| 11. | As of 2013, BBY has over 110 client advisors and 300 broker dealer advisors.
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| 12. | The Corporate Advisors and the Broker Dealers.
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| 13. | Just three broker dealers make a market in Asyst shares, resulting in limited liquidity for shareholders.
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| 14. | The accounting firm formed Ernst & Young Corporate Finance with licensed broker dealers in 2001.
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| 15. | Evidence of this happened earlier this year when the board reserved one seat for a small broker dealer.
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| 16. | The company continued its IPO sales a few months later with an affiliated broker dealer Cabot Lodge Securities.
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| 17. | The Securities and Exchange Commission reported 3, 313 complaints about broker dealers in the year ended last September.
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| 18. | The new Nasdaq has boards of directors that represents the public, the issuers, and the broker dealer community.
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| 19. | Securities Lending is a practice where broker dealers lend each other large blocks of stock for the purposes of shorting.
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| 20. | The group owns 80 percent of Investment Technology Group Inc ., which controls ITG Inc ., its broker dealer subsidiary.
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