dealer - Exemption

CHURCHILL CAPITAL USA, INC. (NRD# 46680 )


International Dealer - Exemption

CI INVESTMENTS INC. (NRD# 28980 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CI PRIVATE COUNSEL LP (NRD# 21800 )


Exempt Market Dealer

Portfolio Manager

CIBC ASSET MANAGEMENT INC./GESTION D'ACTIFS CIBC INC. (NRD# 3660 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CIBC INVESTOR SERVICES INC./ SERVICES INVESTISSEURS CIBC INC. (NRD# 5380 )


Investment Dealer

CIBC MELLON TRUST COMPANY (NRD# 47470 )


International Investment Fund Manager - Exemption

CIBC SECURITIES INC./PLACEMENTS CIBC INC. (NRD# 11100 )


Mutual Fund Dealer

CIBC WORLD MARKETS CORP. (NRD# 2670 )


International Dealer - Exemption

CIBC WORLD MARKETS INC./MARCHES MONDIAUX CIBC INC. (NRD# 3850 )


Futures Commission Merchant

Investment Dealer

CICC US SECURITIES, INC. (NRD# 39830 )


International Dealer - Exemption

CIDEL ASSET MANAGEMENT INC. (NRD# 3690 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CIE MANAGEMENT IX LIMITED (NRD# 37250 )


International Dealer - Exemption

CIMB SECURITIES (USA), INC. (NRD# 44550 )


International Dealer - Exemption

CINAPORT CAPITAL INC. (NRD# 31900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CIP VI PRIVATE INVESTORS GP, LTD. (NRD# 54200 )


International Investment Fund Manager - Exemption

CIT GROUP SECURITIES (CANADA) INC. (NRD# 5430 )


Investment Dealer

CITADEL SECURITIES CANADA ULC (NRD# 49280 )


Investment Dealer

CITADEL SECURITIES INSTITUTIONAL LLC (NRD# 56960 )


International Dealer - Exemption

CITCO SECURITIES INC. (NRD# 41230 )


Exempt Market Dealer

CITI PRIVATE ADVISORY, LLC (NRD# 43820 )


International Investment Fund Manager - Exemption

CITIBANK CANADA INVESTMENT FUNDS LIMITED / FONDS D'INVESTISSEMENT DE CITIBANQUE CANADA (NRD# 4920 )


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

CITIBANK, N.A., HONG KONG (NRD# 32720 )


International Adviser - Exemption

International Dealer - Exemption

CITIBANK, N.A., SINGAPORE (NRD# 32730 )


International Adviser - Exemption

International Dealer - Exemption

CITIC SECURITIES INTERNATIONAL USA LLC (NRD# 45660 )


International Dealer - Exemption

CITIGROUP GLOBAL MARKETS CANADA INC. / MARCHES MONDIAUX CITIGROUP CANADA INC. (NRD# 3360 )


Investment Dealer

CITIGROUP GLOBAL MARKETS INC. (NRD# 3490 )


International Adviser - Exemption

International Dealer - Exemption

CITIGROUP GLOBAL MARKETS LIMITED (NRD# 3390 )


International Dealer - Exemption

CITY FINANCIAL INVESTMENT COMPANY (HONG KONG) LIMITED (NRD# 47230 )


International Investment Fund Manager - Exemption

CITY FINANCIAL INVESTMENT COMPANY LIMITED (NRD# 38560 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

CLAIRWOOD CAPITAL MANAGEMENT INC. (NRD# 37640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLAREANT EDL (LEVERED) II GP S.├ R.I. (NRD# 53380 )


International Investment Fund Manager - Exemption

CLAREANT EDL II GP S.A.R.L. (NRD# 53370 )


International Investment Fund Manager - Exemption

CLAREN ROAD ASSET MANAGEMENT, LLC (NRD# 46600 )


International Investment Fund Manager - Exemption

CLARESTE WEALTH MANAGEMENT INC. (NRD# 16890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLARION PARTNERS SECURITIES, LLC (NRD# 51500 )


International Dealer - Exemption

CLARION PARTNERS, LLC (NRD# 55260 )


International Investment Fund Manager - Exemption

CLARITY CAPITAL KCPS LTD. (NRD# 35660 )


International Adviser - Exemption

CLARIVEST ASSET MANAGEMENT LLC (NRD# 24950 )


International Adviser - Exemption

CLARKSONS PLATOU SECURITIES AS (NRD# 43250 )


International Dealer - Exemption

CLARKSONS PLATOU SECURITIES, INC. (NRD# 43240 )


International Dealer - Exemption

CLARUS SECURITIES INC / VALEURS MOBILIERES CLARUS INC. (NRD# 13160 )


Investment Dealer

CLEARBRIDGE INVESTMENTS LLC (NRD# 46350 )


International Adviser - Exemption

CLEARWATER CAPITAL MANAGEMENT INC. (NRD# 8880 )


Portfolio Manager

CLIFFWATER LLC (NRD# 37990 )


International Adviser - Exemption

CLIFTON CAPITAL MANAGEMENT INC. (NRD# 50210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CLIMATE CHANGE INFRASTRUCTURE MANAGEMENT INC. (NRD# 38960 )


Exempt Market Dealer

CLSA AMERICAS, LLC (NRD# 43380 )


International Dealer - Exemption

CLSA GLOBAL MARKETS PTE LTD. (NRD# 48480 )


International Dealer - Exemption

CLSA LIMITED (NRD# 32710 )


International Dealer - Exemption

CMC MARKETS CANADA INC./ MARCHES CMC CANADA (NRD# 12570 )


Investment Dealer

CMC MARKETS UK PLC (NRD# 27150 )


International Dealer - Exemption

CMDTY CAPITAL MANAGEMENT, LP (NRD# 50860 )


International Investment Fund Manager - Exemption

COCKFIELD PORRETTI CUNNINGHAM INVESTMENT COUNSEL INC. (NRD# 770 )


Portfolio Manager

COERENTE CAPITAL MANAGEMENT INC./GESTION CAPITAL COERENTE INC. (NRD# 41970 )


Portfolio Manager

COHEN & STEERS CAPITAL MANAGEMENT, INC. (NRD# 49360 )


International Adviser - Exemption

COHO PARTNERS, LTD. (NRD# 56270 )


International Adviser - Exemption

COLCHIS CAPITAL MANAGEMENT, L.P. (NRD# 56310 )


International Investment Fund Manager - Exemption

COLDSTREAM CAPITAL MANAGEMENT INC. (NRD# 45050 )


International Adviser - Exemption

COLEFORD INVESTMENT MANAGEMENT LTD. (NRD# 730 )


Investment Fund Manager

Portfolio Manager

COLLER INVESTMENT MANAGEMENT LIMITED (NRD# 52570 )


International Investment Fund Manager - Exemption

COLLINS BARROW SNT CORPORATE FINANCE INC. (NRD# 54080 )


Exempt Market Dealer

COLLINS BARROW TORONTO CORPORATE FINANCE INC. (NRD# 45070 )


Exempt Market Dealer

COLLINS/BAY ISLAND SECURITIES LLC (NRD# 26920 )


International Dealer - Exemption

COLONIAL FIRST STATE ASSET MANAGEMENT (AUSTRALIA) LIMITED (NRD# 43100 )


International Adviser - Exemption

COLONIAL FIRST STATE MANAGED INFRASTRUCTURE LIMITED (NRD# 43330 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC (NRD# 24240 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (NRD# 36650 )


International Dealer - Exemption

COMGEST ASSET MANAGEMENT INTERNATIONAL LIMITED (NRD# 25950 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

COMGEST SA (NRD# 25940 )


International Adviser - Exemption

International Dealer - Exemption

COMMERZ MARKETS LLC (NRD# 5560 )


International Dealer - Exemption

COMMERZBANK AG (NRD# 37790 )


International Dealer - Exemption

COMMONFUND ASSET MANAGEMENT COMPANY, INC. (NRD# 9460 )


International Investment Fund Manager - Exemption

Portfolio Manager

COMMONFUND CAPITAL, INC. (NRD# 46520 )


International Investment Fund Manager - Exemption

COMMONFUND SECURITIES, INC. (NRD# 24320 )


International Dealer - Exemption

COMMONWEALTH AUSTRALIA SECURITIES LLC (NRD# 23150 )


International Dealer - Exemption

COMMUNITY FORWARD FUND ASSISTANCE CORP. / FONDS DE PROGRES COMMUNAUTAIRE SOCIETE DE GESTION (NRD# 38670 )


Investment Fund Manager

Restricted Dealer

Restricted Portfolio Manager

COMPAGNIE TIMBER HILL CANADA / TIMBER HILL CANADA COMPANY (NRD# 7830 )


Investment Dealer

COMPASS POINT RESEARCH & TRADING, LLC (NRD# 43040 )


International Dealer - Exemption

CONDOR ASSET MANAGEMENT INC. (NRD# 29990 )


Exempt Market Dealer

Portfolio Manager

CONNING INVESTMENT PRODUCTS, INC. (NRD# 48850 )


Portfolio Manager

CONNOR, CLARK & LUNN FUNDS INC. (NRD# 33960 )


Exempt Market Dealer

Investment Fund Manager

CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS CONNOR, CLARK & LUNN (NRD# 640 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONNOR, CLARK & LUNN PRIVATE CAPITAL LTD. (NRD# 14660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS EN GESTION GLOBALE STATE STREET LTEE. / STATE STREET GLOBAL ADVISORS, LTD. (NRD# 4700 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONSEILLERS GALLIANT S.E.C. / GALLIANT ADVISORS LP (NRD# 34090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CONTESSA CAPITAL CANADA CORPORATION (NRD# 45100 )


Exempt Market Dealer

CONVERGEX EXECUTION SOLUTIONS LLC (NRD# 4680 )


International Dealer - Exemption

COÍPERATIEVE RABOBANK NEDERLAND UA (NRD# 21190 )


International Dealer - Exemption

COPPER ROCK CAPITAL PARTNERS, LLC (NRD# 35210 )


International Adviser - Exemption

COPPER STREET CAPITAL LLP (NRD# 56910 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

COR CLEARING LLC (NRD# 21460 )


International Dealer - Exemption

CORBIN CAPITAL PARTNERS, L.P. (NRD# 42890 )


International Investment Fund Manager - Exemption

CORDIANT CAPITAL INC. (NRD# 9220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORECOMMODITY MANAGEMENT, LLC (NRD# 29530 )


International Adviser - Exemption

CORIEL CAPITAL INC. (NRD# 25910 )


Portfolio Manager

CORIOLIS CAPITAL LIMITED (NRD# 27330 )


Exempt Market Dealer

Portfolio Manager

CORMARK SECURITIES INC. / VALEURS MOBILIERES CORMARK INC. (NRD# 10090 )


Investment Dealer

CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC (NRD# 55580 )


International Adviser - Exemption

CORNERSTONE CAPITAL MANAGEMENT, INC. (NRD# 34920 )


International Adviser - Exemption

CORNERSTONE MACRO LLC (NRD# 48330 )


International Dealer - Exemption

CORNWALL CAPITAL MANAGEMENT LP (NRD# 53160 )


International Investment Fund Manager - Exemption

CORONATION ASSET MANAGEMENT (PTY) LTD. (NRD# 51970 )


International Adviser - Exemption

CORONATION GLOBAL FUND MANAGERS (IRELAND) LIMITED (NRD# 45960 )


International Investment Fund Manager - Exemption

CORONATION INTERNATIONAL LIMITED (NRD# 45950 )


International Adviser - Exemption

CORPORATION FIERA CAPITAL / FIERA CAPITAL CORPORATION (NRD# 3220 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CORPORATION GESTION DE PLACEMENTS CLARET / CLARET ASSET MANAGEMENT CORPORATION (NRD# 8130 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

CORSAIR CAPITAL LLP (NRD# 33130 )


International Dealer - Exemption

CORTLAND CREDIT GROUP INC. (NRD# 44470 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COTE 100 INC./QUOTE 100 INC. (NRD# 19220 )


Portfolio Manager

COUGAR GLOBAL INVESTMENTS LIMITED (NRD# 42810 )


Portfolio Manager

COUNSEL PORTFOLIO SERVICES INC./SERVICES DE PORTEFEUILLE COUNSEL INC. (NRD# 13240 )


Investment Fund Manager

Portfolio Manager

COUPLAND CARDIFF ASSET MANAGEMENT LLP (NRD# 49130 )


International Dealer - Exemption

COUPLAND CARDIFF FUNDS PLC (NRD# 49120 )


International Investment Fund Manager - Exemption

COURTAGE DIRECT BANQUE NATIONALE INC./NATIONAL BANK DIRECT BROKERAGE INC. (NRD# 9190 )


Investment Dealer

COVENANT CAPITAL MANAGEMENT INC. (NRD# 16770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COVINGTON CAPITAL CORPORATION (NRD# 5120 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COVISTA CAPITAL CORP. (NRD# 50300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COWAN ASSET MANAGEMENT LIMITED (NRD# 45110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

COWEN AND COMPANY, LLC (NRD# 7980 )


International Dealer - Exemption

COWEN PRIME SERVICES LLC (NRD# 40550 )


International Adviser - Exemption

International Dealer - Exemption

COXSWAIN ROW CAPITAL CORPORATION (NRD# 39370 )


Exempt Market Dealer

CP INVESTMENTS, LLC (NRD# 46270 )


International Dealer - Exemption

CQI CAPITAL MANAGEMENT L.P. (NRD# 26370 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CRAIG-HALLUM CAPITAL GROUP LLC (NRD# 26460 )


International Dealer - Exemption

CRAMER ROSENTHAL MCGLYNN, LLC (NRD# 34980 )


International Adviser - Exemption

CRANSON CAPITAL SECURITIES INC. (NRD# 38430 )


Exempt Market Dealer

CREDENTIAL ASSET MANAGEMENT INC. (NRD# 1260 )


Mutual Fund Dealer

CREDENTIAL SECURITIES INC. (NRD# 6190 )


Investment Dealer

CREDIT AGRICOLE SECURITIES (USA) INC. (NRD# 25310 )


International Dealer - Exemption

CREDIT SUISSE AG (NRD# 7740 )


International Adviser - Exemption

International Dealer - Exemption

CREDIT SUISSE ASSET MANAGEMENT,LLC (NRD# 3980 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

CREDIT SUISSE INTERNATIONAL (NRD# 55510 )


International Dealer - Exemption

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC (NRD# 51710 )


International Dealer - Exemption

CREDIT SUISSE SECURITIES (CANADA), INC./VALEURS MOBILIERES CREDIT SUISSE (CANADA), INC. (NRD# 1350 )


Futures Commission Merchant

Investment Dealer

CREDIT SUISSE SECURITIES (EUROPE) LIMITED (NRD# 920 )


International Dealer - Exemption

CREDIT SUISSE SECURITIES (USA) LLC (NRD# 1390 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

CREDITEX SECURITIES CORPORATION (NRD# 37590 )


International Dealer - Exemption

CRESCENT EUROPEAN SPECIALTY LOAN S.─ R.I. (NRD# 51880 )


International Investment Fund Manager - Exemption

CRESTLINE CANADA, INC. (NRD# 30800 )


International Adviser - Exemption

CRESTLINE MANAGEMENT, LP (NRD# 49480 )


International Investment Fund Manager - Exemption

CRESTRIDGE ASSET MANAGEMENT INC. (NRD# 11200 )


Portfolio Manager

CRIMSON CAPITAL INC. (NRD# 37550 )


Exempt Market Dealer

Portfolio Manager

CRITERION CAPITAL MANAGEMENT LLC (NRD# 47630 )


International Investment Fund Manager - Exemption

CROSBIE & COMPANY INC. (NRD# 11920 )


Exempt Market Dealer

CROSS OCEAN ADVISER LLP (NRD# 53100 )


International Dealer - Exemption

CROSS OCEAN PARTNERS MANAGEMENT LP (NRD# 57200 )


International Dealer - Exemption

CROWDMATRIX INC. (NRD# 51340 )


Exempt Market Dealer

CROWN CAPITAL PARTNERS INC. (NRD# 21730 )


Exempt Market Dealer

Investment Fund Manager

CRUSADER ASSET MANAGEMENT INC. (NRD# 40790 )


Commodity Trading Manager

Portfolio Manager

CRYSTAL WEALTH MANAGEMENT SYSTEM LIMITED (NRD# 8000 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CSP SECURITIES, LP (NRD# 30740 )


International Dealer - Exemption

CTI CAPITAL VALEURS MOBILIERES INC. / CTI CAPITAL SECURITIES INC. (NRD# 25640 )


Investment Dealer

CUDA MANAGEMENT CONSULTING INC. (NRD# 38300 )


Exempt Market Dealer

CUMBERLAND ASSOCIATES INVESTMENT COUNSEL INC. (NRD# 3890 )


Portfolio Manager

CUMBERLAND PRIVATE WEALTH MANAGEMENT INC./ CUMBERLAND, GESTION DE PATRIMOINE (NRD# 7200 )


Investment Dealer

Investment Fund Manager

CX PARTNERS PTE LTD (NRD# 45870 )


International Investment Fund Manager - Exemption

CYGNUS INVESTMENT PARTNERS LP (NRD# 52070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

CYPRESS CAPITAL MANAGEMENT LTD. (NRD# 8990 )


Investment Fund Manager

Portfolio Manager

CYRUS CAPITAL PARTNERS, L.P. (NRD# 50890 )


International Investment Fund Manager - Exemption

CZECH ASSET MANAGEMENT, L.P. (NRD# 43840 )


International Investment Fund Manager - Exemption

D & A LABRECQUE CAPITAL INC (NRD# 32010 )


Exempt Market Dealer

D.E. SHAW & CO., L.P. (NRD# 10510 )


International Investment Fund Manager - Exemption

D.E. SHAW ADVISER II, L.L.C. (NRD# 46880 )


International Investment Fund Manager - Exemption

D.E. SHAW ADVISER, L.L.C., (NRD# 46870 )


International Investment Fund Manager - Exemption

D.E. SHAW COMPOSITE ADVISER, L.L.C (NRD# 46890 )


International Investment Fund Manager - Exemption

D.E. SHAW HELIANT ADVISER, L.L.C. (NRD# 43850 )


International Investment Fund Manager - Exemption

D.E. SHAW INVESTMENT MANAGEMENT, L.L.C. (NRD# 43860 )


International Investment Fund Manager - Exemption

D.E. SHAW MULTI-ASSET ADVISER, L.L.C. (NRD# 43870 )


International Investment Fund Manager - Exemption

D.E. SHAW RENEWABLE INVESTMENTS, L.L.C. (NRD# 43890 )


International Investment Fund Manager - Exemption

D.E. SHAW SECURITIES, L.L.C. (NRD# 5340 )


International Dealer - Exemption

D.F. DENT AND COMPANY, INC. (NRD# 53120 )


International Adviser - Exemption

D.W.GOOD INVESTMENT COMPANY LIMITED (NRD# 14140 )


Mutual Fund Dealer

DAIWA CAPITAL MARKETS AMERICA INC. (NRD# 1120 )


International Dealer - Exemption

DAIWA CAPITAL MARKETS EUROPE LIMITED (NRD# 12900 )


International Dealer - Exemption

DALTON INVESTMENTS LLC (NRD# 39230 )


International Adviser - Exemption

DALTON, GREINER, HARTMAN, MAHER & CO., LLC (NRD# 10470 )


International Adviser - Exemption

DANSKE BANK A/S (NRD# 36730 )


International Dealer - Exemption

DANSKE MARKETS INC. (NRD# 33910 )


International Dealer - Exemption

DARA CAPITAL US, INC. (NRD# 51020 )


International Adviser - Exemption

DAVIDSON KEMPNER CAPITAL MANAGEMENT LP (NRD# 42380 )


International Investment Fund Manager - Exemption

DAVIDSON KEMPNER EUROPEAN PARTNERS LLP (NRD# 39040 )


International Dealer - Exemption

DAVINCI CAPITAL PARTNERS INC. (NRD# 18920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DAVIS SELECTED ADVISERS, L.P. (NRD# 30700 )


International Adviser - Exemption

DAVIS-REA LTD./DAVIS-REA LTEE. (NRD# 17810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DBS VICKERS SECURITIES (USA) INC. (NRD# 4930 )


International Dealer - Exemption

DBX ADVISORS LLC (NRD# 55420 )


International Investment Fund Manager - Exemption

DDJ CAPITAL MANAGEMENT, LLC (NRD# 45290 )


International Adviser - Exemption

DE THOMAS WEALTH MANAGEMENT CORP. (NRD# 1050 )


Exempt Market Dealer

Mutual Fund Dealer

DEANS KNIGHT CAPITAL MANAGEMENT LTD. / GESTION DE CAPITAL DEANS KNIGHT LTEE (NRD# 4300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELANEY CAPITAL MANAGEMENT LTD. (NRD# 1090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELANO CAPITAL CORP. (NRD# 28130 )


Exempt Market Dealer

DELAWARE MANAGEMENT BUSINESS TRUST (NRD# 21290 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

DELBROOK CAPITAL ADVISORS INC. (NRD# 32070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DELOITTE CORPORATE FINANCE INC. / FINANCEMENT CORPORATIF DELOITTE INC. (NRD# 8690 )


Exempt Market Dealer

DELPHINA ASSET MANAGEMENT INC. (NRD# 17570 )


Portfolio Manager

DELTEC ASSET MANAGEMENT LLC (NRD# 47200 )


International Adviser - Exemption

DELTEC INVESTMENT ADVISERS LIMITED (NRD# 48950 )


International Adviser - Exemption

DESAUTELS CAPITAL MANAGEMENT INC./GESTION DE CAPITAUX DESAUTELS INC. (NRD# 27840 )


Exempt Market Dealer

Investment Fund Manager

DESJARDINS CABINET DE SERVICES FINANCIERS INC./DESJARDINS FINANCIAL SERVICES FIRM INC. (NRD# 4210 )


Mutual Fund Dealer

DESJARDINS GESTION INTERNATIONALE D'ACTIFS INC./DESJARDINS GLOBAL ASSET MANAGEMENT INC. (NRD# 17990 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DESJARDINS SECURITE FINANCIERE INVESTISSEMENTS INC./DESJARDINS FINANCIAL SECURITY INVESTMENTS INC. (NRD# 23430 )


Mutual Fund Dealer

DESJARDINS SECURITIES INC./VALEURS MOBILIERES DESJARDINS INC. (NRD# 1030 )


Futures Commission Merchant

Investment Dealer

DESJARDINS SOCIETE DE PLACEMENT INC. / DESJARDINS INVESTMENTS INC. (NRD# 38320 )


Investment Fund Manager

DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED (NRD# 42300 )


International Investment Fund Manager - Exemption

DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (UK) LIMITED (NRD# 48170 )


International Investment Fund Manager - Exemption

DEUTSCHE AM DISTRIBUTORS, INC. (NRD# 48390 )


