Alternative Trading Systems
Active Filers as of January 14, 2011
ATS Name / BD
Date of Initial Filing
Location
Alerus Securities
8/13/2002
Grand Forks, ND
Aqua Securities L.P.
7/23/2007
New York, NY
ArcaEdge
3/16/2000
Chicago, IL
Assent ATS
11/14/2008
Hoboken, NJ
ATS-1
11/3/2005
New York, NY
ATS-1
10/25/1999
New York, NY
ATS-2
2/28/2007
New York, NY
ATS-4
4/10/2006
New York, NY
ATS-5
1/31/2007
New York, NY
ATS-6
6/18/2007
New York, NY
Automated Equity Finance Markets, Inc.
12/29/2008
New York, NY
Barclays ATS
11/17/2008
New York, NY
BGC Financial, L.P.
5/10/1999
New York, NY
BIDS Trading, L.P.
11/3/2006
New York, NY
BlockCrossTM ATS
3/16/2007
Boston, MA
Bloomberg Tradebook LLC (TBKX)
3/2/2010
New York, NY
Bloomberg Tradebook LLC (Tradebook)
5/11/1999
New York, NY
BondDesk Trading LLC
4/19/2000
New York, NY
Bonds.Com, Inc.
2/5/2010
Boca Raton, FL
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BrokerTec
Charles River Equity Crossing Network (CREX) Citadel Securities LLC
ConvergEx Cross ConvergEx Millennium Credit Suisse Securities (USA) LLC (CrossFinder) Credit Suisse Securities (USA) LLC (Light
Pool) Curian Clearing, LLC DBSI ATS DEEP ATS, LLC
Electronic Securities Processing (ESP)
LLC Folio Investing Note Trader Platform (Prosper)
FOLIOfn Investments, Inc. GATE US LLC GETCO Execution Services GFI Securities LLC Grant Street Securities, Inc. Hilliard Farber & Co. Inc. HTDonline IATMarkets, LLC ICAP Trading System Instinet Continuous Bloc Cross (CBX)
4/15/2000
Jersey City, NJ
8/30/2007
Burlington, MA
7/6/2010
Chicago, IL
1/10/2007
New York, NY
3/8/2010
New York, NY
10/21/2005
New York, NY
3/5/2010
New York, NY
6/12/2006
Denver, CO
8/24/2009
New York, NY
4/25/2006
Houston, TX
6/5/2007
New York, NY
6/19/2009
McClean, VA
3/1/2000
Vienna, VA
12/28/2009
New York, NY
2/7/2008
Chicago, IL
5/12/1999
New York, NY
3/14/2000
Pittsburgh, PA
1/23/2009
Jersey City, NJ
12/2/2002
Jersey City, NJ
12/26/2000
New York, NY
8/23/1999
Jersey City, NJ
11/14/2003
Jersey City, NJ
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Instinet Crossing/Real-Time Trading Service (RTTS) Interactive Brokers LLC Israel A. Englander & Co. JPM-X ATS Knight BondPoint Knight Match LavaFlow ECN
Lending Club Trading Market LeveL ATS (f/k/a eBX LLC)
LiquidNet H2O ATS Liquidnet Negotiation ATS LiquidPoint NXP LIQUIFI MAPS ECN MarketAxess Corporation MidSouth Capital, Inc. Mismi, Inc. National Financial Services, LLC Niphix Trading System NX ATS PDQ ATS Phoenix Derivatives LLC
11/14/2003
Jersey City, NJ
10/27/2010
Greenwich, CT
1/14/2004
New York, NY
5/19/2009
New York, NY
6/21/2000
Atlanta, GA
6/21/2006
Jersey City, NJ
12/14/2005
New York, NY
8/29/2008
Arlington, VA
7/7/2006
Boston, MA
10/11/2005
New York, NY
5/9/2000
New York, NY
10/13/2010
Chicago, IL
10/27/2005
New York, NY
8/28/2008
New York, NY
8/20/1999
New York, NY
9/1/2009
Atlanta, GA
10/9/2008
New York, NY
3/21/2006
Boston, MA
4/26/1999
Peoria, IL
7/29/2010
New York, NY
8/22/2008
Manalapan, NJ
2/5/2010
New York, NY
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Pipeline Trading Systems, LLC POSIT Match POSIT Now Pragma OneCross ProSecurities Real Time River Cross Securities, LP Schwab Bond Source SIGMA ATS Spread Zero Structured Credit Connection TheMuniCenter LLC Track ECN TradeWeb LLC Tullet Liberty Securities, Inc. UBS ATS
Variable Investment Advisors, Inc. Alternative Trading System VortEx Wells Fargo Securities, LLC XE Xpert Financial
2/23/2004 5/10/1999 1/31/2002 8/26/2009 6/19/2009 10/30/2006 3/28/2007 5/4/1999 7/13/2005 2/2/2009 12/7/2009 11/27/2000 11/2/1999 4/19/2001 5/11/1999 3/17/2008 7/17/2002 10/10/2007 8/20/2010 5/6/2008 11/4/2010 New York, NY New York, NY New York, NY Greenwich, CT Newark, NJ New York, NY Bala Cynwyd, PA San Francisco, CA Jersey City, NJ New York, NY New York, NY New York, NY Brooklyn, NY Jersey City, NJ New York, NY Stamford, CT Sioux Falls, SD New York, NY New York, NY Greenwich, CT San Mateo, CA
Page 4 of 5
New Systems
ATS Name Interactive Brokers LLC LiquidPoint NXP
Date of Initial Filing 10/27/2010 10/13/2010
Location Greenwich, CT Chicago, IL
Xpert Financial
11/4/2010
San Mateo, CA
Deleted Systems
ATS Name Ballista Securities, LLC
Date of Initial Filing 10/9/2008
Location New York, NY
