drivewealth approved security listing criteria market ......sep 16, 2016  · drivewealth approved...

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DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market capitalization greater than $ 1 billion If market capitalization is below $1 billion, then 3 month average daily dollar volume must be greater than $0.5 million Exchange listed sponsored ADRs (American Depositary Receipts) Non-leveraged ETFs Share price greater than $1* Company Symbol Security 10K / ETF Prospectus 3M Company MMM Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=mmm&owner=exclude&action=getcomp any&Find=Search Abercrombie & Fitch Co. ANF Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=anf&owner=exclude&action=getcompany &Find=Search Activision Blizzard, Inc. ATVI Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=atvi&owner=exclude&action=getcompan y Alcoa Inc. AA Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=aa&owner=exclude&action=getcompany Amazon.com Inc. AMZN Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=amzn&owner=exclude&action=getcompa ny&Find=Search American Express Co. AXP Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=axp&owner=exclude&action=getcompan y&Find=Search American International Group, Inc. AIG Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=aig&owner=exclude&action=getcompany &Find=Search Amgen Inc. AMGN Stock https://www.sec.gov/cgi-bin/browse- edgar?CIK=amgn&owner=exclude&action=getcompa ny DriveWealth seeks to make available as wide an array as possible of individual stocks and ETFs to enable investors of all types to implement their personal investment strategies. To mitigate risk to itself and its customers, DriveWealth offers only securities that meet the following criteria: Certain exceptions may be made, for example in the case of newly issued ETFs which have yet to meet the required market capitalization or daily trading volume levels. DriveWealth does not currently approve trading in penny stocks, options, fixed income, or mutual funds (except money market funds). *Similar to NYSE guidelines (New York Stock Exchange), if the share price of a security falls below $1, DriveWealth will place the security on a watch list. If the security remains below $1 for thirty calendar days, clients owning that security may be informed that the security may be de-listed. If the security remains below $1 for sixty calendar days, or the primary exchange delists the security, Investors owning that security will only be able to exit an existing position in that security (liquidation only). DriveWealth's Product List (as of 9/16/2016)

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Page 1: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

DriveWealth Approved Security Listing Criteria

US exchange listed (OTC securities are not available)

Market capitalization greater than $ 1 billion

If market capitalization is below $1 billion,

then 3 month average daily dollar volume

must be greater than $0.5 million

Exchange listed sponsored ADRs (American Depositary Receipts)

Non-leveraged ETFs

Share price greater than $1*

Company Symbol Security 10K / ETF Prospectus

3M Company MMM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mmm&owner=exclude&action=getcomp

any&Find=Search

Abercrombie & Fitch Co. ANF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=anf&owner=exclude&action=getcompany

&Find=Search

Activision Blizzard, Inc. ATVI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=atvi&owner=exclude&action=getcompan

y

Alcoa Inc. AA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aa&owner=exclude&action=getcompany

Amazon.com Inc. AMZN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amzn&owner=exclude&action=getcompa

ny&Find=Search

American Express Co. AXP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=axp&owner=exclude&action=getcompan

y&Find=Search

American International Group, Inc. AIG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aig&owner=exclude&action=getcompany

&Find=Search

Amgen Inc. AMGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amgn&owner=exclude&action=getcompa

ny

DriveWealth seeks to make available as wide an array as possible of individual stocks and ETFs to enable investors of all

types to implement their personal investment strategies. To mitigate risk to itself and its customers, DriveWealth offers

only securities that meet the following criteria:

Certain exceptions may be made, for example in the case of newly issued ETFs which have yet to meet the required market

capitalization or daily trading volume levels.

DriveWealth does not currently approve trading in penny stocks, options, fixed income, or mutual funds (except money

market funds).

*Similar to NYSE guidelines (New York Stock Exchange), if the share price of a security falls below $1, DriveWealth will place

the security on a watch list. If the security remains below $1 for thirty calendar days, clients owning that security may be

informed that the security may be de-listed. If the security remains below $1 for sixty calendar days, or the primary

exchange delists the security, Investors owning that security will only be able to exit an existing position in that security

(liquidation only).

DriveWealth's Product List (as of 9/16/2016)

Page 2: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Annaly Capital Management, Inc. NLY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nly&owner=exclude&action=getcompany

Apple, Inc. AAPL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aapl&owner=exclude&action=getcompan

y

Applied Materials, Inc. AMAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amat&owner=exclude&action=getcompa

ny&Find=Search

AT&T, Inc. T Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=t&owner=exclude&action=getcompany&

Find=Search

Bank of America Corporation BAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bac&owner=exclude&action=getcompan

y&Find=Search

Boeing Company, The BA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ba&owner=exclude&action=getcompany

Boston Scientific Corp. BSX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bsx&owner=exclude&action=getcompan

y&Find=Search

Restaurant Brands International QSR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qsr&owner=exclude&action=getcompany

&Find=Search

Caterpillar Inc. CAT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cat&owner=exclude&action=getcompany

Chevron Corporation CVX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cvx&owner=exclude&action=getcompany

&Find=Search

Cisco Systems, Inc. CSCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=csco&owner=exclude&action=getcompan

y&Find=Search

Citigroup Inc. C Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=c&owner=exclude&action=getcompany&

Find=Search

Coca-Cola Company, The KO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ko&owner=exclude&action=getcompany

&Find=Search

Colgate-Palmolive Co. CL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cl&owner=exclude&action=getcompany

&Find=Search

CSX Corp. CSX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=csx&owner=exclude&action=getcompany

Deere & Company DE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=de&owner=exclude&action=getcompany

&Find=Search

Delta Air Lines Inc. DAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dal&owner=exclude&action=getcompany

&Find=Search

E. I. du Pont de Nemours and Company DD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dd&owner=exclude&action=getcompany

&Find=Search

Page 3: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

eBay Inc. EBAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ebay&owner=exclude&action=getcompa

ny&Find=Search

Electronic Arts Inc. EA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ea&owner=exclude&action=getcompany

&Find=Search

Exelon Corporation EXC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=exc&owner=exclude&action=getcompan

y&Find=Search

Exxon Mobil Corp. XOM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xom&owner=exclude&action=getcompan

y

Facebook, Inc. FB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fb&owner=exclude&action=getcompany

&Find=Search

First Solar, Inc. FSLR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fslr&owner=exclude&action=getcompany

&Find=Search

Ford Motor Co. F Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=f&owner=exclude&action=getcompany&

Find=Search

Gap, Inc., The GPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gps&owner=exclude&action=getcompan

y

General Electric Company GE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ge&owner=exclude&action=getcompany

&Find=Search

General Motors Co. GM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gm&owner=exclude&action=getcompany

Gilead Sciences Inc. GILD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gild&owner=exclude&action=getcompan

y&Find=Search

Goldman Sachs Group, Inc., The GS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gs&owner=exclude&action=getcompany

&Find=Search

Alphabet Inc. - Class C Shares GOOG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=goog&owner=exclude&action=getcompa

ny&Find=Search

GoPro, Inc. GPRO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gpro&owner=exclude&action=getcompa

ny&Find=Search

Groupon, Inc. GRPN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=grpn&owner=exclude&action=getcompa

ny

HP Inc. HPQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hpq&owner=exclude&action=getcompan

y&Find=Search

Home Depot, Inc., The HD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hd&owner=exclude&action=getcompany

&Find=Search

Intel Corporation INTC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=intc&owner=exclude&action=getcompan

y&Find=Search

Page 4: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

International Business Machines Corp. IBM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ibm&owner=exclude&action=getcompan

y

J. C. Penney Company, Inc. JCP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jcp&owner=exclude&action=getcompany

Viavi Solutions Inc. VIAV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=viav&owner=exclude&action=getcompan

y&Find=Search

Johnson & Johnson JNJ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jnj&owner=exclude&action=getcompany

JPMorgan Chase & Co. JPM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jpm&owner=exclude&action=getcompan

y

Kellogg Co. K Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=k&owner=exclude&action=getcompany

Lowe's Companies Inc. LOW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=low&owner=exclude&action=getcompan

y&Find=Search

Mastercard Inc. MA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ma&owner=exclude&action=getcompany

&Find=Search

McDonald's Corp. MCD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mcd&owner=exclude&action=getcompan

y

Merck & Co. Inc. MRK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mrk&owner=exclude&action=getcompan

y

Micron Technology Inc. MU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mu&owner=exclude&action=getcompany

&Find=Search

Microsoft Corporation MSFT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=msft&owner=exclude&action=getcompa

ny

Morgan Stanley MS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ms&owner=exclude&action=getcompany

&Find=Search

NetApp, Inc. NTAP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ntap&owner=exclude&action=getcompa

ny&Find=Search

Netflix, Inc. NFLX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nflx&owner=exclude&action=getcompan

y&Find=Search

Nike, Inc NKE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nke&owner=exclude&action=getcompan

y&Find=Search

NVIDIA Corporation NVDA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nvda&owner=exclude&action=getcompa

ny

Oracle Corp. ORCL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=orcl&owner=exclude&action=getcompan

y&Find=Search

Page 5: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Pandora Media, Inc. P Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=p&owner=exclude&action=getcompany&

Find=Search

Pepsico, Inc. PEP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pep&owner=exclude&action=getcompan

y

Pfizer Inc. PFE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pfe&owner=exclude&action=getcompany

&Find=Search

Procter & Gamble Company, The PG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pg&owner=exclude&action=getcompany

&Find=Search

Ralph Lauren Corp. RL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rl&owner=exclude&action=getcompany&

Find=Search

Seagate Technology Public Limited Company STX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=stx&owner=exclude&action=getcompany

Southwest Airlines Co. LUV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=luv&owner=exclude&action=getcompany

&Find=Search

Sprint Corp. S Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=s&owner=exclude&action=getcompany&

Find=Search

Starbucks Corporation SBUX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbux&owner=exclude&action=getcompa

ny&Find=Search

Tesla Motors, Inc. TSLA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsla&owner=exclude&action=getcompan

y

Time Warner Inc. TWX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=twx&owner=exclude&action=getcompan

y&Find=Search

Travelers Companies, Inc., The TRV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trv&owner=exclude&action=getcompany

&Find=Search

Twenty-First Century Fox, Inc. FOXA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=foxa&owner=exclude&action=getcompan

y&Find=Search

Twitter, Inc. TWTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=twtr&owner=exclude&action=getcompan

y&Find=Search

United Parcel Services, Inc. UPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ups&owner=exclude&action=getcompan

y

United Technologies Corp. UTX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=utx&owner=exclude&action=getcompany

&Find=Search

United-Health Group Incorporated UNH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=unh&owner=exclude&action=getcompan

y&Find=Search

Verizon Communications Inc. VZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vz&owner=exclude&action=getcompany

&Find=Search

Page 6: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Viacom, Inc. VIA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=via&owner=exclude&action=getcompany

&Find=Search

Visa, Inc. V Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=v&owner=exclude&action=getcompany&

Find=Search

Wal-Mart Stores Inc. WMT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wmt&owner=exclude&action=getcompa

ny&Find=Search

Walt Disney Company, The DIS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dis&owner=exclude&action=getcompany

&Find=Search

Wells Fargo & Co. WFC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wfc&owner=exclude&action=getcompan

y&Find=Search

Whole Foods Market, Inc. WFM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wfm&owner=exclude&action=getcompa

ny&Find=Search

Yahoo! Inc. YHOO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=yhoo&owner=exclude&action=getcompa

ny&Find=Search

Yum! Brands, Inc. YUM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=yum&owner=exclude&action=getcompan

y

Zynga ZNGA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=znga&owner=exclude&action=getcompa

ny&Find=Search

Thomson Reuters Corp. TRI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tri&owner=exclude&action=getcompany

&Find=Search

Adobe Systems Inc. ADBE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=adbe&owner=exclude&action=getcompa

ny&Find=Search

Avon Products Inc. AVP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avp&owner=exclude&action=getcompan

y

Comcast Corporation CMCSA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmcsa&owner=exclude&action=getcomp

any

Sirius XM Holdings Inc. SIRI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=siri&owner=exclude&action=getcompany

Xerox Corp. XRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xrx&owner=exclude&action=getcompany

&Find=Search

Discovery Communications, Inc. DISCA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=disca&owner=exclude&action=getcompa

ny

Tiffany & Co. TIF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tif&owner=exclude&action=getcompany

Vereit, Inc. VER Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ver&owner=exclude&action=getcompany

&Find=Search

Page 7: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Kimberly-Clark Corp. KMB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kmb&owner=exclude&action=getcompan

y

Regions Financial Corp. RF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rf&owner=exclude&action=getcompany

&Find=Search

Rite Aid Corp. RAD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rad&owner=exclude&action=getcompan

y&Find=Search

Harley-Davidson, Inc. HOG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hog&owner=exclude&action=getcompan

y

Brown Forman Corp. BF.B Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bfb&owner=exclude&action=getcompan

y

Moelis & Company MC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=mc&owner=exclude&action=getcompany

Advanced Micro Devices, Inc. AMD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amd&owner=exclude&action=getcompa

ny

International Game Technology IGT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=igt&owner=exclude&action=getcompany

&Find=Search

American Airlines Group Inc. AAL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aal&owner=exclude&action=getcompany

Weyerhaeuser Co. WY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wy&owner=exclude&action=getcompany

EMC Corporation EMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=emc&owner=exclude&action=getcompan

y&Find=Search

Costco Wholesale COST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cost&owner=exclude&action=getcompan

y

Corning Inc. GLW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=glw&owner=exclude&action=getcompan

y&Find=Search

Freeport-McMoRan Inc. FCX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fcx&owner=exclude&action=getcompany

MGM Resorts International MGM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mgm&owner=exclude&action=getcompa

ny&Find=Search

Chesapeake Energy Corporation CHK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chk&owner=exclude&action=getcompan

y&Find=Search

Bristol-Myers Squibb Company BMY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bmy&owner=exclude&action=getcompan

y&Find=Search

The Dow Chemical Company DOW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dow&owner=exclude&action=getcompan

y&Find=Search

Page 8: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

KeyCorp. KEY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=key&owner=exclude&action=getcompan

y&Find=Search

Hertz Global Holdings, Inc. HTZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=htz&owner=exclude&action=getcompany

&Find=Search

NorthStar Realty Finance Corp. NRF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nrf&owner=exclude&action=getcompany

&Find=Search

Newmont Mining Corporation NEM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nem&owner=exclude&action=getcompa

ny&Find=Search

Juniper Networks, Inc. JNPR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jnpr&owner=exclude&action=getcompan

y&Find=Search

Best Buy Co., Inc. BBY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bby&owner=exclude&action=getcompan

y&Find=Search

Altria Group Inc. MO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mo&owner=exclude&action=getcompany

&Find=Search

Valero Energy Corporation VLO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vlo&owner=exclude&action=getcompany

&Find=Search

Halliburton Company HAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hal&owner=exclude&action=getcompany

&Find=Search

The Charles Schwab Corporation SCHW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=schw&owner=exclude&action=getcompa

ny

U.S. Bancorp USB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=usb&owner=exclude&action=getcompan

y&Find=Search

Abbott Laboratories ABT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=abt&owner=exclude&action=getcompan

y

Cliffs Natural Resources Inc. CLF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=clf&owner=exclude&action=getcompany

&Find=Search

CBS Corporation CBS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbs&owner=exclude&action=getcompan

y&Find=Search

Synovus Financial Corporation SNV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=snv&owner=exclude&action=getcompan

y&Find=Search

Cabot Oil & Gas Corporation COG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cog&owner=exclude&action=getcompan

y&Find=Search

PulteGroup, Inc. PHM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=phm&owner=exclude&action=getcompa

ny

The Western Union Company WU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wu&owner=exclude&action=getcompany

&Find=Search

Page 9: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Williams Companies, Inc. WMB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wmb&owner=exclude&action=getcompa

ny&Find=Search

Genworth Financial, Inc. GNW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gnw&owner=exclude&action=getcompan

y

DR Horton Inc. DHI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dhi&owner=exclude&action=getcompany

&Find=Search

Walgreens Boots Alliance, Inc. WBA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wba&owner=exclude&action=getcompan

y&Find=Search

Host Hotels & Resorts, Inc. HST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hst&owner=exclude&action=getcompany

&Find=Search

Salesforce.com, Inc CRM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=crm&owner=exclude&action=getcompan

y

Prudential Financial, Inc. PRU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pru&owner=exclude&action=getcompan

y&Find=Search

The Bank of New York Mellon Corp. BK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bk&owner=exclude&action=getcompany

&Find=Search

Honeywell International Inc. HON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hon&owner=exclude&action=getcompan

y

TrueCar, Inc. TRUE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=true&owner=exclude&action=getcompan

y&Find=Search

Herbalife Ltd. HLF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hlf&owner=exclude&action=getcompany

&Find=Search

Liberty Media Corp. LMCA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lmca&owner=exclude&action=getcompa

ny

Agilent Technologies Inc. A Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=a&owner=exclude&action=getcompany

AbbVie Inc. ABBV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=abbv&owner=exclude&action=getcompa

ny&Find=Search

AmerisourceBergen Corporation ABC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=abc&owner=exclude&action=getcompan

y&Find=Search

Analog Devices, Inc. ADI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=adi&owner=exclude&action=getcompany

