Table 1: (Pg 37744-37745)

Table 2: (Pg 37745)

Table 3: (Pg 37746)

Table 4: Vesting Schedule (Pg 37746)

Table 5: Alternative Scenario 1: Deferred Options Consistent with the Proposed Rule (Pg 37746-37747)

Table 6: Alternative Scenario 2: Deferred Options Inconsistent with the Proposed Rule (Pg 37747-37748)

Table 7: Summary of Collection of Information Burdens Per Record Type (Pg 37755)

Table 8: Summary of Collection of Information Burdens Per Respondent Type (Pg 37755)

Table 9: Summary of Collection of Information Burdens Per Respondent Type Including Estimate of Annual Compliance with Rule 17a-4(Pg 37755)

Table 10: Table 1-Number of Broker-Dealers and Investment Advisers (Pg 37764)

Table 11: Table 2-Size Distributions of BDs (Pg 37764)

Table 12: Table 3-Distributions of BDs by Level Size of the Parent (Pg 37765)

Table 13: Table 4-Distribution of 39 IAs Affiliated with Level 1 and Level 2 Banks and Thrifts, by Level Size of the Parent (Pg 37765)

Table 14: Table 5A-Compensation Structure of BD Parent Institutions by Level Size (Pg 37767)

Table 15: Table 5B-Compensation Structure of Level 1 and Level 2 IA Parent Institutions (Pg 37767)

Table 16: Table 6A-Type and Frequency of Use of Incentive-Based Compensation Awards-Level 1, Level 2, and Level 3 BD Parent Institutions (Pg 37767-37768)

Table 17: Table 6B-Type and Frequency of use of Incentive-Based Compensation Awards-Level 1 and Level 2 IA Parent Institutions (Pg 37768-37769)

Table 18: Table 7A-Current Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1, Level 2, and Level 3 BDs Parent Institutions (Pg 37769-37770)

Table 19: Table 7B-Current Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 IA Parent Institutions (Pg 37771)

Table 20: Table 8A-Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 BDs Parent Institutions in Year 2007 (Pg 37771-37772)

Table 21: Table 8B-Deferral, Clawback, Forfeiture and Certain Prohibitions for NEOs at Level 1 and Level 2 IA Parent Institutions in Year 2007 (Pg 37772)

Table 22: Table 9A-Percentage of Level 1, Level 2, and Level 3 BD Parent Institutions by Trigger for Forfeiture and Clawback (Pg 37772-37773)

Table 23: Table 9B-Triggers for Forfeiture and Clawback of Level 1 and Level 2 IA Parent Institutions (Pg 37773)

Table 24: Table 10A-Incentive-Based Compensation of Non-Employee Directors of BD Parents (Pg 37773)

Table 25: Table 10B-Incentive-Based Compensation of Non-Employee Directors of IA Parents (Pg 37773)

Table 26: Table 11-Existing Compensation Arrangements for NEO and Non-NEO Executives (Pg 37774)

Table 27: Table 12-Deferral Policy for Material Risk-Takers at Three Level 2 Covered Institutions (Pg 37775)

Table 28: Table 13-Existing Compensation Arrangements for Significant Risk-Takers of Level 3 Covered Intuitions (Pg 37775-37776)

Table 29: Table 14-The Use and Costs of Compensation Consultants by Certain Level 1, Level 2, and Level 3 Covered Institutions that are Parents of BDs and IAs, 2007-2014 (Pg 37782)

Table 30: Table 15-Average Total Annual Compensation of a Non-Employee Director for Level 1 and Level 2 Covered Institutions (Pg 37796)