International Dealer - Exemption

DEUTSCHE BANK AG, LONDON BRANCH (NRD# 35990 )


International Dealer - Exemption

DEUTSCHE BANK NATIONAL TRUST COMPANY (NRD# 39650 )


International Adviser - Exemption

DEUTSCHE BANK SECURITIES INC. (NRD# 2090 )


International Dealer - Exemption

DEUTSCHE BANK SECURITIES LIMITED/DEUTSCHE BANK VALEURS MOBILIERES LIMITEE (NRD# 2180 )


Investment Dealer

DEUTSCHE BANK TRUST COMPANY AMERICAS (NRD# 430 )


International Adviser - Exemption

DEUTSCHE BANK TRUST COMPANY, N.A. (NRD# 39640 )


International Adviser - Exemption

DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. (NRD# 26750 )


Portfolio Manager

DI TOMASSO GROUP INCORPORATED (NRD# 5230 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIAM CAPITAL MARKETS INC. (NRD# 49680 )


Exempt Market Dealer

DIAMOND CAPITAL MANAGEMENT SERVICES LTD. (NRD# 56790 )


International Adviser - Exemption

DIAMOND HILL CAPITAL MANAGEMENT, INC. (NRD# 32130 )


International Adviser - Exemption

DICEMARK CAPITAL MARKETS INC. (NRD# 46700 )


Exempt Market Dealer

DIFFERENCE CAPITAL MANAGEMENT INC. (NRD# 9120 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIMENSIONAL FUND ADVISORS CANADA ULC (NRD# 16190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIMENSIONAL FUND ADVISORS LP (NRD# 41880 )


International Investment Fund Manager - Exemption

DINAN MANAGEMENT, L.L.C. (NRD# 43900 )


International Investment Fund Manager - Exemption

DISCIPLINED GROWTH INVESTORS INC. (NRD# 31550 )


International Adviser - Exemption

DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION (NRD# 22460 )


Commodity Trading Adviser

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DIXON MITCHELL INVESTMENT COUNSEL INC. (NRD# 14440 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DME CAPITAL MANAGEMENT, LP (NRD# 43920 )


International Investment Fund Manager - Exemption

DNB BANK ASA (NRD# 33400 )


International Dealer - Exemption

DNB MARKETS, INC. (NRD# 33410 )


International Dealer - Exemption

DODGE & COX (NRD# 30980 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

DODGE & COX WORLDWIDE INVESTMENTS LTD. (NRD# 34890 )


International Dealer - Exemption

DOHENY SECURITIES LIMITED (NRD# 13950 )


Mutual Fund Dealer

DOHERTY & ASSOCIATES LTD. (NRD# 1010 )


Exempt Market Dealer

Portfolio Manager

DOMINICE & CO - ASSET MANAGEMENT (NRD# 46810 )


International Investment Fund Manager - Exemption

DOMINICK INC. (NRD# 22770 )


Investment Dealer

DONRO FINANCIAL LTD. (NRD# 7130 )


Mutual Fund Dealer

DONVILLE KENT ASSET MANAGEMENT INC. (NRD# 26430 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DORCHESTER WEALTH MANAGEMENT COMPANY (NRD# 51260 )


Investment Fund Manager

Portfolio Manager

DOUBLELINE CAPITAL LP. (NRD# 46460 )


International Adviser - Exemption

DOUGHERTY & COMPANY LLC (NRD# 11620 )


International Adviser - Exemption

International Dealer - Exemption

DOWLING & PARTNERS SECURITIES, LLC (NRD# 26410 )


International Dealer - Exemption

DPS CAPITAL INC. (NRD# 53610 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DRADIS CAPITAL MANAGEMENT LIMITED (NRD# 35950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DRIEHAUS CAPITAL MANAGEMENT LLC (NRD# 22340 )


Portfolio Manager

DSAM CAYMAN LP (NRD# 44600 )


International Investment Fund Manager - Exemption

DSAM PARTNERS (LONDON) LTD. (NRD# 40140 )


International Adviser - Exemption

DSM CAPITAL PARTNERS LLC (NRD# 46050 )


International Adviser - Exemption

DST OPPORTUNITIES ACCESS ADVISORS LLC (NRD# 52740 )


International Investment Fund Manager - Exemption

DUBEAU CAPITAL & CIE LTEE/DUBEAU CAPITAL & CO. LTD (NRD# 19280 )


Investment Dealer

DUFF & PHELPS INVESTMENT MANAGEMENT CO. (NRD# 32940 )


International Adviser - Exemption

DUFF & PHELPS SECURITIES LLC (NRD# 31460 )


International Dealer - Exemption

DUNCAN ROSS ASSOCIATES LTD. / DUNCAN ROSS ASSOCIES LTEE (NRD# 6280 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DUNDEE SECURITIES LTD./VALEURS MOBILIERES DUNDEE LTEE (NRD# 36170 )


Investment Dealer

DUPONT CAPITAL MANAGEMENT CORPORATION (NRD# 38650 )


International Adviser - Exemption

DUPONT CAPITAL MANAGEMENT MARKETING CORPORATION (NRD# 38620 )


International Dealer - Exemption

DUROSE ASSET MANAGEMENT INC. (NRD# 31270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

DW PARTNERS, LP (NRD# 53680 )


International Investment Fund Manager - Exemption

DYMON ASIA CAPITAL LTD. (NRD# 50670 )


International Investment Fund Manager - Exemption

DYNAMIC TREE ASSET MANAGEMENT AG (NRD# 36290 )


Exempt Market Dealer

Portfolio Manager

EACM ADVISORS LLC (NRD# 22150 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

EAGLE ASSET MANAGEMENT, INC. (NRD# 18420 )


International Adviser - Exemption

EAGLE BOSTON INVESTMENT MANAGEMENT, INC. (NRD# 27580 )


International Adviser - Exemption

EAGLE CAPITAL MANAGEMENT, LLC (NRD# 32320 )


International Adviser - Exemption

EARLYBIRDCAPITAL, INC. (NRD# 33090 )


International Dealer - Exemption

EARNEST PARTNERS, LLC (NRD# 24230 )


International Adviser - Exemption

EAST COAST FUND MANAGEMENT INC. (NRD# 29950 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EAST WEST INVESTMENT MANAGEMENT CORPORATION (NRD# 29550 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EATON PARTNERS, LLC (NRD# 12800 )


International Dealer - Exemption

EATON VANCE MANAGEMENT (NRD# 32920 )


International Adviser - Exemption

ECHELON WEALTH PARTNERS INC. (NRD# 32420 )


Investment Dealer

ECOBAN SECURITIES CORPORATION (NRD# 43060 )


International Dealer - Exemption

EDELWEISS SECURITIES LIMITED (NRD# 44590 )


International Adviser - Exemption

International Dealer - Exemption

EDESIA ASSET MANAGEMENT B.V. (NRD# 46370 )


International Investment Fund Manager - Exemption

EDGE WEALTH MANAGEMENT LLC (NRD# 43150 )


International Adviser - Exemption

EDGEHILL PARTNERS (NRD# 33270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGELINE CAPITAL,LLC (NRD# 41120 )


International Dealer - Exemption

EDGEMOOR PARTNERS LLC (NRD# 52030 )


International Dealer - Exemption

EDGEPOINT INVESTMENT GROUP INC. / GROUPE DE PLACEMENTS EDGEPOINT (NRD# 27490 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EDGEPOINT WEALTH MANAGEMENT INC. (NRD# 34580 )


Investment Fund Manager

EDGEWOOD MANAGEMENT LLC / GESTION EDGEWOOD LLC (NRD# 23040 )


International Adviser - Exemption

EDINBURGH PARTNERS LIMITED (NRD# 25270 )


Portfolio Manager

EDMOND DE ROTHSCHILD PORTFOLIO MANAGEMENT (ISRAEL) LTD. (NRD# 56250 )


International Adviser - Exemption

EDUCATORS FINANCIAL GROUP INC. (NRD# 2650 )


Investment Fund Manager

Mutual Fund Dealer

EDWARD JONES (NRD# 4340 )


Investment Dealer

EFFISSIMO CAPITAL MANAGEMENT PTE LTD. (NRD# 38380 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

EII REALTY SECURITIES INC. (NRD# 46470 )


International Adviser - Exemption

EJF CAPITAL LLC (NRD# 51670 )


International Investment Fund Manager - Exemption

EKATON WEALTH MANAGEMENT INC. (NRD# 42870 )


Exempt Market Dealer

ELARA SECURITIES, INC. (NRD# 46950 )


International Dealer - Exemption

ELECTRONIC TRANSACTION CLEARING CANADA, INC. (NRD# 42740 )


Investment Dealer

ELEMENTUM ADVISORS, LLC (NRD# 42400 )


International Investment Fund Manager - Exemption

ELLINGTON MANAGEMENT GROUP, L.L.C. (NRD# 37040 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

ELLIOTT INTERNATIONAL CAPITAL ADVISORS INC. (NRD# 46310 )


International Investment Fund Manager - Exemption

ELM PARK CAPITAL MANAGEMENT, LLC (NRD# 35180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EMD FINANCIAL INC. / LA FINANCIERE EMD INC. (NRD# 36480 )


Exempt Market Dealer

EMERGING EQUITIES INC. (NRD# 8640 )


Investment Dealer

EMERGING SOVEREIGN GROUP, LLC (NRD# 42710 )


International Investment Fund Manager - Exemption

EMERSON EQUITY, LLC (NRD# 47680 )


International Dealer - Exemption

EMPIRE LIFE INVESTMENTS INC. (NRD# 38910 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EMSO ASSET MANAGEMENT LIMITED (NRD# 49240 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

ENCASA FINANCIAL INC. (NRD# 31940 )


Investment Fund Manager

ENCLAVE CAPITAL LLC (NRD# 54570 )


International Dealer - Exemption

ENCLUDE CAPITAL ADVISORY UK LIMITED (NRD# 49200 )


International Dealer - Exemption

ENGINEERS GATE MANAGER LP (NRD# 51990 )


International Investment Fund Manager - Exemption

ENLIGHTENED PRIVATE CAPITAL INC. (NRD# 28680 )


Exempt Market Dealer

ENRICHED INVESTING INCORPORATED (NRD# 16650 )


Investment Fund Manager

Portfolio Manager

ENSIGN CAPITAL INC. (NRD# 17660 )


Exempt Market Dealer

ENTREPRISES GREG POMPEO INC. (NRD# 27380 )


Mutual Fund Dealer

ENTRUST FOCUS PARTNERS LP (NRD# 47640 )


Investment Fund Manager

Portfolio Manager

ENTRUST PARTNERS OFFSHORE LP (NRD# 45370 )


International Investment Fund Manager - Exemption

ENTRUST SECURITIES LLC (NRD# 39020 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

EOM MANAGEMENT LTD. (NRD# 48780 )


International Investment Fund Manager - Exemption

EOSPHOROS ASSET MANAGEMENT INCORPORATED (NRD# 17250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPIC CAPITAL MANAGEMENT INC. (NRD# 12330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EPOCH INVESTMENT PARTNERS, INC. (NRD# 29130 )


Exempt Market Dealer

Portfolio Manager

EQT SERVICES (UK) LIMITED (NRD# 48740 )


International Investment Fund Manager - Exemption

EQUATE ASSET MANAGEMENT INC. (NRD# 56340 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EQUIGENESIS CORPORATION (NRD# 6160 )


Exempt Market Dealer

EQUILEND CANADA CORP. (NRD# 28250 )


Investment Dealer

EQUILIBRIUM CAPITAL MANAGEMENT INC. / GESTION DE CAPITAL EQUILIBRIUM (NRD# 12110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EQUILIFE INVESTMENT MANAGEMENT INC. (NRD# 8160 )


Mutual Fund Dealer

Portfolio Manager

EQUINOX ASSET MANAGEMENT LLC (NRD# 50970 )


International Investment Fund Manager - Exemption

EQUINOX INVESTMENT MANAGEMENT LTD. (NRD# 44850 )


Portfolio Manager

EQUITON CAPITAL INC. (NRD# 53400 )


Exempt Market Dealer

EQUITY ASSOCIATES INC. (NRD# 6940 )


Exempt Market Dealer

Mutual Fund Dealer

EQUITY LOGIC (NRD# 49160 )


International Adviser - Exemption

ERGUS ASSET MANAGEMENT LTD (NRD# 47410 )


International Adviser - Exemption

ERNST & YOUNG ORENDA CORPORATE FINANCE INC./CONSEIL EN FINANCEMENT ERNST & YOUNG ORENDA INC. (NRD# 5670 )


Exempt Market Dealer

ESPRESSO CAPITAL LTD. (NRD# 54780 )


Exempt Market Dealer

ESSEX INVESTMENT MANAGEMENT COMPANY, LLC (NRD# 10970 )


International Adviser - Exemption

ETF CAPITAL MANAGEMENT (NRD# 25780 )


Portfolio Manager

ETON PARK CAPITAL MANAGEMENT L.P. (NRD# 51980 )


International Investment Fund Manager - Exemption

EUROPA CAPITAL LIMITED LIABILITY PARTNERSHIP (NRD# 52300 )


International Investment Fund Manager - Exemption

EVANS AND PARTNERS PTY LTD. (NRD# 33310 )


International Dealer - Exemption

EVENTUS CAPITAL CORP (NRD# 52520 )


Exempt Market Dealer

EVERCORE GROUP L.L.C. (NRD# 36810 )


International Dealer - Exemption

EVEREST FINANCIAL PLANNING INC. (NRD# 4960 )


Mutual Fund Dealer

EWING MORRIS & CO. INVESTMENT PARTNERS LTD. (NRD# 38130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

EXANE LIMITED (NRD# 53650 )


International Dealer - Exemption

EXANE SA (NRD# 53640 )


International Dealer - Exemption

EXANE, INC. (NRD# 28500 )


International Dealer - Exemption

EXCALIBUR CAPITAL MANAGEMENT INC. (NRD# 25840 )


Investment Fund Manager

Portfolio Manager

EXCEL FUNDS MANAGEMENT INC. (NRD# 29050 )


Investment Fund Manager

EXCEL INVESTMENT COUNSEL INC. (NRD# 29740 )


Exempt Market Dealer

Portfolio Manager

EXCEL PRIVATE WEALTH INC. (NRD# 19470 )


Mutual Fund Dealer

EXIGENT ALTERNATIVE CAPITAL LLC (NRD# 42660 )


International Investment Fund Manager - Exemption

EXOTIX USA INC. (NRD# 46320 )


International Dealer - Exemption

EXPONENT INVESTMENT MANAGEMENT INC. (NRD# 37400 )


Portfolio Manager

EXTRACT ADVISORS LLC (NRD# 49640 )


International Investment Fund Manager - Exemption

F & C INVESTMENT BUSINESS LIMITED (NRD# 50680 )


International Investment Fund Manager - Exemption

F&C MANAGEMENT LIMITED (NRD# 5210 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

FADINE SECURITIES INC. (NRD# 37470 )


Exempt Market Dealer

FAIRBANK INVESTMENT MANAGEMENT LIMITED. (NRD# 29470 )


Investment Fund Manager

Portfolio Manager

FAIRCOURT ASSET MANAGEMENT INC. (NRD# 21330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FAIRVIEW SECURITIES, INC. (NRD# 4590 )


International Dealer - Exemption

FALCON ASSET MANAGEMENT INC. (NRD# 29810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FALCON PRIVATE WEALTH LIMITED (NRD# 34260 )


International Adviser - Exemption

FAP USA, L. P. (NRD# 28700 )


International Dealer - Exemption

FAR HILLS GROUP, LLC (NRD# 17040 )


International Dealer - Exemption

FARALLON CAPITAL MANAGEMENT, L.L.C. (NRD# 53920 )


International Investment Fund Manager - Exemption

FAYEZ SAROFIM & CO. (NRD# 8180 )


International Adviser - Exemption

FBR CAPITAL MARKETS & CO. (NRD# 1420 )


International Dealer - Exemption

FEDERAL WAY ASSET MANAGEMENT LP (NRD# 40270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP. (NRD# 53300 )


International Adviser - Exemption

FEDERATED INVESTMENT COUNSELING (NRD# 34110 )


International Adviser - Exemption

FEDERATED INVESTORS (UK) LLP (NRD# 27920 )


International Adviser - Exemption

International Dealer - Exemption

FEDERATED INVESTORS CANADA ULC (NRD# 52120 )


Investment Fund Manager

Portfolio Manager

FEF DISTRIBUTORS, LLC (NRD# 48830 )


International Dealer - Exemption

FELTL & COMPANY (NRD# 30560 )


International Dealer - Exemption

FERMAT CAPITAL MANAGEMENT, LLC (NRD# 43940 )


International Investment Fund Manager - Exemption

FI CAPITAL LTD. (NRD# 23110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIAM LLC (NRD# 22030 )


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

FIDELIS INSURANCE HOLDINGS LIMITED (NRD# 52200 )


International Investment Fund Manager - Exemption

FIDELITY (CANADA) ASSET MANAGEMENT ULC (NRD# 26990 )


Commodity Trading Manager

Portfolio Manager

FIDELITY CLEARING CANADA ULC / COMPENSATION FIDELITY CANADA (NRD# 28880 )


Futures Commission Merchant

Investment Dealer

FIDELITY INVESTMENTS CANADA ULC / INVESTISSEMENTS FIDELITY CANADA (NRD# 17240 )


Commodity Trading Manager

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FIDUCIARY MANAGEMENT INC. (NRD# 36710 )


International Adviser - Exemption

FIDUCIARY TRUST COMPANY INTERNATIONAL (NRD# 33840 )


International Adviser - Exemption

FIDUCIARY TRUST COMPANY OF CANADA (NRD# 17980 )


Commodity Trading Manager

Portfolio Manager

FIELD STREET CAPITAL MANAGEMENT, LLC (NRD# 51680 )


International Investment Fund Manager - Exemption

FIELDHOUSE CAPITAL MANAGEMENT INC. (NRD# 28950 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIERA CAPITAL FUNDS INC./FONDS FIERA CAPITAL INC. (NRD# 11150 )


Mutual Fund Dealer

FIG LLC (NRD# 41870 )


International Investment Fund Manager - Exemption

FIL PENSIONS MANAGEMENT LIMITED (NRD# 52140 )


International Dealer - Exemption

FINANCIAL DECISIONS INC. (NRD# 8170 )


Mutual Fund Dealer

FINANCIERE DES PROFESSIONNELS - FONDS D'INVESTISSEMENT INC./PROFESSIONALS' FINANCIAL - MUTUAL FUNDS INC. (NRD# 19350 )


Investment Fund Manager

FINANCIERE DES PROFESSIONNELS GESTION PRIVEE INC. / PROFESSIONALS' FINANCIAL - PRIVATE MANAGEMENT INC. (NRD# 19310 )


Investment Dealer

FINAPORT LTD. (NRD# 55620 )


International Adviser - Exemption

FIR TREE INC. (NRD# 42670 )


International Investment Fund Manager - Exemption

FIRM CAPITAL SECURITIES CORP. (NRD# 42070 )


Exempt Market Dealer

FIRMINVEST AG (NRD# 56420 )


International Adviser - Exemption

FIRST AFFILIATED SECURITIES INC. (NRD# 1410 )


Exempt Market Dealer

Mutual Fund Dealer

FIRST ANALYSIS SECURITIES CORPORATION (NRD# 9740 )


International Dealer - Exemption

FIRST ASSET INVESTMENT MANAGEMENT INC. (NRD# 8190 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FIRST CANADIAN PROPERTY INVESTMENTS LTD. (NRD# 4060 )


Exempt Market Dealer

FIRST CLEARING, LLC (NRD# 17490 )


International Dealer - Exemption

FIRST EAGLE INVESTMENT MANAGEMENT, LLC (NRD# 31800 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

FIRST MANHATTAN CO (NRD# 39260 )


International Adviser - Exemption

International Dealer - Exemption

FIRST QUADRANT, L.P. (NRD# 7880 )


International Adviser - Exemption

FIRST RELIANCE ASSET MANAGEMENT INC. (NRD# 35590 )


Exempt Market Dealer

FIRST REPUBLIC CAPITAL CORPORATION (NRD# 27270 )


Exempt Market Dealer

FIRST STATE INVESTMENTS (SINGAPORE) (NRD# 34950 )


International Adviser - Exemption

International Dealer - Exemption

FIRST STATE INVESTMENTS INTERNATIONAL LIMITED (NRD# 23330 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

FIRST TRUST ADVISORS L.P. (NRD# 4670 )


Portfolio Manager

FIRST WESTERN CAPITAL MANAGEMENT COMPANY (NRD# 39690 )


International Adviser - Exemption

FIRSTENERGY CAPITAL LLP (NRD# 40660 )


International Dealer - Exemption

FIS BROKERAGE & SECURITIES SERVICES LLC (NRD# 30490 )


International Dealer - Exemption

FISCHER FRANCIS TREES & WATTS, INC. (NRD# 5080 )


International Adviser - Exemption

FISGARD ASSET MANAGEMENT CORPORATION (NRD# 28410 )


Exempt Market Dealer

FISHER ASSET MANAGEMENT, LLC (NRD# 21170 )


International Investment Fund Manager - Exemption

Portfolio Manager

FOCUS ASSET MANAGEMENT LTD. (NRD# 29800 )


Investment Fund Manager

Portfolio Manager

FOREMOST CAPITAL INC. (NRD# 43390 )


Exempt Market Dealer

FOREMOST FINANCIAL CORPORATION (NRD# 34710 )


Exempt Market Dealer

FORESIDE FUND DISTRIBUTORS LLC (NRD# 45440 )


International Dealer - Exemption

FORESIDE FUND SERVICES, LLC (NRD# 44990 )


International Dealer - Exemption

FORESTERS ASSET MANAGEMENT INC. /GESTION D'ACTIFS FORESTERS INC. (NRD# 11020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FORESTERS FINANCIAL INVESTMENT MANAGEMENT COMPANY OF CANADA INC. /SOCIETE DE GESTION DE PLACEMENTS FINANCIERS CANADIENS FORESTERS INC. (NRD# 33880 )


Investment Fund Manager

FORGE FIRST ASSET MANAGEMENT INC. (NRD# 40080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FORMULA GROWTH LIMITED / FORMULA GROWTH, SOCIETE LIMITEE (NRD# 17160 )


Exempt Market Dealer

Investment Fund Manager

FORSTAR CAPITAL LIMITED (NRD# 24280 )


Exempt Market Dealer

FORSTRONG GLOBAL ASSET MANAGEMENT INC. (NRD# 12120 )


Portfolio Manager

FORT L.P. (NRD# 48450 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

FORTRESS CAPITAL FORMATION LLC (NRD# 36470 )


International Dealer - Exemption

FORTRESS GROUP, INC. (NRD# 31650 )


International Dealer - Exemption

FORUM CAPITAL SECURITIES LLC (NRD# 23280 )


