Information Circulars 2010

The NASDAQ Stock Market, NASDAQ BX and PSX

Overview

The NASDAQ Stock Market, NASDAQ BX (BX), and PSX will be providing additional information about trading certain structured products, which present special characteristics and risks associated with their trading.

This additional information for both exchanges is being presented in Information Circulars, whose purpose is to describe some of the characteristics and risks of these securities, alert members to possible prospectus delivery requirements and remind them of NASDAQ Rule 2310 and BX Rule 2310 which require members to determine the suitability of investments recommended to customers.

 

AdvisorShares Trust
Circular Date Structured Product Symbol(s)
12.01.10 Peritus High Yield ETF HYLD
10.26.10 Cambria Global Tactical ETF GTAA
07.21.10 WCM / BNY Mellon Focused Growth ADR ETF AADR
07.09.10 Mars Hill Global Relative Value ETF GRV
 
ALPS ETF Trust
Circular Date Structured Product Symbol(s)
08.25.10 ALPS Alerian MLP ETF AMLP
01.20.10 ALPS Thomson Reuters/Jefferies CRB Wildcatters Exploration & Production Equity ETF WCAT
 
Bank of America
Circular Date Structured Product Symbol(s)
09.02.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index SOS
08.09.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index CDK
08.09.10 Bank of America MITTS Linked to the S&P 500 Index MHM
08.09.10 Bank of America Accelerated Return Notes Linked to the S&P 500 Index ACK
07.02.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index SNK
07.02.10 Bank of America MITTS Linked to the Dow Jones Industrial Average DFF
06.08.10 Bank of America Accelerated Return Notes Linked to the S&P 500 Index ADJ
06.04.10 Bank of America MITTS Linked to the Dow Jones Industrial Average MSC
06.04.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index CGQ
05.06.10 Bank of America MITTS Linked to the Dow Jones Industrial Average MHW
05.06.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index CVF
05.06.10 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SMY
04.06.10 Bank of America MITTS Linked to the Dow Jones Industrial Average SDA
04.05.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index LDX
03.17.10 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index ADF
03.04.10 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index LMZ
03.04.10 Bank of America MITTS Linked to the S&P 500 Index SMU
03.04.10 Bank of America Market-Linked Step Up Notes Linked to the S&P 500 Index MQC
02.08.10 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SYO
02.04.10 Bank of America Accelerated Return Notes Linked to the S&P 500 Index ALO
02.04.10 Bank of America Market-Linked Step Up Notes Linked to the S&P 500 Index MPD
02.03.10 Bank of America MITTS Linked to the Dow Jones Industrial Average SHN
 