&Find=Search

Archer-Daniels-Midland Company ADM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=adm&owner=exclude&action=getcompa

ny&Find=Search

Automatic Data Processing, Inc. ADP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=adp&owner=exclude&action=getcompan

y&Find=Search

Page 10: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Alliance Data Systems Corporation ADS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ads&owner=exclude&action=getcompan

y&Find=Search

Autodesk, Inc. ADSK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=adsk&owner=exclude&action=getcompa

ny&Find=Search

Baxter International Inc. BAX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bax&owner=exclude&action=getcompan

y&Find=Search

Bed Bath & Beyond Inc. BBBY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bbby&owner=exclude&action=getcompa

ny&Find=Search

BB&T Corporation BBT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bbt&owner=exclude&action=getcompan

y&Find=Search

Biogen Idec Inc. BIIB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=biib&owner=exclude&action=getcompan

y&Find=Search

BlackRock, Inc. BLK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=blk&owner=exclude&action=getcompany

&Find=Search

ConAgra Foods, Inc. CAG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cag&owner=exclude&action=getcompan

y&Find=Search

Carnival Corporation CCL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ccl&owner=exclude&action=getcompany

&Find=Search

Cigna Corp. CI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=CI&owner=exclude&action=getcompany

The Clorox Company CLX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=clx&owner=exclude&action=getcompany

&Find=Search

Coach, Inc. COH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=coh&owner=exclude&action=getcompan

y

Discover Financial Services DFS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dfs&owner=exclude&action=getcompany

&Find=Search

Dollar Tree, Inc. DLTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dltr&owner=exclude&action=getcompan

y&Find=Search

Denbury Resources Inc. DNR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dnr&owner=exclude&action=getcompan

y&Find=Search

Dr Pepper Snapple Group, Inc. DPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dps&owner=exclude&action=getcompan

y

3D Systems Corporation DDD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DDD&owner=exclude&action=getcompa

ny

Aaron's, Inc. AAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aan&owner=exclude&action=getcompan

y&Find=Search

Page 11: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Acuity Brands, Inc. AYI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ayi&owner=exclude&action=getcompany

Advance Auto Parts Inc. AAP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aap&owner=exclude&action=getcompan

y

AECOM ACM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=acm&owner=exclude&action=getcompan

y&Find=Search

AES Corporation, The AES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aes&owner=exclude&action=getcompan

y&Find=Search

Aetna Inc. AET Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aet&owner=exclude&action=getcompany

Affiliated Managers Group Inc. AMG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amg&owner=exclude&action=getcompan

y&Find=Search

AFLAC Inc. AFL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=afl&owner=exclude&action=getcompany

&Find=Search

AGCO Corporation AGCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=agco&owner=exclude&action=getcompa

ny

Air Lease Corporation AL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=al&owner=exclude&action=getcompany

&Find=Search

Air Products & Chemicals Inc. APD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=apd&owner=exclude&action=getcompan

y

Akamai Technologies, Inc. AKAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=akam&owner=exclude&action=getcompa

ny

Alaska Air Group, Inc. ALK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=alk&owner=exclude&action=getcompany

Albemarle Corporation ALB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alb&owner=exclude&action=getcompany

&Find=Search

Alere Inc. ALR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alr&owner=exclude&action=getcompany

&Find=Search

Alexandria Real Estate Equities, Inc. ARE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=are&owner=exclude&action=getcompany

&Find=Search

Alexion Pharmaceuticals, Inc. ALXN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alxn&owner=exclude&action=getcompan

y

Align Technology Inc. ALGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=algn&owner=exclude&action=getcompan

y&Find=Search

Alleghany Corporation Y Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=y&owner=exclude&action=getcompany

Page 12: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Allegheny Technologies Inc. ATI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ati&owner=exclude&action=getcompany

Allegion plc ALLE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alle&owner=exclude&action=getcompan

y&Find=Search

Alliant Energy Corporation LNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lnt&owner=exclude&action=getcompany

&Find=Search

Allison Transmission Holdings, Inc. ALSN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alsn&owner=exclude&action=getcompan

y

Allscripts Healthcare Solutions, Inc. MDRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mdrx&owner=exclude&action=getcompa

ny

Allstate Corporation, The ALL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=all&owner=exclude&action=getcompany

Ally Financial Inc. ALLY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ally&owner=exclude&action=getcompan

y

Alnylam Pharmaceuticals, Inc. ALNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alny&owner=exclude&action=getcompan

y

AMC Networks Inc. AMCX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amcx&owner=exclude&action=getcompa

ny

AMERCO UHAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uhal&owner=exclude&action=getcompan

y

Ameren Corporation AEE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aee&owner=exclude&action=getcompan

y

American Campus Communities, Inc. ACC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=acc&owner=exclude&action=getcompany

American Capital Agency Corp. AGNC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=agnc&owner=exclude&action=getcompa

ny

American Electric Power Co., Inc. AEP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aep&owner=exclude&action=getcompan

y

American Financial Group Inc. AFG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=afg&owner=exclude&action=getcompany

American Homes 4 Rent AMH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amh&owner=exclude&action=getcompa

ny&Find=Search

American National Insurance Co. ANAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=anat&owner=exclude&action=getcompa

ny

American Tower Corporation AMT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amt&owner=exclude&action=getcompan

y

Page 13: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

American Water Works Company, Inc. AWK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=awk&owner=exclude&action=getcompan

y

Ameriprise Financial, Inc. AMP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amp&owner=exclude&action=getcompa

ny

Ametek Inc. AME Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ame&owner=exclude&action=getcompan

y

Amphenol Corporation APH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aph&owner=exclude&action=getcompan

y

Anadarko Petroleum Corporation APC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=apc&owner=exclude&action=getcompan

y

Ansys, Inc. ANSS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=anss&owner=exclude&action=getcompan

y

Antero Resources Corporation AR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ar&owner=exclude&action=getcompany

Apache Corp. APA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=apa&owner=exclude&action=getcompan

y

Apartment Investment and Management Co. AIV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aiv&owner=exclude&action=getcompany

AptarGroup, Inc. ATR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=atr&owner=exclude&action=getcompany

&Find=Search

Aqua America Inc. WTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wtr&owner=exclude&action=getcompan

y

Aramark ARMK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=armk&owner=exclude&action=getcompa

ny

Armstrong World Industries, Inc. AWI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=awi&owner=exclude&action=getcompan

y

ARRIS Group, Inc. ARRS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=arrs&owner=exclude&action=getcompan

y

Arrow Electronics, Inc. ARW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=arw&owner=exclude&action=getcompan

y

Ashland Inc. ASH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ash&owner=exclude&action=getcompan

y

Assurant Inc. AIZ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aiz&owner=exclude&action=getcompany

Atmos Energy Corporation ATO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ato&owner=exclude&action=getcompan

y&Find=Search

Page 14: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Atwood Oceanics, Inc. ATW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=atw&owner=exclude&action=getcompan

y&Find=Search

AutoNation Inc. AN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=an&owner=exclude&action=getcompany

&Find=Search

AutoZone, Inc. AZO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=azo&owner=exclude&action=getcompan

y

Avalonbay Communities Inc. AVB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avb&owner=exclude&action=getcompan

y

Avery Dennison Corporation AVY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avy&owner=exclude&action=getcompan

y

Avis Budget Group, Inc. CAR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=car&owner=exclude&action=getcompany

Avnet, Inc. AVT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avt&owner=exclude&action=getcompany

&Find=Search

AVX Corp. AVX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avx&owner=exclude&action=getcompan

y

Baker Hughes Incorporated BHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=bhi&owner=exclude&action=getcompany

Ball Corporation BLL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bll&owner=exclude&action=getcompany

&Find=Search

Bank of Hawaii Corporation BOH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=boh&owner=exclude&action=getcompan

y

BankUnited, Inc. BKU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bku&owner=exclude&action=getcompan

y

CR Bard Inc. BCR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bcr&owner=exclude&action=getcompany

&Find=Search

B/E Aerospace Inc. BEAV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=beav&owner=exclude&action=getcompa

ny&Find=Search

Becton, Dickinson and Company BDX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bdx&owner=exclude&action=getcompan

y&Find=Search

Bemis Company, Inc. BMS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bms&owner=exclude&action=getcompan

y

W.R. Berkley Corporation WRB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wrb&owner=exclude&action=getcompan

y&Find=Search

Berkshire Hathaway Inc. Hld B BRK.B Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=brkb&owner=exclude&action=getcompa

ny

Page 15: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Big Lots Inc. BIG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=big&owner=exclude&action=getcompany

BioMarin Pharmaceutical Inc. BMRN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bmrn&owner=exclude&action=getcompa

ny&Find=Search

Bio-Rad Laboratories, Inc. BIO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bio&owner=exclude&action=getcompany

&Find=Search

H&R Block, Inc. HRB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hrb&owner=exclude&action=getcompan

y&Find=Search

BOK Financial Corporation BOKF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bokf&owner=exclude&action=getcompa

ny

Booz Allen Hamilton Holding Corp. BAH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bah&owner=exclude&action=getcompan

y

BorgWarner Inc. BWA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bwa&owner=exclude&action=getcompan

y&Find=Search

Boston Properties Inc. BXP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bxp&owner=exclude&action=getcompan

y&Find=Search

Brandywine Realty Trust BDN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bdn&owner=exclude&action=getcompan

y&Find=Search

Brinker International, Inc. EAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eat&owner=exclude&action=getcompany

&Find=Search

Brixmor Property Group Inc. BRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=brx&owner=exclude&action=getcompany

&Find=Search

Broadridge Financial Solutions, Inc. BR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=br&owner=exclude&action=getcompany

&Find=Search

Brocade Communications Systems, Inc. BRCD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=brcd&owner=exclude&action=getcompa

ny&Find=Search

Brookdale Senior Living Inc. BKD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bkd&owner=exclude&action=getcompan

y&Find=Search

Brown & Brown Inc. BRO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bro&owner=exclude&action=getcompan

y&Find=Search

Bruker Corporation BRKR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=brkr&owner=exclude&action=getcompan

y

Bunge Limited BG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bg&owner=exclude&action=getcompany

&Find=Search

CH Robinson Worldwide Inc. CHRW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chrw&owner=exclude&action=getcompa

ny

Page 16: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

CA Technologies, Inc. CA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ca&owner=exclude&action=getcompany

Cabela's Incorporated CAB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cab&owner=exclude&action=getcompan

y

Cabot Corporation CBT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbt&owner=exclude&action=getcompany

&Find=Search

Cadence Design Systems Inc. CDNS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cdns&owner=exclude&action=getcompa

ny

Calpine Corp. CPN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cpn&owner=exclude&action=getcompan

y

Camden Property Trust CPT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cpt&owner=exclude&action=getcompany

Campbell Soup Company CPB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cpb&owner=exclude&action=getcompan

y&Find=Search

Capital One Financial Corporation COF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cof&owner=exclude&action=getcompany

Cardinal Health, Inc. CAH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cah&owner=exclude&action=getcompan

y&Find=Search

Carlisle Companies Incorporated CSL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=csl&owner=exclude&action=getcompany

CarMax Inc. KMX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kmx&owner=exclude&action=getcompan

y

Carpenter Technology Corp. CRS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=crs&owner=exclude&action=getcompany

Carter's, Inc. CRI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cri&owner=exclude&action=getcompany

&Find=Search

Catamaran Corporation CTRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctrx&owner=exclude&action=getcompan

y&Find=Search

CBL & Associates Properties Inc. CBL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbl&owner=exclude&action=getcompany

&Find=Search

CBOE Holdings, Inc. CBOE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cboe&owner=exclude&action=getcompa

ny&Find=Search

CBRE Group, Inc. CBG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbg&owner=exclude&action=getcompan

y&Find=Search

CDW Corporation CDW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cdw&owner=exclude&action=getcompan

y

Page 17: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Celanese Corporation CE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ce&owner=exclude&action=getcompany

Celgene Corporation CELG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=celg&owner=exclude&action=getcompan

y

Centene Corp. CNC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnc&owner=exclude&action=getcompan

y&Find=Search

CenterPoint Energy, Inc. CNP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnp&owner=exclude&action=getcompan

y

CenturyLink, Inc. CTL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctl&owner=exclude&action=getcompany

Cerner Corporation CERN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cern&owner=exclude&action=getcompa

ny

CF Industries Holdings, Inc. CF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cf&owner=exclude&action=getcompany

Charles River Laboratories International CRL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=crl&owner=exclude&action=getcompany

Charter Communications, Inc. CHTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chtr&owner=exclude&action=getcompan

y

Chico's FAS Inc. CHS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chs&owner=exclude&action=getcompan

y

Chimera Investment Corporation CIM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cim&owner=exclude&action=getcompan

y

Chipotle Mexican Grill, Inc. CMG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmg&owner=exclude&action=getcompan

y

Cimarex Energy Co. XEC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xec&owner=exclude&action=getcompan

y&Find=Search

Cincinnati Financial Corp. CINF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cinf&owner=exclude&action=getcompan

y

Cinemark Holdings Inc. CNK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnk&owner=exclude&action=getcompan

y

Cintas Corporation CTAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctas&owner=exclude&action=getcompan

y&Find=Search

CIT Group Inc. CIT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cit&owner=exclude&action=getcompany

Citrix Systems, Inc. CTXS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctxs&owner=exclude&action=getcompan

y

Page 18: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Clean Harbors, Inc. CLH Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=clh&owner=exclude&action=getcompany

CME Group Inc. CME Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cme&owner=exclude&action=getcompan

y

CMS Energy Corp. CMS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cms&owner=exclude&action=getcompan

y

CNA Financial Corporation CNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cna&owner=exclude&action=getcompan

y

Cobalt International Energy, Inc. CIE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cie&owner=exclude&action=getcompany

&Find=Search

Coca-Cola Enterprises Inc. CCE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cce&owner=exclude&action=getcompan

y

Cognizant Technology Solutions Corp. CTSH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctsh&owner=exclude&action=getcompan

y

Colfax Corporation CFX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cfx&owner=exclude&action=getcompany

Columbia Property Trust, Inc. CXP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cxp&owner=exclude&action=getcompan

y

Comerica Incorporated CMA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cma&owner=exclude&action=getcompan

y&Find=Search

Compass Minerals International Inc. CMP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmp&owner=exclude&action=getcompan

y

Computer Sciences Corporation CSC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=csc&owner=exclude&action=getcompany

ConocoPhillips COP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cop&owner=exclude&action=getcompan

y

CONSOL Energy Inc. CNX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnx&owner=exclude&action=getcompan

y

Consolidated Edison, Inc. ED Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ed&owner=exclude&action=getcompany

Copart, Inc. CPRT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cprt&owner=exclude&action=getcompan

y

CoreLogic, Inc. CLGX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=clgx&owner=exclude&action=getcompan

y

Coty Inc. COTY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=coty&owner=exclude&action=getcompan

y

Page 19: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Crane Co. CR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cr&owner=exclude&action=getcompany

Crown Castle International Corp. CCI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cci&owner=exclude&action=getcompany

Cummins Inc. CMI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmi&owner=exclude&action=getcompan

y

CVS Health Corporation CVS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cvs&owner=exclude&action=getcompany

Danaher Corp. DHR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dhr&owner=exclude&action=getcompan

y

Darden Restaurants, Inc. DRI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dri&owner=exclude&action=getcompany

DaVita HealthCare Partners Inc. DVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dva&owner=exclude&action=getcompan

y

DDR Corp. DDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ddr&owner=exclude&action=getcompan

y&Find=Search

Deckers Outdoor Corp. DECK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=deck&owner=exclude&action=getcompa

ny&Find=Search

DENTSPLY International Inc. XRAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xray&owner=exclude&action=getcompan

y

Devon Energy Corporation DVN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dvn&owner=exclude&action=getcompan

y

DeVry Education Group Inc. DV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dv&owner=exclude&action=getcompany

Diamond Offshore Drilling, Inc. DO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=do&owner=exclude&action=getcompany

Dick's Sporting Goods Inc. DKS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dks&owner=exclude&action=getcompan

y

Diebold, Incorporated DBD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dbd&owner=exclude&action=getcompan

y

Digital Realty Trust Inc. DLR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dlr&owner=exclude&action=getcompany

Dillard's Inc. DDS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dds&owner=exclude&action=getcompan

y

Dish Network Corp. DISH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dish&owner=exclude&action=getcompan

y

Page 20: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Dolby Laboratories, Inc. DLB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dlb&owner=exclude&action=getcompany

Dollar General Corporation DG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dg&owner=exclude&action=getcompany

&Find=Search

Dominion Resources, Inc. D Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=d&owner=exclude&action=getcompany&

Find=Search

Domino's Pizza, Inc. DPZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dpz&owner=exclude&action=getcompan

y

Donaldson Company, Inc. DCI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dci&owner=exclude&action=getcompany

Dover Corporation DOV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dov&owner=exclude&action=getcompan

y

DST Systems Inc. DST Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dst&owner=exclude&action=getcompany