International Dealer - Exemption

FOSTER & ASSOCIATES FINANCIAL SERVICES INC./ SERVICES FINANCIERS FOSTER & ASSOCIES (NRD# 5000 )


Investment Dealer

FOUNDATION MARKETS INC. (NRD# 22830 )


Exempt Market Dealer

FOX COLLINS SECURITIES INC. (NRD# 33510 )


Exempt Market Dealer

FOYSTON, GORDON & PAYNE INC. (NRD# 1290 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FPCG, LLC (NRD# 50420 )


International Dealer - Exemption

FRAME GLOBAL ASSET MANAGEMENT LIMITED (NRD# 52890 )


Portfolio Manager

FRANKLIN ADVISERS, INC. (NRD# 7760 )


International Adviser - Exemption

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP. (NRD# 36700 )


International Dealer - Exemption

FRANKLIN TEMPLETON INTERNATIONAL SERVICES S.A.R.L. (NRD# 41040 )


International Investment Fund Manager - Exemption

FRANKLIN TEMPLETON INVESTMENTS CORP./SOCIETE DE PLACEMENTS FRANKLIN TEMPLETON (NRD# 3600 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

FREEDOM INTERNATIONAL BROKERAGE COMPANY (NRD# 1360 )


Exempt Market Dealer

FREETHINK CAPITAL INC. (NRD# 48250 )


Exempt Market Dealer

Investment Fund Manager

FRESHCAP FINANCIAL INC. (NRD# 53110 )


Portfolio Manager

FRIEDBERG ADVISORS LP (NRD# 35630 )


Portfolio Manager

FRIEDBERG MERCANTILE GROUP LTD. / GROUPE FRIEDBERG MERCANTILE (NRD# 1310 )


Futures Commission Merchant

Investment Dealer

FRIGATE VENTURES LP (NRD# 24000 )


Investment Fund Manager

FRONT STREET CAPITAL 2004 (NRD# 31380 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRONTFOUR CAPITAL CORP. (NRD# 36600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FRONTLIGHT CAPITAL LP (NRD# 56530 )


International Investment Fund Manager - Exemption

FRONTWATER CAPITAL INC. (NRD# 29200 )


Commodity Trading Manager

Exempt Market Dealer

Portfolio Manager

FT PORTFOLIOS CANADA CO./SOCIETE DE GESTION DE PORTEFEUILLES FT CANADA (NRD# 5300 )


Investment Fund Manager

Mutual Fund Dealer

FTC INVESTOR SERVICES INC. / SERVICES AUX INVESTISSEURS FTC INC. (NRD# 18200 )


Mutual Fund Dealer

FTN FINANCIAL SECURITIES CORP. (NRD# 25190 )


International Dealer - Exemption

FULCRA ASSET MANAGEMENT INC. (NRD# 28420 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FULL CYCLE ENERGY INVESTMENT MANAGEMENT LIMITED (NRD# 15740 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

FULLER & THALER ASSET MANAGEMENT, INC. (NRD# 27190 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

FULLERTON FUND MANAGEMENT COMPANY LTD. (NRD# 50410 )


International Adviser - Exemption

International Dealer - Exemption

FUNDEX INVESTMENTS INC. (NRD# 24080 )


Exempt Market Dealer

Mutual Fund Dealer

FUNDING CIRCLE SECURITIES, LLC (NRD# 53500 )


International Dealer - Exemption

FUNDS DIRECT CANADA INC. (NRD# 13520 )


Mutual Fund Dealer

FURTHER CAPITAL PARTNERS LTD. (NRD# 50400 )


Exempt Market Dealer

G. DISTRIBUTORS, LLC (NRD# 48120 )


International Dealer - Exemption

G.RESEARCH, LLC (NRD# 30570 )


International Dealer - Exemption

GABELLI FUNDS LLC (NRD# 43960 )


International Investment Fund Manager - Exemption

GABELLI SECURITIES, INC. (NRD# 43350 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GAIN CAPITAL - FOREX.COM CANADA LTD. (NRD# 38580 )


Investment Dealer

GALIBIER CAPITAL MANAGEMENT LTD. (NRD# 39660 )


Investment Fund Manager

Portfolio Manager

GALILEO GLOBAL EQUITY ADVISORS INC. (NRD# 9470 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GALLAGHER FIDUCIARY ADVISORS, LLC (NRD# 39100 )


International Adviser - Exemption

GAM FUND MANAGEMENT LIMITED (NRD# 31840 )


International Dealer - Exemption

GAM LONDON LIMITED (NRD# 30940 )


International Adviser - Exemption

GAM USA INC. (NRD# 4230 )


International Adviser - Exemption

International Dealer - Exemption

GAMCO ASSET MANAGEMENT INC. (NRD# 9280 )


International Adviser - Exemption

GARDA CAPITAL PARTNERS LP (NRD# 55640 )


International Investment Fund Manager - Exemption

GARDNER RUSSO & GARDNER LLC (NRD# 30580 )


International Adviser - Exemption

GARIBALDI CAPITAL ADVISORS LTD. (NRD# 45260 )


Exempt Market Dealer

GATEWAY INVESTMENT ADVISERS, LLC (NRD# 53190 )


International Adviser - Exemption

GCM CUSTOMIZED FUND INVESTMENT GROUP, L.P. (NRD# 51810 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GE CAPITAL MARKETS (CANADA) LTD./GE MARCHES FINANCIERS (CANADA) LTEE (NRD# 24900 )


Exempt Market Dealer

GEMINI ASSET MANAGEMENT INC. (NRD# 22950 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENERATION CAPITAL MANAGEMENT INC. (NRD# 37330 )


Portfolio Manager

GENERATION INVESTMENT MANAGEMENT LLP (NRD# 43980 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

GENERATION INVESTMENT MANAGEMENT US LLP (NRD# 46000 )


International Adviser - Exemption

GENERIC CAPITAL CORPORATION (NRD# 30140 )


Exempt Market Dealer

GENESIS ASSET MANAGERS, LLP (NRD# 18080 )


International Adviser - Exemption

GENESIS INVESTMENT MANAGEMENT LLP (NRD# 18090 )


International Adviser - Exemption

GENFUND MANAGEMENT INC. (NRD# 28600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GENOVA PRIVATE MANAGEMENT INC. (NRD# 24030 )


Portfolio Manager

GENUS CAPITAL MANAGEMENT INC. / GESTION DE FONDS GENUS (NRD# 4520 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GEORGIAN CAPITAL PARTNERS CORPORATION (NRD# 30090 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GEPOLIS S.A. (NRD# 43080 )


International Adviser - Exemption

International Dealer - Exemption

GESTION CRISTALLIN INC./CRYSTALLINE MANAGEMENT INC. (NRD# 18620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS LESTER INC. / LESTER ASSET MANAGEMENT INC. (NRD# 19800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION D'ACTIFS NOMURA USA INC. / NOMURA ASSET MANAGEMENT U.S.A. INC. (NRD# 20010 )


International Investment Fund Manager - Exemption

Portfolio Manager

GESTION D'ACTIFS SECTORIELS INC. / SECTORAL ASSET MANAGEMENT INC. (NRD# 19820 )


Exempt Market Dealer

Portfolio Manager

GESTION DE CAPITAUX ROTHENBERG INC. / ROTHENBERG CAPITAL MANAGEMENT INC. (NRD# 5170 )


Investment Dealer

GESTION DE PATRIMOINE BLUE BRIDGE INC. / BLUE BRIDGE WEALTH MANAGEMENT INC. (NRD# 31240 )


Portfolio Manager

GESTION DE PLACEMENTS ETERNA INC./ETERNA INVESTMENT MANAGEMENT INC. (NRD# 20260 )


Investment Fund Manager

Portfolio Manager

GESTION DE PLACEMENTS HELENE DION INC./HELENE DION INVESTMENT MANAGEMENT INC. (NRD# 26350 )


Portfolio Manager

GESTION DE PORTEFEUILLE LANDRY INC. (NRD# 19940 )


Investment Fund Manager

Portfolio Manager

GESTION DE PORTEFEUILLE TRIASIMA INC./TRIASIMA PORTFOLIO MANAGEMENT INC. (NRD# 13610 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION FERIQUE (NRD# 34230 )


Investment Fund Manager

Portfolio Manager

GESTION HNB-ANCHOR PLACEMENT INC. / HNB-ANCHOR INVESTMENT MANAGEMENT INC. (NRD# 19790 )


Portfolio Manager

GESTION PALOS INC. / PALOS MANAGEMENT INC. (NRD# 19640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GESTION PEMBROKE LTEE / PEMBROKE MANAGEMENT LTD. (NRD# 18250 )


Portfolio Manager

GESTION PLACEMENTS DESJARDINS INC./DESJARDINS INVESTMENT MANAGEMENT INC. (NRD# 4310 )


Investment Fund Manager

Portfolio Manager

GESTION PRIVEE DE PLACEMENT PEMBROKE LTEE/PEMBROKE PRIVATE WEALTH MANAGEMENT LTD. (NRD# 1560 )


Investment Fund Manager

Mutual Fund Dealer

GF SECURITIES (CANADA) COMPANY LIMITED (NRD# 49970 )


Investment Dealer

GFI INVESTMENT COUNSEL LTD. (NRD# 25030 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GFI SECURITIES LLC (NRD# 55040 )


International Dealer - Exemption

GILDER GAGNON HOWE & CO. LLC/GILDER HOWE ET CIE (NRD# 33810 )


International Dealer - Exemption

Portfolio Manager

GILLFORD CAPITAL INC. (NRD# 29350 )


Exempt Market Dealer

GIVERNY CAPITAL INC. (NRD# 17580 )


Investment Fund Manager

Portfolio Manager

GLC ASSET MANAGEMENT GROUP LTD. / GLC GROUPE DE GESTION D'ACTIFS LTEE. (NRD# 1460 )


Portfolio Manager

GLEN UNION CAPITAL INC. (NRD# 52370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLENMEDE INVESTMENT MANAGEMENT LP (NRD# 53740 )


International Adviser - Exemption

GLENVIEW CAPITAL MANAGEMENT LLC (NRD# 41840 )


International Investment Fund Manager - Exemption

GLG PARTNERS LP (NRD# 49910 )


International Investment Fund Manager - Exemption

GLIDEPATH PORTFOLIO SERVICES INC. (NRD# 11360 )


Portfolio Manager

GLOBAL ALPHA CAPITAL MANAGEMENT LTD. / GESTION D'ACTIFS GLOBAL ALPHA LTEE (NRD# 21230 )


Investment Fund Manager

Portfolio Manager

GLOBAL FINANCIAL SERVICES, LLC (NRD# 40390 )


International Dealer - Exemption

GLOBAL GROWTH ASSETS INC./LES ACTIFS DE CROISSANCE GLOBAL INC. (NRD# 35640 )


Investment Fund Manager

GLOBAL LEISURE PARTNERS LLC (NRD# 48540 )


International Dealer - Exemption

GLOBAL MAXFIN CAPITAL INC. / MAXFIN CAPITAUX GLOBAL (NRD# 7250 )


Investment Dealer

GLOBAL MAXFIN INVESTMENTS INC. / LES INVESTISSEMENTS GLOBAL MAXFIN INC. (NRD# 9080 )


Exempt Market Dealer

Mutual Fund Dealer

Scholarship Plan Dealer

GLOBAL RESP CORPORATION/CORPORATION REEE GLOBAL (NRD# 7410 )


Scholarship Plan Dealer

GLOBAL SECURITIES CORPORATION / SOCIETE DE VALEURS GLOBAL INC. (NRD# 6670 )


Futures Commission Merchant

Investment Dealer

GLOBAL THEMATIC PARTNERS, LLC (NRD# 33320 )


International Adviser - Exemption

GLOBAL WEALTH BUILDERS LTD. (NRD# 14400 )


Investment Fund Manager

Portfolio Manager

GLOBEFLEX CAPITAL, LP (NRD# 9650 )


International Investment Fund Manager - Exemption

Portfolio Manager

GLOBEINVEST CAPITAL MANAGEMENT INC. (NRD# 5440 )


Portfolio Manager

GLOBEVEST CAPITAL LTEE (NRD# 19540 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GLUSKIN SHEFF + ASSOCIATES INC. (NRD# 1450 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GMG PRIVATE COUNSEL INC./SERVICES-CONSEILS PRIVE GMG INC. (NRD# 32140 )


Exempt Market Dealer

Portfolio Manager

GMO CANADA LLC / GMO CANADA S.R.L. (NRD# 33580 )


Exempt Market Dealer

GMO EUROPE L.L.C. (NRD# 47980 )


International Investment Fund Manager - Exemption

GMP SECURITIES L.P./ GMP VALEURS MOBILIERES S.E.C. (NRD# 21980 )


Investment Dealer

GMP SECURITIES, LLC (NRD# 11190 )


Exempt Market Dealer

GOLD INVESTMENT MANAGEMENT LTD. (NRD# 26490 )


Portfolio Manager

GOLDENTREE ASSET MANAGEMENT, LP (NRD# 44000 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GOLDENWISE CAPITAL MANAGEMENT INC. (NRD# 42990 )


Commodity Trading Manager

Portfolio Manager

GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL (NRD# 41690 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GOLDMAN SACHS ASSET MANAGEMENT, L.P. / GESTION D'ACTIFS GOLDMAN SACHS LP (NRD# 13930 )


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

GOLDMAN SACHS CANADA INC. (NRD# 9270 )


Investment Dealer

GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NRD# 11510 )


International Dealer - Exemption

GOLDMAN SACHS FINANCIAL MARKETS L.P. (NRD# 36180 )


International Dealer - Exemption

GOLDMAN SACHS HEDGE FUND STRATEGIES LLC (NRD# 13150 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GOLDMAN SACHS INTERNATIONAL (NRD# 5070 )


International Adviser - Exemption

International Dealer - Exemption

GOLDMAN, SACHS & CO. (NRD# 1580 )


International Adviser - Exemption

International Dealer - Exemption

GOLDPOINT PARTNERS CANADA GENPAR INC. (NRD# 34790 )


Investment Fund Manager

GOLDPOINT PARTNERS LLC (NRD# 45600 )


International Investment Fund Manager - Exemption

GOLDSTEIN FINANCIAL INVESTMENTS INC. (NRD# 7030 )


Mutual Fund Dealer

GOODBODY STOCKBROKERS (NRD# 21700 )


International Dealer - Exemption

GOODMAN & COMPANY, INVESTMENT COUNSEL INC. (NRD# 26870 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GOODREID INVESTMENT COUNSEL CORP./CONSEILLERS EN PLACEMENT GOODREID CORP. (NRD# 9750 )


Portfolio Manager

GOODWOOD INC. (NRD# 9140 )


Investment Dealer

Investment Fund Manager

GOTHAM ASSET MANAGEMENT, LLC (NRD# 46380 )


International Adviser - Exemption

GOTTEX FUND MANAGEMENT SARL (NRD# 42340 )


International Investment Fund Manager - Exemption

GP WEALTH MANAGEMENT CORPORATION (NRD# 7990 )


Exempt Market Dealer

Mutual Fund Dealer

GRACORP CAPITAL ADVISORS LTD. (NRD# 33290 )


Exempt Market Dealer

GRAFTON ASSET MANAGEMENT INC. (NRD# 36890 )


Exempt Market Dealer

Investment Fund Manager

GRAHAM CAPITAL MANAGEMENT, L.P. (NRD# 55930 )


International Investment Fund Manager - Exemption

GRAMERCY FUNDS MANAGEMENT LLC (NRD# 53490 )


International Investment Fund Manager - Exemption

GRANT THORNTON CORPORATE FINANCE INC. (NRD# 10650 )


Exempt Market Dealer

GRANTHAM, MAYO, VAN OTTERLOO & CO. LLC (NRD# 12890 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GRATICULE ASIA MACRO ADVISORS LLC (NRD# 50690 )


Exempt Market Dealer

International Adviser - Exemption

International Investment Fund Manager - Exemption

GRAVITAS SECURITIES INC. (NRD# 26260 )


Investment Dealer

Investment Fund Manager

GRAYHAWK INVESTMENT STRATEGIES INC. (NRD# 52900 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GRAYLIE MANAGEMENT LIMITED (NRD# 4240 )


Portfolio Manager

GREEN STREET ADVISORS, LLC (NRD# 33980 )


International Adviser - Exemption

International Dealer - Exemption

GREENBANK FINANCIAL INC. (NRD# 48920 )


Exempt Market Dealer

GREENCHIP FINANCIAL CORP. (NRD# 25690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENHILL & CO., LLC (NRD# 35790 )


International Dealer - Exemption

GREENLEAF GROUP INC. (NRD# 4050 )


Exempt Market Dealer

GREENLIGHT CAPITAL, INC. (NRD# 44020 )


International Investment Fund Manager - Exemption

GREENLIGHT MASTERS, LLC (NRD# 44040 )


International Investment Fund Manager - Exemption

GREENROCK CAPITAL PARTNERS INC. (NRD# 27650 )


Investment Fund Manager

Portfolio Manager

GREENSKEEPER ASSET MANAGEMENT INC. (NRD# 34080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREENSKY CAPITAL INC. (NRD# 28840 )


Exempt Market Dealer

GREENSLEDGE CAPITAL MARKETS LLC (NRD# 49260 )


International Dealer - Exemption

GREYBROOK SECURITIES INC. (NRD# 2150 )


Exempt Market Dealer

GREYPOINT CAPITAL INC. (NRD# 41530 )


Exempt Market Dealer

Restricted Portfolio Manager

GREYSTONE MANAGED INVESTMENTS INC./ GESTION DE PLACEMENTS GREYSTONE (NRD# 2370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GREYWOLF CAPITAL MANAGEMENT LP (NRD# 51140 )


International Investment Fund Manager - Exemption

GROSS SECURITIES CORP. (NRD# 42580 )


Exempt Market Dealer

GROSVENOR CAPITAL MANAGEMENT, L.P. (NRD# 42360 )


International Investment Fund Manager - Exemption

GROSVENOR INVESTMENT MANAGEMENT LTD (NRD# 46070 )


International Investment Fund Manager - Exemption

GROUNDLAYER CAPITAL INC. (NRD# 12640 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GROUPE CLOUTIER INVESTISSEMENTS INC. (NRD# 24770 )


Mutual Fund Dealer

GROWTH WORKS CAPITAL LTD. (NRD# 14600 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

GROWTHQUEST CAPITAL INC. (NRD# 7900 )


Portfolio Manager

GRV SECURITIES LLC (NRD# 25210 )


International Dealer - Exemption

GRYPHON CAPITAL CORPORATION/CORPORATION GRYPHON CAPITAL (NRD# 5880 )


Exempt Market Dealer

GRYPHON INTERNATIONAL INVESTMENT CORPORATION/CORPORATION PLACEMENT GRYPHON INTERNATIONAL (NRD# 5780 )


Investment Fund Manager

Portfolio Manager

GRYPHON INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS GRYPHON INC. (NRD# 1480 )


Investment Fund Manager

Portfolio Manager

GS INVESTMENT STRATEGIES, LLC (NRD# 41700 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GSA CAPITAL LTD. (NRD# 48640 )


International Investment Fund Manager - Exemption

GSA CAPITAL PARTNERS LLP (NRD# 48680 )


International Dealer - Exemption

GSN NORTH AMERICA, INC. (NRD# 9600 )


International Dealer - Exemption

GSO CAPITAL PARTNERS LP (NRD# 46300 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

GSO ENERGY PRIVATE INVESTORS GP, LTD. (NRD# 52580 )


International Investment Fund Manager - Exemption

GTIS REAL ESTATE MANAGEMENT LLC (NRD# 30900 )


International Adviser - Exemption

GUARDIAN CAPITAL ADVISORS LP (NRD# 17640 )


Exempt Market Dealer

Portfolio Manager

GUARDIAN CAPITAL LP / SOCIETE EN COMMANDITE GUARDIAN CAPITAL (NRD# 17650 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

GUARDIAN CAPITAL MANAGEMENT LP (NRD# 26140 )


Exempt Market Dealer

Portfolio Manager

GUARDIAN ETHICAL MANAGEMENT INC. (NRD# 35060 )


Investment Fund Manager

GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC (NRD# 29630 )


International Adviser - Exemption

GUGGENHEIM SECURITIES, LLC (NRD# 8560 )


International Dealer - Exemption

GW&K INVESTMENT MANAGEMENT, LLC (NRD# 32430 )


International Adviser - Exemption

H & H SECURITIES LIMITED (NRD# 4970 )


Exempt Market Dealer

H.C. WAINWRIGHT & CO. LLC (NRD# 48280 )


International Dealer - Exemption

HAHN CAPITAL MANAGEMENT, LLC (NRD# 48130 )


International Adviser - Exemption

HAITONG INTERNATIONAL SECURITIES (USA) INC. (NRD# 55120 )


International Dealer - Exemption

HAITONG SECURITIES USA LLC (NRD# 57250 )


International Dealer - Exemption

HAMBLIN WATSA INVESTMENT COUNSEL LTD. (NRD# 1610 )


Portfolio Manager

HAMILTON CAPITAL PARTNERS INC. / PARTENAIRES HAMILTON CAPITAL (NRD# 29860 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HAMILTON LANE ADVISORS, L.L.C. (NRD# 42750 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

HAMILTON MILLER INVESTMENTS, LLC (NRD# 51690 )


International Dealer - Exemption

HAMPTON SECURITIES LIMITED (NRD# 2890 )


Investment Dealer

HANBURY MANAGEMENT LTD. (NRD# 16320 )


Exempt Market Dealer

HANCOCK CO-INVESTMENTS GP, LLC (NRD# 56260 )


International Investment Fund Manager - Exemption

HANCOCK NATURAL RESOURCE GROUP, INC. (NRD# 18710 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

HANDELSBANKEN MARKETS SECURITIES, INC. (NRD# 46760 )


International Dealer - Exemption

HANOVER PRIVATE CLIENT CORPORATION / CORPORATION HANOVER CLIENTELE PRIVEE (NRD# 8910 )


Portfolio Manager

HANSBERGER GROWTH INVESTORS, LP (NRD# 48240 )


Portfolio Manager

HAPOALIM SECURITIES USA, INC. (NRD# 6580 )


International Dealer - Exemption

HARBOUR ADVISORS CAYMAN LTD. (NRD# 39710 )


International Dealer - Exemption

HARBOUREDGE ASSET MANAGEMENT CORPORATION (NRD# 39970 )


Exempt Market Dealer

HARBOURFRONT WEALTH MANAGEMENT INC. (NRD# 43480 )


Investment Dealer

HARBOURVEST PARTNERS (CANADA) LIMITED (NRD# 49080 )


Exempt Market Dealer

Portfolio Manager

HARBOURVEST PARTNERS L.P. (NRD# 50950 )


International Investment Fund Manager - Exemption

HARDING LOEVNER FUNDS PLC (NRD# 45530 )


