CAPIS

Financial, investment and securities services, namely, securities, commodities and currency trading and brokerage services; on-line electronic securities, commodities, and currency trading and brokerage services; monitoring of trade performance and execution, namely, providing clients with reports and other advice regarding the trading activity in the client's brokerage accounts; and commission management services, namely, the administration of "soft dollar" and commission recapture programs for the benefit of clients and/or customers of those clients