DSW Inc. DSW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dsw&owner=exclude&action=getcompan

y

DTE Energy Company DTE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dte&owner=exclude&action=getcompan

y&Find=Search

Duke Energy Corporation DUK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=duk&owner=exclude&action=getcompan

y

Dun & Bradstreet Corp. DNB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dnb&owner=exclude&action=getcompan

y&Find=Search

Dunkin' Brands Group, Inc. DNKN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dnkn&owner=exclude&action=getcompa

ny

Expedia Inc. EXPE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=expe&owner=exclude&action=getcompa

ny

Goodyear Tire & Rubber Company GT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gt&owner=exclude&action=getcompany

&Find=Search

Hasbro Inc. HAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=has&owner=exclude&action=getcompan

y

Hershey Company, The HSY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hsy&owner=exclude&action=getcompan

y

Humana Inc. HUM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hum&owner=exclude&action=getcompa

ny

Hyatt Hotels Corporation H Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=h&owner=exclude&action=getcompany&

Find=Search

Page 21: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Intuit Inc. INTU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=intu&owner=exclude&action=getcompan

y

Kate Spade & Company KATE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kate&owner=exclude&action=getcompan

y

Kimco Realty Corporation KIM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kim&owner=exclude&action=getcompan

y

Kroger Co., The KR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kr&owner=exclude&action=getcompany

Las Vegas Sands Corp. LVS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lvs&owner=exclude&action=getcompany

Lennar Corp. LEN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=len&owner=exclude&action=getcompany

LinkedIn Corporation LNKD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lnkd&owner=exclude&action=getcompan

y

Loews Corporation L Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=l&owner=exclude&action=getcompany&

Find=Search

Macy's, Inc. M Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=m&owner=exclude&action=getcompany

&Find=Search

Marriott International, Inc. MAR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mar&owner=exclude&action=getcompan

y

Mattel, Inc. MAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mat&owner=exclude&action=getcompan

y&Find=Search

MetLife, Inc. MET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=met&owner=exclude&action=getcompan

y

Monster Beverage Corporation MNST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mnst&owner=exclude&action=getcompa

ny

Moody's Corporation MCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mco&owner=exclude&action=getcompan

y

National Oilwell Varco, Inc. NOV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nov&owner=exclude&action=getcompan

y

NetSuite Inc. N Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=n&owner=exclude&action=getcompany&

Find=Search

Nordstrom Inc. JWN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jwn&owner=exclude&action=getcompan

y&Find=Search

Norwegian Cruise Line Holdings Ltd. NCLH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nclh&owner=exclude&action=getcompan

y

Page 22: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Panera Bread Company PNRA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pnra&owner=exclude&action=getcompa

ny

Penske Automotive Group, Inc. PAG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pag&owner=exclude&action=getcompan

y

PG&E Corporation PCG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pcg&owner=exclude&action=getcompan

y

PNC Financial Services Group, Inc. PNC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pnc&owner=exclude&action=getcompan

y

Progressive Corp. PGR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pgr&owner=exclude&action=getcompan

y

Raymond James Financial, Inc. RJF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rjf&owner=exclude&action=getcompany

Reliance Steel & Aluminum Co. RS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rs&owner=exclude&action=getcompany

&Find=Search

Reynolds American Inc. RAI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rai&owner=exclude&action=getcompany

Royal Caribbean Cruises Ltd. RCL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rcl&owner=exclude&action=getcompany

&Find=Search

Sears Holdings Corporation SHLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=shld&owner=exclude&action=getcompan

y

SolarCity Corporation SCTY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=scty&owner=exclude&action=getcompan

y

Spirit Airlines, Inc. SAVE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=save&owner=exclude&action=getcompa

ny&Find=Search

Sprouts Farmers Market, Inc. SFM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sfm&owner=exclude&action=getcompan

y&Find=Search

St. Jude Medical Inc. STJ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=stj&owner=exclude&action=getcompany

&Find=Search

Staples, Inc. SPLS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spls&owner=exclude&action=getcompan

y

Symantec Corporation SYMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=symc&owner=exclude&action=getcompa

ny

Sysco Corporation SYY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=syy&owner=exclude&action=getcompany

Target Corp. TGT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tgt&owner=exclude&action=getcompany

&Find=Search

Page 23: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Texas Instruments Inc. TXN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=txn&owner=exclude&action=getcompany

T-Mobile US, Inc. TMUS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tmus&owner=exclude&action=getcompa

ny&Find=Search

Tractor Supply Company TSCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsco&owner=exclude&action=getcompan

y

TripAdvisor Inc TRIP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trip&owner=exclude&action=getcompan

y&Find=Search

Tyson Foods, Inc. TSN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsn&owner=exclude&action=getcompany

Under Armour, Inc. UA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ua&owner=exclude&action=getcompany

United States Cellular Corporation USM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=usm&owner=exclude&action=getcompan

y&Find=Search

Urban Outfitters Inc. URBN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=urbn&owner=exclude&action=getcompa

ny

VeriFone Systems, Inc. PAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pay&owner=exclude&action=getcompan

y&Find=Search

VeriSign, Inc. VRSN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vrsn&owner=exclude&action=getcompan

y&Find=Search

Xcel Energy Inc. XEL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xel&owner=exclude&action=getcompany

&Find=Search

Yelp, Inc. YELP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=yelp&owner=exclude&action=getcompan

y

Zillow, Inc. Z Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=z&owner=exclude&action=getcompany&

Find=Search

Nu Skin Enterprises Inc. NUS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nus&owner=exclude&action=getcompan

y&Find=Search

E*TRADE Financial Corporation ETFC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=etfc&owner=exclude&action=getcompan

y

Energizer Holdings Inc. ENR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=enr&owner=exclude&action=getcompan

y&Find=Search

Envision Healthcare Holdings, Inc. EVHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=evhc&owner=exclude&action=getcompa

ny

Equifax Inc. EFX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=efx&owner=exclude&action=getcompany

&Find=Search

Page 24: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

FedEx Corporation FDX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fdx&owner=exclude&action=getcompany

Foot Locker, Inc. FL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fl&owner=exclude&action=getcompany

Fossil Group, Inc. FOSL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fosl&owner=exclude&action=getcompan

y

Franklin Resources Inc. BEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ben&owner=exclude&action=getcompan

y&Find=Search

GameStop Corp. GME Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gme&owner=exclude&action=getcompan

y

General Dynamics Corporation GD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gd&owner=exclude&action=getcompany

&Find=Search

General Mills, Inc. GIS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gis&owner=exclude&action=getcompany

GNC Holdings Inc. GNC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gnc&owner=exclude&action=getcompan

y

HD Supply Holdings, Inc. HDS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hds&owner=exclude&action=getcompan

y

Hess Corporation HES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hes&owner=exclude&action=getcompan

y

Hilton Worldwide Holdings Inc. HLT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hlt&owner=exclude&action=getcompany

Hormel Foods Corporation HRL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hrl&owner=exclude&action=getcompany

IDEX Corporation IEX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=iex&owner=exclude&action=getcompany

Invesco Ltd. IVZ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ivz&owner=exclude&action=getcompany

Kinder Morgan, Inc. KMI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kmi&owner=exclude&action=getcompan

y

Kohl's Corp. KSS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kss&owner=exclude&action=getcompany

&Find=Search

Laredo Petroleum, Inc. LPI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lpi&owner=exclude&action=getcompany

Lexmark International Inc. LXK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lxk&owner=exclude&action=getcompany

Page 25: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Liberty Property Trust LPT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lpt&owner=exclude&action=getcompany

Lions Gate Entertainment Corp. LGF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lgf&owner=exclude&action=getcompany

Lockheed Martin Corporation LMT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lmt&owner=exclude&action=getcompan

y

Madison Square Garden Company, The MSG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=msg&owner=exclude&action=getcompan

y

Marathon Oil Corporation MRO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mro&owner=exclude&action=getcompan

y

Markel Corp. MKL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mkl&owner=exclude&action=getcompan

y

McCormick & Company, Incorporated MKC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mkc&owner=exclude&action=getcompan

y

S&P Global, Inc. SPGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spgi&owner=exclude&action=getcompan

y

Mercury General Corporation MCY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mcy&owner=exclude&action=getcompan

y

Monsanto Company MON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mon&owner=exclude&action=getcompa

ny

Morningstar Inc. MORN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=morn&owner=exclude&action=getcompa

ny

Motorola Solutions, Inc. MSI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=msi&owner=exclude&action=getcompan

y

Myriad Genetics Inc. MYGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mygn&owner=exclude&action=getcompa

ny

Navient Corporation NAVI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=navi&owner=exclude&action=getcompan

y

Navistar International Corporation NAV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nav&owner=exclude&action=getcompan

y

NCR Corp. NCR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ncr&owner=exclude&action=getcompany

Newell Rubbermaid Inc. NWL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nwl&owner=exclude&action=getcompan

y

NextEra Energy, Inc. NEE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nee&owner=exclude&action=getcompan

y

Page 26: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

O'Reilly Automotive Inc. ORLY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=orly&owner=exclude&action=getcompan

y

Omega Healthcare Investors Inc. OHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ohi&owner=exclude&action=getcompany

Palo Alto Networks, Inc. PANW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=panw&owner=exclude&action=getcompa

ny

Paychex, Inc. PAYX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=payx&owner=exclude&action=getcompa

ny

Philip Morris International, Inc. PM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pm&owner=exclude&action=getcompany

Phillips 66 PSX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=psx&owner=exclude&action=getcompan

y

Pinnacle Foods Inc. PF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pf&owner=exclude&action=getcompany

&Find=Search

Pitney Bowes Inc. PBI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbi&owner=exclude&action=getcompany

T. Rowe Price Group, Inc. TROW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trow&owner=exclude&action=getcompa

ny

QUALCOMM Incorporated QCOM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qcom&owner=exclude&action=getcompa

ny

Quest Diagnostics Inc. DGX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dgx&owner=exclude&action=getcompan

y

Raytheon Company RTN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rtn&owner=exclude&action=getcompany

Regal Entertainment Group RGC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rgc&owner=exclude&action=getcompany

&Find=Search

Rice Energy Inc. RICE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rice&owner=exclude&action=getcompan

y&Find=Search

Rockwell Collins Inc. COL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=col&owner=exclude&action=getcompany

Ross Stores Inc. ROST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rost&owner=exclude&action=getcompan

y

RPM International Inc. RPM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rpm&owner=exclude&action=getcompan

y

Scotts Miracle-Gro Company SMG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=smg&owner=exclude&action=getcompan

y

Page 27: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Six Flags Entertainment Corporation SIX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=six&owner=exclude&action=getcompany

Sonoco Products Co. SON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=son&owner=exclude&action=getcompan

y

Stanley Black & Decker, Inc. SWK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=swk&owner=exclude&action=getcompan

y

Priceline Group Inc., The PCLN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pcln&owner=exclude&action=getcompan

y

Wendy's Company, The WEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wen&owner=exclude&action=getcompan

y

Union Pacific Corporation UNP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=unp&owner=exclude&action=getcompan

y

United States Steel Corp. X Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=x&owner=exclude&action=getcompany

Vertex Pharmaceuticals Incorporated VRTX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vrtx&owner=exclude&action=getcompan

y

Voya Financial, Inc. VOYA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=voya&owner=exclude&action=getcompa

ny

Waste Management, Inc. WM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wm&owner=exclude&action=getcompan

y

Whirlpool Corp. WHR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=whr&owner=exclude&action=getcompan

y

Williams-Sonoma Inc. WSM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wsm&owner=exclude&action=getcompa

ny

Wyndham Worldwide Corporation WYN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wyn&owner=exclude&action=getcompan

y

Wynn Resorts Ltd. WYNN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wynn&owner=exclude&action=getcompa

ny&Find=Search

Zimmer Biomet Holdings, Inc. ZBH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zbh&owner=exclude&action=getcompan

y

Zoetis Inc. ZTS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=zts&owner=exclude&action=getcompany

XPO Logistics, Inc. XPO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xpo&owner=exclude&action=getcompan

y

Eastman Chemical Co. EMN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=emn&owner=exclude&action=getcompa

ny

Page 28: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Ecolab Inc. ECL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ecl&owner=exclude&action=getcompany

Edison International EIX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=eix&owner=exclude&action=getcompany

EOG Resources, Inc. EOG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eog&owner=exclude&action=getcompan

y

Express Scripts Holding Company ESRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=esrx&owner=exclude&action=getcompan

y

F5 Networks, Inc. FFIV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ffiv&owner=exclude&action=getcompany

Fastenal Company FAST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fast&owner=exclude&action=getcompan

y

FirstEnergy Corp. FE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fe&owner=exclude&action=getcompany

&Find=Search

Fiserv, Inc. FISV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fisv&owner=exclude&action=getcompan

y

FLIR Systems, Inc. FLIR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=flir&owner=exclude&action=getcompany

Fluor Corporation FLR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=flr&owner=exclude&action=getcompany

Gannett Co., Inc. GCI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gci&owner=exclude&action=getcompany

General Growth Properties, Inc GGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ggp&owner=exclude&action=getcompan

y

Genuine Parts Company GPC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gpc&owner=exclude&action=getcompan

y

W.W. Grainger, Inc. GWW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gww&owner=exclude&action=getcompa

ny

Harman International Industries, Inc. HAR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=har&owner=exclude&action=getcompan

y

Harris Corporation HRS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hrs&owner=exclude&action=getcompany

Hartford Financial Services Group, Inc. HIG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hig&owner=exclude&action=getcompany

HCP, Inc. HCP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hcp&owner=exclude&action=getcompan

y

Page 29: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Intercontinental Exchange, Inc. ICE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ice&owner=exclude&action=getcompany

International Paper Company IP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ip&owner=exclude&action=getcompany

Interpublic Group of Companies, Inc. IPG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ipg&owner=exclude&action=getcompany

Intuitive Surgical, Inc. ISRG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=isrg&owner=exclude&action=getcompan

y

Jabil Circuit Inc. JBL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jbl&owner=exclude&action=getcompany

&Find=Search

Jacobs Engineering Group Inc. JEC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jec&owner=exclude&action=getcompany

&Find=Search

Joy Global, Inc. JOY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=joy&owner=exclude&action=getcompany

Kansas City Southern KSU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ksu&owner=exclude&action=getcompan

y

KLA-Tencor Corporation KLAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=klac&owner=exclude&action=getcompan

y

L Brands, Inc. LB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lb&owner=exclude&action=getcompany

&Find=Search

L-3 Communications Holdings Inc. LLL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lll&owner=exclude&action=getcompany

Linear Technology Corporation LLTC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lltc&owner=exclude&action=getcompany

Masco Corporation MAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mas&owner=exclude&action=getcompan

y&Find=Search

Mead Johnson Nutrition Company MJN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mjn&owner=exclude&action=getcompan

y&Find=Search

Medtronic PLC MDT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mdt&owner=exclude&action=getcompan

y&Find=Search

Microchip Technology Inc. MCHP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mchp&owner=exclude&action=getcompa

ny

Noble Energy, Inc. NBL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nbl&owner=exclude&action=getcompany

Norfolk Southern Corporation NSC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nsc&owner=exclude&action=getcompan

y&Find=Search

Page 30: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

NRG Energy, Inc. NRG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nrg&owner=exclude&action=getcompan

y&Find=Search

Nucor Corporation NUE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nue&owner=exclude&action=getcompan

y

Occidental Petroleum Corporation OXY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=oxy&owner=exclude&action=getcompan

y

Omnicom Group Inc. OMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=omc&owner=exclude&action=getcompan

y

ONEOK Inc. OKE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=oke&owner=exclude&action=getcompan

y

PPG Industries Inc. PPG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ppg&owner=exclude&action=getcompan

y

PPL Corporation PPL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ppl&owner=exclude&action=getcompany

Praxair Inc. PX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=px&owner=exclude&action=getcompany

QEP Resources, Inc. QEP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qep&owner=exclude&action=getcompan

y

Regeneron Pharmaceuticals, Inc. REGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=regn&owner=exclude&action=getcompa

ny

Rockwell Automation Inc. ROK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rok&owner=exclude&action=getcompan

y

Ryder System, Inc. R Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=r&owner=exclude&action=getcompany&

Find=Search

Sherwin-Williams Company, The SHW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=shw&owner=exclude&action=getcompan

y

J. M. Smucker Company, The SJM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sjm&owner=exclude&action=getcompan

y

Stryker Corporation SYK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=syk&owner=exclude&action=getcompany

SunTrust Banks, Inc. STI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sti&owner=exclude&action=getcompany

Textron Inc. TXT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=txt&owner=exclude&action=getcompany

Thermo Fisher Scientific, Inc. TMO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tmo&owner=exclude&action=getcompan

y&Find=Search

Page 31: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Total System Services, Inc. TSS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tss&owner=exclude&action=getcompany

Unum Group UNM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=unm&owner=exclude&action=getcompa

ny

V.F. Corporation VFC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vfc&owner=exclude&action=getcompany

Varian Medical Systems, Inc. VAR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=var&owner=exclude&action=getcompany

Ventas, Inc. VTR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vtr&owner=exclude&action=getcompany