International Investment Fund Manager - Exemption

HARDING LOEVNER LP (NRD# 30960 )


International Adviser - Exemption

HARGREAVE HALE LIMITED (NRD# 22550 )


International Adviser - Exemption

International Dealer - Exemption

HARPSWELL CAPITAL MANAGEMENT, LLC (NRD# 35760 )


International Adviser - Exemption

HARRINGTON MACMILLAN FUND MANAGEMENT LIMITED (NRD# 40780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HARRIS ASSOCIATES L.P. (NRD# 9410 )


International Adviser - Exemption

HARRIS, BOLDUC & ASSOCIES INC./HARRIS BOLDUC & ASSOCIATES INC. (NRD# 24890 )


Portfolio Manager

HARVEST PORTFOLIOS GROUP INC. (NRD# 29540 )


Investment Fund Manager

Portfolio Manager

HASTINGS FUNDS MANAGEMENT LIMITED (NRD# 39290 )


International Adviser - Exemption

International Dealer - Exemption

HASTINGS INVESTMENT MANAGEMENT PTY LTD. (NRD# 41010 )


International Adviser - Exemption

International Dealer - Exemption

HAUCK & AUFHAEUSER PRIVATBANKIERS KGAA (NRD# 56490 )


International Dealer - Exemption

HAYFIN CAPITAL MANAGEMENT LLP (NRD# 38820 )


International Dealer - Exemption

HAYFIN MANAGEMENT LIMITED (NRD# 53090 )


International Investment Fund Manager - Exemption

HAYMAN CAPITAL MANAGEMENT, L.P. (NRD# 51610 )


International Investment Fund Manager - Exemption

HAYWOOD SECURITIES INC. / VALEURS MOBILIERES HAYWOOD INC. (NRD# 1630 )


Investment Dealer

HBK INVESTMENTS L.P. (NRD# 47090 )


International Investment Fund Manager - Exemption

HEADSAIL WEALTH MANAGEMENT INCORPORATED (NRD# 48770 )


Portfolio Manager

HEATHBRIDGE CAPITAL MANAGEMENT LTD. (NRD# 7680 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HEIGHT SECURITIES, LLC (NRD# 37810 )


International Dealer - Exemption

HEIKKINEN ENERGY SECURITIES, LLC (NRD# 47210 )


International Dealer - Exemption

HEIRLOOM INVESTMENT MANAGEMENT (CAYMAN) (NRD# 56110 )


International Investment Fund Manager - Exemption

HEIRLOOM INVESTMENT MANAGEMENT LLC (NRD# 55390 )


International Adviser - Exemption

HEMISPHERE CAPITAL MANAGEMENT INC. (NRD# 13510 )


Investment Fund Manager

Portfolio Manager

HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC. (NRD# 31610 )


International Adviser - Exemption

HENDERSON GLOBAL INVESTORS LIMITED (NRD# 39880 )


International Dealer - Exemption

HENDERSON PROPERTY UK AIFM LIMITED (NRD# 55960 )


International Investment Fund Manager - Exemption

HENLEY CAPITAL CORPORATION (NRD# 9900 )


Exempt Market Dealer

Portfolio Manager

HERITAGE EDUCATION FUNDS INC./FONDS D'EDUCATION HERITAGE INC. (NRD# 560 )


Investment Fund Manager

Scholarship Plan Dealer

HERMES EUROPEAN EQUITIES LIMITED (NRD# 33930 )


International Adviser - Exemption

HERMES INVESTMENT MANAGEMENT LIMITED (NRD# 36250 )


International Adviser - Exemption

HEXAVEST INC. (NRD# 18060 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HGC INVESTMENT MANAGEMENT INC. (NRD# 46180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HGK ASSET MANAGEMENT, INC. (NRD# 8590 )


International Adviser - Exemption

HIGGINS INVESTMENT GROUP INC. (NRD# 32590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGH ROCK CAPITAL MANAGEMENT INC. (NRD# 36150 )


Portfolio Manager

HIGHBRIDGE CAPITAL MANAGEMENT, LLC (NRD# 44060 )


International Investment Fund Manager - Exemption

HIGHBRIDGE PRINCIPAL STRATEGIES, LLC (NRD# 44080 )


International Investment Fund Manager - Exemption

HIGHLAND CONSULTING ASSOCIATES INTERNATIONAL, INC. (NRD# 50220 )


Portfolio Manager

HIGHSTREET ASSET MANAGEMENT INC. / GESTION DE PLACEMENTS HIGHSTREET (NRD# 7960 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HIGHTOWER SECURITIES, LLC (NRD# 40040 )


International Dealer - Exemption

HIGHVIEW ASSET MANAGEMENT LTD. (NRD# 16790 )


Portfolio Manager

HILLHOUSE CAPITAL ADVISORS, LTD. (NRD# 44780 )


International Adviser - Exemption

HILLSDALE INVESTMENT MANAGEMENT INC. (NRD# 6130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HILTON CAPITAL MANAGEMENT, LLC (NRD# 56610 )


International Adviser - Exemption

HL EMD LLC (NRD# 21310 )


Exempt Market Dealer

HMW CAPITAL INC. (NRD# 26800 )


Exempt Market Dealer

HNW MANAGEMENT INC. / MANAGEMENT HNW (NRD# 36050 )


Portfolio Manager

HODES WEILL SECURITIES, LLC (NRD# 46790 )


International Dealer - Exemption

HOISINGTON INVESTMENT MANAGEMENT COMPANY (NRD# 33940 )


Restricted Portfolio Manager

HOLLISWEALTH ADVISORY SERVICES INC. / SERVICES FINANCIERS PATRIMOINE HOLLIS INC. (NRD# 340 )


Exempt Market Dealer

Mutual Fund Dealer

HOLOWESKO PARTNERS LTD (NRD# 40470 )


International Adviser - Exemption

HOPLITE CAPITAL MANAGEMENT, L.P. (NRD# 44100 )


International Investment Fund Manager - Exemption

HORIZON 360░ ET ASSOCIES INC. (NRD# 19880 )


Portfolio Manager

HORIZON ASSET MANAGEMENT LLC (NRD# 54450 )


International Adviser - Exemption

HORIZONONE ASSET MANAGEMENT INC. (NRD# 20370 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HORIZONS ETFS MANAGEMENT (CANADA) INC. (NRD# 34630 )


Commodity Trading Adviser

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC (NRD# 45810 )


International Adviser - Exemption

HOTTINGER ASSET MANAGEMENT CANADA INC. (NRD# 12680 )


Exempt Market Dealer

Portfolio Manager

HOULIHAN LOKEY CAPITAL, INC. (NRD# 53060 )


International Dealer - Exemption

HOVDE GROUP, LLC (NRD# 49190 )


International Dealer - Exemption

HOWARD, BARCLAY & ASSOCIATES LTD. (NRD# 4600 )


Portfolio Manager

HPS MEZZANINE MANAGEMENT III, LLC (NRD# 54590 )


International Investment Fund Manager - Exemption

HPS MEZZANINE PRIVATE INVESTORS III GP, LTD (NRD# 55170 )


International Investment Fund Manager - Exemption

HR STRATEGIES INC. (NRD# 19630 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HRS LIQUID STRATEGIES LP (NRD# 49580 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED. / GESTION GLOBALE D'ACTIFS HSBC (CANADA) LIMITEE (NRD# 3840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HSBC GLOBAL ASSET MANAGEMENT (UK) LIMITED (NRD# 42260 )


International Investment Fund Manager - Exemption

HSBC INVESTMENT FUNDS (CANADA) INC./FONDS D'INVESTISSEMENT HSBC (CANADA) INC. (NRD# 1680 )


Mutual Fund Dealer

HSBC PRIVATE WEALTH SERVICES (CANADA) INC./ SERVICES DE GESTION PRIVEE DE PATRIMOINE HSBC (CANADA) INC. (NRD# 45230 )


Portfolio Manager

HSBC SECURITIES (CANADA) INC./ VALEURS MOBILIERES HSBC (CANADA) INC. (NRD# 17220 )


Investment Dealer

HSBC SECURITIES (USA) INC. (NRD# 4640 )


International Dealer - Exemption

HUB CAPITAL INC. / CAPITAL HUB INC. (NRD# 12100 )


Exempt Market Dealer

Mutual Fund Dealer

HUDSON BAY CAPITAL MANAGEMENT LP (NRD# 44120 )


International Investment Fund Manager - Exemption

HUGHESLITTLE INVESTMENT MANAGEMENT LTD. (NRD# 21050 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

HUTCHIN HILL CAPITAL, LP (NRD# 54510 )


International Investment Fund Manager - Exemption

HYMAS INVESTMENT MANAGEMENT INC. (NRD# 10260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.A. MICHAEL INVESTMENT COUNSEL LTD. (NRD# 2270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

I.G. INVESTMENT MANAGEMENT, LTD. / SOCIETE DE GESTION D'INVESTISSEMENT, I.G. LTEE (NRD# 25370 )


Investment Fund Manager

Portfolio Manager

IA INVESTMENT COUNSEL INC./IA CONSEIL EN PLACEMENT INC. (NRD# 4720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IBERIA CAPITAL PARTNERS L.L.C. (NRD# 35360 )


International Dealer - Exemption

IBK CAPITAL CORP. (NRD# 1790 )


Exempt Market Dealer

IBV CAPITAL LTD. (NRD# 43140 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ICAP CORPORATES LLC (NRD# 36340 )


International Dealer - Exemption

ICAP SECURITIES LIMITED (NRD# 50030 )


International Dealer - Exemption

ICAP SECURITIES USA LLC (NRD# 16290 )


International Dealer - Exemption

ICBC STANDARD BANK PLC (NRD# 56210 )


International Dealer - Exemption

ICBC STANDARD SECURITIES, INC. (NRD# 56220 )


International Dealer - Exemption

ICE CANYON LLC (NRD# 46770 )


International Investment Fund Manager - Exemption

ICECAP ASSET MANAGEMENT LIMITED (NRD# 32700 )


Portfolio Manager

ICG ALTERNATIVE CREDIT LLC (NRD# 52590 )


International Investment Fund Manager - Exemption

ICG ALTERNATIVE INVESTMENT LIMITED (NRD# 50190 )


International Investment Fund Manager - Exemption

ICG FUND ADVISORS LLC (NRD# 46640 )


International Investment Fund Manager - Exemption

ICG STRATEGIC SECONDARIES ADVISORS LLC (NRD# 53480 )


International Investment Fund Manager - Exemption

ICICI SECURITIES INC. (NRD# 17270 )


International Dealer - Exemption

ICPP FUNDS LTD. (NRD# 54810 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IDFC SECURITIES LIMITED (NRD# 34770 )


International Dealer - Exemption

IDINVEST PARTNERS (NRD# 47220 )


International Dealer - Exemption

IEPP INVESTMENT MANAGEMENT INC. (NRD# 55090 )


Portfolio Manager

IFM INVESTORS (US) ADVISOR, LLC (NRD# 40850 )


Exempt Market Dealer

Investment Fund Manager

IGAN PARTNERS INC. (NRD# 42150 )


Exempt Market Dealer

IIFL CAPITAL INC. (NRD# 52850 )


International Dealer - Exemption

IMAGINE WEALTH MANAGEMENT INC. (NRD# 53700 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IMC LIMITED PARTNERSHIP (NRD# 29920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

IMPERIAL CAPITAL (INTERNATIONAL) LLP (NRD# 43260 )


International Dealer - Exemption

IMPERIAL CAPITAL, LLC (NRD# 21060 )


International Dealer - Exemption

INCAPITAL LLC (NRD# 31470 )


International Dealer - Exemption

INDEPENDENT ACCOUNTANTS' INVESTMENT COUNSEL INC. (NRD# 9420 )


Portfolio Manager

INDEPENDENT FRANCHISE PARTNERS LLP (NRD# 31260 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

INDEPENDENT TRADING GROUP (ITG) INC. (NRD# 29140 )


Investment Dealer

INDIAN HARBOR LLC (NRD# 46740 )


International Dealer - Exemption

INDUSTRIELLE ALLIANCE GESTION DE PLACEMENTS INC. / INDUSTRIAL ALLIANCE, INVESTMENT MANAGEMENT INC. (NRD# 18340 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

INDUSTRIELLE ALLIANCE VALEURS MOBILIERES INC. / INDUSTRIAL ALLIANCE SECURITIES INC. (NRD# 15400 )


Investment Dealer

INEO CAPITAL, LLC (NRD# 40890 )


International Dealer - Exemption

INFLECTION MANAGEMENT INC. (NRD# 33590 )


Exempt Market Dealer

Investment Fund Manager

INFOR FINANCIAL INC. (NRD# 36970 )


Investment Dealer

Investment Fund Manager

ING BANK N.V. (NRD# 50060 )


International Dealer - Exemption

ING FINANCIAL MARKETS LLC (NRD# 11990 )


International Dealer - Exemption

INNERKIP CAPITAL MANAGEMENT INC. (NRD# 18990 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INNISFREE LIMITED (NRD# 38020 )


International Dealer - Exemption

INNOCAP GLOBAL INVESTMENT MANAGEMENT LTD. (NRD# 49220 )


International Investment Fund Manager - Exemption

INNOCAP INVESTMENT MANAGEMENT INC./GESTION DE PLACEMENTS INNOCAP INC. (NRD# 19040 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED (NRD# 3140 )


Commodity Trading Manager

International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

INSTINET CANADA CROSS LIMITED (NRD# 34060 )


Investment Dealer

INSTINET CANADA LIMITED (NRD# 4020 )


Investment Dealer

INSTINET EUROPE LIMITED (NRD# 50980 )


International Dealer - Exemption

INSTINET PACIFIC LTD. (NRD# 51000 )


International Dealer - Exemption

INSTINET, LLC (NRD# 37830 )


International Dealer - Exemption

INSTITUTIONAL CAPITAL LLC (NRD# 15190 )


International Adviser - Exemption

INSTITUTIONAL CASH DISTRIBUTORS, LLC (NRD# 33830 )


International Dealer - Exemption

INTACT INVESTMENT MANAGEMENT INC./INTACT GESTION DE PLACEMENTS INC. (NRD# 7600 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

INTECH INVESTMENT MANAGEMENT LLC (NRD# 16260 )


International Adviser - Exemption

INTEGRA CAPITAL LIMITED (NRD# 12240 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTEGRAL WEALTH SECURITIES LIMITED (NRD# 310 )


Investment Dealer

INTEGRATED MANAGED FUTURES CORP. (NRD# 15860 )


Commodity Trading Manager

Exempt Market Dealer

INTEGRATED-EQUITIES INC. (NRD# 35680 )


Exempt Market Dealer

INTERACTIVE COURTAGE CANADA INC. / INTERACTIVE BROKERS CANADA INC. (NRD# 11890 )


Futures Commission Merchant

Investment Dealer

INTERMEDIATE CAPITAL GROUP (SINGAPORE) PTE LIMITED (NRD# 47710 )


International Investment Fund Manager - Exemption

INTERMEDIATE CAPITAL MANAGERS LIMITED (NRD# 46250 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

INTERMONTE SIM S.P.A. (NRD# 49820 )


International Dealer - Exemption

INTERNATIONAL CAPITAL MANAGEMENT INC. (NRD# 5480 )


Exempt Market Dealer

Mutual Fund Dealer

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC (NRD# 1720 )


International Adviser - Exemption

International Dealer - Exemption

INTERWARD ASSET MANAGEMENT LTD. (NRD# 21590 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INTRODUCTION CAPITAL INC. (NRD# 20380 )


Exempt Market Dealer

INTRYNSYC CAPITAL CORPORATION (NRD# 30080 )


Exempt Market Dealer

INUKSHUK CAPITAL MANAGEMENT INC. (NRD# 38760 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INVERLOCHY CAPITAL LTD. (NRD# 22800 )


Portfolio Manager

INVESCAP SARL (NRD# 46020 )


Exempt Market Dealer

INVESCO CANADA LTD./INVESCO CANADA LTEE (NRD# 4850 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

INVESCO DISTRIBUTORS, INC. (NRD# 36450 )


International Dealer - Exemption

INVESCO REAL ESTATE MANAGEMENT S.─.R.L. (NRD# 55410 )


International Investment Fund Manager - Exemption

INVESTAR INVESTMENT LTD. (NRD# 39250 )


Exempt Market Dealer

INVESTCORP INVESTMENT ADVISERS LIMITED (NRD# 44150 )


International Investment Fund Manager - Exemption

INVESTEC ASSET MANAGEMENT LIMITED (NRD# 27700 )


International Adviser - Exemption

INVESTEC BANK PLC (NRD# 44370 )


International Dealer - Exemption

INVESTEC SECURITIES (US) LLC (NRD# 25250 )


International Dealer - Exemption

INVESTIA FINANCIAL SERVICES INC. / INVESTIA SERVICES FINANCIERS INC. (NRD# 8490 )


Exempt Market Dealer

Mutual Fund Dealer

INVESTMENT PARTNERS FUND INC. (NRD# 29440 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

INVESTMENT STRATEGIES INC. (NRD# 23560 )


Exempt Market Dealer

Portfolio Manager

INVESTORS GROUP FINANCIAL SERVICES INC./ SERVICES FINANCIERS GROUPE INVESTORS INC. (NRD# 22380 )


Mutual Fund Dealer

INVESTORS GROUP SECURITIES INC./VALEURS MOBILIERES GROUPE INVESTORS INC. (NRD# 5760 )


Investment Dealer

INVESTX FINANCIAL (CANADA) LTD. (NRD# 51580 )


Exempt Market Dealer

INVICO CAPITAL CORPORATION (NRD# 22310 )


Investment Fund Manager

Portfolio Manager

INVISOR INVESTMENT MANAGEMENT INC. (NRD# 48610 )


Portfolio Manager

IPC INVESTMENT CORPORATION (NRD# 5650 )


Exempt Market Dealer

Mutual Fund Dealer

IPC SECURITIES CORPORATION / IPC VALEURS MOBILIERES (NRD# 8780 )


Investment Dealer

IPSOL CAPITAL INC. (NRD# 45430 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

IRIDIAN ASSET MANAGEMENT LLC / GESTION D'ACTIFS IRIDIAN (NRD# 11040 )


International Adviser - Exemption

IRIS ASSET MANAGEMENT LTD. (NRD# 43290 )


Portfolio Manager

IRISH LIFE INVESTMENT MANAGERS LIMITED (NRD# 51390 )


International Adviser - Exemption

ISAM (USA) LLC (NRD# 42720 )


International Investment Fund Manager - Exemption

ITAU BBA USA SECURITIES, INC. (NRD# 30610 )


International Dealer - Exemption

ITAU USA ASSET MANAGEMENT INC. (NRD# 39950 )


International Adviser - Exemption

ITG CANADA CORP. (NRD# 9780 )


Futures Commission Merchant

Investment Dealer

ITG INC. (NRD# 1770 )


International Dealer - Exemption

IVALDI CAPITAL LLP (NRD# 40690 )


International Adviser - Exemption

International Dealer - Exemption

IVALDI CAPITAL PTE LIMITED (NRD# 53690 )


International Adviser - Exemption

International Dealer - Exemption

IVORY INVESTMENT MANAGEMENT, LLC (NRD# 42930 )


International Investment Fund Manager - Exemption

IVP CAPITAL, LLC (NRD# 51600 )


International Dealer - Exemption

IVY INVESTMENT MANAGEMENT COMPANY (NRD# 41050 )


International Adviser - Exemption

J O HAMBRO CAPITAL MANAGEMENT LIMITED (NRD# 34510 )


International Adviser - Exemption

J ROTHSCHILD CAPITAL MANAGEMENT LIMITED (NRD# 52240 )


International Investment Fund Manager - Exemption

J. PRIEST INVESTMENT MANAGEMENT INC. (NRD# 30790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J. ZECHNER ASSOCIATES INC. (NRD# 4160 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

J.C. HOOD INVESTMENT COUNSEL INC. (NRD# 10230 )


Portfolio Manager

J.P. MORGAN INVESTMENT MANAGEMENT INC. (NRD# 2390 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

J.P. MORGAN SECURITIES CANADA INC. / J.P. MORGAN VALEURS MOBILIERES CANADA INC. (NRD# 2510 )


Futures Commission Merchant

Investment Dealer

J.P. MORGAN SECURITIES LLC. (NRD# 500 )


International Adviser - Exemption

International Dealer - Exemption

J.P. MORGAN SECURITIES PLC (NRD# 31220 )


International Dealer - Exemption

J.V.B. FINANCIAL GROUP , LLC (NRD# 31850 )


International Dealer - Exemption

J&E DAVY (NRD# 47820 )


International Dealer - Exemption

JACKSON SQUARE PARTNERS, LLC (NRD# 48070 )


International Adviser - Exemption

JACOBS LEVY EQUITY MANAGEMENT, INC. (NRD# 20740 )


International Adviser - Exemption

JANE STREET EXECUTION SERVICES, LLC (NRD# 47530 )


International Dealer - Exemption

JANNEY MONTGOMERY SCOTT LLC (NRD# 43090 )


International Dealer - Exemption

JANUS CAPITAL MANAGEMENT LLC (NRD# 5790 )


Exempt Market Dealer

Portfolio Manager

JAPA INTERNATIONAL LIMITED (NRD# 6970 )


Portfolio Manager

JARISLOWSKY, FRASER LIMITEE / JARISLOWSKY, FRASER LIMITED (NRD# 5570 )


Investment Fund Manager

Portfolio Manager

JC CLARK INC. (NRD# 12060 )


Portfolio Manager

JC CLARK LTD. / JC CLARK LTEE (NRD# 10690 )


Investment Dealer

Investment Fund Manager

JCM VENTURE CAPITAL LTD. (NRD# 44410 )


Exempt Market Dealer

JED OR CAPITAL, LLC (NRD# 55800 )


International Investment Fund Manager - Exemption

JEFFERIES INDIA PRIVATE LIMITED (NRD# 41100 )


International Dealer - Exemption

JEFFERIES INTERNATIONAL LIMITED (NRD# 49880 )


International Dealer - Exemption

JEFFERIES LLC (NRD# 1870 )


International Dealer - Exemption

JEFFERIES SECURITIES, INC. (NRD# 49620 )


Investment Dealer

JENNISON ASSOCIATES LLC (NRD# 31560 )


International Adviser - Exemption

JENSEN INVESTMENT MANAGEMENT, INC. (NRD# 20840 )


International Adviser - Exemption

JESSELTON CAPITAL MANAGEMENT INC. (NRD# 54240 )


Exempt Market Dealer

Investment Fund Manager

JGP GLOBAL GEST├O DE RECURSOS LTDA. (NRD# 47320 )


International Investment Fund Manager - Exemption

JITNEYTRADE INC. (NRD# 11470 )


Futures Commission Merchant

Investment Dealer

JM FINANCIAL INSTITUTIONAL SECURITIES LTD. (NRD# 56880 )


