Penson Worldwide, Inc. has filed a universal shelf registration statement on Form S-3 with the Securities and Exchange Commission (SEC) which the Company may utilize from time to time during the three years following the date it becomes effective, subject to applicable laws. The Company may use net proceeds from the sale of securities under the shelf registration statement for working capital and general corporate purposes, including the repayment of existing debt and investments in subsidiaries or for acquisitions. When declared effective by the SEC, the Company may offer and sell from time to time, up to $175 million of equity, debt or other types of securities described in the registration statement, or any combination thereof, in one or more future public offerings. The Company does not currently have any commitments with respect to a sale of securities under the registration statement.

Penson Worldwide Inc. announced consolidated earnings results for the third quarter and nine months ended September 30, 2009. For the quarter, the company reported net revenue of $72,223,000 compared to $79,302,000 for the same period last year. Income before income taxes was $6,176,000 compared to $12,061,000 for the same period last year. Income before income taxes was $6,176,000 compared to $12,061,000 for the same period last year. Net income was $3,867,000 or $0.15 basic and diluted per share compared to $7,478,000 or $0.29 diluted per share for the same period last year. For the nine months, the company reported net revenue of $215,461,000 compared to $224,110,000 for the same period last year. Income before income taxes was $18,945,000 compared to $34,542,000 for the same period last year. Income before income taxes was $6,176,000 compared to $12,061,000 for the same period last year. Net income was $11,670,000 or $0.46 basic and diluted per share compared to $21,457,000 or $0.84 diluted per share for the same period last year.

Penson Worldwide Inc. announced it has entered into a global strategic relationship with Broadridge Financial Solutions Inc. that is expected to significantly expand revenues and margins of Penson's securities clearing and execution businesses. The relationship is based on a series of agreements that involve: Penson acquiring the clearing contracts of Broadridge's Ridge correspondent clearing and execution business for consideration in the form of a promissory note and stock; if needed, Broadridge providing certain financing; (3) Broadridge supplying technology and certain processing functions on an outsourced basis for Penson's US, Canadian and UK securities clearing brokers; and the two companies offering each other's services to various customers and prospects on a global basis.