Sponsor Information

BNY Mellon’s Broker-Dealer Services group is a leading provider of tri-party collateral management services, servicing more than $1.5 trillion in tri-party balances worldwide, and a leader in global clearance, clearing over 60% of U.S. Government Securities.  With nine operating locations, including Singapore, Brussels, and New York, our professionals are located within close proximity to collaborate with clients in solving operational issues. We are committed to operational excellence, robust trading services and innovative solutions that help broker-dealers grow their business.  BNY Mellon is a leading provider of financial services for institutions, corporations and high-net-worth individuals, providing superior asset management and wealth management, asset servicing, issuer services, clearing services and treasury services through a worldwide client-focused team.  It has $22.1 trillion in assets under custody and administration, $966 billion in assets under management, services $11.9 trillion in outstanding debt and processes global payments averaging $1.6 trillion per day.

Contact: Andrew Demko, Managing Director, BNY Mellon, One Wall Street, New York, NY 10286 . . . 212.635.6872 . . . andrew.demko@bnymellon.com . . . http://www.bnymellon.com/

With more than 40 years of experience, Broadridge is a leading provider of technology-based solutions to the financial services industry, offering a comprehensive range of fully-integrated solutions to meet the operational needs of firms worldwide. Broadridge offers solutions to support the entire investment lifecycle, including solutions for investor communications, global securities processing, and operations outsourcing solutions. We offer advanced systems and services that are dependable, scalable, and cost-efficient. Outsourcing to Broadridge enables our clients to reduce their capital investments in operations infrastructure, thereby allowing them to increase their focus on core business activities.

Contact: Arlene Driscoll, Global Head of Marketing, Broadridge Financial Solutions, Inc., One Park Avenue, New York, NY 10016 . . . 888.237.1900 . . . info@broadridge.com . . . www.broadridge.com

Davidsohn Global Technologies, Inc. is a technology firm dedicated to servicing all areas of the financial industry. After half a century of trail-blazing innovation, we have gained the breadth and knowledge to create one of the largest libraries of proprietary systems on Wall Street. In fact, there is a piece of Davidsohn software running in every major financial institution worldwide. Our corporate philosophy continues to be the first in innovation, quality, and preeminent service. Whether you need front-office, middleware, or backoffice systems, (including order execution/trade management, portfolio management, credit risk, clearing and settlement, A/E commission, FluidSeg, BlueSky validation, or practically anything else), Davidsohn Global Technologies, Inc. can provide complete and customizable robust solutions to ensure your company’s success.

Contact: Joseph Davidsohn, President & Chief Executive Officer, Davidsohn Global Technologies, Inc., 55 Broad Street, 26th Floor, New York NY 10004 . . . 212.208.0100 . . . joseph.davidsohn@davidsohn.com . . . www.davidsohnglobal.com

The Depository Trust & Clearing Corporation (DTCC), through its subsidiaries, provides clearance, settlement and information services for equities, corporate and municipal bonds, government and mortgage-backed securities, money market instruments and over-the-counter derivatives. In addition, DTCC is a leading processor of mutual funds and insurance transactions, linking funds and carriers with financial firms and third parties that market these products. DTCC’s depository provides custody and asset servicing for more than 3.5 million securities issues from the United States and 121 other countries and territories, valued at US$33.9 trillion. In 2009, DTCC settled more than US$1.47 quadrillion in securities transactions. DTCC has operating facilities and data centers in multiple locations in the United States and overseas. For more information on DTCC, visit www.dtcc.com.

Contact: Mark E. Vercruysse, Managing Director – Relationship Management, Depository Trust & Clearing Corporation . . . 212.855.4151 . . . www.dtcc.com

Firm58 simplifies trade operations for capital markets firms. The company's web-based financial management software manages the processes associated with fees, commissions and payouts to help increase a firm's revenue, operational efficiency, and reduce costs. The Software as a Service (SaaS) platform automates middle- and back-office processes across asset classes to provide insight into daily profitability and protect revenue. Firm58 offers solutions for billing, profitability analysis, commission sharing arrangements (CSA)/soft dollar management, compensation, and accounting. Customers include global market exchanges and execution venues, leading institutional brokerages, clearing and non-clearing broker-dealers, and proprietary trading firms. Founded in 2005, Firm58 is headquartered in Chicago with a branch office in New York, and is backed by New World Ventures and North Bridge Venture Partners. For more information, visit www.Firm58.com.