International Dealer - Exemption

JM FINANCIAL SECURITIES, INC. (NRD# 56870 )


International Dealer - Exemption

JM FUND MANAGEMENT INC. (NRD# 40600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JMP SECURITIES LLC. (NRD# 29410 )


International Dealer - Exemption

JOG CAPITAL CORP. (NRD# 40840 )


Exempt Market Dealer

Investment Fund Manager

JOH. BERENBERG, GOSSLER & CO. KG (NRD# 40750 )


International Dealer - Exemption

JOHNSON RICE AND COMPANY, L.L.C. (NRD# 18760 )


International Dealer - Exemption

JOHNSTON ASSET MANAGEMENT LLC (NRD# 37140 )


International Adviser - Exemption

JONES COLLOMBIN INVESTMENT COUNSEL INC. / CONSEILLERS EN PLACEMENTS JONES COLLOMBIN INC. (NRD# 1840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JONES LANG LASALLE SECURITIES, L.L.C. (NRD# 36020 )


International Dealer - Exemption

JONESTRADING CANADA INC./COURTAGE JONES CANADA INC. (NRD# 28380 )


Investment Dealer

JONESTRADING INSTITUTIONAL SERVICES LLC (NRD# 21380 )


International Dealer - Exemption

JOSEPH GUNNAR & CO., LLC (NRD# 36800 )


International Dealer - Exemption

JP MORGAN CHASE BANK, N.A. (NRD# 31640 )


International Adviser - Exemption

JPMORGAN ALTERNATIVE ASSET MANAGEMENT, INC. (NRD# 35430 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

JPMORGAN ASSET MANAGEMENT (CANADA) INC./GESTION D'ACTIF JPMORGAN (CANADA) INC. (NRD# 1270 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

JPMORGAN ASSET MANAGEMENT (EUROPE) S.A.R.L. (NRD# 44170 )


International Investment Fund Manager - Exemption

JULIUS BAER (MIDDLE EAST) LTD. (NRD# 37420 )


International Adviser - Exemption

JULIUS BAER BANK & TRUST (BAHAMAS) LIMITED (NRD# 37050 )


International Adviser - Exemption

International Dealer - Exemption

JULIUS BAER INTERNATIONAL LIMITED (NRD# 43410 )


International Adviser - Exemption

JUNO FINANCE UK LTD. (NRD# 46010 )


International Dealer - Exemption

JUSTWEALTH FINANCIAL INC. (NRD# 52700 )


Portfolio Manager

JVAR CAPITAL LIMITED (NRD# 18510 )


Exempt Market Dealer

Portfolio Manager

JVK LIFE & WEALTH ADVISORY GROUP INC./JVK LIFE & WEALTH ADVISORY GROUP (NRD# 10160 )


Exempt Market Dealer

Mutual Fund Dealer

JW GP, LLC (NRD# 50040 )


International Investment Fund Manager - Exemption

K.J. HARRISON & PARTNERS INC (NRD# 11790 )


Investment Dealer

Investment Fund Manager

K2 & ASSOCIATES INVESTMENT MANAGEMENT INC. (NRD# 9230 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

K2/D&S MANAGEMENT CO., L.L.C (NRD# 55720 )


International Investment Fund Manager - Exemption

KAI ASSET MANAGEMENT INC. (NRD# 51940 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KAIOG CAPITAL PARTNERS INC. (NRD# 29930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KARYA CAPITAL MANAGEMENT LP (NRD# 50930 )


International Adviser - Exemption

KASSIRER ASSET MANAGEMENT CORPORATION (NRD# 10080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KATALYST SECURITIES, LLC (NRD# 50760 )


International Dealer - Exemption

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC (NRD# 16660 )


International Adviser - Exemption

KBA CONSULTING MANAGEMENT LIMITED (NRD# 53870 )


International Investment Fund Manager - Exemption

KBI GLOBAL INVESTORS (NORTH AMERICA) LIMITED (NRD# 15840 )


International Adviser - Exemption

KBI GLOBAL INVESTORS LIMITED (NRD# 52390 )


International Adviser - Exemption

KCG EUROPE LIMITED (NRD# 54470 )


International Dealer - Exemption

KCG LLC (NRD# 21880 )


International Dealer - Exemption

KEATSCONNELLY ULC (NRD# 40980 )


Portfolio Manager

KEEFE, BRUYETTE & WOODS, INC. (NRD# 18280 )


International Dealer - Exemption

KEIRA CAPITAL PARTNERS INC. (NRD# 38970 )


Exempt Market Dealer

KEMA PARTNERS LLC (NRD# 45180 )


International Dealer - Exemption

KEMPEN & CO. U.S.A. INC. (NRD# 42600 )


International Dealer - Exemption

KENMAR SECURITIES, LLC (NRD# 56970 )


International Dealer - Exemption

KENSINGTON CAPITAL ADVISORS INC. (NRD# 7330 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

KEPLER CAPITAL MARKETS, INC (NRD# 47740 )


International Dealer - Exemption

KEPOS CAPITAL LP (NRD# 46290 )


International Investment Fund Manager - Exemption

KERNAGHAN & PARTNERS LTD. (NRD# 50390 )


Futures Commission Merchant

Investment Dealer

KERRISDALE ADVISERS, LLC (NRD# 52980 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

KES 7 CAPITAL INC. (NRD# 46420 )


Exempt Market Dealer

KEYBANC CAPITAL MARKETS INC. (NRD# 13440 )


International Dealer - Exemption

KEYBASE FINANCIAL GROUP INC. (NRD# 4710 )


Exempt Market Dealer

Mutual Fund Dealer

KGS-ALPHA CAPITAL MARKETS, L.P. (NRD# 39940 )


International Dealer - Exemption

KILBURN OGILVIE WAYMANN INVESTMENT MANAGEMENT LTD. (NRD# 17060 )


Portfolio Manager

KILGHARRAH ASSET MANAGEMENT INC. (NRD# 51110 )


Portfolio Manager

KILGOUR WILLIAMS CAPITAL INCORPORATED (NRD# 45930 )


Exempt Market Dealer

Investment Fund Manager

Restricted Portfolio Manager

KILTEARN PARTNERS LLP (NRD# 50600 )


International Dealer - Exemption

KIMELMAN & BAIRD, LLC (NRD# 23450 )


International Dealer - Exemption

Portfolio Manager

KINDIGO CAPITAL LTD. (NRD# 51630 )


Exempt Market Dealer

KINDLE CAPITAL MANAGEMENT INC. (NRD# 44690 )


Exempt Market Dealer

KINETICS ASSET MANAGEMENT LLC (NRD# 33700 )


International Adviser - Exemption

KING STREET (EUROPE) LLP (NRD# 39060 )


International Dealer - Exemption

KING STREET CAPITAL MANAGEMENT, L.P. (NRD# 46230 )


International Investment Fund Manager - Exemption

KINGSDALE CAPITAL MARKETS INC. / MARCHES KINGSDALE CAPITAL INC. (NRD# 6830 )


Investment Dealer

KINGWEST & COMPANY / LA SOCIETE KINGWEST ET COMPAGNIE (NRD# 1930 )


Investment Dealer

Investment Fund Manager

KKR AMERICAS XII PRIVATE INVESTORS GP LTD. (NRD# 55060 )


International Investment Fund Manager - Exemption

KKR CAPITAL MARKETS LLC (NRD# 28620 )


International Dealer - Exemption

KKR CREDIT ADVISORS (US) LLC (NRD# 44200 )


International Investment Fund Manager - Exemption

KLR GROUP LLC (NRD# 45490 )


International Dealer - Exemption

KNG SECURITIES LLP (NRD# 48350 )


International Dealer - Exemption

KNIGHTHEAD CAPITAL MANAGEMENT, L.L.C. (NRD# 44860 )


International Investment Fund Manager - Exemption

KNOWLEDGE FIRST FINANCIAL INC./LA PREMIERE FINANCIERE DU SAVOIR INC. (NRD# 3230 )


Investment Fund Manager

Scholarship Plan Dealer

KOHLBERG KRAVIS ROBERTS & CO. L.P. (NRD# 44230 )


International Investment Fund Manager - Exemption

KOTAK MAHINDRA INC. (NRD# 46450 )


International Dealer - Exemption

KOVITZ INVESTMENT GROUP PARTNERS, LLC (NRD# 54250 )


International Adviser - Exemption

KPMG CORPORATE FINANCE INC./FINANCEMENT CORPORATIF KPMG INC. (NRD# 6410 )


Exempt Market Dealer

KV CAPITAL INC. (NRD# 34440 )


Exempt Market Dealer

Investment Fund Manager

KW INVESTMENT MANAGEMENT LTD. (NRD# 47330 )


International Investment Fund Manager - Exemption

KYKLOPES CAPITAL MANAGEMENT LTD. (NRD# 37650 )


Exempt Market Dealer

Investment Fund Manager

L&G UK PROPERTY INCOME FUND TWO JERSEY LIMITED (NRD# 50450 )


International Investment Fund Manager - Exemption

LA FRANCAISE BANK (NRD# 54550 )


International Dealer - Exemption

LAKE STREET CAPITAL MARKETS, LLC (NRD# 46150 )


International Dealer - Exemption

LAKESHORE SECURITIES INC. (NRD# 10580 )


Investment Dealer

LAMPE CAPITAL NORTH AMERICA LLC (NRD# 46970 )


International Dealer - Exemption

LANDMARK EQUITY ADVISORS LLC (NRD# 44260 )


International Investment Fund Manager - Exemption

LANDMARK PARTNERS (EUROPE) LIMITED (NRD# 47170 )


International Dealer - Exemption

LANDMARK REALTY ADVISORS LLC (NRD# 47120 )


International Investment Fund Manager - Exemption

LANGMAIDS ASSET MANAGEMENT INC. (NRD# 9980 )


Exempt Market Dealer

Portfolio Manager

LANTERN STRUCTURED ASSET MANAGEMENT LIMITED (NRD# 56410 )


International Investment Fund Manager - Exemption

LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC (NRD# 39790 )


International Dealer - Exemption

LAURIER CAPITAL FUNDING INC. (NRD# 43460 )


Exempt Market Dealer

LAURUS INVESTMENT COUNSEL INC. (NRD# 48260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAVBAY CAPITAL MANAGEMENT INC. (NRD# 53580 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWRENCE PARK ASSET MANAGEMENT LTD. (NRD# 37930 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAWTON PARTNERS FINANCIAL PLANNING SERVICES LIMITED (NRD# 14020 )


Mutual Fund Dealer

LAZARD ASSET MANAGEMENT (CANADA), INC. / GESTION D'ACTIFS LAZARD (CANADA) (NRD# 5740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LAZARD ASSET MANAGEMENT LLC (NRD# 16570 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

LAZARD ASSET MANAGEMENT SECURITIES LLC (NRD# 16820 )


International Dealer - Exemption

LAZARD FRERES & CO. LLC. (NRD# 2060 )


International Dealer - Exemption

LBC FINANCIAL SERVICES INC./BLC SERVICES FINANCIERS INC. (NRD# 5100 )


Mutual Fund Dealer

LDIC INC. (NRD# 8550 )


Investment Fund Manager

Portfolio Manager

LEEDE JONES GABLE INC. (NRD# 5770 )


Investment Dealer

LEERINK PARTNERS LLC (NRD# 9830 )


International Dealer - Exemption

LEERINK REVELATION PARTNERS, LLC (NRD# 51450 )


International Investment Fund Manager - Exemption

LEGACY PARTNERS WEALTH STRATEGIES INC. (NRD# 38030 )


Exempt Market Dealer

LEGACY PARTNERS, LLC (NRD# 56750 )


International Investment Fund Manager - Exemption

LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA, INC. (NRD# 37980 )


Portfolio Manager

LEGAL & GENERAL PROPERTY PARTNERS (OPERATOR) LIMITED (NRD# 48460 )


International Dealer - Exemption

LEGG MASON GLOBAL FUNDS PLC (NRD# 52990 )


International Investment Fund Manager - Exemption

LEGG MASON INVESTOR SERVICES, LLC (NRD# 48140 )


International Dealer - Exemption

LEGG MASON PARTNERS FUND ADVISOR, LLC (NRD# 48150 )


International Investment Fund Manager - Exemption

LEGION PARTNERS ASSET MANAGEMENT, LLC (NRD# 41000 )


International Adviser - Exemption

LEITH WHEELER INVESTMENT COUNSEL LTD. (NRD# 45130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LEITH WHEELER INVESTMENT FUNDS LTD. (NRD# 20750 )


Mutual Fund Dealer

LES CONSEILLERS EN PLACEMENTS KERR INC. / KERR FINANCIAL ADVISORS INC. (NRD# 10440 )


Investment Fund Manager

Portfolio Manager

LES CONSEILLERS EN VALEURS RAZORBILL INC./ RAZORBILL ADVISORS INC. (NRD# 43500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LES INVESTISSEMENTS RIVEMONT INC. / RIVEMONT INVESTMENTS INC. (NRD# 31760 )


Portfolio Manager

LESLIE E. CHRISTIAN, LLC (NRD# 45750 )


International Adviser - Exemption

LETKO, BROSSEAU & ASSOCIES INC. / LETKO, BROSSEAU & ASSOCIATES INC. (NRD# 4440 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LEWIN CAPITAL MANAGEMENT LTD. (NRD# 28020 )


Portfolio Manager

LEX CAPITAL MANAGEMENT INC. (NRD# 30380 )


Exempt Market Dealer

Investment Fund Manager

LEXINGTON PARTNERS L.P. (NRD# 44720 )


International Investment Fund Manager - Exemption

LFG INVESTMENT CONSULTING (NRD# 37080 )


International Adviser - Exemption

International Dealer - Exemption

LGK ADVISORS, L.P. (NRD# 51560 )


International Investment Fund Manager - Exemption

LGT BANK (SINGAPORE) LTD (NRD# 47790 )


International Adviser - Exemption

International Dealer - Exemption

LGT BANK AG, HONG KONG BRANCH (NRD# 47800 )


International Adviser - Exemption

International Dealer - Exemption

LGT CAPITAL PARTNERS (IRELAND) LIMITED (NRD# 44270 )


International Investment Fund Manager - Exemption

LIAHONA CAPITAL INC. (NRD# 47620 )


Exempt Market Dealer

LIBERTY HOUSE ASSET MANAGEMENT INC. (NRD# 17080 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIBERTY INTERNATIONAL INVESTMENT MANAGEMENT INC. (NRD# 50470 )


Portfolio Manager

LIBERTY NORTH CAPITAL CORP. (NRD# 46570 )


Exempt Market Dealer

LIBERUM CAPITAL INC. (NRD# 32050 )


International Dealer - Exemption

LIGHTHOUSE INVESTMENT PARTNERS, LLC (NRD# 42420 )


International Investment Fund Manager - Exemption

LIGHTWATER PARTNERS LTD. (NRD# 27510 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIGHTYEAR CAPITAL INC. (NRD# 10570 )


Investment Dealer

LIME BROKERAGE LLC (NRD# 25300 )


International Dealer - Exemption

LINCLUDEN INVESTMENT MANAGEMENT LIMITED (NRD# 38690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LINCLUDEN MUTUAL FUND DEALER INC. (NRD# 12740 )


Mutual Fund Dealer

LINDE EQUITY INC. (NRD# 14720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LINDEN ADVISORS LP (NRD# 44400 )


International Investment Fund Manager - Exemption

LINDEN MILLS INVESTMENTS INC. (NRD# 20950 )


Exempt Market Dealer

LINDSELL TRAIN LIMITED (NRD# 51930 )


International Dealer - Exemption

LINGOHR & PARTNER NORTH AMERICA, INC. (NRD# 30310 )


Portfolio Manager

LIONGUARD CAPITAL MANAGEMENT INC. (NRD# 48220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LIONRIDGE CAPITAL MANAGEMENT INC. (NRD# 15790 )


Portfolio Manager

LIQUIDNET CANADA INC. / LIQUIDENET CANADA INC. (NRD# 16680 )


Investment Dealer

LIQUIDNET, INC. (NRD# 41660 )


International Dealer - Exemption

LISSOM INVESTMENT MANAGEMENT INC. (NRD# 18770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LLOYDS BANK PLC (NRD# 52840 )


International Dealer - Exemption

LLOYDS SECURITIES INC. (NRD# 54460 )


International Dealer - Exemption

LMAX LIMITED (NRD# 43360 )


International Dealer - Exemption

LMCG INVESTMENTS, LLC (NRD# 17680 )


International Adviser - Exemption

LODESTAR INVESTMENT COUNSEL, LLC (NRD# 47560 )


International Adviser - Exemption

LOEWEN, ONDAATJE, MCCUTCHEON LIMITED / LOEWEN, ONDAATJE, MCCUTCHEON LIMITEE (NRD# 2040 )


Exempt Market Dealer

LOGAN CIRCLE PARTNERS I LLC (NRD# 38840 )


Exempt Market Dealer

Portfolio Manager

LOGAN CIRCLE PARTNERS, L.P. (NRD# 26860 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

LOGAN WEALTH MANAGEMENT INC. (NRD# 40200 )


Portfolio Manager

LOMBARD ODIER SECURITIES (CANADA) INC. (NRD# 23230 )


Investment Dealer

LONDON DIVERSIFIED FUND MANAGEMENT LLP (NRD# 55840 )


International Investment Fund Manager - Exemption

LONE STAR EUROPE ACQUISITIONS LLP (NRD# 41990 )


International Dealer - Exemption

LONG INVESTMENT MANAGEMENT (CAYMAN) LIMITED (NRD# 52460 )


International Investment Fund Manager - Exemption

LONG INVESTMENT MANAGEMENT INTERNATIONAL LIMITED (NRD# 52470 )


International Investment Fund Manager - Exemption

LONGBOW CAPITAL INC (NRD# 29040 )


Exempt Market Dealer

Investment Fund Manager

LONGVIEW ASSET MANAGEMENT LTD. (NRD# 37480 )


Investment Fund Manager

Portfolio Manager

LOOMIS, SAYLES & COMPANY, L.P. (NRD# 17600 )


Portfolio Manager

LOOP SECURITIES INC. (NRD# 56230 )


Exempt Market Dealer

LORD, ABBETT & CO. LLC (NRD# 16180 )


International Adviser - Exemption

LORICA INVESTMENT COUNSEL INC. (NRD# 33890 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LORNE STEINBERG WEALTH MANAGEMENT INC. / GESTION DE PATRIMOINE LORNE STEINBERG (NRD# 30200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOS ANGELES CAPITAL MANAGEMENT AND EQUITY RESEARCH, INC. (NRD# 25720 )


International Adviser - Exemption

LOUBANI CAPITAL MANAGEMENT (CANADA) INC. (NRD# 46340 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOUISBOURG INVESTMENTS INC./LES PLACEMENTS LOUISBOURG INC. (NRD# 15320 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LOWENBERG INVESTMENT COUNSEL, INC. (NRD# 38460 )


Portfolio Manager

LSV ASSET MANAGEMENT (NRD# 8920 )


Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

LT ADVISORY LIMITED (NRD# 41600 )


International Adviser - Exemption

International Dealer - Exemption

LUMEN ASSET MANAGEMENT INC. (NRD# 52480 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

LUXOR CAPITAL GROUP, LP (NRD# 41810 )


International Investment Fund Manager - Exemption

LYCOS ASSET MANAGEMENT INC. (NRD# 28580 )


Portfolio Manager

LYONS ASSET MANAGEMENT INC. (NRD# 20230 )


Portfolio Manager

LYSANDER FUNDS LIMITED (NRD# 34560 )


Exempt Market Dealer

Investment Fund Manager

LYTTON FINANCIAL INC. (NRD# 18500 )


Exempt Market Dealer

LYXOR ASSET MANAGEMENT (NRD# 44300 )


International Investment Fund Manager - Exemption

M & G INVESTMENT MANAGEMENT LIMITED (NRD# 41250 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

M PARTNERS INC. (NRD# 20360 )


Investment Dealer

M.S. LAMONT AND ASSOCIATES LIMITED (NRD# 1990 )


Portfolio Manager

M.Y. CAPITAL MANAGEMENT CORP. (NRD# 41150 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

M&G ALTERNATIVES INVESTMENT MANAGEMENT LIMITED (NRD# 51780 )


International Investment Fund Manager - Exemption

M2O PRIVATE FUND ADVISORS LLC (NRD# 42060 )


International Dealer - Exemption

M3 CAPITAL PARTNERS LLC (NRD# 20440 )


International Dealer - Exemption

MACDONALD, SHYMKO & COMPANY LTD. (NRD# 14890 )


Portfolio Manager

MACGREGOR GLOBAL INVESTMENTS LLC (NRD# 29320 )


International Dealer - Exemption

MACKAY SHIELDS LLC (NRD# 25520 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

MACKAY SHIELDS UK LLP (NRD# 46850 )


International Investment Fund Manager - Exemption

MACKENZIE FINANCIAL CORPORATION (NRD# 2130 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACKIE RESEARCH CAPITAL CORPORATION / CORPORATION MACKIE RECHERCHE CAPITAL (NRD# 3070 )


Investment Dealer

Investment Fund Manager

MACKINNON, BENNETT & COMPANY INC. / MACKINNON, BENNETT & COMPAGNIE INC. (NRD# 32490 )


Exempt Market Dealer

MACNICOL & ASSOCIATES ASSET MANAGEMENT INC. (NRD# 12500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MACQUARIE CAPITAL (USA) INC . (NRD# 21270 )


International Dealer - Exemption

MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC (NRD# 30000 )


International Adviser - Exemption

MACQUARIE CAPITAL MARKETS CANADA LTD./MARCHES FINANCIERS MACQUARIE CANADA LTEE. (NRD# 3950 )


Futures Commission Merchant

Investment Dealer

MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED (NRD# 46840 )


International Investment Fund Manager - Exemption

MACQUARIE FUTURES USA LLC (NRD# 38530 )


International Dealer - Exemption

MACQUARIE INFRASTRUCTURE AND REAL ASSETS (SALES) CANADA LTD. (NRD# 37360 )


Exempt Market Dealer

MACQUARIE INVESTMENT MANAGEMENT (BERMUDA) LIMITED (NRD# 44310 )


International Investment Fund Manager - Exemption

MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED (NRD# 57080 )


International Adviser - Exemption

MACQUARIE INVESTMENT MANAGEMENT LIMITED (NRD# 45720 )


International Adviser - Exemption

MACQUARIE PRIVATE PORTFOLIO MANAGEMENT LIMITED (NRD# 43420 )


International Adviser - Exemption

MAGELLAN ASSET MANAGEMENT LTD (NRD# 45010 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

MAGENTA CAPITAL CORPORATION (NRD# 33730 )


Exempt Market Dealer

MAGNETAR FINANCIAL LLC (NRD# 50650 )


International Investment Fund Manager - Exemption

MAGNITUDE CAPITAL, LLC (NRD# 42440 )