Barclays Bank PLC
Circular Date Structured Product Symbol(s)
11.30.10 iPath Long Extended Russell 1000 TR Index ETN
iPath Short Extended Russell 1000 TR Index ETN
iPath Long Extended Russell 2000 TR Index ETN
iPath Short Extended Russell 2000 TR Index ETN
iPath Long Extended S&P 500 TR Index ETN
iPath Short Extended S&P 500 TR Index ETN
iPath Long Enhanced MSCI EAFE Index ETN
iPath Short Enhanced MSCI EAFE Index ETN
iPath Long Enhanced MSCI Emerging Markets Index ETN
iPath Short Enhanced MSCI Emerging Markets Index ETN
iPath Long Enhanced S&P 500 VIX Mid-Term Futures ETN
ROLA
ROSA
RTLA
RTSA
SFLA
SFSA
MFLA
MFSA
EMLB
EMSA
VZZ
09.01.10 Barclays ETN+ S&P 500 Dynamic VEQTOR ETNs VQT
08.10.10 iPath US Treasury 10-Year Bear ETN
iPath US Treasury 10-Year Bull ETN
iPath US Treasury Steepener ETN
iPath US Treasury Flattener ETN
iPath US Treasury 2-Year Bear ETN
iPath US Treasury 2-Year Bull ETN
iPath US Treasury Long Bond Bear ETN
iPath US Treasury Long Bond Bull ETN
DTYS
DTYL
STPP
FLAT
DTUS
DTUL
DLBS
DLBL
07.19.10 Barclays ETN+ Inverse S&P 500 VIX Short-Term Futures ETNs XXV
06.08.10 iPath Dow Jones-UBS Agriculture Subindex Total Return Callable ETN
iPath Dow Jones-UBS Aluminum Subindex Total Return Callable ETN
iPath Dow Jones-UBS Commodity Index Total Return Callable ETN
iPath Dow Jones-UBS Cocoa Subindex Total Return Callable ETN
iPath Dow Jones-UBS Coffee Subindex Total Return Callable ETN
iPath Dow Jones-UBS Copper Subindex Total Return Callable ETN
iPath Dow Jones-UBS Cotton Subindex Total Return Callable ETN
iPath Dow Jones-UBS Energy Subindex Total Return Callable ETN
iPath Dow Jones-UBS Grains Subindex Total Return Callable ETN
iPath Dow Jones-UBS Lead Subindex Total Return Callable ETN
iPath Dow Jones-UBS Livestock Subindex Total Return Callable ETN
iPath Dow Jones-UBS Natural Gas Subindex Total Return Callable ETN
iPath Dow Jones-UBS Nickel Subindex Total Return Callable ETN
iPath Dow Jones-UBS Platinum Subindex Total Return Callable ETN
iPath Dow Jones-UBS Sugar Subindex Total Return Callable ETN
iPath Dow Jones-UBS Softs Subindex Total Return Callable ETN
iPath Dow Jones-UBS Tin Subindex Total Return Callable ETN
iPath Global Carbon Callable ETN
iPath S&P GSCI Crude Oil Total Return Index Callable ETN
iPath S&P GSCI Total Return Index Callable ETN
iPath Dow Jones-UBS Industrial Metals Subindex Total Return Callable ETN
iPath Dow Jones-UBS Precious Metals Subindex Total Return Callable ETN
JJAC
JJUC
DJPC
NIBC
CAFE
JJCC
BALC
JJEC
JJGC
LDC
COWC
GAZC
JJNC
PLAC
SGAR
JJSC
JJTC
CARB
OILC
GSPC
JJMC
JJPC
 
Celgene Corporation
Circular Date Structured Product Symbol(s)
10.18.10 Celgene Corporation Series A Contingent Value Rights CELGZ
 
Citigroup Funding Inc.
Circular Date Structured Product Symbol(s)
11.15.10 C-Tracks Exchange-Traded Notes Based on the Performance of the Citi Volatility Index Total Return CVOL
 
Claymore ETFs
Circular Date Structured Product Symbol(s)
06.11.10 Claymore Shipping ETF SEA
06.07.10 Claymore BulletShares 2011 Corporate Bond ETF
Claymore BulletShares 2012 Corporate Bond ETF
Claymore BulletShares 2013 Corporate Bond ETF
Claymore BulletShares 2014 Corporate Bond ETF
Claymore BulletShares 2015 Corporate Bond ETF
Claymore BulletShares 2016 Corporate Bond ETF
Claymore BulletShares 2017 Corporate Bond ETF
BSCB
BSCC
BSCD
BSCE
BSCF
BSCG
BSCH
03.09.10 Claymore Wilshire 5000 Total Market ETF
Claymore Wilshire 4500 Completion ETF
Claymore Wilshire US REIT ETF
WFVK
WXSP
WREI
 
Credit Suisse AG
Circular Date Structured Product Symbol(s)
11.30.10 VelocityShares Daily Inverse VIX Short-Term ETN
VelocityShares Daily Inverse VIX Medium-Term ETN
VelocityShares VIX Short-Term ETN
VelocityShares VIX Medium-Term ETN
VelocityShares Daily 2x VIX Short-Term ETN
VelocityShares Daily 2x VIX Medium-Term ETN
XIV
ZIV
VIIX
VIIZ
TVIX
TVIZ
10.04.10 Credit Suisse Merger Arbitrage Index ETNs CSMA
04.13.10 Credit Suisse Cushing 30 MLP Index ETNs MLPN
02.22.10 Credit Suisse Long/Short Liquid Index ETNs CSLS
 
