Circular Date Issuer Structured Product Symbol(s)
12.13.11 Global X Global X NASDAQ China Technology ETF QQQC
12.13.11 Royal Bank of Scotland RBS NASDAQ-100 Trendpilot Exchange-Traded Notes TNDQ
12.08.11 Direxion Shares Direxion Large Cap Insider Sentiment Shares
Direxion All Cap Insider Sentiment Shares
INSD
KNOW
12.08.11 Global X Global X FTSE Greece 20 ETF GREK
12.06.11 Global X Global X NASDAQ 400 Mid Cap ETF
Global X NASDAQ 500 ETF
QQQM
QQQV
12.06.11 Deutsche Bank AG PowerShares DB US Inflation ETNs
PowerShares DB US Deflation ETNs
INFL
DEFL
12.01.11 SPDR Series Trust SPDR Barclays Capital Investment Grade Floating Rate ETF
SPDR Barclays Capital Short Term Treasury ETF
FLRN
SST
11.30.11 UBS AG ETRACS Fisher-Gartman Risk On Exchange-Traded Notes
ETRACS Fisher-Gartman Risk Off Exchange-Traded Notes
ONN
OFF
11.17.11 iShares iShares S&P International Preferred dStock Index Fund IPFF
11.15.11 Global X Global X Social Media Index ETF SOCL
11.15.11 United States Copper Index Fund United States Copper Index Fund CPER
11.10.11 PIMCO Funds PIMCO Canada Bond Index Fund
PIMCO Germany Bond Index Fund
CAD
BUND
11.09.11 Deutsche Bank AG PowerShares DB Inverse Japanese Govt Bond Futures ETNs
PowerShares DB 3X Inverse Japanese Govt Bond Futures ETNs
JGBS
JGBD
11.09.11 Deutsche Bank AG PowerShares DB Inverse Japanese Govt Bond Futures ETNs
PowerShares DB 3X Inverse Japanese Govt Bond Futures ETNs
JGBS
JGBD
11.03.11 Russell ETFs Russell Developed ex-U.S. Low Beta ETF
Russell Developed ex-U.S. Low Volatility ETF
Russell Developed ex-U.S. High Momentum ETF
XLBT
XLVO
XHMO
11.01.11 PIMCO Funds PIMCO Australia Bond Index Fund AUD
11.01.11 PowerShares Funds PowerShares KBW Bank Portfolio
PowerShares KBW Regional Banking Portfolio
PowerShares KBW Insurance Portfolio
PowerShares KBW Capital Markets Portfolio
KBWB
KBWR
KBWI
KBWC
10.24.11 The Royal Bank of Scotland NV RBS Global Big Pharma Exchange-Traded Notes DRGS
10.20.11 iShares iShares Emerging Markets Local Currency Bond Fund
iShares MSCI USA Minimum Volatility Index Fund
iShares MSCI EAFE Minimum Volatility Index Fund
iShares MSCI All Country World Minimum Volatility Index Fund
iShares MSCI Emerging Markets Minimum Volatility Index Fund
LEMB
USMV
EFAV
ACWV
EEMV
10.20.11 Schwab Strategic Trust Schwab U.S. Dividend Equity ETF SCHD
10.17.11 Credit Suisse AG VelocityShares 3x Long Gold ETN linked to the S&P GSCI Gold Index
VelocityShares 3x Long Silver ETN linked to the S&P GSCI Silver Index
VelocityShares 2x Long Platinum ETN linked to the S&P GSCI Platinum Index
VelocityShares 2x Long Palladium ETN linked to the S&P GSCI Palladium Index
VelocityShares 3x Inverse Gold ETN linked to the S&P GSCI Gold Index
VelocityShares 3x Inverse Silver ETN linked to the S&P GSCI Silver Index
VelocityShares 2x Inverse Platinum ETN linked to the S&P GSCI Platinum Index
VelocityShares 2x Inverse Palladium ETN linked to the S&P GSCI Palladium Index