International Investment Fund Manager - Exemption

MAHOGANY ASSET MANAGEMENT INC. (NRD# 47720 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAINFIRST SECURITIES US INC. (NRD# 42760 )


International Dealer - Exemption

MAINSTREET CAPITAL PARTNERS, LLC (NRD# 54560 )


International Dealer - Exemption

MAINSTREET OPPORTUNITY FUND MANAGER, LLC (NRD# 54630 )


International Investment Fund Manager - Exemption

MAISON PLACEMENTS CANADA INC. (NRD# 2140 )


Investment Dealer

MAJEDIE ASSET MANAGEMENT LIMITED (NRD# 55030 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

MAJESTIC ASSET MANAGEMENT LLC (NRD# 29010 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MALLORY CAPITAL GROUP, LLC (NRD# 23750 )


International Dealer - Exemption

MALTESE CAPITAL MANAGEMENT, LLC (NRD# 51420 )


International Investment Fund Manager - Exemption

MAN INVESTMENTS INC. (NRD# 47770 )


International Dealer - Exemption

MANAGED ASSET PORTFOLIOS, LLC (NRD# 51250 )


International Adviser - Exemption

MANDEVILLE PRIVATE CLIENT INC./GESTION PRIVEE MANDEVILLE INC. (NRD# 34220 )


Investment Dealer

MANDEVILLE WEALTH SERVICES INC./GESTION DE PATRIMOINE MANDEVILLE INC. (NRD# 42960 )


Exempt Market Dealer

Mutual Fund Dealer

MANITOU INVESTMENT MANAGEMENT LTD. (NRD# 8430 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MANN MANN JENSEN PARTNERS LP (NRD# 33710 )


International Dealer - Exemption

MANNING & NAPIER ADVISORS, LLC (NRD# 38630 )


Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

MANULIFE ASSET MANAGEMENT INVESTMENTS INC./INVESTISSEMENTS GESTION D'ACTIFS MANUVIE INC. (NRD# 48020 )


Exempt Market Dealer

MANULIFE ASSET MANAGEMENT LIMITED/GESTION D'ACTIFS MANUVIE LIMITEE (NRD# 1150 )


Commodity Trading Manager

Investment Fund Manager

Portfolio Manager

MANULIFE SECURITIES INCORPORATED/PLACEMENTS MANUVIE INCORPOREE (NRD# 17820 )


Investment Dealer

MANULIFE SECURITIES INVESTMENT SERVICES INC. (NRD# 28150 )


Exempt Market Dealer

Mutual Fund Dealer

MAPLE LEAF ANGELS CORPORATION (NRD# 29700 )


Exempt Market Dealer

MAPLE ROCK CAPITAL PARTNERS INC. (NRD# 48840 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAPLEHILL CAPITAL MANAGEMENT CORPORATION (NRD# 28640 )


Exempt Market Dealer

Portfolio Manager

MAPLEWEST CAPITAL CORPORATION (NRD# 50500 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAR VISTA INVESTMENT PARTNERS, LLC (NRD# 39120 )


International Adviser - Exemption

MARATHON ASSET MANAGEMENT LLP (NRD# 18650 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

MARATHON ASSET MANAGEMENT, L.P. (NRD# 32210 )


International Investment Fund Manager - Exemption

MARATHON CAPITAL MARKETS, LLC (NRD# 34150 )


Exempt Market Dealer

MARCUARD FAMILY OFFICE LTD. (NRD# 39820 )


International Adviser - Exemption

MARINER GROUP CAPITAL MARKETS, INC (NRD# 45300 )


International Dealer - Exemption

MARINER INVESTMENT GROUP, LLC (NRD# 44390 )


International Investment Fund Manager - Exemption

MARKETAXESS CANADA COMPANY/SOCIETE MARKETAXESS CANADA (NRD# 22630 )


Investment Dealer

MARKETAXESS CORPORATION (NRD# 9130 )


International Dealer - Exemption

MARQUEST ASSET MANAGEMENT INC. / INVESTISSEMENT CONSEIL MARQUEST (NRD# 2310 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARRET ASSET MANAGEMENT INC. (NRD# 10780 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MARS VX (NRD# 45060 )


Restricted Dealer

MARSHALL WACE ASIA LIMITED (NRD# 43630 )


International Investment Fund Manager - Exemption

MARSHALL WACE LLP (NRD# 43650 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

MARSHALL WACE NORTH AMERICA L.P. (NRD# 43670 )


International Investment Fund Manager - Exemption

MARSICO CAPITAL MANAGEMENT, LLC (NRD# 30480 )


International Adviser - Exemption

MARTIN CURRIE INC. (NRD# 840 )


International Adviser - Exemption

MARTIN, LUCAS & SEAGRAM LTD. (NRD# 2160 )


Portfolio Manager

MARTINGALE ASSET MANAGEMENT, LP (NRD# 22230 )


International Adviser - Exemption

MASON CAPITAL MANAGEMENT, LLC (NRD# 48470 )


International Dealer - Exemption

MATCO FINANCIAL INC. (NRD# 24290 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MATNOR HOLDINGS INC. (NRD# 3810 )


Exempt Market Dealer

MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC (NRD# 50720 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

MAWER DIRECT INVESTING LTD. (NRD# 52220 )


Investment Dealer

MAWER INVESTMENT MANAGEMENT LTD. (NRD# 16280 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

MAXAM CAPITAL MANAGEMENT LTD. (NRD# 28060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MAXIM GROUP LLC (NRD# 21110 )


International Dealer - Exemption

MAXIT CAPITAL LP (NRD# 47150 )


Exempt Market Dealer

MAYBANK KIM ENG SECURITIES USA INC. (NRD# 56180 )


International Dealer - Exemption

MBSC SECURITIES CORPORATION (NRD# 40300 )


International Dealer - Exemption

MC ASSET MANAGEMENT AMERICAS, LTD (NRD# 50310 )


International Dealer - Exemption

MCELVAINE INVESTMENT MANAGEMENT LTD. (NRD# 8310 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MCF SECURITIES INC. (NRD# 39890 )


Exempt Market Dealer

MCKINLEY CAPITAL MANAGEMENT, LLC (NRD# 7160 )


Portfolio Manager

MCLEAN & PARTNERS WEALTH MANAGEMENT LTD. (NRD# 8680 )


Investment Dealer

Investment Fund Manager

MCLEAN ASSET MANAGEMENT LTD. (NRD# 8540 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MCS CAPITAL MARKETS LLC (NRD# 44520 )


International Dealer - Exemption

MD FINANCIAL MANAGEMENT INC./GESTION FINANCIERE MD INC. (NRD# 29830 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MD MANAGEMENT LIMITED/GESTION MD LIMITEE (NRD# 2200 )


Investment Dealer

MEADOWBANK ASSET MANAGEMENT INC. (NRD# 24010 )


Exempt Market Dealer

Portfolio Manager

MEADOWVALE ADVISORS, LLC (NRD# 39720 )


International Dealer - Exemption

MECKELBORG FINANCIAL GROUP LTD. (NRD# 34410 )


Portfolio Manager

MEDALIST CAPITAL LTD. (NRD# 45330 )


Exempt Market Dealer

MEDIAWAN (NRD# 55550 )


International Investment Fund Manager - Exemption

MEDIOBANCA SECURITIES USA LLC (NRD# 30330 )


International Dealer - Exemption

MELLON CAPITAL MANAGEMENT CORPORATION (NRD# 4830 )


Commodity Trading Manager

International Investment Fund Manager - Exemption

Portfolio Manager

MERCATOR ASSET MANAGEMENT, L.P. (NRD# 13450 )


International Adviser - Exemption

MERCER GLOBAL INVESTMENTS CANADA LIMITED (NRD# 18020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MERCER INVESTMENT MANAGEMENT, INC. (NRD# 41760 )


International Investment Fund Manager - Exemption

MERCER PRIVATE MARKETS (LUXEMBOURG) S.A.R.L. (NRD# 54600 )


International Investment Fund Manager - Exemption

MERCURY CAPITAL ADVISORS, LLC (NRD# 35310 )


International Dealer - Exemption

MERIDIAN DIVERSIFIED FUND MANAGEMENT, LLC (NRD# 30670 )


International Adviser - Exemption

MERIT VALOR CAPITAL ASSET MANAGEMENT CORPORATION (NRD# 49400 )


Exempt Market Dealer

MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC (NRD# 47110 )


International Investment Fund Manager - Exemption

MERRILL LYNCH CANADA INC. (NRD# 2210 )


Futures Commission Merchant

Investment Dealer

MERRILL LYNCH COMMODITIES (EUROPE) LTD. (NRD# 40100 )


International Dealer - Exemption

MERRILL LYNCH INTERNATIONAL (NRD# 40120 )


International Dealer - Exemption

MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NRD# 23030 )


International Dealer - Exemption

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NRD# 2500 )


International Adviser - Exemption

International Dealer - Exemption

Portfolio Manager

MESIROW ADVANCED STRATEGIES, INC. (NRD# 32620 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. (NRD# 24520 )


International Adviser - Exemption

MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC. (NRD# 25920 )


International Investment Fund Manager - Exemption

MESIROW FINANCIAL PRIVATE EQUITY ADVSIORS, INC. (NRD# 41770 )


International Investment Fund Manager - Exemption

MESIROW FINANCIAL, INC. (NRD# 2470 )


International Dealer - Exemption

METAFORM INVESTMENTS INC. (NRD# 51490 )


Exempt Market Dealer

Portfolio Manager

METLIFE INVESTMENT MANAGEMENT LIMITED (NRD# 54960 )


International Adviser - Exemption

METRIC ASSET MANAGEMENT LIMITED PARTNERSHIP / SOCIETE EN COMMANDITE GESTION D'ACTIFS METRIQUES (NRD# 43210 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MFS INSTITUTIONAL ADVISORS, INC. (NRD# 7390 )


International Adviser - Exemption

MFS INVESTMENT MANAGEMENT CANADA LIMITED/MFS GESTION DE PLACEMENTS CANADA LIMITEE (NRD# 2190 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MHR FUND MANAGEMENT LLC (NRD# 43680 )


International Investment Fund Manager - Exemption

MICHAEL GRAHAM INVESTMENT SERVICES INC. (NRD# 26440 )


Portfolio Manager

MID ATLANTIC CAPITAL CORPORATION (NRD# 40050 )


International Dealer - Exemption

MIDDLEFIELD CAPITAL CORPORATION (NRD# 2300 )


Investment Dealer

MIDDLEFIELD LIMITED (NRD# 34870 )


Investment Fund Manager

MIDSTAR MANAGEMENT CORP. (NRD# 53520 )


Exempt Market Dealer

Restricted Portfolio Manager

MIKALACHKI INVESTMENT MANAGEMENT LTD. (NRD# 7610 )


Portfolio Manager

MIKALAI MIKHAILAU COMMODITY TRADING ADVISOR (NRD# 54870 )


International Adviser - Exemption

MILES SANTO AND ASSOCIATES INC. (NRD# 5060 )


Mutual Fund Dealer

MILESTONE INVESTMENT COUNSEL INC. (NRD# 5840 )


Portfolio Manager

MILLAR PRIVATE WEALTH MANAGEMENT INC. (NRD# 37320 )


Exempt Market Dealer

Portfolio Manager

MILLENNIUM GLOBAL INVESTMENTS LIMITED (NRD# 35910 )


International Adviser - Exemption

MILLENNIUM INTERNATIONAL MANAGEMENT LP (NRD# 43700 )


International Investment Fund Manager - Exemption

MILLIMAN FINANCIAL RISK MANAGEMENT LLC (NRD# 32970 )


International Adviser - Exemption

MINVESTEC CAPITAL CORP. (NRD# 29570 )


Exempt Market Dealer

MIO PARTNERS (EU) LIMITED (NRD# 56810 )


International Adviser - Exemption

MIO PARTNERS, INC. (NRD# 56800 )


International Adviser - Exemption

MIRABAUD CANADA INC. (NRD# 6030 )


Investment Dealer

MIRABAUD GESTION INC. (NRD# 6010 )


Portfolio Manager

MIRABAUD SECURITIES LLP (NRD# 38890 )


International Dealer - Exemption

MIRELIS ADVISORS S.A. (NRD# 51950 )


Portfolio Manager

MIROVA (NRD# 51090 )


International Adviser - Exemption

MITSUBISHI UFJ TRUST INTERNATIONAL LIMITED (NRD# 52310 )


International Dealer - Exemption

MIZRAHI TEFAHOT BANK LTD. (NRD# 40930 )


International Adviser - Exemption

International Dealer - Exemption

MIZUHO SECURITIES CO., LTD (NRD# 45900 )


International Adviser - Exemption

International Dealer - Exemption

MIZUHO SECURITIES USA INC. (NRD# 11520 )


International Dealer - Exemption

MKP CAPITAL MANAGEMENT, L.L.C. (NRD# 48440 )


International Investment Fund Manager - Exemption

MLV & CO. LLC (NRD# 33740 )


International Dealer - Exemption

MM ASSET MANAGEMENT INC. (NRD# 21760 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MMC SECURITIES LLC (NRD# 30860 )


International Adviser - Exemption

International Dealer - Exemption

MMCAP MANAGEMENT INC. (NRD# 42950 )


Investment Fund Manager

MNP CORPORATE FINANCE INC. (NRD# 29910 )


Exempt Market Dealer

MODERN ADVISOR CANADA INC. (NRD# 51160 )


Restricted Portfolio Manager

MOELIS & COMPANY LLC (NRD# 37520 )


International Dealer - Exemption

MOERUS CAPITAL MANAGEMENT LLC (NRD# 57040 )


International Investment Fund Manager - Exemption

MONARCH ALTERNATIVE CAPITAL (EUROPE) LTD. (NRD# 51440 )


International Dealer - Exemption

MONARCH ALTERNATIVE CAPITAL LP (NRD# 42610 )


International Investment Fund Manager - Exemption

MONARCH WEALTH CORPORATION (NRD# 1400 )


Exempt Market Dealer

Mutual Fund Dealer

MONDIALE ASSET MANAGEMENT LTD. (NRD# 10670 )


Commodity Trading Counsel

Commodity Trading Manager

Portfolio Manager

MONDRIAN INVESTMENT PARTNERS LIMITED (NRD# 5050 )


International Adviser - Exemption

MONEDA INTERNATIONAL INC. (NRD# 52250 )


International Adviser - Exemption

MONEGY, INC. (NRD# 16830 )


Exempt Market Dealer

Portfolio Manager

MONEYSTRAT SECURITIES INC. (NRD# 2220 )


Exempt Market Dealer

Mutual Fund Dealer

MONTAG PRIVATE WEALTH INC. / MONTAG GESTION PRIVEE INC. (NRD# 42100 )


Portfolio Manager

MONTRUSCO BOLTON INVESTMENTS INC./PLACEMENTS MONTRUSCO BOLTON INC. (NRD# 290 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MONUMENT GROUP, INC. (NRD# 12030 )


International Dealer - Exemption

MORBANK FUND MANAGEMENT INC. (NRD# 39160 )


Exempt Market Dealer

MORGAN MEIGHEN & ASSOCIATES LIMITED (NRD# 4150 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORGAN STANLEY & CO. INTERNATIONAL PLC (NRD# 4410 )


International Dealer - Exemption

MORGAN STANLEY & CO. LLC (NRD# 2490 )


International Dealer - Exemption

MORGAN STANLEY AI GP LLC (NRD# 47240 )


International Investment Fund Manager - Exemption

MORGAN STANLEY AIP (CAYMAN) GP LTD. (NRD# 41720 )


International Investment Fund Manager - Exemption

MORGAN STANLEY AIP GP LP (NRD# 57050 )


International Investment Fund Manager - Exemption

MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP (NRD# 41710 )


International Investment Fund Manager - Exemption

MORGAN STANLEY ASIA LIMITED (NRD# 41550 )


International Dealer - Exemption

MORGAN STANLEY CANADA LIMITED/MORGAN STANLEY CANADA LIMITEE (NRD# 2480 )


Investment Dealer

MORGAN STANLEY DISTRIBUTION, INC. (NRD# 34520 )


International Dealer - Exemption

MORGAN STANLEY GSOF II GP LP (NRD# 41730 )


International Investment Fund Manager - Exemption

MORGAN STANLEY HEDGE FUND PARTNERS CAYMAN LTD. (NRD# 41740 )


International Investment Fund Manager - Exemption

MORGAN STANLEY INDIA COMPANY PRIVATE LIMITED (NRD# 39700 )


International Dealer - Exemption

MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY (NRD# 48500 )


International Adviser - Exemption

MORGAN STANLEY INVESTMENT MANAGEMENT INC. (NRD# 2430 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED (NRD# 40760 )


International Adviser - Exemption

MORGAN STANLEY REAL ESTATE ADVISOR, INC (NRD# 49000 )


International Investment Fund Manager - Exemption

MORGAN STANLEY REAL ESTATE SECURITIES GLOBAL BEST IDEAS GP INC. (NRD# 41750 )


International Investment Fund Manager - Exemption

MORGAN STANLEY SMITH BARNEY LLC (NRD# 29580 )


International Adviser - Exemption

International Dealer - Exemption

MORGAN STANLEY TAIWAN LIMITED (NRD# 56830 )


International Dealer - Exemption

MORNEAU SHEPELL ASSET & RISK MANAGEMENT LTD. (NRD# 40210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MORNINGSTAR ASSOCIATES INC. (NRD# 35390 )


Portfolio Manager

MOUNT LUCAS MANAGEMENT LP (NRD# 40710 )


Commodity Trading Manager

International Adviser - Exemption

MOUNTAIN FOWLER ASSET MANAGEMENT INC. (NRD# 26970 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

MPA MORRISON PARK ADVISORS INC. (NRD# 37260 )


Exempt Market Dealer

MTP ENERGY MANAGEMENT LLC (NRD# 50660 )


International Investment Fund Manager - Exemption

MUDRICK CAPITAL MANAGEMENT, L.P (NRD# 50920 )


International Investment Fund Manager - Exemption

MUFG JERSEY MANAGEMENT COMPANY LIMITED (NRD# 50810 )


International Investment Fund Manager - Exemption

MUFG SECURITIES (CANADA), LTD. (NRD# 54270 )


Investment Dealer

MUFG SECURITIES AMERICAS INC. (NRD# 11880 )


International Dealer - Exemption

MUFG SECURITIES EMEA PLC (NRD# 32000 )


International Dealer - Exemption

MULTI-BANK SECURITIES, INC. (NRD# 54640 )


International Dealer - Exemption

MULVANEY CAPITAL MANAGEMENT LIMITED (NRD# 34070 )


International Adviser - Exemption

International Dealer - Exemption

MVISION PRIVATE EQUITY ADVISERS USA LLC (NRD# 16150 )


International Dealer - Exemption

MYRIAD ASSET MANAGEMENT LIMITED (NRD# 46860 )


International Investment Fund Manager - Exemption

N.A. INVESTCORP LLC (NRD# 37410 )


International Dealer - Exemption

NABSECURITIES, LLC (NRD# 43280 )


International Dealer - Exemption

NAPG EQUITIES INC. (NRD# 2620 )


Exempt Market Dealer

NAPIER PARK GLOBAL CAPITAL (US) LP (NRD# 43550 )


International Adviser - Exemption

NASDAQ CXC LIMITED (NRD# 24400 )


Investment Dealer

NATIONAL BANK FINANCIAL INC./FINANCIERE BANQUE NATIONALE INC. (NRD# 1960 )


Futures Commission Merchant

Investment Dealer

NATIONAL BANK FINANCIAL LTD./FINANCIERE BANQUE NATIONALE LTEE (NRD# 2020 )


Futures Commission Merchant

Investment Dealer

NATIONAL BANK OF CANADA FINANCIAL INC. (NRD# 50940 )


International Dealer - Exemption

NATIONAL BANK TRUST INC./TRUST BANQUE NATIONALE INC. (NRD# 8570 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NATIONAL FINANCIAL SERVICES LLC (NRD# 18590 )


International Dealer - Exemption

NATIXIS (NRD# 45040 )


International Dealer - Exemption

NATIXIS ASSET MANAGEMENT (NRD# 51100 )


International Adviser - Exemption

NATIXIS SECURITIES AMERICAS LLC (NRD# 24190 )


International Dealer - Exemption

NAVROC INVESTMENT MANAGEMENT INC. (NRD# 39570 )


Portfolio Manager

NB ALTERNATIVE INVESTMENT MANAGEMENT LLC (NRD# 18560 )


International Adviser - Exemption

NB ALTERNATIVES ADVISERS LLC (NRD# 45910 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NBCN INC. (NRD# 5730 )


Investment Dealer

NCP INVESTMENT MANAGEMENT INC. (NRD# 38220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NDB GROUP SYNDICATIONS INC. (NRD# 9240 )


Exempt Market Dealer

NEEDHAM & COMPANY, LLC (NRD# 28160 )


International Dealer - Exemption

NELSON PORTFOLIO MANAGEMENT CORP. (NRD# 44440 )


Investment Fund Manager

Portfolio Manager

NEPHILA CAPITAL LTD. (NRD# 42880 )


International Investment Fund Manager - Exemption

NEST WEALTH ASSET MANAGEMENT INC. (NRD# 16210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NETWORTH FINANCIAL CORP (NRD# 14350 )


Mutual Fund Dealer

NEUBERGER BERMAN EUROPE LIMITED (NRD# 51540 )


International Investment Fund Manager - Exemption

NEUBERGER BERMAN INVESTMENT ADVISERS LLC (NRD# 27020 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NEUBERGER BERMAN LLC (NRD# 5680 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

NEW ENGLAND ASSET MANAGEMENT, INC. (NRD# 6460 )


International Adviser - Exemption

NEW PEAK CAPITAL CAYMAN LP (NRD# 56500 )


International Investment Fund Manager - Exemption

NEW YORK LIFE INVESTMENT MANAGEMENT LLC (NRD# 23470 )


International Adviser - Exemption

NEWBROOK CAPITAL ADVISORS LP (NRD# 53070 )


International Investment Fund Manager - Exemption

NEWBURY ASSOCIATES LLC (NRD# 46560 )


International Investment Fund Manager - Exemption

NEWGEN ASSET MANAGEMENT LIMITED (NRD# 31070 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEWHAVEN ASSET MANAGEMENT INC. (NRD# 9010 )


Portfolio Manager

NEWPOINT CAPITAL PARTNERS INC. (NRD# 7590 )


Exempt Market Dealer

NEWPORT PRIVATE WEALTH INC. (NRD# 10600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LIMITED (NRD# 26390 )


International Adviser - Exemption

NEXT EDGE CAPITAL CORP. (NRD# 23200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NEXUS INVESTMENT MANAGEMENT INC./GESTION DE PORTEFEUILLE NEXUS INC. (NRD# 350 )


Investment Fund Manager

Portfolio Manager

NEXUSCROWD INC. (NRD# 49290 )