Contact: Sales & Marketing, Firm58, Inc., 130 S. Jefferson, Chicago, IL 60661 . . . 866.429.7032 . . . marketing@firm58.com . . . www.firm58.com

Unlimited potential. Clear thinking. The single most compelling business challenge today is no longer how to squeeze more from less. It’s how to profitably grow your business while maintaining a competitive market position. In an inherently complex industry, we are striving to add clarity and innovation built on an unmatched knowledge of the retail investment business. In fact, helping you find ways to better run, grow and protect your business is as much a part of our culture as precise transaction processing and proactive service. Our core competencies can help identify new operating efficiencies while our value-added services can help you remain competitive in the marketplace. Contact us to learn more about how we can provide clear thinking for your business.

Contact: David Williams, Managing Director, First Clearing Correspondent Services, One North Jefferson, MO1950, St. Louis, MO 63103 . . . 888.FCC.CLEAR . . . david.l.williams@firstclearing.com . . . www.firstclearing.com

Information Mosaic is a trusted global provider of advanced post-trade automation solutions to the securities industry, to include custody, asset servicing, private wealth, asset management and investment banking. The company is a recognized market leader for corporate actions automation, winning the 2009 Banking Technology Readers’ Choice Award for best corporate actions solution and achieving record scores in B.I.S.S. 2009 corporate actions benchmark tests. Founded in 1997, Information Mosaic currently supports the post-trade operations of over 60 financial institutions worldwide. The company has a proven track record of helping financial institutions transform post-trade operations, enabling them to enter new markets, improve customer service and reduce the risk and cost associated with volume and complex processing. Information Mosaic’s breakless post-trade automation platform removes reconciliation points and therefore reduces risk and cost for all core post-trade services including corporate actions, securities settlement, trade, portfolio and cash management. The company supports its global customer base from offices in Dublin, London, Luxembourg, New Delhi, Singapore, Melbourne and New York. For more information visit: www.informationmosaic.com.

Contact:  Brian DuVal, Senior Vice President – Business Development, Information Mosaic . . . 312.925.0127 . . . bduval@informationmosaic.com . . . www.informationmosaic.com

National Financial, a Fidelity Investments company, offers broker-dealer firms access to a comprehensive clearing platform, inclusive of a dedicated service model, a powerful global trading platform, and a source of leading investment solutions, all designed to help them grow confidently. National Financial's comprehensive offering enables it to serve broker-dealers of various types and sizes that can serve your evolving needs. In addition to being a leading clearing provider in the U.S. for nearly 30 years, National Financial leverages the strength and experience of Fidelity Investments, one of the world’s largest providers of financial services. As of December 31, 2009, National Financial has more than 300 client firms representing $566 billion in assets under administration. For more information about National Financial, please visit www.nationalfinancial.com.

Contact:  www.nationalfinancial.com

Penson Financial Services, Inc. provides execution, clearing, settlement, custody and technology services to retail and institutional broker-dealers, proprietary trading firms, and registered investment advisers. With a global presence, underscored by local expertise, Penson is a leading provider of products and services to financial firms around the world. Penson—Building the Best Clearing and Execution Services Firm in the World.

Contact: Sean Malloy, Senior Vice President – Sales and Marketing, Penson Financial Services, Inc., 1700 Pacific Avenue, Suite 1400, Dallas, TX 75201 . . . 800.696.3585 . . . smalloy@penson.com or Dan Weingarten, Senior Vice President - Sales and Marketing, Penson Financial Services, Inc. . . . 800.696.3585 . . . dweingarten@penson.com . . . www.penson.com

Since 1930, SIX Telekurs has focused on delivering high quality, comprehensive market and reference data. Today, we cover over 5 million globally-traded securities, consolidating data from over 850 sources around the world, and combining T&Cs and reference data with corporate actions/events and pricing in a uniquely structured and encoded database that facilitates automation and STP. Our one-of-a kind master service actively links instruments to issuers, exchanges, related derivatives and indices, regulatory/taxation classifications and more. And for precise portfolio valuation, our market data feed and flexible portfolio pricing services deliver exactly the pricing information needed, exactly when it is needed: real-time, delayed, intraday or close-of-market. To ensure quality, SIX Telekurs acquires data directly from original sources whenever possible, and our employees in 23 countries use local market expertise to maintain the highest quality standards. For effective pricing and administration for all your globally-traded securities, SIX Telekurs is today’s best choice.

