13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-15, with 2,270 holding rows worth $12,309,255,000.
- Accession
- 0001140361-13-033127
- Filer
- CIK 1163653
- Filed
- 2013-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 3,883 entries on the cover page, a total value of $12,309,255,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $12,309,255,000 with VALUE read as thousands by filing date, 13F file number 028-10594. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerNOMURA SECURITIES INTERNATIONAL INC028-04983
- reports for this filerNOMURA INTERNATIONAL PLC028-04985
- reports for this filerNOMURA SECURITIES BERMUDA LTD028-04993
- reports for this filerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
- reports for this filerNomura Capital Markets plc
- reports for this filerNOMURA SECURITIES CO LTD028-04979
- reports for this filerNomura Corporate Research & Asset Management Inc.028-13982
- included managerNOMURA SECURITIES INTERNATIONAL INC028-04983
- included managerNOMURA INTERNATIONAL PLC028-04985
- included managerNOMURA SECURITIES BERMUDA LTD028-04993
- included managerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
- included managerNomura Capital Markets plc
- included managerNOMURA SECURITIES CO LTD028-04979
- included managerNomura Corporate Research & Asset Management Inc.028-13982
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| RESOURCE CAP CORP REIT | 76120W302 | COM | 14,874 | $91,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 12,098 | $91,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 23,021 | $90,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 42,377 | $89,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P886 | COM | 5,300 | $88,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 80,331 | $88,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 10,068 | $87,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 37,156 | $86,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 11,660 | $86,000 | thousands by filing date | |
| CARDIONET INC | 14159L103 | COM | 14,543 | $86,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,950 | $85,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 11,300 | $85,000 | thousands by filing date | |
| SYMMETRICOM INC | 871543104 | COM | 18,716 | $84,000 | thousands by filing date | |
| HARBINGER GROUP INC | 41146A106 | COM | 10,913 | $84,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 11,309 | $84,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 19,810 | $84,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 49,693 | $82,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 12,273 | $82,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 1,421 | $81,000 | thousands by filing date | |
| WGL HLDGS INC | 92924F106 | COM | 1,869 | $81,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 13,143 | $80,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 13,416 | $80,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 19,827 | $79,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 11,642 | $78,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 36,697 | $77,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 42,033 | $76,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 40,185 | $76,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 45,000 | $76,000 | thousands by filing date | principal |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 1,700 | $75,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 11,900 | $75,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 13,479 | $73,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 26,375 | $73,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 70,000 | $73,000 | thousands by filing date | principal |
| FRONTLINE LTD | G3682E127 | COM | 40,706 | $73,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 21,080 | $72,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 13,975 | $72,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 14,479 | $72,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 43,850 | $72,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 33,947 | $72,000 | thousands by filing date | |
| MAXYGEN INC | 577776107 | COM | 28,811 | $71,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 68,000 | $71,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 27,150 | $68,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 15,012 | $66,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 31,713 | $65,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 81,222 | $64,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 14,200 | $63,000 | thousands by filing date | |
| MPG OFFICE TR INC | 553274101 | COM | 20,301 | $63,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 4,495 | $63,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 19,098 | $62,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 16,950 | $62,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 2,707 | $62,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 40,000 | $62,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 11,210 | $61,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 16,754 | $61,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 10,200 | $61,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 36,211 | $60,000 | thousands by filing date | |
| BIOSANTE PHARMACEUTICALS INC | 09065V302 | COM PAR $0.0001 | 59,566 | $59,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 15,506 | $59,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 24,686 | $58,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 10,400 | $58,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 13,408 | $57,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 127,937 | $57,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 91,400 | $56,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,400 | $56,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 1,700 | $55,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 898 | $55,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,750 | $54,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 1,300 | $53,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 49,450 | $53,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 111,600 | $52,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 41,000 | $52,000 | thousands by filing date | |
| NEOSTEM INC | 640650305 | COM NEW | 93,500 | $51,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 14,150 | $50,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 21,443 | $50,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 110,600 | $49,000 | thousands by filing date | |
| DST SYSTEMS INC | 233326AE7 | CNV | 35,000 | $49,000 | thousands by filing date | principal |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,586 | $47,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 78,500 | $47,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 42,121 | $47,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 11,500 | $46,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 41,737 | $46,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 37,500 | $44,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 17,500 | $44,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 11,880 | $44,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 18,500 | $44,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 13,700 | $43,000 | thousands by filing date | |
| ISHARES MSCI FAR E F S IN FD | 464289214 | CMN | 1,400 | $40,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,615 | $39,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 18,759 | $38,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 1,575 | $36,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 2,800 | $36,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 1,774 | $36,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 29,000 | $35,000 | thousands by filing date | principal |
| VONAGE HLDGS CORP | 92886T201 | COM | 12,084 | $34,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 44,277 | $34,000 | thousands by filing date | |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 32,000 | $34,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 15,462 | $34,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 2,000 | $34,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 499 | $34,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 10,350 | $33,000 | thousands by filing date | |
| ISHARES TR | 46429B226 | INDUSTRIAL SCT | 700 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,743 | $32,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 15,788 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 600 | $32,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 11,152 | $32,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 16,979 | $32,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 1,600 | $32,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 10,388 | $31,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 11,700 | $31,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,200 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 1,093 | $30,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,639 | $30,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,200 | $30,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 2,100 | $29,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,795 | $29,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 21,200 | $29,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 15,000 | $29,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 13,446 | $29,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 17,952 | $28,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 15,756 | $28,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 10,956 | $28,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP/THE | 320771108 | COM | 23,700 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 620 | $27,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 714 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 311 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 600 | $24,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 23,512 | $23,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 12,701 | $23,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 2,073 | $23,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 19,129 | $23,000 | thousands by filing date | |