UGLD
USLV
LPLT
LPAL
DGLD
DSLV
DPLT
DPAL
10.12.11 Market Vectors Funds Market Vectors Renminbi Bond ETF CHLC
10.06.11 Proshares ProShares Ultra DJ-UBS Natural Gas
ProShares UltraShort DJ-UBS Natural Gas
BOIL
KOLD
10.05.11 AdvisorShares Trust Trim Tabs Float Shrink ETF TTFS
10.05.11 Russell ETFs Russell Small Cap Low P/E ETF
Russell Small Cap Aggressive Growth ETF
Russell Small Cap Consistent Growth ETF
Russell Small Cap Contrarian ETF
SCLP
SGGG
SCOG
SCTR
10.05.11 UBS AG UBS AG ETRACS Monthly 2xLeveraged ISE Cloud Computing TR Index ETN due October 4, 2041 LSKY
10.04.11 CurrencyShares CurrencyShares Chinese Renminbi Trust FXCH
10.04.11 Proshares ProShares Ultra VIX Short-Term Futures ETF
ProShares Short VIX Short-Term Futures ETF
UVXY
SVXY
09.29.11 SPDR Series Trust SPDR S&P Software & Services Equipment
SPDR S&P Health Care Services ETF
SPDR S&P Aerospace & Defense ETF
XSW
XHS
XAR
09.23.11 PowerShares Funds PowerShares Chinese Yuan Dim Sum Portfolio DSUM
09.22.11 Claymore Funds Guggenheim Yuan Bond ETF RMB
09.22.11 FlexShares FlexShares Morningstar US Market Factors Tilt Index Fund
FlexShares Global Upstream Natural Resources Index Fund
FlexShares iBoxx 3-Year Target Duration TIPS Index Fund
FlexShares iBoxx 5-Year Target Duration TIPS Index Fund
TILT
GUNR
TDTT
TDTF
09.21.11 Credit Suisse AG Credit Suisse Market Neutral Equity ETN Linked to the HS Market Neutral Index Powered by HOLT due September 22, 2031 CSMN
09.19.11 Barclays Bank PLC iPath Inverse S&P 500 VIX Short-Term Futures ETN IVOP
09.19.11 Teucrium Commodity Trust Teucrium Wheat Fund
Teucrium Soybean Fund
Teucrium Sugar Fund
WEAT
SOYB
CANE
09.15.11 PowerShares Funds PowerShares Fundamental Investment Grade Corporate Bond Portfolio PFIG
09.15.11 The Royal Bank of Scotland NV RBS Oil Trendpilot Exchange-Traded Notes TWTI
09.15.11 UBS AG ETRACS ISE Solid State Drive Index ETN due September 13, 2041
ETRACS Monthly 2xLeveraged ISE Solid State Drive Index ETN due September 13, 2041
SSDD
SSDL
09.13.11 QuantShares QuantShares U.S. Market Neutral Value Fund
QuantShares U.S. Market Neutral Beta Fund
QuantShares U.S. Market Neutral Anti-Beta Fund
CHEP
BTAH
BTAL
09.08.11 UBS AG ETRACS Daily Short 1-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 2-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 3-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 4-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 5-Month S&P 500 VIX Futures ETN
ETRACS Daily Short 6-Month S&P 500 VIX Futures ETN
ETRACS 1-Month S&P 500 VIX Futures ETN
ETRACS 2-Month S&P 500 VIX Futures ETN
ETRACS 3-Month S&P 500 VIX Futures ETN
ETRACS 4-Month S&P 500 VIX Futures ETN
ETRACS 5-Month S&P 500 VIX Futures ETN
ETRACS 6-Month S&P 500 VIX Futures ETN
AAVX
BBVX
CCVX
DDVX
EEVX
FFVX
VXAA
VXBB
VXCC
VXDD
VXEE
VXFF
09.07.11 QuantShares QuantShares U.S. Market Neutral Momentum Fund
QuantShares U.S. Market Neutral Size Fund