Deutsche Bank AG
Circular Date Structured Product Symbol(s)
06.29.10 PowerShares DB 3X Long 25+ Year Treasury Bond ETN
PowerShares DB 3X Short 25+ Year Treasury Bond ETN
LBND
SBND
 
Direxion Shares ETF Trust
Circular Date Structured Product Symbol(s)
12.08.10 Direxion Airline Shares
Direxion Daily Gold Miners Bull 2X Shares
Direxion Daily Gold Miners Bear 2X Shares
FLYX
NUGT
DUST
07.14.10 Direxion Funds Daily Natural Gas Related Bull 2X Shares
Direxion Funds Daily Natural Gas Related Bear 2X Shares
Direxion Funds Daily Retail Bull 2X Shares
Direxion Funds Daily Retail Bear 2X Shares
FCGL
FCGS
RETL
RETS
03.11.10 Direxion Funds Daily BRIC Bull 2X Shares
Direxion Funds Daily BRIC Bear 2X Shares
Direxion Funds Daily India Bull 2X Shares
Direxion Funds Daily India Bear 2X Shares
Direxion Funds Daily Semiconductor Bull 2X Shares
Direxion Funds Daily Semiconductor Bull 2X Shares
BRIL
BRIS
INDL
INDZ
SOXL
SOXS
02.25.10 Direxion Funds Daily 2-Year Treasury Bull 3X Shares
Direxion Funds Daily 2-Year Treasury Bear 3X Shares
TWOL
TWOZ
 
EGA Emerging Global Shares Trust
Circular Date Structured Product Symbol(s)
09.14.10 Emerging Global Shares Dow Jones Emerging Markets Consumer Titans Index Fund ECON
08.11.10 Emerging Global Shares INDXX India Infrastructure Index Fund INXX
07.07.10 Emerging Global Shares INDXX India Mid Cap Index Fund SCIN
02.24.10 Emerging Global Shares INDXX Brazil Infrastructure Index Fund BRXX
02.17.10 Emerging Global Shares INDXX China Infrastructure Index Fund CHXX
 
ETFS Palladium Trust
Circular Date Structured Product Symbol(s)
01.08.10 ETFS Physical Palladium Shares PALL
 
ETFS Platinum Trust
Circular Date Structured Product Symbol(s)
01.08.10 ETFS Physical Platinum Shares PPLT
 
ETFS Precious Metals Basket Trust
Circular Date Structured Product Symbol(s)
10.22.10 ETFS Physical Precious Metals Basket Shares GLTR
 
ETFS White Metals Basket Trust
Circular Date Structured Product Symbol(s)
12.03.10 ETFS White Metals Basket Shares WITE
 
First Trust Exchange-Traded Fund II
Circular Date Structured Product Symbol(s)
04.09.10 First Trust BICK Index Fund BICK
03.11.10 First Trust ISE Global Copper Index Fund
First Trust ISE Global Platinum Index Fund
CU
PLTM
 
Global X Funds
Circular Date Structured Product Symbol(s)
11.10.10 Global X FTSE Norway 30 ETF NORW
11.05.10 Global X Uranium ETF URA
11.04.10 Global X Gold Explorers ETF GLDX
07.29.10 Global X Brazil Financials ETF BRAF
07.23.10 Global X Lithium ETF LIT
07.08.10 Global X Brazil Consumer ETF BRAQ
06.22.10 Global X Brazil Mid Cap ETF BRAZ
04.20.10 Global X Silver Miners ETF
Global X Copper Miners ETF
SIL
COPX
01.14.10 Global X China Materials ETF CHIM
 
Grail Advisors ETF Trust
Circular Date Structured Product Symbol(s)
01.29.10 Grail McDonnell Intermediate Municipal Bond ETF
Grail McDonnell Core Taxable Bond ETF
GMMB
GMBT
 
