MCDC Initiative (Applications Received)

The following is a list of firms that have consented to making public that they have filed with FINRA an MC-400A Application as a result of the SEC's Municipalities Continuing Disclosure Cooperation (MCDC) Initiative:

First Tranche (for SEC orders dated June 18, 2015)

  1. B. C. Ziegler and Company
  2. Benchmark Securities, LLC
  3. BMO Capital Markets GKST Inc.
  4. BNY Mellon Capital Markets, LLC
  5. BOSC, Inc.
  6. Central States Capital Markets, LLC
  7. Citigroup Global Markets Inc.
  8. City Securities Corporation
  9. Davenport & Company LLC
  10. Dougherty & Co.
  11. First National Capital Markets, Inc.
  12. George K. Baum & Company
  13. Goldman, Sachs & Co.
  14. Hutchinson, Shockey, Erley & Co.
  15. J.P. Morgan Securities LLC
  16. L. J. Hart and Company
  17. Loop Capital Markets, LLC
  18. Martin Nelson & Co., Inc.
  19. Merrill Lynch, Pierce, Fenner & Smith Incorporated
  20. Morgan Stanley & Co. LLC
  21. Oppenheimer & Co., Inc.
  22. Piper Jaffray & Co.
  23. Raymond James & Associates, Inc.
  24. RBC Capital Markets, LLC
  25. Robert W. Baird & Co., Incorporated
  26. Siebert, Brandford, Shank & Co., LLC
  27. Smith Hayes Financial Services Corporation
  28. Stephens Inc.
  29. Sterne, Agee & Leach, Inc.
  30. Stifel, Nicolaus & Company
  31. The Baker Group, LP
  32. Wells Nelson & Associates, LLC
  33. William Blair & Company, LLC

Second Tranche (for SEC orders dated September 30, 2015)

  1. Ameritas Investment Corp.
  2. BB&T Securities, LLC
  3. Comerica Securities, Inc.
  4. Crews & Associates, Inc.
  5. Duncan-Williams, Inc.
  6. Edward Jones & Co.
  7. Estrada Hinojosa & Company, Inc.
  8. Fifth Third Securities, Inc.
  9. The Frazer Lanier Company, Inc.
  10. J.J.B. Hilliard, W.L. Lyons, LLC
  11. Joe Jolly & Co., Inc.
  12. Mesirow Financial, Inc.
  13. Northland Securities, Inc.
  14. NW Capital Markets, Inc.
  15. PNC Capital Markets LLC
  16. Prager & Co., LLC
  17. Ross, Sinclaire & Associates, LLC
  18. UBS Financial Services, Inc.

Third Tranche (for SEC orders dated February 2, 2016)

  1. Barclays Capital, Inc.
  2. Boenning & Scattergood, Inc.
  3. D.A. Davidson & Co.
  4. First Midstate Inc.
  5. Hilltop Securities, Inc.
  6. Janney Montgomery Scott LLC
  7. Jefferies LLC
  8. KeyBanc Capital Markets, Inc.
  9. Mitsubishi UFJ Securities (USA), Inc.
  10. Municipal Capital Markets Group, Inc.
  11. Roosevelt & Cross, Inc.
  12. TD Securities (USA) LLC