Exempt Market Dealer

NGAM ADVISORS, L.P. (NRD# 55330 )


International Adviser - Exemption

NGAM CANADA LP (NRD# 21520 )


Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

NGAM DISTRIBUTION, L.P. (NRD# 47730 )


International Dealer - Exemption

NIAGARA CAPITAL PARTNERS LTD. (NRD# 34780 )


Exempt Market Dealer

Investment Fund Manager

NICOLA WEALTH MANAGEMENT LTD. (NRD# 14790 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NIPUN CAPITAL L.P. (NRD# 45480 )


International Investment Fund Manager - Exemption

NISA INVESTMENT ADVISORS, LLC (NRD# 25070 )


Commodity Trading Manager

Portfolio Manager

NLCG DISTRIBUTORS, LLC (NRD# 40910 )


International Dealer - Exemption

NOBLE BAY ASSET MANAGEMENT INC. (NRD# 44830 )


Portfolio Manager

NOBLE FINANCIAL CAPITAL MARKETS (NRD# 21160 )


International Dealer - Exemption

NOMURA ALTERNATIVE INVESTMENT MANAGEMENT (EUROPE) LIMITED (NRD# 53530 )


International Investment Fund Manager - Exemption

NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC. (NRD# 32330 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NOMURA INTERNATIONAL PLC (NRD# 2610 )


International Dealer - Exemption

NOMURA SECURITIES INTERNATIONAL, INC. (NRD# 2600 )


International Dealer - Exemption

NORDEA BANK AB (NRD# 54970 )


International Dealer - Exemption

NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. / GESTION DES PLACEMENTS NORDEA, AMERIQUE DU NORD (NRD# 12590 )


Portfolio Manager

NORFOLK MARKETS, LLC (NRD# 13040 )


International Dealer - Exemption

NORREP CAPITAL MANAGEMENT LTD. (NRD# 11210 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTH GROWTH MANAGEMENT LTD (NRD# 14320 )


Exempt Market Dealer

Investment Fund Manager

NORTHBRIDGE CAPITAL PARTNERS LTD. (NRD# 35220 )


Exempt Market Dealer

NORTHCREST PARTNERS INC. (NRD# 26850 )


Exempt Market Dealer

NORTHERN PRECIOUS METALS MANAGEMENT INC./GESTION METAUX PRECIEUX NORTHERN INC. (NRD# 21860 )


Portfolio Manager

NORTHERN TRUST INVESTMENTS, INC. (NRD# 31770 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NORTHLAND SECURITIES, INC. (NRD# 37090 )


International Dealer - Exemption

NORTHLAND WEALTH MANAGEMENT INC. (NRD# 37060 )


Portfolio Manager

NORTHLEAF CAPITAL PARTNERS (CANADA) LTD (NRD# 31300 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHSTREAM CAPITAL INC. (NRD# 53710 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWATER CAPITAL MANAGEMENT INC. / NORTHWATER GESTION INC. (NRD# 2560 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWEST & ETHICAL INVESTMENTS L.P. (NRD# 26910 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NORTHWOOD FAMILY OFFICE LTD. (NRD# 15810 )


Exempt Market Dealer

Portfolio Manager

NOTENSTEIN LA ROCHE PRIVATBANK AG (NRD# 48650 )


International Adviser - Exemption

International Dealer - Exemption

NS PARTNERS CANADA LTD. (NRD# 21660 )


Investment Fund Manager

Portfolio Manager

NS PARTNERS LTD (NRD# 4320 )


Portfolio Manager

NT GLOBAL ADVISORS, INC./ CONSEILLERS MONDIAUX NT (NRD# 1060 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

NUMERIC INVESTORS LLC (NRD# 20330 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NUMIS SECURITIES INC. (NRD# 31000 )


International Dealer - Exemption

NUMIS SECURITIES LIMITED (NRD# 31700 )


International Adviser - Exemption

International Dealer - Exemption

NUVEEN ASSET MANAGEMENT, LLC (NRD# 36380 )


International Adviser - Exemption

NUVEEN INVESTMENT ADVISORS (NRD# 31630 )


International Adviser - Exemption

NUWAVE INVESTMENT MANAGEMENT, LLC (NRD# 39770 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

NWQ INVESTMENT MANAGEMENT COMPANY, LLC. (NRD# 16580 )


International Adviser - Exemption

NYLIFE DISTRIBUTORS LLC (NRD# 23780 )


Exempt Market Dealer

O'SHAUGHNESSY ASSET MANAGEMENT, LLC (NRD# 27910 )


Portfolio Manager

OAK HILL ADVISORS, L.P. (NRD# 53620 )


International Investment Fund Manager - Exemption

OAKPOINT ASSET MANAGEMENT INC. (NRD# 47040 )


Portfolio Manager

OAKTREE CAPITAL MANAGEMENT, L.P. (NRD# 33760 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

OANDA (CANADA) CORPORATION ULC (NRD# 24590 )


Investment Dealer

OBERON CAPITAL CORPORATION (NRD# 30370 )


Exempt Market Dealer

OCEANROCK INVESTMENTS INC. (NRD# 32240 )


Investment Fund Manager

Portfolio Manager

OCM INVESTMENTS, LLC (NRD# 31890 )


International Dealer - Exemption

OCP CAPITAL LLC (NRD# 49890 )


International Dealer - Exemption

OCTAGON CREDIT INVESTORS, LLC (NRD# 45030 )


International Investment Fund Manager - Exemption

OCTAGON FINANCIAL SERVICES, INC. (NRD# 36560 )


International Adviser - Exemption

ODDO ASSET MANAGEMENT (NRD# 47190 )


International Adviser - Exemption

ODLUM BROWN LIMITED (NRD# 2640 )


Investment Dealer

OECHSLE INTERNATIONAL ADVISORS, LLC (NRD# 7230 )


Portfolio Manager

OFI GLOBAL INSTITUTIONAL, INC. (NRD# 47450 )


International Investment Fund Manager - Exemption

OFI STEELPATH, INC. (NRD# 42770 )


International Adviser - Exemption

OGAM LTD. (NRD# 22940 )


Exempt Market Dealer

Portfolio Manager

OGOREK WEALTH MANAGEMENT LLC (NRD# 54860 )


International Adviser - Exemption

OHA (UK) LLP (NRD# 53630 )


International Investment Fund Manager - Exemption

OLDFIELD PARTNERS LLP (NRD# 31510 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

Portfolio Manager

OLIVETREE FINANCIAL, LLC (NRD# 51650 )


International Dealer - Exemption

OLOS CAPITAL, INC./CAPITAL OLOS, INC. (NRD# 32570 )


Exempt Market Dealer

Portfolio Manager

OLYMPIAN FINANCIAL INC. (NRD# 6820 )


Exempt Market Dealer

Mutual Fund Dealer

OMAM INTERNATIONAL LTD. (NRD# 45620 )


International Dealer - Exemption

OMEGA SECURITIES INC. (NRD# 28310 )


Investment Dealer

OMERS INVESTMENT MANAGEMENT INC. / GESTION DE PLACEMENTS OMERS INC. (NRD# 9930 )


Exempt Market Dealer

OMG WEALTH MANAGEMENT INC. (NRD# 23580 )


Investment Dealer

OMNUS INVESTMENTS LTD. (NRD# 33450 )


Exempt Market Dealer

ONE CAPITAL MANAGEMENT, LLC (NRD# 30870 )


Portfolio Manager

ONEX CREDIT PARTNERS, LLC (NRD# 27800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ONTARIO WEALTH MANAGEMENT CORPORATION (NRD# 36990 )


Exempt Market Dealer

OPEN ACCESS LIMITED (NRD# 6240 )


Exempt Market Dealer

Mutual Fund Dealer

Portfolio Manager

OPPENHEIMER & CO. INC. (NRD# 8890 )


International Dealer - Exemption

OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP (NRD# 42460 )


International Investment Fund Manager - Exemption

OPTIMA FUND MANAGEMENT LLC (NRD# 42430 )


International Investment Fund Manager - Exemption

OPTIMIZE INC. (NRD# 31830 )


Investment Fund Manager

Portfolio Manager

OPTIMUM GESTION DE PLACEMENTS INC. / OPTIMUM ASSET MANAGEMENT INC. (NRD# 20020 )


Portfolio Manager

OPUS POINT PARTNERS MANAGEMENT, LLC (NRD# 44950 )


International Investment Fund Manager - Exemption

ORBIS INVESTMENT ADVISORY (CANADA) LIMITED (NRD# 27900 )


Exempt Market Dealer

ORBIS INVESTMENT MANAGEMENT LIMITED (NRD# 42480 )


International Investment Fund Manager - Exemption

ORIGIN ASSET MANAGEMENT LIMITED LIABILITY PARTNERSHIP (NRD# 43400 )


International Adviser - Exemption

ORIGIN MERCHANT SECURITIES INC. (NRD# 40580 )


Exempt Market Dealer

OSPREY CAPITAL PARTNERS INC. (NRD# 8330 )


Exempt Market Dealer

OTKRITIE CAPITAL U.S. INC. (NRD# 38170 )


International Dealer - Exemption

OTT CAPITAL CORPORATION (NRD# 28730 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

OTT FINANCIAL CANADA INC. (NRD# 53770 )


Investment Dealer

OTTERWOOD CAPITAL MANAGEMENT INC. (NRD# 39850 )


Commodity Trading Manager

Portfolio Manager

OUISA CAPITAL LLC (NRD# 55340 )


International Dealer - Exemption

OUISA CAPITAL MANAGEMENT LLC (NRD# 55830 )


International Investment Fund Manager - Exemption

OUTSET GLOBAL TRADING LIMITED (NRD# 56130 )


International Dealer - Exemption

OWL CREEK ASSET MANAGEMENT, L.P. (NRD# 38270 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

OXFORD ASSET MANAGEMENT LLP (NRD# 39870 )


International Dealer - Exemption

OZ MANAGEMENT LP (NRD# 47490 )


International Investment Fund Manager - Exemption

P2P FINANCIAL INC. (NRD# 31820 )


Exempt Market Dealer

PACE SECURITIES CORP. (NRD# 41510 )


Investment Dealer

Investment Fund Manager

PACIFIC ALLIANCE INVESTMENT MANAGEMENT LIMITED (NRD# 43740 )


International Investment Fund Manager - Exemption

PACIFIC ALTERNATIVE ASSET MANAGEMENT COMPANY, LLC (NRD# 31030 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PACIFIC INVESTMENT MANAGEMENT COMPANY LLC (NRD# 15980 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PACIFIC SPIRIT INVESTMENT MANAGEMENT INC. (NRD# 15140 )


Portfolio Manager

PACIFICA PARTNERS INC. (NRD# 28570 )


Investment Fund Manager

Portfolio Manager

PADLOCK INVESTMENT MANAGEMENT INC. (NRD# 39050 )


Portfolio Manager

PALETTE INVESTMENT MANAGEMENT INC. (NRD# 49180 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PALISADE CAPITAL MANAGEMENT LTD. (NRD# 16620 )


Exempt Market Dealer

Investment Fund Manager

PALOMA PARTNERS ADVISORS LP (NRD# 54290 )


International Investment Fund Manager - Exemption

PAN ASSET MANAGEMENT LTD. (NRD# 23290 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANAGORA ASSET MANAGEMENT, INC. (NRD# 4460 )


Commodity Trading Manager

Exempt Market Dealer

International Investment Fund Manager - Exemption

Portfolio Manager

PANGAEA ASSET MANAGEMENT INC. (NRD# 22690 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PANOPLY CAPITAL ASSET MANAGEMENT INC. (NRD# 27390 )


Exempt Market Dealer

Portfolio Manager

PANTHEON VENTURES (UK) LLP (NRD# 43760 )


International Dealer - Exemption

International Investment Fund Manager - Exemption

PANTHEON VENTURES (US) LP (NRD# 33660 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PANTHEON VENTURES INC. (NRD# 32540 )


International Adviser - Exemption

PANVEST CAPITAL CORPORATION (NRD# 7340 )


Exempt Market Dealer

PARADIGM CAPITAL INC. / PARADIGME CAPITAL INC. (NRD# 3450 )


Investment Dealer

PARAGON PRIVATE WEALTH, INC./CLIENT PRIVE PARAGON (NRD# 35780 )


Portfolio Manager

PARAMETRIC PORTFOLIO ASSOCIATES LLC (NRD# 42850 )


International Adviser - Exemption

PARETO INVESTMENT MANAGEMENT LIMITED (NRD# 10980 )


Portfolio Manager

PARETO SECURITIES AS (NRD# 31150 )


International Dealer - Exemption

PARETO SECURITIES INC. (NRD# 27570 )


International Dealer - Exemption

PARK HILL GROUP LLC (NRD# 23570 )


International Dealer - Exemption

PARK PRIVATE WEALTH INC. (NRD# 38950 )


Portfolio Manager

PARK SQUARE CAPITAL CREDIT OPPORTUNITIES II (USD) GENERAL PARTNER LIMITED (NRD# 52150 )


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL MANAGING GENERAL PARTNER LIMITED (NRD# 43780 )


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL PARTNERS II GENERAL PARTNER LIMITED (NRD# 43800 )


International Investment Fund Manager - Exemption

PARK SQUARE CAPITAL PARTNERS III GENERAL PARTNER LIMITED (NRD# 52870 )


International Investment Fund Manager - Exemption

PARTNERS GROUP (GUERNSEY) LIMITED (NRD# 50160 )


International Investment Fund Manager - Exemption

PARTNERS GROUP (USA) INC. (NRD# 43570 )


Exempt Market Dealer

Portfolio Manager

PARTNERS GROUP AG (NRD# 34490 )


International Adviser - Exemption

PARUS FINANCE (UK) LIMITED (NRD# 55670 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

PATHFINDER ASSET MANAGEMENT LIMITED (NRD# 32660 )


Investment Fund Manager

Portfolio Manager

PATHWAY CAPITAL MANAGEMENT, LP (NRD# 22060 )


Exempt Market Dealer

Portfolio Manager

PATIENT CAPITAL MANAGEMENT INC. (NRD# 9300 )


Exempt Market Dealer

Portfolio Manager

PATRIMONICA GESTION D'ACTIFS INC. / PATRIMONICA ASSET MANAGEMENTS INC. (NRD# 39670 )


Portfolio Manager

PAULSON & CO. INC. (NRD# 42630 )


International Investment Fund Manager - Exemption

PAVILION ADVISORY GROUP LTD./PAVILION GROUPE CONSEILS LTEE (NRD# 20990 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PAVILION GLOBAL MARKETS LTD (NRD# 19170 )


Futures Commission Merchant

Investment Dealer

PBNA PRIVATE FUND SERVICES LTD. (NRD# 54310 )


International Investment Fund Manager - Exemption

PCJ INVESTMENT COUNSEL LTD. (NRD# 7060 )


Investment Fund Manager

Portfolio Manager

PEAK SECURITIES INC./VALEURS MOBILIERES PEAK INC. (NRD# 10710 )


Investment Dealer

PEARTREE SECURITIES INC. (NRD# 43510 )


Exempt Market Dealer

Restricted Portfolio Manager

PEEL HUNT LLP (NRD# 48310 )


International Adviser - Exemption

International Dealer - Exemption

PEMBROKE HERITAGE FUND LIMITED (NRD# 48870 )


International Investment Fund Manager - Exemption

PENDERFUND CAPITAL MANAGEMENT LTD. (NRD# 17110 )


Exempt Market Dealer

Investment Fund Manager

PENN CAPITAL MANAGEMENT CO., INC. (NRD# 29590 )


International Adviser - Exemption

PENNANT CAPITAL PARTNERS INC. (NRD# 32760 )


Exempt Market Dealer

PEREGRINE CAPITAL MANAGEMENT, LLC (NRD# 13100 )


International Adviser - Exemption

PEREGRINE INVESTMENT MANAGEMENT INC. (NRD# 17620 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERELLA WEINBERG PARTNERS LP (NRD# 36590 )


International Dealer - Exemption

PERENNIAL ASSET MANAGEMENT CORP. (NRD# 21500 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE CAPITAL LIMITED (NRD# 5260 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERFORMANCE EQUITY MANAGEMENT, LLC (NRD# 18980 )


International Investment Fund Manager - Exemption

Portfolio Manager

PERIMETER MARKETS INC. (NRD# 22510 )


Futures Commission Merchant

Investment Dealer

PERISCOPE CAPITAL INC. (NRD# 29480 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PERKINS FUND MARKETING, LLC (NRD# 50750 )


International Dealer - Exemption

PERKINS INVESTMENT MANAGEMENT LLC (NRD# 47180 )


International Adviser - Exemption

PERMIAN GLOBAL ADVISORS LLP (NRD# 54840 )


International Dealer - Exemption

PERMIAN GLOBAL MANAGEMENT S.A.R.L. (NRD# 55750 )


International Investment Fund Manager - Exemption

PERRON & PARTNERS WEALTH MANAGEMENT CORP. (NRD# 45270 )


Investment Dealer

PERRON ASSET MANAGEMENT INC. (NRD# 51590 )


Portfolio Manager

PERSHING ADVISOR SOLUTIONS LLC (NRD# 45560 )


International Dealer - Exemption

PERSHING LLC (NRD# 1080 )


International Dealer - Exemption

PERSHING SECURITIES CANADA LIMITED (NRD# 32380 )


Investment Dealer

PERSHING SECURITIES INTERNATIONAL LIMITED (NRD# 35650 )


International Dealer - Exemption

PERSHING SECURITIES LTD. (NRD# 35520 )


International Dealer - Exemption

PERTH ADVISORS LLC (NRD# 37340 )


International Dealer - Exemption

PETER PESIC & CO. SECURITIES, INC. (NRD# 41560 )


International Dealer - Exemption

PETERS & CO. LIMITED (NRD# 2730 )


Investment Dealer

PFSL FUND MANAGEMENT LTD./GESTION DES FONDS PFSL LTEE (NRD# 39310 )


Investment Fund Manager

PFSL INVESTMENTS CANADA LTD. (NRD# 2830 )


Mutual Fund Dealer

PGIM, INC. (NRD# 31290 )


International Adviser - Exemption

PH WEALTH MANAGEMENT AG (NRD# 49950 )


International Adviser - Exemption

PHILLIPS, HAGER & NORTH INVESTMENT FUNDS LTD. (NRD# 11560 )


Mutual Fund Dealer

PHOENIX INVESTMENT ADVISER LLC (NRD# 45550 )


International Investment Fund Manager - Exemption

PI FINANCIAL CORP./CORPORATION FINANCIERE PI (NRD# 5290 )


Futures Commission Merchant

Investment Dealer

PICKWICK CAPITAL PARTNERS, LLC. (NRD# 48290 )


International Dealer - Exemption

PICTET ASSET MANAGEMENT (EUROPE) SA (NRD# 51750 )


International Dealer - Exemption

PICTET ASSET MANAGEMENT INC. / PICTET GESTION D'ACTIFS INC. (NRD# 29250 )


Portfolio Manager

PICTET ASSET MANAGEMENT LIMITED (NRD# 24350 )


International Adviser - Exemption

PICTET ASSET MANAGEMENT SA (NRD# 25170 )


International Adviser - Exemption

PICTET CANADA L.P./PICTET CANADA S.E.C. (NRD# 7090 )


Investment Dealer

PICTET NORTH AMERICA ADVISORS SA (NRD# 31450 )


International Adviser - Exemption

PICTON MAHONEY ASSET MANAGEMENT / GESTION D'ACTIFS PICTON MAHONEY (NRD# 18750 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIER 21 ASSET MANAGEMENT INC. / GESTION D'ACTIFS PIER 21 INC. (NRD# 23460 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PILLARFOUR SECURITIES INC. (NRD# 54180 )


Exempt Market Dealer

PIMCO CANADA CORP. (NRD# 18110 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIMCO GLOBAL ADVISORS (IRELAND) LIMITED (NRD# 41780 )


International Investment Fund Manager - Exemption

PINE RIVER CAPITAL MANAGEMENT L.P. (NRD# 33380 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PINEBRIDGE INVESTMENTS CANADA INC./INVESTISSEMENTS PINEBRIDGE CANADA INC. (NRD# 120 )


Exempt Market Dealer

Portfolio Manager

PINEBRIDGE INVESTMENTS IRELAND LIMITED (NRD# 53220 )


International Investment Fund Manager - Exemption

PINEBRIDGE INVESTMENTS LLC (NRD# 53130 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PINEBRIDGE SECURITIES,LLC (NRD# 39070 )


International Dealer - Exemption

PINNACLE WEALTH BROKERS INC. (NRD# 31740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PIONEER FUNDS DISTRIBUTOR, INC. (NRD# 31320 )


International Dealer - Exemption

PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC. (NRD# 29660 )


International Adviser - Exemption

PIONEER INVESTMENT MANAGEMENT LIMITED (NRD# 31050 )


International Adviser - Exemption

PIPER JAFFRAY & CO. (NRD# 2870 )


International Dealer - Exemption

PJT PARTNERS LP (NRD# 53440 )


International Dealer - Exemption

PKB PRIVATBANK SA (NRD# 57000 )


International Adviser - Exemption

International Dealer - Exemption

PLACEMENTS IA CLARINGTON INC. / IA CLARINGTON INVESTMENTS INC. (NRD# 9110 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PLANMAR FINANCIAL CORP. (NRD# 2750 )


Mutual Fund Dealer

PLANNING CIRCLE FINANCIAL GROUP INC. (NRD# 4870 )


Mutual Fund Dealer

PLUS SECURITIES LLC (NRD# 42140 )


International Dealer - Exemption

PNC BANK, NATIONAL ASSOCIATION (NRD# 46580 )


International Adviser - Exemption

International Dealer - Exemption

POLAR ASSET MANAGEMENT PARTNERS INC. (NRD# 2820 )


Futures Commission Merchant

Investment Dealer

Investment Fund Manager

POLARIS FINANCIAL INC. (NRD# 28300 )


Portfolio Manager

POLEN CAPITAL MANAGEMENT, LLC (NRD# 46960 )


International Adviser - Exemption

POLLITT & CO. INC. (NRD# 2760 )


Investment Dealer

POLLITT INVESTMENT COUNSEL INC. (NRD# 29060 )


Investment Fund Manager

Portfolio Manager

PORTFOLIO ADVISORS, LLC (NRD# 36010 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PORTFOLIO MANAGEMENT CORPORATION (NRD# 2780 )


Portfolio Manager

PORTFOLIO STEWARDS INC. (NRD# 39380 )


Portfolio Manager

PORTFOLIO STRATEGIES CORPORATION (NRD# 10850 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

PORTLAND INVESTMENT COUNSEL INC./CONSEILS EN PLACEMENTS PORTLAND INC. (NRD# 7890 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

POTOMAC RESEARCH GROUP HOLDINGS, LLC (NRD# 40360 )