IndexIQ ETF Trust
Circular Date Structured Product Symbol(s)
05.19.10 IQ Taiwan Small Cap ETF TWON
04.14.10 IQ South Korea Small Cap Index ETF SKOR
03.23.10 IQ Australia Small Cap ETF
IQ Canada Small Cap ETF
KROO
CNDA
 
iShares Trust
Circular Date Structured Product Symbol(s)
12.03.10 iShares Barclays 0-5 Year TIPS Bond Fund STIP
11.10.10 iShares MSCI Russia Capped Index Fund ERUS
10.15.10 iShares PHLX SOX Semiconductor Sector Index Fund SOXX
09.29.10 iShares MSCI Brazil Small Cap Index Fund
iShares MSCI China Small Cap Index Fund
iShares MSCI Philippines Investable Market Index Fund
EWZS
ECNS
EPHE
09.02.10 iShares MSCI New Zealand Investable Market Index Fund ENZL
07.16.10 iShares MSCI ACWI ex US Utilities Sector Index Fund
iShares MSCI ACWI ex US Telecommunication Services Sector Index Fund
iShares MSCI ACWI ex US Materials Sector Index Fund
iShares MSCI ACWI ex US Information Technology Sector Index Fund
iShares MSCI ACWI ex US Industrials Sector Index Fund
iShares MSCI ACWI ex US Energy Sector Index Fund
iShares MSCI ACWI ex US Consumer Staples Sector Index Fund
iShares MSCI ACWI ex US Consumer Discretionary Sector Index Fund
iShares MSCI ACWI ex US Health Care Sector Index Fund
AXUT
AXTE
AXMT
AXIT
AXID
AXEN
AXSL
AXDI
AXHE
05.26.10 iShares MSCI Poland Investable Market Index Fund EPOL
05.07.10 iShares MSCI USA Index Fund
iShares MSCI Indonesia Investable Market Index Fund
iShares MSCI Ireland Capped Investable Market Index Fund
EUSA
EIDO
EIRL
01.22.10 iShares MSCI Far East Financial Sector Index Fund
iShares MSCI Europe Financial Sector Index Fund
iShares MSCI Emerging Markets Materials Sector Index Fund
iShares MSCI Emerging Markets Financial Sector Index Fund
iShares MSCI ACWI ex US Financials Index Fund
FEFN
EUFN
EMMT
EMFN
AXFN
01.08.10 iShares 2012 S&P AMT-Free Municipal Series
iShares 2013 S&P AMT-Free Municipal Series
iShares 2014 S&P AMT-Free Municipal Series
iShares 2015 S&P AMT-Free Municipal Series
iShares 2016 S&P AMT-Free Municipal Series
iShares 2017 S&P AMT-Free Municipal Series
MUAA
MUAB
MUAC
MUAD
MUAE
MUAF
 
Javelin Exchange-Traded Trust
Circular Date Structured Product Symbol(s)
04.07.10 JETS Contrarian Opportunities Index Fund JCO
 
JPMorgan & Chase Co.
Circular Date Structured Product Symbol(s)
10.05.10 JPMorgan Double Short US 10 Year Treasury Futures ETN
JPMorgan Double Short US Long Bond Treasury Futures ETN
DSXJ
DSTJ
 
Market Vectors ETF Trust
Circular Date Structured Product Symbol(s)
10.28.10 Market Vectors Rare Earth/Strategic Metals Exchange-Traded Fund REMX
10.14.10 Market Vectors China A-Shares Exchange-Traded Fund PEK
08.25.10 Market Vectors India Small-Cap Index Exchange-Traded Fund SCIF
07.23.10 Market Vectors Emerging Markets Local Currency Bond ETF EMLC
04.07.10 Market Vectors Latin America Small-Cap Index Exchange-Traded Fund LATM
02.18.10 Market Vectors Egypt Index Exchange-Traded Fund EGPT
 
Old Mutual Global Shares Trust
Circular Date Structured Product Symbol(s)
04.05.10 GlobalShares FTSE All-World Fund
GlobalShares FTSE All-Cap Asia Pacific ex Japan Fund
GlobalShares FTSE All-World ex US Fund
GSW
GSZ
GSO
02.11.10 GlobalShares FTSE Developed Countries ex US Fund GSD
 