QuantShares U.S. Market Neutral Quality Fund
QuantShares U.S. Market Neutral Anti-Momentum Fund
MOM
SIZ
QLT
NOMO
08.18.11 Barclays Bank PLC iPath S&P 500 Dynamic VIX ETN XVZ
08.18.11 iShares iShares S&P Target Date 2045 Index Fund
iShares S&P Target Date 2050 Index Fund
iShares MSCI Emerging Markets Small Cap Index Fund
TWZ
TYZ
EEMS
08.16.11 Market Vectors Funds Market Vectors REIT Income ETF MORT
08.10.11 EGShares EGShares India Consumer ETF INCO
08.04.11 EGShares EGShares Emerging Markets High Income Low Beta ETF HILO
08.04.11 Rydex Funds Rydex S&P MidCap 400 Equal Weight ETF
Rydex S&P SmallCap 600 Equal Weight ETF
EWMD
EWSM
07.21.11 UBS AG ETRACS Internet IPO ETN due July 19, 2041
Monthly 2xLeveraged ETRACS Internet IPO ETN due July 19, 2041
EIPO
EIPL
07.14.11 ProShares ProShares Hedge Replication ETF HDG
07.14.11 WisdomTree Trust WisdomTree Global Real Return Fund RRF
07.13.11 IndexIQ Funds IQ Emerging Markets Mid Cap ETF EMER
07.13.11 Market Vectors Funds Market Vectors Renminbi Bond ETF CHLC
07.13.11 Precidian Funds MAXIS Nikkei 225 Index Fund NKY
07.13.11 Schwab Strategic Trust Schwab U.S. Aggregate Bond ETF SCHZ
07.12.11 Barclays Bank PLC iPath US Treasury 5-year Bull ETN DFVL
07.12.11 Barclays Bank PLC iPath US Treasury 5-year Bear ETN DFVS
07.11.11 Barclays Bank PLC iPath Long Enhanced S&P 500 VIX Mid-Term Futures ETN VZZB
06.29.11 Morgan Stanley Morgan Stanley S&P 500 Crude Oil Linked ETNs BARL
06.23.11 AdvisorShares Trust Meidell Tactical Advantage ETF MATH
06.23.11 EGShares EGShares Basic Materials GEMS ETF
EGShares Health Care GEMS ETF
EGShares Industrials GEMS ETF
EGShares Consumer Goods GEMS ETF
EGShares Consumer Services GEMS ETF
EGShares Technology GEMS ETF
EGShares Telecom GEMS ETF
EGShares Utilities GEMS ETF
LGEM
HGEM
IGEM
GGEM
VGEM
QGEM
TGEM
UGEM
06.21.11 AdvisorShares Trust Madrona Forward Domestic ETF
Madrona Forward International ETF
Madrona Forward Global Bond ETF
FWDD
FWDI
FWDB
06.17.11 iShares iShares Floating Rate Note Fund FLOT
06.17.11 PIMCO Funds PIMCO 0-5 Year High Yield Corporate Bond Index Fund HYS
06.16.11 PowerShares Funds PowerShares Fundamental Pure Large Growth Portfolio
PowerShares Fundamental Pure Large Value Portfolio
PXLG
PXLV
06.16.11 UBS AG Oil Futures Contango ETN due June 14, 2041
Natural Gas Futures Contango ETN due June 14, 2041
OILZ
GASZ
06.15.11 Direxion Shares Direxion Daily Basic Materials Bull 3X Shares
Direxion Daily Basic Materials Bear 3X Shares
Direxion Daily Healthcare Bull 3X Shares
Direxion Daily Healthcare Bear 3X Shares
Direxion Daily Total Market Bear 1X Shares
MATL
MATS
CURE
SICK
TOTS
06.14.11 IndexIQ Funds IQ U.S. Real Estate Small Cap ETF ROOF
06.09.11 DBX ETFs DBX MSCI Emerging Markets Currency-Hedged Equity Fund
DBX MSCI EAFE Currency-Hedged Equity Fund
DBX MSCI Brazil Currency-Hedged Equity Fund
DBX MSCI Canada Currency-Hedged Equity Fund
DBX MSCI Japan Currency-Hedged Equity Fund
DBEM
DBEF
DBBR
DBCN
DBJP