Vulcan Materials Company VMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vmc&owner=exclude&action=getcompan

y

Windstream Holdings, Inc. WIN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=win&owner=exclude&action=getcompan

y

Xilinx Inc. XLNX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xlnx&owner=exclude&action=getcompan

y

Xylem Inc. XYL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=xyl&owner=exclude&action=getcompany

Zions Bancorporation ZION Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zion&owner=exclude&action=getcompan

y

Estée Lauder Companies Inc. EL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=el&owner=exclude&action=getcompany

&Find=Search

Emerson Electric Co. EMR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=emr&owner=exclude&action=getcompan

y

Flowserve Corp. FLS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fls&owner=exclude&action=getcompany

FMC Corp. FMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fmc&owner=exclude&action=getcompan

y

Graham Holdings GHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ghc&owner=exclude&action=getcompan

y

Huntington Bancshares Incorporated HBAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hban&owner=exclude&action=getcompa

ny

Health Care REIT, Inc. HCN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hcn&owner=exclude&action=getcompan

y

Helmerich & Payne, Inc. HP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hp&owner=exclude&action=getcompany

Page 32: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

International Flavors & Fragrances Inc. IFF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=iff&owner=exclude&action=getcompany

Iron Mountain Inc. IRM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=irm&owner=exclude&action=getcompan

y

Leggett & Platt, Incorporated LEG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=leg&owner=exclude&action=getcompany

Macerich Company, The MAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mac&owner=exclude&action=getcompan

y

Mohawk Industries Inc. MHK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mhk&owner=exclude&action=getcompan

y

Mosaic Company, The MOS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mos&owner=exclude&action=getcompan

y

Marathon Petroleum Corporation MPC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mpc&owner=exclude&action=getcompan

y

Mylan, Inc. MYL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=myl&owner=exclude&action=getcompan

y

Nabors Industries Ltd. NBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nbr&owner=exclude&action=getcompan

y

NiSource Inc. NI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ni&owner=exclude&action=getcompany

Northrop Grumman Corporation NOC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=noc&owner=exclude&action=getcompan

y

Owens-Illinois, Inc. OI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=oi&owner=exclude&action=getcompany

PACCAR Inc. PCAR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pcar&owner=exclude&action=getcompan

y

Parker-Hannifin Corporation PH Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ph&owner=exclude&action=getcompany

PerkinElmer Inc. PKI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pki&owner=exclude&action=getcompany

Prologis, Inc. PLD Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pld&owner=exclude&action=getcompany

Pinnacle West Capital Corporation PNW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pnw&owner=exclude&action=getcompan

y

PVH Corp. PVH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pvh&owner=exclude&action=getcompan

y

Page 33: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Quanta Services, Inc. PWR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pwr&owner=exclude&action=getcompan

y

Rowan Companies plc RDC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rdc&owner=exclude&action=getcompany

Robert Half International Inc. RHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rhi&owner=exclude&action=getcompany

Red Hat, Inc. RHT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rht&owner=exclude&action=getcompany

Roper Technologies Inc. ROP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rop&owner=exclude&action=getcompan

y

SCANA Corp. SCG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=scg&owner=exclude&action=getcompany

Spectra Energy Corp. SE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=se&owner=exclude&action=getcompany

Sealed Air Corporation SEE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=see&owner=exclude&action=getcompan

y

Snap-on Incorporated SNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sna&owner=exclude&action=getcompan

y

Scripps Networks Interactive, Inc. SNI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sni&owner=exclude&action=getcompany

Stericycle, Inc. SRCL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=srcl&owner=exclude&action=getcompan

y

Schlumberger Limited SLB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=slb&owner=exclude&action=getcompany

State Street Corporation STT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=stt&owner=exclude&action=getcompany

Constellation Brands Inc. STZ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=stz&owner=exclude&action=getcompany

Teradata Corporation TDC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tdc&owner=exclude&action=getcompany

Tenet Healthcare Corp. THC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=thc&owner=exclude&action=getcompany

TJX Companies, Inc., The TJX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tjx&owner=exclude&action=getcompany

Torchmark Corporation TMK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tmk&owner=exclude&action=getcompan

y

Page 34: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Tesoro Corporation TSO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tso&owner=exclude&action=getcompany

Vornado Realty Trust VNO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vno&owner=exclude&action=getcompan

y

Waters Corporation WAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wat&owner=exclude&action=getcompan

y

Western Digital Corporation WDC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wdc&owner=exclude&action=getcompan

y

Wisconsin Energy Corp. WEC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wec&owner=exclude&action=getcompan

y

Equity Residential EQR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eqr&owner=exclude&action=getcompan

y

EQT Corporation EQT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eqt&owner=exclude&action=getcompan

y&Find=Search

Essex Property Trust Inc. ESS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ess&owner=exclude&action=getcompany

&Find=Search

Entergy Corporation ETR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=etr&owner=exclude&action=getcompany

&Find=Search

Edwards Lifesciences Corp. EW Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ew&owner=exclude&action=getcompany

Expeditors Intl. of Washington Inc. EXPD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=expd&owner=exclude&action=getcompa

ny

Fidelity National Information Services FIS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fis&owner=exclude&action=getcompany

Fifth Third Bancorp FITB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fitb&owner=exclude&action=getcompan

y

FMC Technologies, Inc. FTI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fti&owner=exclude&action=getcompany

Frontier Communications Corporation FTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ftr&owner=exclude&action=getcompany

&Find=Search

Starwood Hotels & Resorts Worldwide Inc. HOT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hot&owner=exclude&action=getcompan

y

Illinois Tool Works Inc. ITW Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=itw&owner=exclude&action=getcompany

Laboratory Corp. of America Holdings LH Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lh&owner=exclude&action=getcompany

Page 35: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Eli Lilly and Company LLY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lly&owner=exclude&action=getcompany

Legg Mason Inc. LM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lm&owner=exclude&action=getcompany

Lincoln National Corporation LNC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lnc&owner=exclude&action=getcompany

Lam Research Corporation LRCX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lrcx&owner=exclude&action=getcompan

y

Leucadia National Corporation LUK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=luk&owner=exclude&action=getcompany

McKesson Corporation MCK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mck&owner=exclude&action=getcompan

y

Mondelez International, Inc. MDLZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mdlz&owner=exclude&action=getcompa

ny

Marsh & McLennan Companies, Inc. MMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mmc&owner=exclude&action=getcompa

ny

M&T Bank Corporation MTB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mtb&owner=exclude&action=getcompan

y

Murphy Oil Corporation MUR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mur&owner=exclude&action=getcompan

y

Nasdaq OMX Group, Inc. NDAQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ndaq&owner=exclude&action=getcompa

ny

Newfield Exploration Co. NFX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nfx&owner=exclude&action=getcompany

Northern Trust Corporation NTRS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ntrs&owner=exclude&action=getcompan

y

Eversource Energy ES Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=es&owner=exclude&action=getcompany

News Corporation NWSA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nwsa&owner=exclude&action=getcompa

ny

People's United Financial Inc. PBCT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbct&owner=exclude&action=getcompa

ny

Patterson Companies, Inc. PDCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pdco&owner=exclude&action=getcompa

ny

Public Service Enterprise Group Inc. PEG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=peg&owner=exclude&action=getcompan

y

Page 36: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Principal Financial Group Inc. PFG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pfg&owner=exclude&action=getcompany

Public Storage PSA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=psa&owner=exclude&action=getcompan

y

Pioneer Natural Resources Co. PXD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pxd&owner=exclude&action=getcompan

y

Range Resources Corporation RRC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rrc&owner=exclude&action=getcompany

Republic Services, Inc. RSG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rsg&owner=exclude&action=getcompany

&Find=Search

Southern Company SO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=so&owner=exclude&action=getcompany

Simon Property Group Inc. SPG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spg&owner=exclude&action=getcompan

y

Sempra Energy SRE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sre&owner=exclude&action=getcompany

Southwestern Energy Co. SWN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=swn&owner=exclude&action=getcompan

y&Find=Search

FireEye, Inc. FEYE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=feye&owner=exclude&action=getcompan

y

Gartner Inc. IT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=it&owner=exclude&action=getcompany

GATX Corp. GATX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gatx&owner=exclude&action=getcompan

y

Genpact Limited G Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=g&owner=exclude&action=getcompany

Gentex Corp. GNTX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gntx&owner=exclude&action=getcompan

y

Global Payments Inc. GPN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gpn&owner=exclude&action=getcompan

y

Hain Celestial Group, Inc., The HAIN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hain&owner=exclude&action=getcompan

y

Hanesbrands Inc. HBI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hbi&owner=exclude&action=getcompany

Hanover Insurance Group Inc., The THG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=thg&owner=exclude&action=getcompan

y

Page 37: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Hexcel Corp. HXL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hxl&owner=exclude&action=getcompany

&Find=Search

Huntsman Corporation HUN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hun&owner=exclude&action=getcompan

y

Illumina Inc. ILMN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ilmn&owner=exclude&action=getcompan

y

Incyte Corporation INCY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=incy&owner=exclude&action=getcompan

y

Ingredion Incorporated INGR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ingr&owner=exclude&action=getcompan

y

Intercept Pharmaceuticals, Inc. ICPT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=icpt&owner=exclude&action=getcompan

y

KBR, Inc. KBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kbr&owner=exclude&action=getcompan

y

Kennametal Inc. KMT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kmt&owner=exclude&action=getcompan

y

Oasis Petroleum Inc. OAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=oas&owner=exclude&action=getcompan

y

OGE Energy Corp. OGE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=oge&owner=exclude&action=getcompan

y

Old Dominion Freight Line Inc. ODFL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=odfl&owner=exclude&action=getcompan

y

Oshkosh Corporation OSK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=osk&owner=exclude&action=getcompan

y

Questar Corporation STR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=str&owner=exclude&action=getcompany

Quintiles Transnational Holdings Inc. Q Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=q&owner=exclude&action=getcompany

Rollins Inc. ROL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rol&owner=exclude&action=getcompany

Terex Corporation TEX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tex&owner=exclude&action=getcompany

UDR, Inc. UDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=udr&owner=exclude&action=getcompan

y

Universal Health Services Inc. UHS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uhs&owner=exclude&action=getcompan

y

Page 38: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Valspar Corporation, The VAL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=val&owner=exclude&action=getcompany

Visteon Corporation VC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vc&owner=exclude&action=getcompany

WhiteWave Foods Company, The WWAV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wwav&owner=exclude&action=getcomp

any

Zebra Technologies Corp. ZBRA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zbra&owner=exclude&action=getcompan

y

Eagle Materials Inc. EXP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=exp&owner=exclude&action=getcompan

y

EchoStar Corp. SATS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sats&owner=exclude&action=getcompan

y

Energen Corp. EGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=egn&owner=exclude&action=getcompan

y

Extra Space Storage Inc. EXR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=exr&owner=exclude&action=getcompany

FleetCor Technologies, Inc. FLT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=flt&owner=exclude&action=getcompany

Flowers Foods, Inc. FLO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=flo&owner=exclude&action=getcompany

Fulton Financial Corp FULT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fult&owner=exclude&action=getcompan

y

Fortinet Inc. FTNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ftnt&owner=exclude&action=getcompan

y

Gaming and Leisure Properties, Inc GLPI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=glpi&owner=exclude&action=getcompan

y

W.R. Grace & Co. GRA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gra&owner=exclude&action=getcompany

Graco Inc. GGG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ggg&owner=exclude&action=getcompan

y

Greif, Inc. GEF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gef&owner=exclude&action=getcompany

Gulfport Energy Corp. GPOR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gpor&owner=exclude&action=getcompa

ny

Hill-Rom Holdings, Inc. HRC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hrc&owner=exclude&action=getcompany

Page 39: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

HollyFrontier Corporation HFC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hfc&owner=exclude&action=getcompany

Hologic Inc. HOLX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=holx&owner=exclude&action=getcompan

y

Howard Hughes Corporation HHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hhc&owner=exclude&action=getcompan

y

InterActiveCorp IAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=InteractiveCorp&owner=exclude&a

ction=getcompany

Ingram Micro Inc. IM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=im&owner=exclude&action=getcompany

ITT Corporation ITT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=itt&owner=exclude&action=getcompany

Jones Lang LaSalle Inc. JLL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jll&owner=exclude&action=getcompany

KAR Auction Services, Inc. KAR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kar&owner=exclude&action=getcompany

Kilroy Realty Corp. KRC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=krc&owner=exclude&action=getcompany

Kirby Corporation KEX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kex&owner=exclude&action=getcompan

y

Knowles Corporation KN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kn&owner=exclude&action=getcompany

Lear Corp. LEA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lea&owner=exclude&action=getcompany

Lennox International, Inc. LII Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lii&owner=exclude&action=getcompany

Live Nation Entertainment, Inc. LYV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lyv&owner=exclude&action=getcompany

LKQ Corp. LKQ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lkq&owner=exclude&action=getcompany

ManpowerGroup Inc. MAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=man&owner=exclude&action=getcompa

ny

MEDNAX, Inc. MD Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=md&owner=exclude&action=getcompany

MFA Financial, Inc. MFA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mfa&owner=exclude&action=getcompan

y

Page 40: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Middleby Corp. MIDD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=midd&owner=exclude&action=getcompa

ny

MSCI Inc. MSCI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=msci&owner=exclude&action=getcompa

ny

NewMarket Corporation NEU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=neu&owner=exclude&action=getcompan

y

Nordson Corporation NDSN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ndsn&owner=exclude&action=getcompa

ny

NOW Inc. DNOW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dnow&owner=exclude&action=getcompa

ny

Nuance Communications, Inc. NUAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nuan&owner=exclude&action=getcompa

ny

NVR, Inc. NVR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nvr&owner=exclude&action=getcompany

Oceaneering International, Inc. OII Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=oii&owner=exclude&action=getcompany

Ocwen Financial Corp. OCN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ocn&owner=exclude&action=getcompan

y

ON Semiconductor Corp. ONNN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=ON+Semi&owner=exclude&action=

getcompany

Owens Corning OC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=oc&owner=exclude&action=getcompany

Polaris Industries Inc. PII Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=pii&owner=exclude&action=getcompany

Popular, Inc. BPOP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bpop&owner=exclude&action=getcompa

ny

Premier, Inc. PINC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pinc&owner=exclude&action=getcompan

y

PTC Inc. PTC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ptc&owner=exclude&action=getcompany

Rayonier Inc. RYN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ryn&owner=exclude&action=getcompan

y

ResMed Inc. RMD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rmd&owner=exclude&action=getcompan

y

Royal Gold, Inc. RGLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rgld&owner=exclude&action=getcompan

y

Page 41: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

RPC Inc. RES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=res&owner=exclude&action=getcompany

&Find=Search

SPX Corporation SPXC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spxc&owner=exclude&action=getcompan

y

Steel Dynamics Inc. STLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=stld&owner=exclude&action=getcompan

y

SunPower Corporation SPWR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spwr&owner=exclude&action=getcompa

ny

TCF Financial Corporation TCB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tcb&owner=exclude&action=getcompany

Bio-Techne Corp. TECH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tech&owner=exclude&action=getcompan

y

Tidewater Inc. TDW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tdw&owner=exclude&action=getcompan

y

Toro Co. TTC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ttc&owner=exclude&action=getcompany

Tupperware Brands Corporation TUP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tup&owner=exclude&action=getcompan

y

USG Corporation USG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=usg&owner=exclude&action=getcompan

y

UGI Corporation UGI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ugi&owner=exclude&action=getcompany

ULTA Salon, Cosmetics & Fragrance, Inc. ULTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ulta&owner=exclude&action=getcompan

y

United Rentals, Inc. URI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=uri&owner=exclude&action=getcompany

United Continental Holdings, Inc. UAL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ual&owner=exclude&action=getcompany

Valmont Industries, Inc. VMI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vmi&owner=exclude&action=getcompan

y

Vantiv, Inc. VNTV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vntv&owner=exclude&action=getcompan

y

Vectren Corporation VVC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vvc&owner=exclude&action=getcompany

&Find=Search

Veeva Systems Inc. VEEV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=veev&owner=exclude&action=getcompa

ny&Find=Search

Page 42: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

WABTEC Corporation WAB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wab&owner=exclude&action=getcompan

y

Waste Connections Inc. WCN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wcn&owner=exclude&action=getcompan

y

Whiting Petroleum Corp. WLL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wll&owner=exclude&action=getcompany

WPX Energy, Inc. WPX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wpx&owner=exclude&action=getcompan

y

Regency Centers Corporation REG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=reg&owner=exclude&action=getcompany

Overstock.com, Inc. OSTK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ostk&owner=exclude&action=getcompan

y

Signature Bank SBNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbny&owner=exclude&action=getcompa

ny

Moog Inc. MOG.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=moga&owner=exclude&action=getcompa

ny

ConnectOne Bancorp, Inc. CNOB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnob&owner=exclude&action=getcompa

ny

Apollo Education Group, Inc. APOL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=apol&owner=exclude&action=getcompan

y

Buckle, Inc., The BKE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bke&owner=exclude&action=getcompan

y

EMCOR Group Inc. EME Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eme&owner=exclude&action=getcompan

y

Science Applications International Corp. SAIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=saic&owner=exclude&action=getcompan

y

Starz STRZA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=strza&owner=exclude&action=getcompa

ny

Syntel, Inc. SYNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=synt&owner=exclude&action=getcompan

y

Take-Two Interactive Software Inc. TTWO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ttwo&owner=exclude&action=getcompa

ny

Ubiquiti Networks, Inc. UBNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ubnt&owner=exclude&action=getcompa

ny

Vector Group Ltd. VGR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vgr&owner=exclude&action=getcompany

