Disclosure of SEC Required Order Execution and Routing Information

SEC Rule 606 Reports
Pursuant to Rule 606 adopted by the Securities and Exchange Commission, Cowen Prime Services LLC is presenting certain information with respect to orders executed during the preceding quarter. You can obtain this information by accessing the respective link below.

JP Morgan (CCCM) Order Routing Disclosure
•  Pershing (CCMB) Order Routing Disclosure
•  Merrill Lynch Broadcort (ATPA) Order Routing Disclosure
•  Merrill Lynch Pro (CCML) Order Routing Disclosure
•  ICBC (CMKT) Order Routing Disclosure
•  KCG (Knight) Order Routing Disclosure
Goldman Sachs (CCMK) Order Routing Disclosure

SEC Rule 605 Reports
Pursuant to SEC Rule 605 adopted by the Securities and Exchange Commission, Cowen Prime Services LLC is presenting certain order execution information, You can obtain this information by accessing the respective link below.

Pershing (CCMB) Order Routing Disclosure

Affiliate Disclosure

Cowen Prime Services LLC is a U.S. registered broker-dealer and as such is subject to a multitude of regulation through both the SEC and Self-Regulatory Organizations (i.e. FINRA) associated with order handling and best execution. Cowen Prime complies with all of these requirements and execution quality and routing information can be viewed at www.cowenprime.com. Cowen Prime Services LLC, through its Parent, Cowen Group Inc., is under common control with three broker-dealer affiliates: Cowen and Company, LLC, ATM Execution LLC and Cowen Prime Services Trading LLC. To efficiently and economically execute transactions in certain types of securities, the execution capability of our affiliates may be utilized. The execution policies as well as the execution quality and routing information of Cowen and Company, LLC can be viewed at www.cowen.com and ATM Execution LLC at www.cowenatm.com.