06.09.11 Global X Funds Global X SuperDividend ETF SDIV
06.08.11 Claymore Funds Guggenheim ABC High Dividend ETF ABCS
06.02.11 Global X Funds Global X Farming ETF BARN
06.02.11 IndexIQ Funds IQ Japan Mid Cap ETF RSUN
05.27.11 Russell ETFs Russell 1000 Low Beta ETF
Russell 1000 High Beta ETF
Russell 1000 Low Volatility ETF
Russell 1000 High Volatility ETF
Russell 1000 High Momentum ETF
Russell 2000 Low Beta ETF
Russell 2000 High Beta ETF
Russell 2000 Low Volatility ETF
Russell 2000 High Volatility ETF
Russell 2000 High Momentum ETF
LBTA
HBTA
LVOL
HVOL
HMTM
SLBT
SHBT
SLVY
SHVY
SHMO
05.26.11 Global X Funds Global X Fertilizers/Potash ETF SOIL
05.26.11 PowerShares Funds PowerShares Convertible Securities Portfolio CVRT
05.25.11 Direxcion Shares Direxion Daily Russia Bull 3X Shares
Direxion Daily Russia Bear 3X Shares
Direxion Daily Agribusiness Bull 3X Shares
Direxion Daily Agribusiness Bear 3X Shares
RUSL
RUSS
COWL
COWS
05.25.11 UBS AG UBS AG 2X Leveraged Long Exchange Traded Access Securities Linked to the Wells Fargo Business Development Company Index BDCL
05.24.11 Deutsche Bank AG PowerShares DB 3X Long US Dollar Index Futures ETNs
PowerShares DB 3X Short US Dollar Index Futures ETNs
UUPT
UDNT
05.24.11 Global X Funds Global X Canada Preferred ETF CNPF
05.20.11 iShares iShares Global Inflation-Linked Bond Fund
iShares International Inflation-Linked Bond Fund
GTIP
ITIP
05.19.11 Global X Funds Global X Auto ETF VROM
05.19.11 Russell ETFs Russell Aggressive Growth ETF
Russell Consistent Growth ETF
Russell Growth at a Reasonable Price ETF
Russell Contrarian ETF
Russell Equity Income ETF
Russell Low P/E ETF
AGRG
CONG
GRPC
CNTR
EQIN
LWPE
05.18.11 IndexIQ Funds IQ Hong Kong Small Cap ETF HKK
05.12.11 First Trust Exchange-Traded Funds First Trust Mega Cap AlphaDEX Fund FMK
05.12.11 Market Vectors Funds Market Vectors LatAM Aggregate Bond ETF BONO
05.05.11 First Trust Exchange-Traded Funds First Trust NASDAQ Global Auto Index Fund CARZ
05.05.11 Global X Funds Global X Mexico Small-Cap ETF MEXS
05.05.11 IndexIQ Funds IQ Global Oil Small Cap ETF IOIL
05.05.11 PowerShares Funds PowerShares S&P 500 High Beta Portfolio
PowerShares S&P 500 Low Volatility Portfolio
SPHB
SPLV
05.04.11 Global X Funds Global X Fishing Industry ETF FISN
05.03.11 Global X Funds Global X Food ETF EATX
04.28.11 UBS AG UBS AG Exchange Traded Access Securities Linked to the Wells Fargo Business Development Company Index BDCS
04.26.11 Market Vectors Funds Market Vectors Investment Grade Floating Rate ETF FLTR
04.21.11 Barclays Bank PLC iPath Pure Beta Broad Commodity ETN
iPath Pure Beta S&P GSCI-Weighted ETN
iPath Pure Beta Cocoa ETN
iPath Pure Beta Coffee ETN
iPath Pure Beta Cotton ETN
iPath Pure Beta Sugar ETN
iPath Pure Beta Aluminum ETN
iPath Pure Beta Copper ETN
iPath Pure Beta Lead ETN
iPath Pure Beta Nickel ETN
iPath Pure Beta Crude Oil ETN
iPath Seasonal Natural Gas ETN
iPath Pure Beta Agriculture ETN