PAX World Funds Trust II
Circular Date Structured Product Symbol(s)
05.26.10 ESG Shares FTSE Environmental Texchnologies Index Fund ETFY
05.19.10 ESG Shares North America Sustainability Index ETF NASI
 
PIMCO ETF Trust
Circular Date Structured Product Symbol(s)
11.01.10 PIMCO Broad U.S. Treasury Index Fund TRSY
09.21.10 PIMCO Investment Grade Corporate Bond Index Fund CORP
09.21.10 PIMCO Build America Bond Strategy Fund BABZ
02.02.10 PIMCO Short Term Municipal Bond Strategy Fund SMMU
 
PowerShares ETF Trust II
Circular Date Structured Product Symbol(s)
12.02.10 PowerShares KBW Premium Yield Equity REIT Portfolio
PowerShares KBW High Dividend Yield Financial Portfolio
PowerShares KBW International Financial Portfolio
PowerShares KBW Property & Casualty Insurance Portfolio
KBWY
KBWD
KBWX
KBWP
06.03.10 PowerShares International Corporate Bond Portfolio PICB
04.05.10 PowerShares S&P SmallCap Consumer Staples Portfolio
PowerShares S&P SmallCap Energy Portfolio
PowerShares S&P SmallCap Financials Portfolio
PowerShares S&P SmallCap Health Care Portfolio
PowerShares S&P SmallCap Industrials Portfolio
PowerShares S&P SmallCap Information Technology Portfolio
PowerShares S&P SmallCap Materials Portfolio
PowerShares S&P SmallCap Utilities Portfolio
PowerShares S&P SmallCap Consumer Discretionary Portfolio
XLPS
XLES
XLFS
XLVS
XLIS
XLKS
XLBS
XLUS
XLYS
02.19.10 PowerShares CEF Income Composite Portfolio PCEF
 
ProShares Trust
Circular Date Structured Product Symbol(s)
12.06.10 ProShares RAFI Long/Short RALS
04.29.10 ProShares Ultra MSCI Brazil
ProShares Ultra MSCI Pacific ex-Japan
ProShares Ultra MSCI Europe
ProShares Ultra MSCI Mexico Investable Market
UBR
UXJ
UPV
UMX
04.22.10 ProShares Ultra KBW Regional Banking
ProShares Short KBW Regional Banking
KRU
KRS
04.06.10 ProShares Ultra Nasdaq Biotechnology
ProShares UltraShort Nasdaq Biotechnology
BIB
BIS
03.18.10 ProShares Short Basic Materials
ProShares Short Real Estate
ProShares Short FTSE/Xinhua China 25
SBM
REK
YXI
02.11.10 ProShares UltraPro Dow30
ProShares UltraPro Short Dow30
ProShares UltraPro MidCap400
ProShares UltraPro Short MidCap400
ProShares UltraPro Russell2000
ProShares UltraPro Short Russell2000
UDOW
SDOW
UMDD
SMDD
URTY
SRTY
02.08.10 ProShares UltraPro QQQ
ProShares UltraPro Short QQQ
TQQQ
SQQQ
01.21.10 ProShares Ultra 7-10 Year Treasury Fund
ProShares Ultra 20+ Year Treasury Fund
UST
UBT
 
The Royal Bank of Scotland N.V.
Circular Date Structured Product Symbol(s)
12.08.10 RBS US Large Cap Trendpilot Exchange Traded Notes TRND
 
Rydex ETF Trust
Circular Date Structured Product Symbol(s)
12.08.10 Rydex Russell MidCap Equal Weight ETF
Rydex Russell 1000 Equal Weight ETF
Rydex Russell 2000 Equal Weight ETF
Rydex MSCI EAFE Equal Weight ETF
Rydex MSCI Emerging Markets Equal Weight ETF
EWRM
EWRI
EWRS
EWEF
EWEM
 
