ABOUT US

Transcend Capital is dedicated to providing innovative technology, brokerage and trading software solutions to institutional clients and professional traders in the equity and options markets.

The firm is committed to delivering the best possible service and market access to our clients

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MARKET HOLIDAYS 2013

SEC RULE 606 (formerly 11Ac-1-6)

Pursuant to SEC Rule 11Ac-1-6, Transcend Capital, LLC is required to make available a quarterly report with regard to our non-directed orders. To comply with this rule, Transcend Capital, LLC's clearing firm, Penson Financial Services, has entered into an agreement with Quantum5 Market Surveillance *Division of S3 Matching Technologies* to disclose all required information pertaining to this rule.

The resulting reports may be viewed at the following web address:

ftp://public.s3.com/11ac1-6/pfsi

Quarterly reports for venues other than Penson are available below.

Report for orders routed via ITG

Report for ConvergEx non-directed orders
(select "ConvergEx Executions Solutions")

Report for orders routed via Knight Capital Markets

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