iPath Pure Beta Grains ETN
iPath Pure Beta Softs ETN
iPath Pure Beta Industrial Metals ETN
iPath Pure Beta Energy ETN
iPath Pure Beta Livestock ETN
iPath Pure Beta Precious Metals ETN
BCM
SBV
CHOC
CAFÉ
CTNN
SGAR
FOIL
CUPM
LEDD
NINI
OLEM
DCNG
DIRT
WEET
GRWN
HEVY
ONG
LSTK
BLNG
04.19.11 First Trust Exchange-Traded Funds First Trust Mid Cap Value AlphaDEX Fund
First Trust Mid Cap Growth AlphaDEX Fund
First Trust Small Cap Value AlphaDEX Fund
First Trust Small Cap Growth AlphaDEX Fund
First Trust Developed Markets ex-US AlphaDEX Fund
First Trust Emerging Markets AlphaDEX Fund
First Trust Europe AlphaDEX Fund
First Trust Latin America AlphaDEX Fund
First Trust Asia Pacific ex-Japan AlphaDEX Fund
First Trust Brazil AlphaDEX Fund
First Trust China AlphaDEX Fund
First Trust South Korea AlphaDEX Fund
First Trust Japan AlphaDEX Fund
FNK
FNY
FYT
FYC
FDT
FEM
FEP
FLN
FPA
FBZ
FCA
FKO
FJP
04.14.11 Market Vectors Funds Market Vectors Russia Small-Cap ETF RSXJ
04.14.11 ProShares Funds ProShares Ultra High Yield
ProShares Ultra Investment Grade Corporate
UJB
IGU
04.14.11 SPDR Series Trust SPDR Nuveen S&P High Yield Municipal Bond ETF HYMB
04.13.11 Global X Funds Global X Waste Management ETF WSTE
04.07.11 SPDR Series Trust SPDR Barclays Capital Issuer Scored Corporate Bond ETF CBND
04.05.11 Market Vectors Funds Market Vectors Germany Small-Cap ETF GERJ
04.05.11 ProShares Funds ProShares Short 7-10 Year Treasury
ProShares UltraShort 3-7 Year Treasury
TBX
TBZ
03.31.11 iShares iShares MSCI China Index Fund
iShares High Dividend Equity Fund
MCHI
HDV
03.30.11 FocusShares Focus Morningstar US Market Index ETF
Focus Morningstar Large Cap Index ETF
Focus Morningstar Mid Cap Index ETF
Focus Morningstar Small Cap Index ETF
Focus Morningstar Basic Materials Index ETF
Focus Morningstar Communication Services Index ETF
Focus Morningstar Consumer Cyclical Index ETF
Focus Morningstar Consumer Defensive Index ETF
Focus Morningstar Energy Index ETF
Focus Morningstar Financial Services Index ETF
Focus Morningstar Health Care Index ETF
Focus Morningstar Industrials Index ETF
Focus Morningstar Real Estate Index ETF
Focus Morningstar Technology Index ETF
Focus Morningstar Utilities Index ETF
FMU
FLG
FMM
FOS
FBM
FCQ
FCL
FCD
FEG
FFL
FHC
FIL
FRL
FTQ
FUI
03.31.11 iShares iShares MSCI China Index Fund
iShares High Dividend Equity Fund
MCHI
HDV
03.29.11 ProShares Funds ProShares Short Investment Grade Corporate IGS
03.23.11 Deutsche Bank AG PowerShares DB German Bund Futures ETNs
PowerShares DB 3X German Bund Futures ETNs
PowerShares DB Japanese Government Bond Futures ETNs
PowerShares DB 3X Japanese Government Bond Futures ETNs
PowerShares DB Italian Treasury Bond Futures ETNs
PowerShares DB 3X Italian Treasury Bond Futures ETNs
BUNL
BUNT
JGBL
JGBT
ITLY
ITLT
03.22.11 Direxion Shares Direxion Daily 20+ Year Treasury Bear 1X Shares
Direxion Daily 7-10 Year Treasury Bear 1X Shares