Schwab Strategic Trust
Circular Date Structured Product Symbol(s)
08.05.10 Schwab U.S. TIPS ETF
Schwab Short-Term U.S. Treasury ETF
Schwab Intermediate-Term U.S. Treasury ETF
SCHP
SCHO
SCHR
01.14.10 Schwab International Small-Cap Equity ETF
Schwab Emerging Markets Equity ETF
SCHC
SCHE
 
SPDR Index Shares Funds
Circular Date Structured Product Symbol(s)
09.14.10 SPDR S&P Global Natural Resources ETF GNR
03.11.10 SPDR S&P Russia ETF RBL
 
SPDR Series Trust
Circular Date Structured Product Symbol(s)
05.20.10 SPDR Barclays Capital International Corporate Bond ETF IBND
05.13.10 SPDR Nuveen Barclays Capital Build America Bond ETF BABS
 
Sprott Physical Gold Trust
Circular Date Structured Product Symbol(s)
02.26.10 Sprott Physical Gold Trust Units PHYS
 
Sprott Physical Silver Trust
Circular Date Structured Product Symbol(s)
10.28.10 Sprott Physical Silver Units PSLV
 
Swedish Export Credit Corporation
Circular Date Structured Product Symbol(s)
03.04.10 Swedish Export Credit Corporation Accelerated Return Notes Linked to the S&P 500 Index AMY
02.03.10 Swedish Export Credit Corporation Accelerated Return Notes Linked to the Russell 2000 Index AGR
 
Teucrium Corn Fund
Circular Date Structured Product Symbol(s)
06.09.10 Teucrium Corn Fund CORN
 
UBS AG
Circular Date Structured Product Symbol(s)
12.01.10 UBS E-TRACS Daily Long-Short VIX ETN XVIX
11.01.10 UBS E-TRACS Linked to the Wells Fargo MLP Index ETN MLPW
09.29.10 UBS E-TRACS 1X Monthly Short Alerian MLP Infrastructure Index ETN MLPS
07.14.10 UBS E-TRACS Linked to the Alerian Natural Gas MLP Index ETN MLPG
07.07.10 UBS 2X Leverage Long E-TRACS Linked to the Alerian MLP Infrastructure Index ETN MLPL
04.01.10 UBS E-TRACS Linked to the Alerian MLP Infrastructure Index ETN MLPI
01.28.10 UBS E-TRACS S&P 500 Gold Hedged Index ETN SPGH
 
U.S. One Trust
Circular Date Structured Product Symbol(s)
05.11.10 One Fund ONEF
 
United States Brent Oil Fund, L.P.
Circular Date Structured Product Symbol(s)
06.02.10 United States Brent Oil Fund, L.P. BNO
 
United States Commodity Index Fund
Circular Date Structured Product Symbol(s)
08.10.10 United States Commodity Index Fund USCI
 
Vanguard Index Funds
Circular Date Structured Product Symbol(s)
10.27.10 Vanguard Global ex-U.S. Real Estate ETF VNQI
09.09.10 Vanguard S&P 500 ETF VOO
 
Vanguard Admiral Funds
Circular Date Structured Product Symbol(s)
09.09.10 Vanguard S&P 500 Value Index Fund � ETF Shares
Vanguard S&P 500 Growth Index Fund � ETF Shares
Vanguard S&P Mid-Cap 400 Index Fund � ETF Shares
Vanguard S&P Mid-Cap 400 Value Index Fund - ETF Shares
Vanguard S&P Mid-Cap 400 Growth Index Fund � ETF Shares
Vanguard S&P Small-Cap 600 Index Fund � ETF Shares
Vanguard S&P Small-Cap 600 Value Index Fund � ETF Shares
Vanguard S&P Small-Cap 600 Growth Index Fund - ETF Shares
VOOV
VOOG
IVOO
IVOV
IVOG
VIOO
VIOV
VIOG
 
WisdomTree Trust
Circular Date Structured Product Symbol(s)
09.24.10 WisdomTree Dreyfus Commodity Currency Fund CCX
08.09.10 WisdomTree Emerging Markets Local Debt Fund ELD