| TYSON FOODS INC | 902494AP8 | NOTE | 15,000 | $23,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 900 | $23,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 10,000 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 800 | $22,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | principal |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 900 | $21,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 1,000 | $21,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $21,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 20,300 | $21,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 10,200 | $21,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 14,600 | $19,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 16,098 | $19,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 573 | $18,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 10,457 | $18,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 2,240 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 400 | $17,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 920 | $17,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 17,599 | $17,000 | thousands by filing date | |
| Brigus Gold Corp | 109490102 | COM | 32,228 | $16,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 300 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,508 | $15,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 262 | $14,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 720 | $14,000 | thousands by filing date | |
| TRANSWITCH CORP | 894065309 | COM | 35,100 | $14,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,676 | $14,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 200 | $14,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 503 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 800 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 200 | $13,000 | thousands by filing date | |
| MARKET VECTORS | 57060U704 | URAN NUCLR ENRGY | 313 | $13,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,000 | $13,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 200 | $12,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 800 | $11,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 600 | $11,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 944 | $11,000 | thousands by filing date | |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 25,000 | $11,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 490 | $11,000 | thousands by filing date | |
| DIREXION DLY LAT AMER BULL3X | 25459Y652 | CMN | 480 | $11,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| EXIDE TECHNOLOGIES | 302051206 | COM NEW | 81,200 | $10,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 900 | $10,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641810 | CMCI GOLD ETN | 300 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B184 | UTILITIES SECT | 200 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B259 | FINANCIALS SEC | 200 | $10,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 500 | $9,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 16,446 | $9,000 | thousands by filing date | |
| ANTHERA PHARMACEUTICALS INC | 03674U102 | COM | 13,700 | $9,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES | 043635101 | COM | 11,200 | $9,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 300 | $9,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 600 | $8,000 | thousands by filing date | |
| COLDWATER CREEK INC | 193068202 | COM | 3,000 | $8,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 500 | $8,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 100 | $7,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,746 | $7,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 300 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y842 | MADRONA INTL ETF | 300 | $7,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 400 | $7,000 | thousands by filing date | |
| SUTOR TECHNOLOGY GROUP LTD | 869362103 | CMN | 4,477 | $7,000 | thousands by filing date | |
| FIRST AMERICAN MN MUN INC II | 31849P104 | CMN | 500 | $7,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 100 | $6,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 900 | $6,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 800 | $6,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 400 | $6,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 2,000 | $6,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 1,000 | $6,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 800 | $5,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 400 | $5,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 391 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 100 | $5,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AF5 | NOTE 4.500%12/0 | 15,000 | $5,000 | thousands by filing date | principal |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 100 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 300 | $5,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 6,900 | $5,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 104 | $5,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 395 | $5,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,967 | $5,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 77 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 79 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 100 | $4,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 200 | $4,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 200 | $4,000 | thousands by filing date | |
| LONE PINE RES INC | 54222A106 | COM | 13,467 | $4,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 400 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W106 | ULT DJ UBS COMM | 200 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W383 | COM | 280 | $4,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 100 | $4,000 | thousands by filing date | |
| MARKET VECTORS RUSSIA SMALL | 57060U399 | CMN | 100 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 100 | $3,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 100 | $3,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 200 | $3,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 1,500 | $3,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 200 | $3,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L209 | US MC TRENDP ETN | 100 | $3,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 700 | $3,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 2,100 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A318 | NUVN S&P VRDO MN | 100 | $3,000 | thousands by filing date | |
| HUNTINGTON US EQUITY ROTATIO | 446698102 | CMN | 100 | $3,000 | thousands by filing date | |
| PROSHARES ULT MSCI PAC X-JPN | 74347X534 | CMN | 100 | $3,000 | thousands by filing date | |
| ETRACS CMCI SILVER TR ETN | 902641794 | CMN | 100 | $3,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 134 | $2,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 100 | $2,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 100 | $2,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 200 | $2,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 600 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 100 | $2,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 300 | $2,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 100 | $2,000 | thousands by filing date | |
| HOLLYWOOD MEDIA CORP | 436233100 | CMN | 1,400 | $2,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 156 | $2,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 100 | $1,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 200 | $1,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 400 | $1,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 6 | $1,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 300 | $1,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 80 | $1,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 208 | $1,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 200 | $1,000 | thousands by filing date | |
| DOVER SADDLERY INC | 260412101 | COM | 200 | $1,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 100 | $1,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 200 | $1,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 200 | $1,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Abrdn Emerging Markets | 00301W105 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP INC | 65248E104 | COMMON STOCK | 985,186 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP | 65248E203 | CL B | 160,442 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERSO PAPER CORP | 92531L108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZOOM TECHNOLOGIES INC | 98976E301 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLICHECK MOBILISA INC | 45817G102 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAUPPAUGE DIGITAL INC | 419131107 | COM | 340 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Professional Diversity Network | 74312y103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A309 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES S&P TARGET DATE 2030 | 464289602 | CMN | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-13-033127 | this filing | 2013-08-15 | acceptance time not in the bulk data set |