Page 43: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Sciclone Pharmaceuticals, Inc. SCLN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=scln&owner=exclude&action=getcompan

y

Henry Schein, Inc. HSIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hsic&owner=exclude&action=getcompan

y

Equinix, Inc. EQIX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eqix&owner=exclude&action=getcompan

y&Find=Search

SL Green Realty Corp. SLG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=slg&owner=exclude&action=getcompany

Sonic Corp. SONC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sonc&owner=exclude&action=getcompa

ny

Integrated Device Technology, Inc. IDTI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=idti&owner=exclude&action=getcompany

Boston Beer Co. Inc. SAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sam&owner=exclude&action=getcompan

y

DineEquity, Inc. DIN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=din&owner=exclude&action=getcompany

MB Financial Inc. MBFI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mbfi&owner=exclude&action=getcompa

ny

Piedmont Natural Gas Co. Inc. PNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pny&owner=exclude&action=getcompan

y

Senior Housing Properties Trust SNH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=snh&owner=exclude&action=getcompan

y

Energy Transfer Partners, L.P. ETP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=etp&owner=exclude&action=getcompan

y

GODADDY INC. GDDY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gddy&owner=exclude&action=getcompa

ny

Anthem, Inc. ANTM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=antm&owner=exclude&action=getcompa

ny

JetBlue Airways Corporation JBLU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jblu&owner=exclude&action=getcompan

y

Office Depot, Inc. ODP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=odp&owner=exclude&action=getcompan

y

American Eagle Outfitters, Inc. AEO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aeo&owner=exclude&action=getcompan

y

MGIC Investment Corp. MTG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mtg&owner=exclude&action=getcompan

y

Page 44: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Ariad Pharmaceuticals Inc. ARIA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aria&owner=exclude&action=getcompan

y

Hecla Mining Co. HL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hl&owner=exclude&action=getcompany

Arena Pharmaceuticals, Inc. ARNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=arna&owner=exclude&action=getcompa

ny

Barracuda Networks, Inc. CUDA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cuda&owner=exclude&action=getcompa

ny

Fresh Del Monte Produce Inc. FDP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fdp&owner=exclude&action=getcompan

y

Federal Signal Corp. FSS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fss&owner=exclude&action=getcompany

Alphabet Inc. - Class A Shares GOOGL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=googl&owner=exclude&action=getcompa

ny

Universal Display Corp. OLED Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=oled&owner=exclude&action=getcompan

y

Sanderson Farms, Inc. SAFM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=safm&owner=exclude&action=getcompa

ny

Tech Data Corp. TECD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tecd&owner=exclude&action=getcompan

y

Tyler Technologies, Inc. TYL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tyl&owner=exclude&action=getcompany

ETSY INC ETSY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=etsy&owner=exclude&action=getcompan

y

Shake Shack Inc. SHAK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=shak&owner=exclude&action=getcompa

ny

Outfront Media Inc. OUT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=out&owner=exclude&action=getcompan

y

athenahealth, Inc. ATHN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=athn&owner=exclude&action=getcompa

ny

Cheniere Energy, Inc. LNG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lng&owner=exclude&action=getcompany

Choice Hotels International Inc. CHH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chh&owner=exclude&action=getcompan

y

CoStar Group Inc. CSGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=csgp&owner=exclude&action=getcompa

ny

Page 45: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

EP Energy Corporation EPE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=epe&owner=exclude&action=getcompan

y

Federated Investors, Inc. FII Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fii&owner=exclude&action=getcompany

Sabre Corporation SABR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sabr&owner=exclude&action=getcompan

y

Santander Consumer USA Holdings Inc. SC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sc&owner=exclude&action=getcompany

Rackspace Hosting, Inc. RAX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rax&owner=exclude&action=getcompany

Lifepoint Hospitals Inc. LPNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lpnt&owner=exclude&action=getcompan

y

Medivation, Inc. MDVN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mdvn&owner=exclude&action=getcompa

ny

Level 3 Communications, Inc. LVLT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lvlt&owner=exclude&action=getcompany

Lamar Advertising Co. LAMR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lamr&owner=exclude&action=getcompa

ny

IDEXX Laboratories, Inc. IDXX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=idxx&owner=exclude&action=getcompan

y

Eaton Vance Corp. EV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ev&owner=exclude&action=getcompany

Douglas Emmett Inc DEI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dei&owner=exclude&action=getcompany

Time Inc. TIME Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=time&owner=exclude&action=getcompa

ny

Pilgrim's Pride Corporation PPC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ppc&owner=exclude&action=getcompan

y

Covanta Holding Corporation CVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cva&owner=exclude&action=getcompan

y

Cree, Inc. CREE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cree&owner=exclude&action=getcompan

y

CST Brands, Inc. CST Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cst&owner=exclude&action=getcompany

R.R. Donnelley & Sons Company RRD Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rrd&owner=exclude&action=getcompany

Page 46: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Dril-Quip, Inc. DRQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=drq&owner=exclude&action=getcompan

y

Duke Realty Corporation DRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dre&owner=exclude&action=getcompan

y

Jack Henry & Associates Inc. JKHY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jkhy&owner=exclude&action=getcompan

y

IPG Photonics Corporation IPGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ipgp&owner=exclude&action=getcompan

y

Landstar System Inc. LSTR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lstr&owner=exclude&action=getcompany

Maxim Integrated Products, Inc. MXIM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mxim&owner=exclude&action=getcompa

ny

Mettler-Toledo International Inc. MTD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mtd&owner=exclude&action=getcompan

y

Packaging Corporation of America PKG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pkg&owner=exclude&action=getcompan

y

Murphy USA Inc. MUSA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=musa&owner=exclude&action=getcompa

ny

Regal Beloit Corporation RBC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rbc&owner=exclude&action=getcompany

ITC Holdings Corp. ITC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=itc&owner=exclude&action=getcompany

Leidos Holdings, Inc. LDOS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ldos&owner=exclude&action=getcompan

y

Manitowoc Company, Inc., The MTW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mtw&owner=exclude&action=getcompa

ny

MDU Resources Group Inc. MDU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mdu&owner=exclude&action=getcompa

ny

National Fuel Gas Company NFG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nfg&owner=exclude&action=getcompany

PBF Energy Inc. PBF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbf&owner=exclude&action=getcompan

y

Post Properties Inc. PPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pps&owner=exclude&action=getcompan

y

Seattle Genetics, Inc. SGEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sgen&owner=exclude&action=getcompa

ny

Page 47: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

SEI Investments Co. SEIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=seic&owner=exclude&action=getcompan

y

Synopsys Inc. SNPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=snps&owner=exclude&action=getcompa

ny&Find=Search

Tableau Software, Inc. DATA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=data&owner=exclude&action=getcompa

ny

Teleflex Incorporated TFX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tfx&owner=exclude&action=getcompany

Toll Brothers Inc. TOL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tol&owner=exclude&action=getcompany

Trinity Industries Inc. TRN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=trn&owner=exclude&action=getcompany

VCA Inc. WOOF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=woof&owner=exclude&action=getcompa

ny

Verisk Analytics, Inc. VRSK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vrsk&owner=exclude&action=getcompan

y

VMware, Inc. VMW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vmw&owner=exclude&action=getcompa

ny

WESCO International Inc. WCC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wcc&owner=exclude&action=getcompan

y

Ambarella, Inc. AMBA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amba&owner=exclude&action=getcompa

ny

Erie Indemnity Company ERIE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=erie&owner=exclude&action=getcompan

y

FactSet Research Systems Inc. FDS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fds&owner=exclude&action=getcompany

Arthur J Gallagher & Co. AJG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ajg&owner=exclude&action=getcompany

Hawaiian Electric Industries Inc. HE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=he&owner=exclude&action=getcompany

Hubbell Inc. HUBB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hubb&owner=exclude&action=getcompa

ny

Platform Specialty Products Corporation PAH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pah&owner=exclude&action=getcompan

y&Find=Search

MRC Global Inc. MRC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mrc&owner=exclude&action=getcompan

y

Page 48: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Old Republic International Corporation ORI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ori&owner=exclude&action=getcompany

ProAssurance Corporation PRA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pra&owner=exclude&action=getcompan

y

Splunk, Inc. SPLK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=splk&owner=exclude&action=getcompan

y

Superior Energy Services, Inc. SPN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spn&owner=exclude&action=getcompan

y

Tempur Sealy International Inc. TPX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tpx&owner=exclude&action=getcompany

Thor Industries Inc. THO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tho&owner=exclude&action=getcompan

y

Fitbit Inc. FIT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fit&owner=exclude&action=getcompany

TEGNA TGNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tgna&owner=exclude&action=getcompa

ny

WestRock Company WRK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wrk&owner=exclude&action=getcompan

y

EDGEWELL PERSONAL CARE COMPANY EPC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=epc&owner=exclude&action=getcompan

y

BWX Technologies, Inc. BWXT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bwxt&owner=exclude&action=getcompa

ny

Kraft Heinz Company, The KHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=khc&owner=exclude&action=getcompan

y

Church & Dwight Co. Inc. CHD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chd&owner=exclude&action=getcompan

y

Clear Channel Outdoor Holdings Inc. CCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cco&owner=exclude&action=getcompan

y

Commerce Bancshares, Inc. CBSH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbsh&owner=exclude&action=getcompa

ny

Cooper Companies Inc., The COO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=coo&owner=exclude&action=getcompan

y

Corporate Office Properties Trust OFC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ofc&owner=exclude&action=getcompany

Cullen/Frost Bankers, Inc. CFR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cfr&owner=exclude&action=getcompany

Page 49: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

East West Bancorp, Inc. EWBC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ewbc&owner=exclude&action=getcompa

ny

Equity LifeStyle Properties, Inc. ELS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=els&owner=exclude&action=getcompany

First Horizon National Corporation FHN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fhn&owner=exclude&action=getcompan

y

First Republic Bank FRC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=frc&owner=exclude&action=getcompany

Genesee & Wyoming Inc. GWR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gwr&owner=exclude&action=getcompan

y

Great Plains Energy Incorporated GXP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gxp&owner=exclude&action=getcompan

y

Healthcare Trust of America, Inc. HTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hta&owner=exclude&action=getcompan

y

Huntington Ingalls Industries, Inc. HII Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hii&owner=exclude&action=getcompany

IMS Health Holdings, Inc. IMS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ims&owner=exclude&action=getcompan

y

Martin Marietta Materials, Inc. MLM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mlm&owner=exclude&action=getcompa

ny

MSC Industrial Direct Co. Inc. MSM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=msm&owner=exclude&action=getcompa

ny

New York Community Bancorp Inc. NYCB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nycb&owner=exclude&action=getcompa

ny

PacWest Bancorp PACW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pacw&owner=exclude&action=getcompa

ny

Patterson-UTI Energy Inc. PTEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pten&owner=exclude&action=getcompa

ny

PayPal Holdings, Inc. PYPL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pypl&owner=exclude&action=getcompan

y

Realty Income Corporation O Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=o&owner=exclude&action=getcompany

ZELTIQ Aesthetics, Inc. ZLTQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zltq&owner=exclude&action=getcompan

y

Lumentum Holdings Inc. LITE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lite&owner=exclude&action=getcompany

Page 50: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Super Micro Computer, Inc. SMCI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=smci&owner=exclude&action=getcompa

ny

Allergan plc AGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=agn&owner=exclude&action=getcompan

y

British Petroleum BP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=bp&owner=exclude&action=getcompany

HSBC Holdings plc HSBC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hsbc&owner=exclude&action=getcompa

ny

Vodafone Group Public Limited Company VOD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vod&owner=exclude&action=getcompan

y

Diageo plc DEO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=deo&owner=exclude&action=getcompan

y

Liberty Global plc LBTYA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lbtya&owner=exclude&action=getcompa

ny

GlaxoSmithKline plc GSK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gsk&owner=exclude&action=getcompany

Aon plc AON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aon&owner=exclude&action=getcompan

y

Delphi Automotive PLC DLPH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dlph&owner=exclude&action=getcompa

ny

Noble Corp. NE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ne&owner=exclude&action=getcompany

Pentair plc PNR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pnr&owner=exclude&action=getcompan

y

Ensco plc ESV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=esv&owner=exclude&action=getcompany

Taiwan Semiconductor Manufactoring Co. TSM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsm&owner=exclude&action=getcompan

y

Advanced Semiconductor Engineering Inc. ASX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=asx&owner=exclude&action=getcompany

&Find=Search

United Microelectronics Corporation UMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=umc&owner=exclude&action=getcompan

y

Chubb Corporation, The CB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cb&owner=exclude&action=getcompany

&Find=Search

Allied World Assurance Company Holdings AWH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=awh&owner=exclude&action=getcompan

y

Page 51: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Garmin Ltd. GRMN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=grmn&owner=exclude&action=getcompa

ny

Tyco International Ltd. TYC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tyc&owner=exclude&action=getcompany

Transocean Ltd. RIG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rig&owner=exclude&action=getcompany

TE Connectivity Ltd. TEL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tel&owner=exclude&action=getcompany

Weatherford International plc WFT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wft&owner=exclude&action=getcompan

y

Novartis AG NVS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nvs&owner=exclude&action=getcompan

y

Banco Santander, S.A. SAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=san&owner=exclude&action=getcompan

y

Telefonica, S.A. TEF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tef&owner=exclude&action=getcompany

AngloGold Ashanti Ltd. AU Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=au&owner=exclude&action=getcompany

Gold Fields Ltd. GFI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gfi&owner=exclude&action=getcompany

Sasol Ltd. SSL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ssl&owner=exclude&action=getcompany

China Yuchai International Limited CYD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cyd&owner=exclude&action=getcompan

y

Philippine Long Distance Telephone Co. PHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=phi&owner=exclude&action=getcompany

Koninklijke Philips N.V PHG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=phg&owner=exclude&action=getcompan

y

NXP Semiconductors NV NXPI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nxpi&owner=exclude&action=getcompan

y

Fiat Chrysler Automobiles FCAU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fcau&owner=exclude&action=getcompan

y

Chicago Bridge & Iron Company N.V. CBI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbi&owner=exclude&action=getcompany

Nielsen N.V. NLSN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nlsn&owner=exclude&action=getcompan

y

Page 52: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

LyondellBasell Industries N.V. LYB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lyb&owner=exclude&action=getcompany

Qiagen NV QGEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qgen&owner=exclude&action=getcompa

ny

Frank's International N.V. FI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fi&owner=exclude&action=getcompany

America Movil S.A.B. de C.V. AMX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amx&owner=exclude&action=getcompan

y

CEMEX, S.A.B. de C.V. CX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cx&owner=exclude&action=getcompany

Coca-Cola FEMSA S.A.B. de C.V. KOF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kof&owner=exclude&action=getcompany

Fomento Económico Mexicano, S.A.B de C.V FMX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fmx&owner=exclude&action=getcompan

y

Grupo Televisa, S.A.B. TV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tv&owner=exclude&action=getcompany

Seaspan Corporation SSW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ssw&owner=exclude&action=getcompan

y

Canon Inc. CAJ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=caj&owner=exclude&action=getcompany

Honda Motor Co., Ltd HMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hmc&owner=exclude&action=getcompan

y

Kyocera Corp. KYO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kyo&owner=exclude&action=getcompan

y

Mitsubishi UFJ Financial Group, Inc. MTU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mtu&owner=exclude&action=getcompan

y

Mizuho Financial Group, Inc. MFG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mfg&owner=exclude&action=getcompan

y

Nippon Telegraph and Telephone Corp. NTT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ntt&owner=exclude&action=getcompany

Nomura Holdings, Inc. NMR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nmr&owner=exclude&action=getcompan

y

NTT DOCOMO, Inc. DCM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dcm&owner=exclude&action=getcompan

y

Sony Corporation SNE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sne&owner=exclude&action=getcompan

y

Page 53: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Toyota Motor Corporation TM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tm&owner=exclude&action=getcompany

Teva Pharmaceutical Industries Ltd TEVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=teva&owner=exclude&action=getcompan

y

CyberArk Software, Ltd. CYBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cybr&owner=exclude&action=getcompan

y

Accenture plc ACN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=acn&owner=exclude&action=getcompan

y

Alkermes plc ALKS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=alks&owner=exclude&action=getcompan

y

Ingersoll-Rand Plc IR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ir&owner=exclude&action=getcompany

XL Group plc XL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=xl&owner=exclude&action=getcompany

Perrigo Company Public Limited Company PRGO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=prgo&owner=exclude&action=getcompa

ny

Eaton Corporation plc ETN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=etn&owner=exclude&action=getcompan

y

Jazz Pharmaceuticals plc JAZZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jazz&owner=exclude&action=getcompan

y

Endo International plc ENDP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=endp&owner=exclude&action=getcompa

ny

Mallinckrodt public limited company MNK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mnk&owner=exclude&action=getcompan

y

PT Telekomunikasi Indonesia Tbk TLK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tlk&owner=exclude&action=getcompany