Contact: Karl Malchow, Head of Sales – Americas, SIX Telekurs USA Inc., River Bend Center, One Omega Drive, Building 3, Stamford, CT 06907 . . . 203.353.8100 . . . sales@tkusa.com . . . www.six-telekurs.com

SunGard is a leading provider of solutions for order and execution management, clearance and settlement, global securities and derivatives transaction processing, financial planning, investment management, compliance, new account opening, and tax reporting designed to help broker dealers, wealth managers, buy/sell side firms, futures commission merchants, hedge funds, proprietary trading firms, tax processors, and investment firms streamline operations, control risk and cost, and expand business opportunities. In the wake of increasing volume, growing global business complexity, and greater expectations for results, SunGard’s global solutions help firms to gain front-to-back operational efficiencies and support business growth by leveraging centralized transactional databases, cross-asset business functions and consolidated views of accounts while proactively managing risk across the enterprise. SunGard also offers extensive consulting services support, providing your firm professionals with broad based business and technical experience for the most beneficial project outcome.

Contact: Dorothy Friedman, Director – Product Marketing, SunGard, 340 Madison Avenue, New York, NY 10173 . . . 646.445.1066 . . . www.sungard.com

Tata Consultancy Services Limited is an IT services, business solutions and outsourcing organization that delivers real results to global businesses, ensuring a level of certainty no other firm can match. TCS offers a consulting-led, integrated portfolio of IT and IT-enabled services delivered through its unique Global Network Delivery ModelTM, recognized as the benchmark of excellence in software development. More than 98% of TCS customers reward the company’s reliability, passion, creativity, and unique ability to handle the broadest range of their IT needs by continually extending and deepening their partnerships with TCS. With over 140,000 of the world’s best trained IT consultants located across the world, TCS is uniquely positioned to deliver its flexible world class services seamlessly to any location. TCS reported consolidated revenues of USD 6.01 billion in the fiscal year 2008-2009. The company is listed on the National Stock Exchange and Bombay Stock Exchange in India.

Contact: Vikrant Gaikwad, Industry Marketing Manager, Tata Consultancy Services, 379 Thornal Street, 11th Floor, Edison, NJ 08837 . . . 732.590.2746 . . . vikrant.gaikwad@tcs.com . . . www.tcs.com

Thomson Reuters is the world’s leading source of intelligent information for businesses and professionals. We combine industry expertise with innovative technology to deliver critical information to leading decision makers in the financial, legal, tax and accounting, scientific, healthcare and media markets, powered by the world’s most trusted news organization. With headquarters in New York and major operations in London and Eagan, Minnesota, Thomson Reuters employs over 50,000 people in more than 100 countries.

Contact: Thomson Reuters, 3 Times Square, New York, NY 10036 . . . 646.223.4000 . . . http://thomsonreuters.com

What are you doing about cost basis reporting? Wolters Kluwer Financial Services offers a unique solution suite to help you comply. Whether you need a cost basis enterprise compliance solution, batch wash sale calculations, critical U.S. and international corporate actions tax treatment & basis consequences, or automated access to historic cost basis data to serve as a batch source for interim compliance or to minimize customer confusion regarding noncovered securities, you can count on us for unparalleled tax and technology expertise to help you comply. EVERYTHING YOU WANTED TO KNOW ABOUT COST BASIS REPORTING, BUT WERE AFRAID TO ASK. Join us Thursday, May 6 at 11:15 a.m. Panelists Deanna Flores, KPMG & Mathew Urbina, Ernst & Young, will join Richard Ryndak & Stevie D. Conlon, Wolters Kluwer Financial Services, to provide insightful information about basis reporting pitfalls, such as adjusting for wash sales and foreign securities. www.costbasisreporting.com

Contact: Mike Densen, Director of Sales & Client Services, Wolters Kluwer Financial Services - GainsKeeper, 130 Turner Street, Waltham, MA 02453 . . . 781.907.6978 . . . mike.densen@wolterskluwer.com . . . www.WoltersKluwerFS.com