ICR Documents

Supporting Statement A Document Date Uploaded Rule 15c3-5 Supporting Statement 11-2-10 FINAL.doc 11/02/2010 Supporting Statement B Document Date Uploaded Supplementary Documents Title Document Document Type Date Uploaded Public Comments Author Name Comment Document Author Affiliation Sponsoring Org. Type Category Date of Comment Date Comment Received Lawrence, Jesse Rule 15c3-5 Pershing Letter.pdf Pershing LLC Pershing LLC Email Simple 03/24/2010 03/24/2010 Small, Andrew Rule 15c3-5 Scottrade Letter.pdf Scottrade, Inc. Scottrade, Inc. Email Simple 03/30/2010 03/30/2010 Vleck, Ann Rule 15c3-5 SIFMA Letter.pdf Securities Industry and Financial Markets Association Securities Industry and Financial Markets Association Letter Simple 04/16/2010 04/16/2010 Wedbush, Edward Rule 15c3-5 Wedbush Letter.pdf Wedbush Securities Inc. Wedbush Securities Inc. Letter Simple 03/31/2010 03/31/2010 Lee, Christopher Rule 15c3-5 Fortis Letter.pdf Fortis Clearing Fortis Clearing Letter Simple 03/26/2010 03/26/2010 Goebels, P. Rule 15c3-5 ITG Letter.pdf Investment Technology Group, Inc. Investment Technology Group, Inc. Email Simple 03/29/2010 03/29/2010 Lehoczky, Sandor Rule 15c3-5 Jane Street Letter.pdf Jane Street Holding, LLC Jane Street Holding, LLC Letter Simple 03/29/2010 03/29/2010 Lek, Samuel Rule 15c3-5 Lek Letter.pdf Lek Securities Corporation Lek Securities Corporation Letter Simple 02/21/2010 02/21/2010 Mahoney, Timothy Rule 15c3-5 BIDS Letter.pdf BIDS Tradinbg L.P. BIDS Tradinbg L.P. Letter Simple 03/29/2010 03/29/2010 Velli, Joseph Rule 15c3-5 ConvergEx Letter.pdf BNY ConvergEx Group, LLC BNY ConvergEx Group, LLC Letter Simple 04/09/2010 04/09/2010 Marques, Jose Rule 15c3-5 Deutsche Bank Letter.pdf Deutsche Bank Securities Inc. Deutsche Bank Securities Inc. Letter Simple 03/31/2010 03/31/2010 Engmann, Douglas Rule 15c3-5 Engmann Letter.pdf Egmann Options, Inc. Egmann Options, Inc. Letter Simple 03/16/2010 03/16/2010 Rubin, Jeffrey Rule 15c3-5 ABA Letter.pdf American Bar Association American Bar Association Email Simple 04/05/2010 04/05/2010