ICICI Bank Ltd. IBN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ibn&owner=exclude&action=getcompany

Infosys Ltd. INFY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=infy&owner=exclude&action=getcompan

y

Tata Motors Ltd. TTM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ttm&owner=exclude&action=getcompan

y

Wipro Ltd. WIT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wit&owner=exclude&action=getcompany

Dr. Reddy's Laboratories Ltd. RDY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rdy&owner=exclude&action=getcompan

y

Page 54: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

HDFC Bank Ltd. HDB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hdb&owner=exclude&action=getcompan

y

Michael Kors Holdings Limited KORS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kors&owner=exclude&action=getcompan

y

Melco Crown Entertainment Limited MPEL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mpel&owner=exclude&action=getcompa

ny

SAP SE SAP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sap&owner=exclude&action=getcompan

y

Deutsche Bank AG DB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=db&owner=exclude&action=getcompany

Nokia Corporation NOK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nok&owner=exclude&action=getcompan

y

Novo Nordisk A/S NVO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nvo&owner=exclude&action=getcompan

y

Grupo Aval Acciones Y Valores S.A. AVAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aval&owner=exclude&action=getcompan

y

Alibaba Group BABA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=baba&owner=exclude&action=getcompa

ny

Aluminum Corporation of China Limited ACH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ach&owner=exclude&action=getcompan

y&Find=Search

Baidu, Inc. BIDU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bidu&owner=exclude&action=getcompa

ny

China Life Insurance Co. Ltd. LFC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lfc&owner=exclude&action=getcompany

China Mobile Limited CHL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=chl&owner=exclude&action=getcompany

China Petroleum & Chemical Corp. SNP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=snp&owner=exclude&action=getcompan

y

China Southern Airlines Co. LTD. ZNH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=znh&owner=exclude&action=getcompan

y

China Telecom Corp. Ltd. CHA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cha&owner=exclude&action=getcompan

y

China Unicom (Hong Kong) Limited CHU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chu&owner=exclude&action=getcompan

y

CNOOC Ltd. CEO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ceo&owner=exclude&action=getcompan

y

Page 55: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Ctrip.com International Ltd. CTRP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ctrp&owner=exclude&action=getcompan

y

Huaneng Power International, Inc. HNP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hnp&owner=exclude&action=getcompan

y

NetEase, Inc. NTES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ntes&owner=exclude&action=getcompan

y

PetroChina Co. Ltd. PTR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ptr&owner=exclude&action=getcompany

SINA Corporation SINA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sina&owner=exclude&action=getcompan

y

Yanzhou Coal Mining Co. Ltd. YZC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=yzc&owner=exclude&action=getcompany

JD.com, Inc. JD Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jd&owner=exclude&action=getcompany

58.com Inc. WUBA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wuba&owner=exclude&action=getcompa

ny

Vipshop Holdings Limited VIPS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vips&owner=exclude&action=getcompan

y

Jumei International Holding Limited JMEI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jmei&owner=exclude&action=getcompan

y

YY Inc. YY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=yy&owner=exclude&action=getcompany

Leju Holdings Limited LEJU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=leju&owner=exclude&action=getcompan

y

Bitauto Holdings Limited BITA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bita&owner=exclude&action=getcompan

y

Autohome Inc. ATHM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=athm&owner=exclude&action=getcompa

ny

Weibo Corporation WB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wb&owner=exclude&action=getcompany

Semiconductor Manufacturing Intl. Corp. SMI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=smi&owner=exclude&action=getcompan

y

Sohu.com Inc. SOHU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sohu&owner=exclude&action=getcompa

ny

SouFun Holdings Ltd. SFUN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sfun&owner=exclude&action=getcompan

y

Page 56: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Qunar Cayman Island Limited QUNR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qunr&owner=exclude&action=getcompa

ny

Cheetah Mobile Inc. CMCM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmcm&owner=exclude&action=getcomp

any

Avago Technologies Limited AVGO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=avgo&owner=exclude&action=getcompa

ny

China Biologic Products, Inc. CBPO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cbpo&owner=exclude&action=getcompa

ny

China Eastern Airlines Corporation Limited CEA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cea&owner=exclude&action=getcompan

y

Cninsure Inc. CISG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cisg&owner=exclude&action=getcompan

y

Changyou.Com Limited CYOU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cyou&owner=exclude&action=getcompa

ny

E-Commerce China Dangdang Inc. DANG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dang&owner=exclude&action=getcompa

ny

China Distance Education Holdings Limited DL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dl&owner=exclude&action=getcompany

New Oriental Education & Tech Group Inc. EDU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=edu&owner=exclude&action=getcompan

y

Phoenix New Media Limited FENG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=feng&owner=exclude&action=getcompa

ny

Guangshen Railway Company Limited GSH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gsh&owner=exclude&action=getcompan

y

China Lodging Group, Limited HTHT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=htht&owner=exclude&action=getcompan

y

Jinkosolar Holding Co., Ltd. JKS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jks&owner=exclude&action=getcompany

51job, Inc. JOBS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jobs&owner=exclude&action=getcompan

y

Momo Inc. MOMO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=momo&owner=exclude&action=getcomp

any&Find=Search

Noah Holdings Limited NOAH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=noah&owner=exclude&action=getcompa

ny

Renren Inc. RENN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=renn&owner=exclude&action=getcompa

ny

Page 57: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Sinopec Shanghai Petrochemical Co. Ltd. SHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=shi&owner=exclude&action=getcompany

Tarena International, Inc. TEDU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tedu&owner=exclude&action=getcompa

ny

Tuniu Corporation TOUR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tour&owner=exclude&action=getcompan

y

Trina Solar Limited TSL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsl&owner=exclude&action=getcompany

500.Com Limited WBAI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wbai&owner=exclude&action=getcompa

ny

Xunlei Limited XNET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xnet&owner=exclude&action=getcompa

ny

China Xiniya Fashion Limited XNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xny&owner=exclude&action=getcompan

y

Tal Education Group XRS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=xrs&owner=exclude&action=getcompany

Zhaopin Limited ZPIN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zpin&owner=exclude&action=getcompan

y&Find=Search

Enersis Americas S.A. American ENIA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=enia&owner=exclude&action=getcompan

y

Amdocs Limited DOX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dox&owner=exclude&action=getcompan

y

BlackBerry Ltd. BBRY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bbry&owner=exclude&action=getcompa

ny

Domtar Corporation UFS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ufs&owner=exclude&action=getcompany

Barrick Gold Corporation ABX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=abx&owner=exclude&action=getcompan

y&Find=Search

Goldcorp Inc. GG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gg&owner=exclude&action=getcompany

&Find=Search

Suncor Energy Inc. SU Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=su&owner=exclude&action=getcompany

Potash Corp. of Saskatchewan, Inc. POT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pot&owner=exclude&action=getcompan

y

Manulife Financial Corporation MFC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mfc&owner=exclude&action=getcompan

y

Page 58: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Canadian National Railway Company CNI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cni&owner=exclude&action=getcompany

Molson Coors Brewing Company TAP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tap&owner=exclude&action=getcompan

y

Enbridge Inc. ENB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=enb&owner=exclude&action=getcompan

y

Royal Bank of Canada RY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ry&owner=exclude&action=getcompany

Cameco Corporation CCJ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ccj&owner=exclude&action=getcompany

Canadian Solar Inc. CSIQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=csiq&owner=exclude&action=getcompan

y

Yamana Gold, Inc. AUY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=auy&owner=exclude&action=getcompan

y

Valeant Pharmaceuticals Intl., Inc. VRX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vrx&owner=exclude&action=getcompany

Kinross Gold Corporation KGC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kgc&owner=exclude&action=getcompan

y

Lululemon Athletica Inc. LULU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lulu&owner=exclude&action=getcompan

y

Sierra Wireless Inc. SWIR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=swir&owner=exclude&action=getcompan

y

CGI Group, Inc. GIB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=gib&owner=exclude&action=getcompany

Banco Bradesco S.A. BBD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bbd&owner=exclude&action=getcompan

y

Banco Santander (Brasil) S.A. BSBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bsbr&owner=exclude&action=getcompa

ny

Petroleo Brasileiro S.A. PBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbr&owner=exclude&action=getcompan

y

Telefonica Brasil, S.A. VIV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=viv&owner=exclude&action=getcompany

Vale S.A. VALE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vale&owner=exclude&action=getcompan

y

Ambev S.A. ABEV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=abev&owner=exclude&action=getcompa

ny

Page 59: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Itaú Unibanco Holding S.A. ITUB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=itub&owner=exclude&action=getcompan

y

Gerdau S.A. GGB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ggb&owner=exclude&action=getcompan

y

Petróleo Brasileiro Petrobras A-Shares PBR.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbra&owner=exclude&action=getcompa

ny

Arch Capital Group Ltd. ACGL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACGL&owner=exclude&action=getcompa

ny

Aspen Insurance Holdings Ltd. AHL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AHL&owner=exclude&action=getcompan

y

Assured Guaranty Ltd. AGO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AGO&owner=exclude&action=getcompa

ny

Marvell Technology Group Ltd. MRVL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MRVL&owner=exclude&action=getcomp

any

Kosmos Energy Ltd. KOS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KOS&owner=exclude&action=getcompan

y

Lazard Ltd. LAZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LAZ&owner=exclude&action=getcompan

y

Signet Jewelers Limited SIG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SIG&owner=exclude&action=getcompan

y

Validus Holdings, Ltd. VR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=VR&owner=exclude&action=getcompany

SeaDrill Limited SDRL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SDRL&owner=exclude&action=getcompa

ny

OneBeacon Insurance Group, Ltd. OB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=OB&owner=exclude&action=getcompany

AXIS Capital Holdings Limited AXS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AXS&owner=exclude&action=getcompan

y

Golar LNG Ltd. GLNG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GLNG&owner=exclude&action=getcomp

any

Teekay Corporation TK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=TK&owner=exclude&action=getcompany

Endurance Specialty Holdings Ltd. ENH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ENH&owner=exclude&action=getcompan

y

Everest Re Group Ltd. RE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=RE&owner=exclude&action=getcompany

Page 60: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Anheuser-Busch InBev SA/NV BUD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BUD&owner=exclude&action=getcompa

ny

WABCO Holdings Inc. WBC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WBC&owner=exclude&action=getcompa

ny

Ternium S.A. TX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=TX&owner=exclude&action=getcompany

Telecom Argentina S.A. TEO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TEO&owner=exclude&action=getcompan

y

Australian Dollar Tr ETF CurrencyShares FXA ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXA

British Pound Sterling ETFCurrencyShares FXB ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXB

Canadian Dollar Tr ETF CurrencyShares FXC ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXC

Euro Trust ETF CurrencyShares FXE ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXE

Japanese Yen Trust ETF CurrencyShares FXY ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXY

Swiss Franc Trust ETF CurrencyShares FXF ETFhttp://currencyshares.com/products/overview.rails?

symbol=FXF

Grupo Aeroportuario del Sureste, SAB de CV ASR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ASR&owner=exclude&action=getcompan

y

Crude Oil TR Index GSCI iPath S&P OIL ETFhttp://www.ipathetn.com/US/16/en/details.app?ins

trumentId=1194

0-5 Year TIPS Bond iShares STIP ETFhttp://www.ishares.com/us/products/239450/ishare

s-05-year-tips-bond-etf

20+ Year Treasury Bond iShares TLT ETFhttp://www.ishares.com/us/products/239454/ishare

s-20-year-treasury-bond-etf?periodCd=m

7-10 Year Treasury Bond iShares IEF ETFhttp://www.ishares.com/us/products/239456/ishare

s-710-year-treasury-bond-etf?periodCd=m

China Large-Cap ETF iShares FXI ETFhttp://www.ishares.com/us/products/239536/ishare

s-china-largecap-etf

Gold Trust ETF iShares IAU ETFhttp://www.ishares.com/us/products/239561/ishare

s-gold-trust-fund

India 50 ETF iShares INDY ETFhttp://www.ishares.com/us/products/239758/ishare

s-india-50-etf

Latin America 40 ETF iShares ILF ETFhttp://www.ishares.com/us/products/239761/ishare

s-latin-america-40-etf

Australia MSCI ETF iShares EWA ETF http://www.ishares.com/us/products/239607/EWA

Brazil Capped ETF MSCI iShares EWZ ETFhttp://www.ishares.com/us/products/239612/ishare

s-msci-brazil-capped-etf

BRIC ETF MSCI iShares BKF ETFhttp://www.ishares.com/us/products/239614/ishare

s-msci-bric-etf

Canada MSCI ETF iShares EWC ETF http://www.ishares.com/us/products/239615/EWC

EAFE MSCI ETF iShares EFA ETF http://www.ishares.com/us/products/239623/EFA

Page 61: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

EMU MSCI Index ETF iShares EZU ETF http://www.ishares.com/us/products/239644/EZU

France MSCI ETF iShares EWQ ETF http://www.ishares.com/us/products/239648/EWQ

Germany MSCI ETF iShares EWG ETF http://www.ishares.com/us/products/239650/EWG

Hong Kong MSCI ETF iShares EWH ETF http://www.ishares.com/us/products/239657/EWH

Japan MSCI ETF iShares EWJ ETF http://www.ishares.com/us/products/239665/EWJ

United Kingdom MSCI ETF iShares EWU ETF http://www.ishares.com/us/products/239690/EWU

Silver Trust ETF iShares SLV ETFhttp://www.ishares.com/us/products/239855/ishare

s-silver-trust-fund

US Energy ETF iShares IYE ETFhttp://www.ishares.com/us/products/239507/ishare

s-us-energy-etf

US Healthcare ETF iShares IYH ETFhttp://www.ishares.com/us/products/239511/ishare

s-us-healthcare-etf

US Real Estate ETF iShares IYR ETFhttp://www.ishares.com/us/products/239520/ishare

s-us-real-estate-etf?periodCd=m

US Technology ETF iShares IYW ETFhttp://www.ishares.com/us/products/239522/ishare

s-us-technology-etfMarket Vectors Russia ETF RSX ETF http://www.vaneck.com/funds/RSX.aspx

Insured National Muni Bd ETF PowerShares PZA ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=PZA

Dow Jones Industrial Average ETF SPDR DIA ETFhttps://www.spdrs.com/product/fund.seam?ticker=

DIA

EURO STOXX 50 ETF SPDR FEZ ETFhttps://www.spdrs.com/product/fund.seam?ticker=

FEZ

S&P 500 ETF Trust SPDR SPY ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SPY

Emerging Markets Stock Idx ETF Vanguard VWO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0964&FundIntExt=INT

Growth ETF Vanguard VUG ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0967&FundIntExt=INT

Interm-Tm Corp Bd Idx ETF Vanguard VCIT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3146&FundIntExt=INT

Large Cap ETF Vanguard VV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0967&FundIntExt=INT

Long-Term Corp Bond Idx ETF Vanguard VCLT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3147&FundIntExt=INT

Mid-Cap ETF Vanguard VO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0939&FundIntExt=INT

Mid-Cap Growth ETF Vanguard VOT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0932&FundIntExt=INT

Mid-Cap Value ETF Vanguard VOE ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0935&FundIntExt=INT

Pacific Stock Index ETF Vanguard VPL ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0962&FundIntExt=INT

Short-Term Corp Bd Idx ETF Vanguard VCSH ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3145&FundIntExt=INT

Small Cap ETF Vanguard VB ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0969&FundIntExt=INT

Page 62: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Small Cap Growth ETF Vanguard VBK ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0938&FundIntExt=INT

Small Cap Value ETF Vanguard VBR ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0937&FundIntExt=INT

Value ETF Vanguard VTV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0966&FundIntExt=INT

Gold Miners Market Vectors ETF GDX ETF

http://www.vaneck.com/market-vectors/equity-

etfs/gdx/snapshot/?utm_source=google&utm_medi

um=cpc&utm_campaign=gdx&utm_term=gdx

Russell 2000 Value iShares IWN ETF

http://www.ishares.com/us/products/239712/ishare

s-russell-2000-value-

etf?cid=ppc%3Aishares_us%3Agoogle%3Aiwn&utm_

medium=cpc&utm_campaign=exact_tickers+new+bl

r-

isg&utm_source=google&utm_term=iwn&cmp=ishar

es_us&chn=ppc&c=google&kw=iwn

FTSE Developed Market Index ETF Vanguard VEA ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0936&FundIntExt=INT

S-T Inf-Protected Treasury Bond Vanguard VTIP ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3365&FundIntExt=INT

US Total Bond Market Index ETF Vanguard BND ETF

https://advisors.vanguard.com/VGApp/iip/site/advis

or/investments/productoverview?fundId=0928&WT.

mc_id=2012FASSearch

Corporate Bond Index ETF iShares LQD ETF

http://www.ishares.com/us/products/239566/ishare

s-iboxx-investment-grade-corporate-bond-

etf?cid=ppc%3Aishares_us%3Agoogle%3Alqd&utm_

medium=cpc&utm_campaign=exact_income+priorit

y_ip_tickers+blr-

isg&utm_source=google&utm_term=lqd&cmp=ishar

es_us&chn=ppc&c=google&kw=lqd

Total International Bond Index Vanguard BNDX ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3711&FundIntExt=INT