Direxion Daily Total Bond Market Bear 1X Shares
TYBS
TYNS
SAGG
03.22.11 IndexIQ Funds IQ Global Agribusiness Small Cap ETF CROP
03.22.11 ProShares Funds ProShares Short High Yield SJB
03.17.11 Global X Funds Global X S&P/TSX Venture 30 Canada ETF TSXV
03.17.11 Morgan Stanley Morgan Stanley Cushing MLP High Income Index ETNs MLPY
03.17.11 WisdomTree Trust WisdomTree Asia Local Debt Fund ALD
03.15.11 Global X Funds Global X Pure Gold Miners ETF
Global X Oil Equities ETF
GGGG
XOIL
03.15.11 Market Vectors Funds Market Vectors Colombia ETF COLX
03.08.11 Credit Suisse AG Credit Suisse 2X Monthly Leveraged Credit Suisse Merger Arbitrage Liquid Index (Net) ETN CSMB
03.03.11 Global X Funds Global X FTSE Argentina 20 ETF ARGT
03.03.11 PowerShares Funds PowerShares Senior Loan Portfolio BKLN
02.24.11 FactorShares FactorShares 2X: Gold Bull/S&P500 Bear Fund
FactorShares 2X: Oil Bull/S&P500 Bear Fund
FactorShares 2X: TBond Bull/S&P500 Bear Fund
FactorShares 2X: S&P 500 Bull/TBond Bear Fund
FactorShares 2X: S&P 500 Bull/USD Bear Fund
FSG
FOL
FSA
FSE
FSU
02.24.11 SPDR Series Trust SPDR Barclays Capital Emerging Markets ETF
SPDR S&P Emerging Markets Dividend ETF
EBND
EDIV
02.23.11 Teucrium Commodity Trust Teucrium Crude Oil Fund CRUD
02.22.11 The Royal Bank of Scotland NV TRBS Gold Trendpilot Exchange-Traded Notes TBAR
02.17.11 First Trust Exchange-Traded Funds First Trust NASDAQ CEA Smartphone Index Fund FONE
02.17.11 Global X Funds Global X FTSE ASEAN 40 ETF ASEA
02.10.11 ProShares ProShares UltraShort TPS TPS
02.03.11 Global X Funds Global X FTSE Andean 40 ETF AND
02.01.11 Teucrium Commodity Trust Teucrium Natural Gas Fund NAGS
01.28.11 Vanguard Funds Vanguard Total International Stock ETF VXUS
01.27.11 Pax World Funds Pax MSCI EAFE ESG Index ETF EAPS
01.27.11 The Royal Bank of Scotland NV RBS US Mid Cap Trendpilot Exchange-Traded Notes TRNM
01.27.11 SPDR Series Trust SPDR S&P Health Care Equipment
SPDR S&P Transportation ETF
SPDR S&P Telecom ETF
XHE
XTN
XTL
01.25.11 Claymore Funds Guggenheim BulletShares 2012 High Yield Corporate Bond ETF
Guggenheim BulletShares 2013 High Yield Corporate Bond ETF
Guggenheim BulletShares 2014 High Yield Corporate Bond ETF
Guggenheim BulletShares 2015 High Yield Corporate Bond ETF
BSJC
BSJD
BSJE
BSJF
01.25.11 Global X Funds Global X Russell Emerging Markets Growth ETF
Global X Russell Emerging Markets Value ETF
EMGX
EMVX
01.14.11 Barclays Bank PLC iPath Inverse January 2021 S&P 500 VIX Short-Term Futures ETN IVO
01.14.11 ETFS Asian Gold Trust ETFS Physical Asian Gold Share AGOL
01.13.11 Schwab Strategic Trust Schwab U.S. Mid-Cap ETF
Schwab U.S. REIT ETF
SCHM
SCHH
01.12.11 Rydex Funds Rydex MSCI All Country World (ACWI) Equal Weight ETF EWAC
01.05.11 Global X Funds Global X Aluminum ETF ALUM
01.05.11 WisdomTree Trust WisdomTree Managed Futures Strategy Fund WDTI
01.04.11 ProShares ProShares VIX Short-Term Futures ETF
ProShares VIX Mid-Term Futures ETF
VIXY
VIXM