International Adviser - Exemption

POWERONE CAPITAL MARKETS LIMITED (NRD# 17010 )


Exempt Market Dealer

PRATTE GESTION DE PORTEFEUILLES INC./PRATTE PORTFOLIO MANAGEMENT INC. (NRD# 52660 )


Portfolio Manager

PRECISION SECURITIES, LLC (NRD# 10490 )


International Dealer - Exemption

PRESIMA INC. (NRD# 20280 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PRICEWATERHOUSECOOPERS CORPORATE FINANCE INC. (NRD# 3550 )


Exempt Market Dealer

PRIMA CAPITAL ADVISORS LLC (NRD# 54520 )


International Adviser - Exemption

International Dealer - Exemption

International Investment Fund Manager - Exemption

PRIMARY CAPITAL INC./GROUPE FINANCIER PRIMARY CAPITAL (NRD# 23980 )


Exempt Market Dealer

PRIME DEALER SERVICES CORP. (NRD# 38980 )


International Dealer - Exemption

PRIME QUADRANT (NRD# 10290 )


Exempt Market Dealer

Portfolio Manager

PRIMEVEST CAPITAL CORP. (NRD# 26780 )


Exempt Market Dealer

Investment Fund Manager

PRINCIPAL FUNDS DISTRIBUTOR, INC. (NRD# 55520 )


International Dealer - Exemption

PRINCIPAL GLOBAL INVESTORS LLC (NRD# 27550 )


International Adviser - Exemption

PRINCIPAL REAL ESTATE INVESTORS, LLC (NRD# 51200 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PRINCIPAL SECURITIES, INC (NRD# 40560 )


International Dealer - Exemption

PRIVATBANK IHAG ZURICH AG (NRD# 36760 )


International Adviser - Exemption

International Dealer - Exemption

PRIVATE ADVISORS, LLC (NRD# 35420 )


International Adviser - Exemption

International Investment Fund Manager - Exemption

PRIVATE CAPITAL MANAGEMENT LLC (NRD# 46040 )


International Adviser - Exemption

PRIVATE CAPITAL MARKETS CORP. (NRD# 3010 )


Exempt Market Dealer

PRIVEST WEALTH MANAGEMENT INC. (NRD# 34330 )


Exempt Market Dealer

PRIVITI CAPITAL CORPORATION (NRD# 32980 )


Investment Fund Manager

PROBITAS FUNDS GROUP, LLC (NRD# 24450 )


International Dealer - Exemption

PROFESSIONAL INVESTMENTS (KINGSTON) INC. / KINGSTON INVESTMENT PROFESSIONALS INC. (NRD# 2790 )


Exempt Market Dealer

Mutual Fund Dealer

PROFICIO CAPITAL PARTNERS LLC (NRD# 57230 )


International Adviser - Exemption

PROGRESSIVE FINANCIAL STRATEGY CAPITAL GROUP CORP. (NRD# 6720 )


Mutual Fund Dealer

PROPHET CAPITAL ASSET MANAGEMENT LP (NRD# 56320 )


International Investment Fund Manager - Exemption

PROSIRIS CAPITAL MANAGEMENT LP (NRD# 47020 )


International Investment Fund Manager - Exemption

PROSPERITY CAPITAL MANAGEMENT LIMITED (NRD# 45760 )


International Adviser - Exemption

PROVIDENCE DEBT III PRIVATE INVESTORS GP, LTD. (NRD# 47270 )


International Investment Fund Manager - Exemption

PROVIDENCE INVESTMENT FUND PCC LIMITED (NRD# 56060 )


International Investment Fund Manager - Exemption

PROVIDENCE INVESTMENT MANAGEMENT INTERNATIONAL LIMITED (NRD# 55850 )


International Adviser - Exemption

PROVISUS WEALTH MANAGEMENT LIMITED (NRD# 24990 )


Investment Fund Manager

Portfolio Manager

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC. (NRD# 6960 )


International Dealer - Exemption

PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P. (NRD# 38420 )


International Adviser - Exemption

PTP SECURITIES LLC. (NRD# 29020 )


International Dealer - Exemption

PUGSLEY CAPITAL INC. (NRD# 27980 )


Portfolio Manager

PULSE CAPITAL PARTNERS, LLC (NRD# 42490 )


International Investment Fund Manager - Exemption

PUR INVESTING INC. (NRD# 23950 )


Portfolio Manager

PURPOSE INVESTMENTS INC. (NRD# 41580 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PURSUIT FINANCIAL MANAGEMENT CORPORATION (NRD# 34990 )


Investment Fund Manager

PURSUIT FINANCIAL SERVICES CORP. (NRD# 11140 )


Exempt Market Dealer

PUTNAM INVESTMENTS CANADA ULC (NRD# 12140 )


Commodity Trading Counsel

Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

PWL CAPITAL INC. (NRD# 7170 )


Investment Dealer

PYRFORD INTERNATIONAL LIMITED (NRD# 4350 )


Portfolio Manager

PZENA INVESTMENT MANAGEMENT, LLC (NRD# 18100 )


Exempt Market Dealer

International Adviser - Exemption

Q CAPITAL MANAGEMENT LTD. (NRD# 56570 )


Commodity Trading Manager

Q1 CAPITAL PARTNERS INC.. (NRD# 22480 )


Exempt Market Dealer

QATALYST PARTNERS LP (NRD# 51530 )


International Dealer - Exemption

QS INVESTORS, LLC (NRD# 33680 )


Portfolio Manager

QTRADE ASSET MANAGEMENT INC./GESTION D'ACTIFS QTRADE INC. (NRD# 17480 )


Exempt Market Dealer

Mutual Fund Dealer

QTRADE SECURITIES INC. / VALEURS MOBILIERES QTRADE INC. (NRD# 9860 )


Investment Dealer

QUADRANT ASSET MANAGEMENT (NRD# 18600 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRAVEST CAPITAL MANAGEMENT INC. (NRD# 1820 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUADRUS INVESTMENT SERVICES LTD./SERVICES D'INVESTISSEMENT QUADRUS LTEE. (NRD# 2800 )


Mutual Fund Dealer

QUANTITATIVE MANAGEMENT ASSOCIATES LLC (NRD# 21750 )


International Adviser - Exemption

QUANTUM ADVISORS PRIVATE LIMITED (NRD# 48820 )


Restricted Portfolio Manager

QUANTUS INVESTMENT CORP. (NRD# 32820 )


Exempt Market Dealer

Portfolio Manager

QUEEN FINANCIAL GROUP INC. (NRD# 22680 )


Exempt Market Dealer

Mutual Fund Dealer

QUEENSBURY SECURITIES INC. (NRD# 3030 )


Investment Dealer

QUEENSBURY STRATEGIES INC. (NRD# 4200 )


Exempt Market Dealer

Mutual Fund Dealer

QUESTRADE WEALTH MANAGEMENT INC (NRD# 45780 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

QUESTRADE, INC. (NRD# 9730 )


Futures Commission Merchant

Investment Dealer

QUILVEST (SWITZERLAND) LTD. (NRD# 37710 )


International Adviser - Exemption

QV INVESTORS INC. / INVESTISSEURS QV (NRD# 6750 )


Investment Fund Manager

Portfolio Manager

QVO VADIS INVESTMENT MANAGEMENT INC. (NRD# 36090 )


Portfolio Manager

QWEST INVESTMENT FUND MANAGEMENT LTD. (NRD# 22000 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

R. SEELAUS & CO INC. (NRD# 48060 )


International Dealer - Exemption

R.E.G.A.R. GESTION PRIVEE INC. (NRD# 19700 )


Investment Fund Manager

Portfolio Manager

R.J. O'BRIEN & ASSOCIATES CANADA INC. (NRD# 30390 )


Futures Commission Merchant

Investment Dealer

R.J. O'BRIEN & ASSOCIATES, LLC (NRD# 37800 )


International Dealer - Exemption

R.N.CROFT FINANCIAL GROUP INC. / R.N.CROFT FINANCIAL GROUP INC. (NRD# 860 )


Investment Fund Manager

Portfolio Manager

R.W. PRESSPRICH & CO. (NRD# 2880 )


International Dealer - Exemption

RABO SECURITIES USA, INC. (NRD# 17430 )


International Dealer - Exemption

RADCLIFFE CAPITAL MANAGEMENT, L.P. (NRD# 54440 )


International Investment Fund Manager - Exemption

RADIN CAPITAL PARTNERS INC. (NRD# 37920 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RAE & LIPSKIE INVESTMENT COUNSEL INC. (NRD# 3110 )


Investment Fund Manager

Portfolio Manager

RAINTREE FINANCIAL SOLUTIONS (NRD# 32410 )


Exempt Market Dealer

RARE INFRASTRUCTURE (NORTH AMERICA) PTY. LTD. (NRD# 35670 )


Portfolio Manager

RATAN CAPITAL MANAGEMENT, LP (NRD# 45150 )


International Investment Fund Manager - Exemption

RATHBONE INVESTMENT MANAGEMENT LIMITED (NRD# 53600 )


International Adviser - Exemption

RAYMOND JAMES & ASSOCIATES, INC. (NRD# 7110 )


International Dealer - Exemption

RAYMOND JAMES INVESTMENT COUNSEL LTD./CONSEILS EN PLACEMENTS RAYMOND JAMES LTEE. (NRD# 16900 )


Investment Fund Manager

Portfolio Manager

RAYMOND JAMES LTD. (NRD# 8240 )


Investment Dealer

RAYNE CAPITAL MANAGEMENT INC. (NRD# 25450 )


Exempt Market Dealer

Investment Fund Manager

RBC ALTERNATIVE ASSET MANAGEMENT INC. (NRD# 42160 )


International Investment Fund Manager - Exemption

RBC CAPITAL MARKETS, LLC (NRD# 8270 )


International Adviser - Exemption

International Dealer - Exemption

RBC DIRECT INVESTING INC./RBC PLACEMENTS EN DIRECT INC. (NRD# 3200 )


Investment Dealer

RBC DOMINION SECURITIES GLOBAL LIMITED (NRD# 48210 )


International Adviser - Exemption

RBC DOMINION SECURITIES INC./RBC DOMINION VALEURS MOBILIERES INC. (NRD# 3160 )


Futures Commission Merchant

Investment Dealer

RBC EUROPE LIMITED (NRD# 38200 )


International Dealer - Exemption

RBC GLOBAL ASSET MANAGEMENT (U.S.) INC. (NRD# 7240 )


International Adviser - Exemption

RBC GLOBAL ASSET MANAGEMENT INC./RBC GESTION MONDIALE D'ACTIFS INC. (NRD# 3090 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RBC PHILLIPS, HAGER & NORTH INVESTMENT COUNSEL INC./RBC PHILLIPS, HAGER & NORTH SERVICES-CONSEILS EN PLACEMENTS INC. (NRD# 630 )


Portfolio Manager

RBC SECURITIES AUSTRALIA PTY LIMITED (NRD# 26740 )


International Dealer - Exemption

RBS SECURITIES INC. (NRD# 1570 )


International Dealer - Exemption

RCI INVESTMENT MANAGEMENT INC. (NRD# 28770 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RCM PARTNERS INC. (NRD# 28200 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REAL CROWD CAPITAL INC. (NRD# 54940 )


Exempt Market Dealer

REALCAP HOLDINGS LIMITED (NRD# 3180 )


Portfolio Manager

REALTY FINANCIAL ADVISORS INC. (NRD# 24920 )


Exempt Market Dealer

RECORD CURRENCY MANAGEMENT LIMITED (NRD# 25630 )


International Adviser - Exemption

RED CLOUD KLONDIKE STRIKE INC. (NRD# 49570 )


Exempt Market Dealer

RED SKY CAPITAL MANAGEMENT LTD. (NRD# 32250 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REDBURN (USA) LLC (NRD# 33220 )


International Dealer - Exemption

REDE PARTNERS LLP (NRD# 50130 )


International Dealer - Exemption

REDWOOD ASSET MANAGEMENT INC. (NRD# 13420 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

REEF RESOURCES, LLC (NRD# 33240 )


International Dealer - Exemption

REEL CAPITAL CORPORATION (NRD# 11380 )


Exempt Market Dealer

REMPART ASSET MANAGEMENT INC./GESTION DE PLACEMENTS REMPART INC. (NRD# 32560 )


Portfolio Manager

RENAISSANCE INSTITUTIONAL MANAGEMENT LLC (NRD# 42000 )


International Dealer - Exemption

RENAISSANCE TECHNOLOGIES LLC (NRD# 36940 )


International Investment Fund Manager - Exemption

RENVEST MERCANTILE BANCORP. INC. (NRD# 22430 )


Exempt Market Dealer

RESOLUTE FUNDS LIMITED (NRD# 18890 )


Investment Fund Manager

Portfolio Manager

RESOLVE ASSET MANAGEMENT INC. (NRD# 51220 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RESPONSIVE CAPITAL MANAGEMENT INC. (NRD# 54540 )


Portfolio Manager

RETIRE FIRST LTD. (NRD# 22580 )


Investment Dealer

RETURN ON INNOVATION ADVISORS LTD. (NRD# 13130 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RICE HALL JAMES & ASSOCIATES (NRD# 10100 )


International Adviser - Exemption

RICHARDSON GMP LIMITED / RICHARDSON GMP LIMITEE (NRD# 21970 )


Investment Dealer

RICHMOND EQUITY MANAGEMENT LTD. (NRD# 31920 )


Exempt Market Dealer

Investment Fund Manager

RICHTER FAMILY OFFICE./ BUREAU FAMILIAL RICHTER INC. (NRD# 10170 )


Portfolio Manager

RIDGE GP LLC (NRD# 55160 )


International Investment Fund Manager - Exemption

RIDGEWOOD CAPITAL ASSET MANAGEMENT INC. (NRD# 27940 )


Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RIGEL MERCANTILE LIMITED (NRD# 54500 )


Commodity Trading Manager

RIVER BIRCH CAPITAL, LLC (NRD# 52790 )


International Investment Fund Manager - Exemption

RIVER ROAD ASSET MANAGEMENT, LLC (NRD# 33360 )


Portfolio Manager

RIVERBRIDGE PARTNERS LLC (NRD# 31440 )


International Adviser - Exemption

RIVERSTONE HOLDINGS LLC (NRD# 51570 )


International Investment Fund Manager - Exemption

ROADMAP CAPITAL INC. (NRD# 44800 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBERT EVANS INVESTMENT COUNSEL LIMITED (NRD# 1170 )


Investment Fund Manager

Portfolio Manager

ROBERT W. BAIRD & CO. INCORPORATED (NRD# 5890 )


International Adviser - Exemption

International Dealer - Exemption

ROBOTTI & COMPANY, LLC (NRD# 34820 )


International Dealer - Exemption

ROBSON CAPITAL MANAGEMENT INC. (NRD# 16060 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROBSON CAPITAL PARTNERS CORP. (NRD# 38440 )


Exempt Market Dealer

ROCKEFELLER & CO., INC. (NRD# 9920 )


International Adviser - Exemption

ROCKLINC INVESTMENT PARTNERS INC. (NRD# 31020 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROGAN INVESTMENT MANAGEMENT LIMITED (NRD# 3060 )


Portfolio Manager

ROGERS GROUP INVESTMENT ADVISORS LTD. (NRD# 11460 )


Investment Dealer

ROGERSCASEY CANADA, INC. (NRD# 2230 )


Portfolio Manager

ROGGE ALTERNATIVE INVESTMENT COMPANY LIMTIED (NRD# 49270 )


International Investment Fund Manager - Exemption

ROGGE GLOBAL PARTNERS LIMITED (NRD# 27040 )


International Adviser - Exemption

International Dealer - Exemption

ROKOS CAPITAL MANAGEMENT LLP (NRD# 53760 )


International Investment Fund Manager - Exemption

ROMSPEN INVESTMENT CORPORATION (NRD# 21070 )


Exempt Market Dealer

RONDEAU CAPITAL INC. (NRD# 28710 )


Portfolio Manager

ROSALIND ADVISORS, INC. (NRD# 24830 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSENBLATT SECURITIES INC. (NRD# 29780 )


International Dealer - Exemption

ROSS SMITH ASSET MANAGEMENT INC. (NRD# 26530 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROSSEAU ASSET MANAGEMENT LTD. (NRD# 7970 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROTH CAPITAL PARTNERS, LLC (NRD# 29170 )


International Dealer - Exemption

ROTHSCHILD (CANADA) SECURITIES INC. / VALEURS MOBILIERES ROTHSCHILD (CANADA) INC. (NRD# 7100 )


Exempt Market Dealer

ROTHSCHILD ASSET MANAGEMENT INC. (NRD# 3150 )


International Adviser - Exemption

ROTHSCHILD INC. (NRD# 3170 )


International Dealer - Exemption

ROUNDTABLE CAPITAL PARTNERS INC. (NRD# 22560 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT (UK) LIMITED (NRD# 47660 )


International Adviser - Exemption

ROYAL MUTUAL FUNDS INC./FONDS D'INVESTISSEMENT ROYAL INC. (NRD# 3190 )


Mutual Fund Dealer

RP INVESTMENT ADVISORS (NRD# 29960 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

RP MANAGEMENT, LLC (NRD# 51180 )


International Investment Fund Manager - Exemption

RREEF AMERICA LLC (NRD# 42920 )


International Investment Fund Manager - Exemption

RS VI PRIVATE INVESTORS GP, LTD. (NRD# 51510 )


International Investment Fund Manager - Exemption

RT MOSAIC WEALTH MANAGEMENT LTD. (NRD# 51330 )


Portfolio Manager

RUFFER (CHANNEL ISLANDS) LIMITED (NRD# 48300 )


International Adviser - Exemption

RUFFER LLP (NRD# 48010 )


International Adviser - Exemption

RUSSELL IMPLEMENTATION SERVICES INC. (NRD# 12510 )


International Adviser - Exemption

International Dealer - Exemption

RUSSELL INVESTMENTS CANADA LIMITED / INVESTISSEMENTS RUSSELL CANADA LIMITEE (NRD# 3080 )


Commodity Trading Manager

Exempt Market Dealer

Investment Fund Manager

Mutual Fund Dealer

Portfolio Manager

RUSSIA PARTNERS MANAGEMENT, LLC (NRD# 47340 )


International Adviser - Exemption

RV CAPITAL MANAGEMENT PRIVATE LTD. (NRD# 53970 )


International Investment Fund Manager - Exemption

RWC ASSET ADVISORS (US) LLC (NRD# 51920 )


International Adviser - Exemption

RWC ASSET MANAGEMENT LLP (NRD# 51740 )


International Adviser - Exemption

RWS CAPITAL SERVICES INC. (NRD# 17350 )


Exempt Market Dealer

RXR VAF III GP LLC (NRD# 54220 )


International Investment Fund Manager - Exemption

S&P GLOBAL RESEARCH EUROPE LIMITED (NRD# 39600 )


International Adviser - Exemption

SACHEM HEAD CAPITAL MANAGEMENT LP (NRD# 53140 )


International Investment Fund Manager - Exemption

SAGENT ADVISORS, LLC (NRD# 39390 )


International Dealer - Exemption

SAGUENAY STRATHMORE CAPITAL INC. (NRD# 36680 )


Exempt Market Dealer

Portfolio Manager

SAGUENAY STRATHMORE CAPITAL, L.P, (NRD# 21710 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SAMARA CAPITAL INC. (NRD# 36660 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SAMPFORD ADVISORS INC. (NRD# 54910 )


Exempt Market Dealer

SANDELL ASSET MANAGEMENT CORP. (NRD# 43930 )


International Investment Fund Manager - Exemption

SANDELL INVESTMENT SERVICES, L.L.C. (NRD# 43950 )


International Investment Fund Manager - Exemption

SANDERS MORRIS HARRIS LLC (NRD# 7450 )


International Dealer - Exemption

SANDLER, O'NEILL & PARTNERS, L.P. (NRD# 26950 )


International Dealer - Exemption

SANDS CAPITAL MANAGEMENT, LLC (NRD# 41570 )


International Adviser - Exemption

SANDSTONE ASSET MANAGEMENT INC. (NRD# 17800 )


Investment Dealer

SANFORD C. BERNSTEIN (CANADA) LIMITED (NRD# 52830 )


Investment Dealer

SANFORD C. BERNSTEIN & CO., LLC (NRD# 510 )


Commodity Trading Manager

Exempt Market Dealer

International Adviser - Exemption

International Dealer - Exemption

Investment Fund Manager

Portfolio Manager

SANFORD C. BERNSTEIN LIMITED (NRD# 16230 )


International Dealer - Exemption

SANTA BARBARA ASSET MANAGEMENT, LLC (NRD# 23300 )


International Adviser - Exemption

SANTANDER INVESTMENT SECURITIES INC. (NRD# 7860 )


International Dealer - Exemption

SARASIN & PARTNERS LLP (NRD# 36540 )


International Adviser - Exemption

SARBIT ADVISORY SERVICES INC. / SERVICES DE CONSULTATION SARBIT (NRD# 21320 )


Portfolio Manager

SAWGRASS ASSET MANAGEMENT, L.L.C. (NRD# 9570 )


International Adviser - Exemption

SBI CAPITAL MARKETS LIMITED (NRD# 41620 )


International Dealer - Exemption

SCALE CAPITAL MANAGEMENT INC. (NRD# 17170 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SCARSDALE EQUITIES LLC (NRD# 35170 )


International Dealer - Exemption

SCARTHINGMOOR ASSET MANAGEMENT INC. (NRD# 6510 )


Portfolio Manager

SCF INVESTMENT ADVISORS, INC. (NRD# 53800 )


International Adviser - Exemption

SCHAFER CULLEN CAPITAL MANAGEMENT INC. (NRD# 41390 )


International Adviser - Exemption

SCHEER, ROWLETT & ASSOCIATES INVESTMENT MANAGEMENT LTD./ GESTION DE PLACEMENTS SCHEER, ROWLETT & ASSOCIES LTEE (NRD# 740 )


Exempt Market Dealer

Investment Fund Manager

Portfolio Manager

SCHRODER FUND ADVISORS LLC (NRD# 26620 )


Exempt Market Dealer

SCHRODER INVESTMENT MANAGEMENT (LUXEMBOURG) S.A (NRD# 43970 )


International Investment Fund Manager - Exemption

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. / GESTION DE PLACEMENTS SCHRODER (AMERIQUE DU NORD) INC. (NRD# 12130 )


International Investment Fund Manager - Exemption

Portfolio Manager

SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LIMITED / GESTION DE PLACEMENTS SCHRODER ( AMERIQUE DU NORD) (NRD# 3410 )


Portfolio Manager

SCHWABEN CAPITAL GROUP LIMITED (NRD# 29510 )


Exempt Market Dealer

Portfolio Manager

SCIVEST CAPITAL MANAGEMENT INC. (NRD# 16400 )


Exempt Market Dealer

Portfolio Manager

SCOPIA CAPITA