Emerging Markets Gvt Bond Index Vanguard VWOB ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3820&FundIntExt=INT

Russell 2000 iShares ETF IWM ETF

http://www.ishares.com/us/products/239710/ishare

s-russell-2000-

etf?cid=ppc%3Aishares_us%3Agoogle%3Aiwm&utm

_medium=cpc&utm_campaign=exact_tickers+new+

blr-

isg&utm_source=google&utm_term=iwm&cmp=isha

res_us&chn=ppc&c=google&kw=iwm

Financial Select Sector SPDR XLF ETFhttps://www.spdrs.com/product/fund.seam?ticker=

xlf

U.S. Total Stock Market Index Vanguard VTI ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0970&FundIntExt=INT

Utilities Select Sector SPDR XLU ETFhttps://www.spdrs.com/product/fund.seam?ticker=

xlu

Energy Select Sector SPDR XLE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLE

Industrial Select Sector SPDR XLI ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLI

Technology Sector SPDR XLK ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLK

Page 63: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Consumer Staples Select Sector SPDR XLP ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLP

Health Care Select Sector SPDR XLV ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLV

India MSCI ETF iShares INDA ETF http://www.ishares.com/us/products/239659/INDA

FTSE Europe ETF Vanguard VGK ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0963&FundIntExt=INT

REIT Vanguard ETF VNQ ETFhttps://advisors.vanguard.com/VGApp/iip/site/advis

or/investments/productoverview?fundId=0986

United States Oil Fund USO ETFhttp://www.unitedstatescommodityfunds.com/fund-

details.php?fund=uso

Mexico MSCI Capped ETF iShares EWW ETFhttp://www.ishares.com/us/products/239670/ishare

s-msci-mexico-capped-etf

South Korea MSCI Capped ETF iShares EWY ETFhttp://www.ishares.com/us/products/239681/EWY?

referrer=tickerSearch

Russell 1000 Growth ETF iShares IWF ETFhttp://www.ishares.com/us/products/239706/IWF?r

eferrer=tickerSearch

Russell 1000 Value ETF iShares IWD ETFhttp://www.ishares.com/us/products/239708/IWD?

referrer=tickerSearch

Russell 2000 Growth ETF iShares IWO ETFhttp://www.ishares.com/us/products/239709/IWO?

referrer=tickerSearch

Materials Select Sector SPDR ETF XLB ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLB

Consumer Discret Sel Sect SPDR ETF XLY ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XLY

S&P Insurance SPDR ETF KIE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

KIE

S&P Biotech SPDR ETF XBI ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XBI

Telecommunication Services Vanguard ETF VOX ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0959&FundIntExt=INT

S&P Retail SPDR ETF XRT ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XRT

US Consumer Services iShares IYC ETF http://www.ishares.com/us/products/239506/IYC

US Consumer Goods iShares IYK ETF http://www.ishares.com/us/products/239505/IYK

Dynamic Food & Beverage PowerShares ETF PBJ ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=PBJ

S&P Telecom SPDR ETF XTL ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XTLShort Dow30 ProShares DOG ETF http://www.proshares.com/funds/dog.htmlShort S&P500 ProShares SH ETF http://www.proshares.com/funds/sh.html

Short Russell2000 ProShares RWM ETF http://www.proshares.com/funds/rwm.html

Asia 50 ETF iShares AIA ETFhttp://www.ishares.com/us/products/239730/AIA?r

eferrer=tickerSearch

China MSCI ETF iShares MCHI ETFhttp://www.ishares.com/us/products/239619/MCHI

?referrer=tickerSearch

Indonesia MSCI ETF iShares EIDO ETF http://www.ishares.com/us/products/239661/EIDO

Philippines MSCI ETF iShares EPHE ETF http://www.ishares.com/us/products/239675/EPHE

Page 64: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Taiwan MSCI ETF iShares EWT ETFhttp://www.ishares.com/us/products/239686/EWT?

referrer=tickerSearch

Singapore MSCI ETF iShares EWS ETF http://www.ishares.com/us/products/239678/EWS

Core Pacific MSCI ETF iShares IPAC ETF http://www.ishares.com/us/products/264619/IPAC

South Africa MSCI ETF iShares EZA ETF http://www.ishares.com/us/products/239680/EZA

S&P Transportation SPDR ETF XTN ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XTN

S&P Pharmaceuticals SPDR ETF XPH ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XPH

S&P Aerospace & Defense SPDR ETF XAR ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XAR

S&P Software & Services SPDR ETF XSW ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XSW

S&P Health Care Equipment SPDR ETF XHE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XHE

First Trust ISE Cloud Computing ETF SKYY ETFhttp://www.ftportfolios.com/Retail/Etf/EtfSummary

.aspx?Ticker=SKYY

S&P Capital Markets SPDR ETF KCE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

KCE

Consumer Staples Vanguard ETF VDC ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0955&FundIntExt=INT

S&P Bank SPDR ETF KBE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

KBE

S&P US Preferred Stock Index iShares PFF ETF http://www.ishares.com/us/products/239826/PFF

Fundamental High Yld Corp Bd Powershares PHB ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=PHB

Buyback Achievers Powershares PKW ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=PKW

SPDR S&P 1000 ETF SMD ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SMD

S&P Health Care Services SPDR ETF XHS ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XHS

Morgan Stanley Technology SPDR ETF MTK ETFhttps://www.spdrs.com/product/fund.seam?ticker=

MTK

S&P Semiconductor SPDR ETF XSD ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XSD

S&P Regional Banking SPDR ETF KRE ETFhttps://www.spdrs.com/product/fund.seam?ticker=

KRE

S&P Metals and Mining SPDR ETF XME ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XME

S&P Homebuilders SPDR ETF XHB ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XHB

PowerShares QQQ QQQ ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=QQQ

S&P 500 Vanguard ETF VOO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0968&FundIntExt=INT

Total International Stock Vanguard ETF VXUS ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3369&FundIntExt=INT

Total World Stock Vanguard ETF VT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3141&FundIntExt=INT

Page 65: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Core S&P 500 iShares ETF IVV ETF http://www.ishares.com/us/products/239726/IVV

Core S&P Total US Stock Mkt iShares ETF ITOT ETF http://www.ishares.com/us/products/239724/ITOT

Core MSCI Total Intl Stk iShares ETF IXUS ETF http://www.ishares.com/us/products/244048/IXUS

MSCI ACWI iShares ETF ACWI ETF http://www.ishares.com/us/products/239600/ACWI

USA Minimum Volatility MSCI iShares USMV ETFhttp://www.ishares.com/us/products/239695/USM

V

Japan Hedged Equity WisdomTree ETF DXJ ETFhttp://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=18

Europe Hedged Equity WisdomTree ETF HEDJ ETFhttp://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=73

Deutsche X-trackers MSCI EAFE Hedged Eq DBEF ETFhttps://etfus.deutscheawm.com/deutsche-x-trackers-

msci-eafe-hedged-equity-etf

Select Dividend iShares ETF DVY ETFhttp://www.ishares.com/us/products/239500/ishare

s-select-dividend-etfCSI China Internet KraneShares ETF KWEB ETF http://kraneshares.com/kweb/Interest Rate Hedged ProShares ETF IGHG ETF http://www.proshares.com/funds/ighg.html

Core US Aggregate Bond iShares AGG ETF http://www.ishares.com/us/products/239458/AGG

Short Emerging Markets MSCI ProShares EUM ETF http://www.proshares.com/funds/eum.htmlShort QQQ ProShares PSQ ETF http://www.proshares.com/funds/psq.html

Malaysia MSCI iShares EWM ETF http://www.ishares.com/us/products/239669/EWM

DB US Dollar Bullish PowerShares UUP ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=UUP

TIPS Bond iShares TIP ETF http://www.ishares.com/us/products/239467/TIP

DB Agriculture PowerShares DBA ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=DBA

National AMT-Free Muni Bond iShares MUB ETF http://www.ishares.com/us/products/239766/MUB

MBS iShares MBB ETF http://www.ishares.com/us/products/239465/MBB

Gold Shares SPDR GLD ETF http://www.sectorspdr.com/sectorspdr/etf/gld

Pacific excluding Japan MSCI iShares EPP ETF http://www.ishares.com/us/products/239674/EPP

DB Commodity Tracking PowerShares DBC ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=DBC

1-3 Year Treasury Bond iShares SHY ETF http://www.ishares.com/us/products/239452/SHY

Barclays High Yield Bond SPDR JNK ETF http://www.sectorspdr.com/sectorspdr/etf/jnk

JPMorgan USD Emerg Markets Bond iShares EMB ETF http://www.ishares.com/us/products/239572/EMB

Nuveen Barclays ST Muni Bd SPDR SHM ETF http://www.sectorspdr.com/sectorspdr/etf/shm

MSCI Emerging Markets ETF iShares EEM ETFhttps://www.ishares.com/us/products/239637/ishar

es-msci-emerging-markets-etf

FTSE All-World ex-US ETF Vanguard VEU ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0991&FundIntExt=INTFTSE Emerging Mkts Plus KraneShares ETF KEMP ETF http://kraneshares.com/kemp/

E China Comrcl Paper Kraneshares ETF KCNY ETF http://kraneshares.com/kcny/Bosera MSCI China A Kraneshares ETF KBA ETF http://kraneshares.com/kba/

Page 66: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

CSI New China KraneShares ETF KFYP ETF http://kraneshares.com/kfyp/

iBillionaire Index Direxion ETF IBLN ETFhttp://www.direxioninvestments.com/products/dire

xion-ibillionaire-index-etfO'Shares FTSE U.S. Quality Dividend OUSA ETF http://oshares.com/ousa/

Currency Hedged MSCI Germany iShares HEWG ETFhttp://www.ishares.com/us/products/259623/ishare

s-currency-hedged-msci-germany-etf

Currency Hedged MSCI Eurozone iShares HEZU ETFhttp://www.ishares.com/us/products/268708/HEZU

?referrer=tickerSearch

Currency Hedged MSCI Japan iShares HEWJ ETFhttp://www.ishares.com/us/products/259624/HEWJ

?referrer=tickerSearch

Curency Hedged MSCI EAFE iShares HEFA ETFhttp://www.ishares.com/us/products/259622/HEFA

?referrer=tickerSearch

Currecny Hedged MSCI Spain iShares HEWP ETFhttp://www.ishares.com/us/products/273753/HEW

P?referrer=tickerSearch

Currency Hedged MSCI Emerg Mkts iShares HEEM ETFhttp://www.ishares.com/us/products/268704/HEEM

?referrer=tickerSearch

Currency Hedged MSCI Italy iShares HEWI ETFhttp://www.ishares.com/us/products/273746/HEWI

?referrer=tickerSearch

Currency Hedged MSCI United Kingdom HEWU ETFhttp://www.ishares.com/us/products/273763/HEW

U?referrer=tickerSearch

Currency Hedged MSCI Australia iShares HAUD ETFhttp://www.ishares.com/us/products/273743/HAUD

?referrer=tickerSearch

Currency Hedged MSCI Mexico iShares HEWW ETFhttp://www.ishares.com/us/products/273748/HEW

W?referrer=tickerSearch

Currency Hedged MSCI South Korea iShares HEWY ETFhttp://www.ishares.com/us/products/273750/HEW

Y?referrer=tickerSearch

Currency Hedged MSCI ACWI iShares HAWX ETFhttp://www.ishares.com/us/products/273768/HAW

X?referrer=tickerSearch

Currency Hedged MSCI Canada iShares HEWC ETFhttp://www.ishares.com/us/products/273775/HEW

C?referrer=tickerSearch

Currency Hedged MSCI EAFE Sm-Cap iShares HSCZ ETFhttp://www.ishares.com/us/products/273771/HSCZ

?referrer=tickerSearch

U.S Broad Market Schwab SCHB ETF

https://www.csimfunds.com/public/csim/home/pro

ducts/exchange_traded_funds/summary.html?&&sy

mbol=SCHB

S&P Global 100 Index iShares IOO ETFhttp://www.ishares.com/us/products/239737/ishare

s-global-100-etf

S&P 100 Index iShares OEF ETFhttp://www.ishares.com/us/products/239723/OEF?r

eferrer=tickerSearch

Russell 1000 Index iShares IWB ETFhttp://www.ishares.com/us/products/239707/IWB?

referrer=tickerSearch

S&P 500 Growth Index iShares IVW ETFhttp://www.ishares.com/us/products/239725/IVW?

referrer=tickerSearch

S&P 500 Value Index iShares IVE ETFhttp://www.ishares.com/us/products/239728/IVE?r

eferrer=tickerSearch

S&P Dividend SPDR SDY ETFhttps://www.spdrs.com/product/fund.seam?ticker=

sdy

S&P 500 Growth Vanguard VOOG ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3341&FundIntExt=INT

S&P 500 Value Vanguard VOOV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3340&FundIntExt=INT

Mega-Cap 300 Value Vanguard MGC ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3137&FundIntExt=INT

Russell 3000 Index iShares IWV ETFhttp://www.ishares.com/us/products/239714/ishare

s-russell-3000-etf

Page 67: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Russell 3000 Vanguard VTHR ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3354&FundIntExt=INT

Russell MidCap Index iShares IWR ETF http://www.ishares.com/us/products/239718/IWR

S&P MidCap 400 Index iShares IJH ETF http://www.ishares.com/us/products/239763/IJH

DWA Momentum Port PowerShares PDP ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=PDP

S&P MidCap 400 Vanguard IVOO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3342&FundIntExt=INT

MSCI ACWI ex US Index iShares ACWX ETFhttp://www.ishares.com/us/products/239594/ACW

X

MSCI EAFE Growth Index iShares EFG ETF http://www.ishares.com/us/products/239622/EFG

MSCI EAFE Value Index iShares EFV ETF http://www.ishares.com/us/products/239628/EFV

MSCI Italy Capped iShares EWI ETF http://www.ishares.com/us/products/239664/EWI

MSCI Spain Capped iShares EWP ETF http://www.ishares.com/us/products/239683/EWP

North American Natural Resources iShares IGE ETF http://www.ishares.com/us/products/239768/IGE

Dow Jones US Financial iShares IYF ETF http://www.ishares.com/us/products/239508/IYF

Nasdaq Biotechnology iShares IBB ETF http://www.ishares.com/us/products/239699/IBB

Industrials Vanguard VIS ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0953&FundIntExt=INT

Dow Jones US Materials iShares IYM ETF http://www.ishares.com/us/products/239503/IYM

Dow Jones US Telecommunications iShares IYZ ETF http://www.ishares.com/us/products/239523/IYZ

Utilities Vanguard VPU ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0960&FundIntExt=INT

S&P GSCI Commodity-Indexed Trust iShares GSG ETF https://www.ishares.com/us/products/239757/GSG

Discovery Communications, Inc. Class C DISCK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DISCK&owner=exclude&action=getcomp

any

HCA Holdings, Inc. HCA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HCA&owner=exclude&action=getcompan

y

Qorvo, Inc. QRVO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=QRVO&owner=exclude&action=getcomp

any

Skyworks Solutions Inc. SWKS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SWKS&owner=exclude&action=getcomp

any

Viacom, Inc. Class B VIAB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VIAB&owner=exclude&action=getcompa

ny

Hailiang Education Group Inc. HLG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HLG&owner=exclude&action=getcompan

y

Page 68: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Blue Buffalo Pet Products, Inc. BUFF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BUFF&owner=exclude&action=getcompa

ny

Copa Holdings SA CPA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CPA&owner=exclude&action=getcompan

y

Acadia Healthcare Company, Inc. ACHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACHC&owner=exclude&action=getcompa

ny

AmTrust Financial Services, Inc. AFSI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AFSI&owner=exclude&action=getcompan

y

Agios Pharmaceuticals, Inc. AGIO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AGIO&owner=exclude&action=getcompa

ny

Akorn, Inc. AKRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AKRX&owner=exclude&action=getcompa

ny

TD Ameritrade Holding Corporation AMTD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AMTD&owner=exclude&action=getcomp

any

Arista Networks, Inc. ANET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ANET&owner=exclude&action=getcompa

ny

AO Smith Corp. AOS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AOS&owner=exclude&action=getcompan

y

Artisan Partners Asset Management Inc. APAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=APAM&owner=exclude&action=getcomp

any

Apple Hospitality REIT, Inc. APLE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=APLE&owner=exclude&action=getcompa

ny

Associated Banc-Corp ASB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ASB&owner=exclude&action=getcompan

y

Axalta Coating Systems Ltd. AXTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AXTA&owner=exclude&action=getcompa

ny

Brunswick Corporation BC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=BC&owner=exclude&action=getcompany

Brown-Forman Corp Class A BF.A Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=bfa&owner=exclude&action=getcompany

Black Knight Financial Services, Inc. BKFS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BKFS&owner=exclude&action=getcompa

ny

bluebird bio, Inc. BLUE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BLUE&owner=exclude&action=getcompa

ny

Credit Acceptance Corp. CACC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CACC&owner=exclude&action=getcompa

ny

Page 69: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

MSCI Emerging Markets Asia iShares EEMA ETFhttps://www.ishares.com/us/products/239629/EEM

