BNY CONVERGEX

Electronic record keeping and reporting of payment data and soft dollar commission recapture in connection with securities transactions

Financial, investment and securities services, namely, financial analysis, performance measurement analytics, namely, providing pre-trade, intra-trade and post-trade tools to schedule trades, select trading strategies, monitor real-time trade performance and execution of trade orders, and review trade execution quality to evaluate best execution obligations, and order management services, namely, providing trade order management systems to analyze securities portfolios and securities trades, create, stage and allocate to brokerages trade orders, receive trade execution details and evaluate trade execution performance; financial services, namely, investment securities transaction services via the internet, computer-to-computer interface, and by connections to the proprietary networks of other service providers; electronic funds transactions; electronic funds transfer in the nature of electronically routing orders to buy, sell, pledge or otherwise affect interests in investment securities; electronically processing payment data and soft dollar and commission recapture in connection with securities transactions; financial management services in the field of securities trading; institutional agency brokerage services, namely, investment brokerage and securities brokerage services including settlement and clearing of securities transactions; financial research, namely, providing reports and commentary on independent financial research concerning financial markets, industries, sectors or public or private companies