A

MSCI Israel Capped iShares EIS ETF https://www.ishares.com/us/products/239663/EIS

MSCI USA Quality Factor iShares QUAL ETFhttps://www.ishares.com/us/products/256101/QUA

L

Global Clean Energy iShares ICLN ETF https://www.ishares.com/us/products/239738/ICLN

Russell Mid-Cap Growth iShares IWP ETF https://www.ishares.com/us/products/239717/IWP

Russell Mid-Cap Value iShares IWS ETF https://www.ishares.com/us/products/239719/IWS

International Select Dividend iShares IDV ETF https://www.ishares.com/us/products/239499/IDV

MSCI Sweden iShares EWD ETF https://www.ishares.com/us/products/239684/EWD

MSCI Switzerland Capped iShares EWL ETF https://www.ishares.com/us/products/239685/EWL

US Home Construction iShares ITB ETF https://www.ishares.com/us/products/239512/ITB

US Industrials iShares IYJ ETF https://www.ishares.com/us/products/239514/IYJ

North American Tech-Software iShares IGV ETF https://www.ishares.com/us/products/239771/IGV

US Utilities iShares IDU ETF https://www.ishares.com/us/products/239524/IDU

Global Consumer Discretionary iShares RXI ETF https://www.ishares.com/us/products/239739/RXI

Global Consumer Staples iShares KXI ETF https://www.ishares.com/us/products/239740/KXI

Global Energy iShares IXC ETF https://www.ishares.com/us/products/239741/IXC

Global Financials iShares IXG ETF https://www.ishares.com/us/products/239742/IXG

Global Healthcare iShares IXJ ETF https://www.ishares.com/us/products/239744/IXJ

Global Industrials iShares EXI ETF https://www.ishares.com/us/products/239745/EXI

Global Materials iShares MXI ETF https://www.ishares.com/us/products/239748/MXI

Global Tech iShares IXN ETF https://www.ishares.com/us/products/239750/IXN

Global Telecom iShares IXP ETF https://www.ishares.com/us/products/239751/IXP

Global Utilities iShares JXI ETF https://www.ishares.com/us/products/239753/JXI

Synaptics Inc. SYNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SYNA&owner=exclude&action=getcompa

ny

CoreSite Realty Corporation COR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=COR&owner=exclude&action=getcompan

y

Crown Holdings Inc. CCK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CCK&owner=exclude&action=getcompan

y

Page 70: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

CDK Global, Inc. CDK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CDK&owner=exclude&action=getcompan

y

Citizens Financial Group, Inc. CFG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CFG&owner=exclude&action=getcompan

y

Cognex Corporation CGNX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CGNX&owner=exclude&action=getcomp

any

Continental Resources, Inc. CLR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLR&owner=exclude&action=getcompan

y

CommScope Holding Company, Inc. COMM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=COMM&owner=exclude&action=getcom

pany

California Resources Corporation CRC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CRC&owner=exclude&action=getcompan

y

Communications Sales & Leasing, Inc. CSAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CSAL&owner=exclude&action=getcompa

ny

CVR Energy, Inc. CVI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CVI&owner=exclude&action=getcompan

y

Concho Resources, Inc. CXO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CXO&owner=exclude&action=getcompan

y

Corrections Corporation of America CXW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CXW&owner=exclude&action=getcompa

ny

Cypress Semiconductor Corporation CY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=CY&owner=exclude&action=getcompany

Community Health Systems, Inc. CYH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CYH&owner=exclude&action=getcompan

y

DexCom, Inc. DXCM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DXCM&owner=exclude&action=getcomp

any

Equity Commonwealth EQC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EQC&owner=exclude&action=getcompan

y

Empire State Realty Trust, Inc. ESRT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ESRT&owner=exclude&action=getcompa

ny

Diamondback Energy, Inc. FANG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FANG&owner=exclude&action=getcompa

ny

Fortune Brands Home & Security, Inc. FBHS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FBHS&owner=exclude&action=getcompa

ny

Forest City Enterprises Inc. (Class A) FCE.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fcea&owner=exclude&action=getcompan

y

Page 71: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Fidelity National Financial, Inc. FNF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fnf&owner=exclude&action=getcompany

Twenty-First Century Fox, Inc. (Class B) FOX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fox&owner=exclude&action=getcompany

Federal Realty Investment Trust FRT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=frt&owner=exclude&action=getcompany

Graphic Packaging Holding Company GPK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gpk&owner=exclude&action=getcompan

y

Hospitality Properties Trust HPT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hpt&owner=exclude&action=getcompan

y

Interactive Brokers Group, Inc. IBKR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ibkr&owner=exclude&action=getcompan

y

Inovalon Holdings, Inc. INOV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=inov&owner=exclude&action=getcompan

y

World Fuel Services Corp. INT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=int&owner=exclude&action=getcompany

Opko Health, Inc. OPK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=opk&owner=exclude&action=getcompan

y

O'Shares FTSE Asia Pacific Quality Dividend OASI ETF http://oshares.com/oasi-asia/

O'Shares FTSE Europe Quality Dividend OEUR ETF http://oshares.com/oeur-europe/

Ionis Pharmaceuticals, Inc. IONS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ions&owner=exclude&action=getcompan

y

JB Hunt Transport Services Inc. JBHT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jbht&owner=exclude&action=getcompan

y

Juno Therapeutics Inc. JUNO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=juno&owner=exclude&action=getcompa

ny

John Wiley & Sons Inc. (Class A) JW.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jwa&owner=exclude&action=getcompan

y&Find=Search

Keysight Technologies, Inc. KEYS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=keys&owner=exclude&action=getcompa

ny

LendingClub Corporation LC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lc&owner=exclude&action=getcompany

Springleaf Holdings, Inc. OMF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=omf&owner=exclude&action=getcompan

y

Lincoln Electric Holdings Inc. LECO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=leco&owner=exclude&action=getcompan

y

Page 72: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Lennar Corporation (Class B) LEN.B Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=len&owner=exclude&action=getcompany

LPL Financial Holdings Inc. LPLA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lpla&owner=exclude&action=getcompan

y

Mid-America Apartment Communities Inc. MAA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=maa&owner=exclude&action=getcompan

y

Macquarie Infrastructure Corporation MIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mic&owner=exclude&action=getcompan

y

Michaels Companies, Inc., The MIK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mik&owner=exclude&action=getcompan

y

Memorial Resource Development Corp. MRD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mrd&owner=exclude&action=getcompan

y

National Instruments Corporation NATI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nati&owner=exclude&action=getcompan

y

National Retail Properties, Inc. NNN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nnn&owner=exclude&action=getcompan

y

ServiceNow, Inc. NOW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=now&owner=exclude&action=getcompan

y

Northstar Asset Management Group Inc. NSAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nsam&owner=exclude&action=getcompa

ny

News Corporation (Class B) NWS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nws&owner=exclude&action=getcompan

y

Orbital ATK, Inc. OA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=oa&owner=exclude&action=getcompany

Puma Biotechnology, Inc. PBYI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pbyi&owner=exclude&action=getcompan

y

Piedmont Office Realty Trust Inc. PDM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pdm&owner=exclude&action=getcompa

ny

Paramount Group, Inc. PGRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pgre&owner=exclude&action=getcompa

ny

Reinsurance Group of America Inc. RGA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rga&owner=exclude&action=getcompany

Realogy Holdings Corp. RLGY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rlgy&owner=exclude&action=getcompan

y

RenaissanceRe Holdings Ltd. RNR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rnr&owner=exclude&action=getcompany

Page 73: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Retail Properties of America, Inc. RPAI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rpai&owner=exclude&action=getcompan

y

SBA Communications Corp. SBAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbac&owner=exclude&action=getcompa

ny

Sally Beauty Holdings Inc. SBH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbh&owner=exclude&action=getcompan

y

Southern Copper Corp. SCCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=scco&owner=exclude&action=getcompan

y

Service Corporation International SCI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sci&owner=exclude&action=getcompany

ServiceMaster Global Holdings, Inc. SERV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=serv&owner=exclude&action=getcompan

y

Liberty Broadband Corporation - Class A LBRDA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lbrda&owner=exclude&action=getcompa

ny

Liberty Media Corporation LMCK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lmck&owner=exclude&action=getcompa

ny

Liberty Interactive Corp - Ventures A LVNTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lvnta&owner=exclude&action=getcompa

ny

SVB Financial Group SIVB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sivb&owner=exclude&action=getcompan

y

Tanger Factory Outlet Centers Inc. SKT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=skt&owner=exclude&action=getcompany

Skechers USA Inc. SKX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=skx&owner=exclude&action=getcompany

Silgan Holdings Inc. SLGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=slgn&owner=exclude&action=getcompan

y

SLM Corporation SLM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=slm&owner=exclude&action=getcompan

y

SM Energy Company SM Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sm&owner=exclude&action=getcompany

Spectrum Brands Holdings, Inc. SPB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=spb&owner=exclude&action=getcompan

y

Spirit AeroSystems Holdings, Inc. SPR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=spr&owner=exclude&action=getcompany

Spirit Realty Capital, Inc. SRC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=src&owner=exclude&action=getcompany

Page 74: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

SS&C Technologies Holdings, Inc. SSNC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ssnc&owner=exclude&action=getcompan

y

Extended Stay America, Inc. STAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=stay&owner=exclude&action=getcompan

y

Starwood Property Trust, Inc. STWD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=stwd&owner=exclude&action=getcompa

ny

Synchrony Financial SYF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=syf&owner=exclude&action=getcompany

Tahoe Resources Inc. TAHO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=taho&owner=exclude&action=getcompa

ny

Taubman Centers, Inc. TCO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tco&owner=exclude&action=getcompany

TransDigm Group Incorporated TDG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tdg&owner=exclude&action=getcompan

y

Telephone & Data Systems Inc. TDS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tds&owner=exclude&action=getcompany

Teradyne Inc. TER Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ter&owner=exclude&action=getcompany

TerraForm Power, Inc. TERP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=terp&owner=exclude&action=getcompan

y

TFS Financial Corp TFSL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tfsl&owner=exclude&action=getcompany

Triumph Group, Inc. TGI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tgi&owner=exclude&action=getcompany

Timken Company, The TKR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tkr&owner=exclude&action=getcompany

Tribune Media Company TRCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trco&owner=exclude&action=getcompan

y

Targa Resources Corp. TRGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trgp&owner=exclude&action=getcompan

y

Trimble Navigation Limited TRMB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trmb&owner=exclude&action=getcompa

ny

Two Harbors Investment Corp. TWO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=two&owner=exclude&action=getcompan

y

Liberty Broadband Corporation - Series C LBRDK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lbrdk&owner=exclude&action=getcompa

ny

Page 75: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Liberty Interactive Corporation - Class A QVCA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qvca&owner=exclude&action=getcompa

ny

Ultimate Software Group, Inc., The ULTI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ulti&owner=exclude&action=getcompany

United Therapeutics Corporation UTHR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uthr&owner=exclude&action=getcompan

y

Vista Outdoor Inc. VSTO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vsto&owner=exclude&action=getcompan

y

VWR Corporation VWR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vwr&owner=exclude&action=getcompan

y

Workday, Inc. WDAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wday&owner=exclude&action=getcompa

ny

Waddell & Reed Financial, Inc. WDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wdr&owner=exclude&action=getcompan

y

WEX Inc. WEX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wex&owner=exclude&action=getcompan

y

Westlake Chemical Corp. WLK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wlk&owner=exclude&action=getcompan

y

W. P. Carey Inc. WPC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wpc&owner=exclude&action=getcompan

y

WP GLIMCHER Inc. WPG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wpg&owner=exclude&action=getcompan

y

Westar Energy, Inc. WR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wr&owner=exclude&action=getcompany

Weingarten Realty Investors WRI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=wri&owner=exclude&action=getcompany

Watsco Inc. WSO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wso&owner=exclude&action=getcompan

y

White Mountains Insurance Group, Ltd. WTM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wtm&owner=exclude&action=getcompa

ny

Intrexon Corporation XON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=xon&owner=exclude&action=getcompan

y

Zayo Group Holdings, Inc. ZAYO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zayo&owner=exclude&action=getcompa

ny

Daily CSI 300 China A Shares Bear Direxion ETF CHAD ETFhttp://www.direxioninvestments.com/products/dire

xion-daily-csi-300-china-a-share-bear-1x-shares

Page 76: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Pattern Energy Group Inc. PEGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pegi&owner=exclude&action=getcompan

yMarket Vectors EM Local Currency Bnd ETF EMLC ETF http://www.vaneck.com/funds/EMLC.aspx

Prospect Capital Corporation PSEC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=psec&owner=exclude&action=getcompa

ny

Zillow Group, Inc. - Class A Shares ZG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=zg&owner=exclude&action=getcompany

Papa John's International Inc. PZZA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pzza&owner=exclude&action=getcompa

ny

Home Bancshares, Inc. HOMB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=homb&owner=exclude&action=getcomp

any

Cal-Maine Foods, Inc. CALM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=calm&owner=exclude&action=getcompa

ny

Grupo Aeroportuario del Pacifico, S.A.B. PAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pac&owner=exclude&action=getcompan

y

MicroStrategy Inc. MSTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mstr&owner=exclude&action=getcompa

ny

Casey's General Stores, Inc. CASY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=casy&owner=exclude&action=getcompan

y

American Woodmark Corp. AMWD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amwd&owner=exclude&action=getcomp

any

Chemed Corp. CHE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=che&owner=exclude&action=getcompan

y

Allgiant Travel Company ALGT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=algt&owner=exclude&action=getcompan

y

Alliance Resource Partners LP ARLP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=arlp&owner=exclude&action=getcompan

y

China Cord Blood Corporation CO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=co&owner=exclude&action=getcompany

VelocityShares Daily Inverse VIX Short-Term

ETNXIV ETF http://www.velocitysharesetns.com/xiv

ProShares Short 20+ Year Treasury ETF TBF ETF http://www.proshares.com/funds/tbf.htmlProShares Short MSCI EAFE ETF EFZ ETF http://www.proshares.com/funds/efz.htmlProShares Short Real Estate ETF REK ETF http://www.proshares.com/funds/rek.html

AdvisorShares Ranger Equity Bear ETF HDGE ETF http://www.advisorshares.com/fund/hdge

Russell 1000 Growth Vanguard ETF VONG ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3350&FundIntExt=INT

Randgold Resources Limited GOLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gold&owner=exclude&action=getcompan

y

Page 77: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Teck Resources Limited TCK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tck&owner=exclude&action=getcompany

Encana Corporation ECA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eca&owner=exclude&action=getcompan

y

Blackstone Group L.P., The BX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=bx&owner=exclude&action=getcompany

Natural Health Trends Corp. NHTC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nhtc&owner=exclude&action=getcompa

ny

Flextronics International Ltd. FLEX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=flex&owner=exclude&action=getcompan

y

ReneSola Ltd. SOL  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sol&owner=exclude&action=getcompany

China Digital TV Holding Co., Ltd. STV  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=stv&owner=exclude&action=getcompany

LightInTheBox Holding Co., Ltd. LITB  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=litb&owner=exclude&action=getcompany

Xinyuan Real Estate Co., Ltd. XIN  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=xin&owner=exclude&action=getcompany

NQ Mobile Inc. NQ  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nq&owner=exclude&action=getcompany

Baozun Inc. BZUN  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bzun&owner=exclude&action=getcompa

ny

AirMedia Group Inc. AMCN  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amcn&owner=exclude&action=getcompa

ny

Kongzhong Corp. KZ  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kz&owner=exclude&action=getcompany

ChinaCache International Holdings Ltd. CCIH  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ccih&owner=exclude&action=getcompan

y

JA Solar Holdings Co., Ltd. JASO  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=jaso&owner=exclude&action=getcompan

y

Jupai Holdings Limited JP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jp&owner=exclude&action=getcompany

eHi Car Services Limited EHIC  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ehic&owner=exclude&action=getcompan

y

iKang Healthcare Group, Inc. KANG  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=kang&owner=exclude&action=getcompa

ny

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Daqo New Energy Corp. DQ  Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=dq&owner=exclude&action=getcompany

21Vianet Group, Inc. VNET  Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vnet&owner=exclude&action=getcompa

ny

Dividend Appreciation Vanguard ETF VIG ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0920&FundIntExt=INT

Short-Term Bond ETF Vanguard BSV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0924&FundIntExt=INT

Core S&P Small-Cap ETF iShares IJR ETFhttps://www.ishares.com/us/products/239774/IJR?r

eferrer=tickerSearch

Check Point Software Technologies Ltd. CHKP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chkp&owner=exclude&action=getcompa

nyS&P MidCap 400 ETF SPDR MDY ETF http://www.mdyhealthcare.com/ir

iBoxx $ High Yield Corporate Bd iShares HYG ETFhttps://www.ishares.com/us/products/239565/ishar

es-iboxx-high-yield-corporate-bond-etf

Plains GP Holdings, L.P. PAGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pagp&owner=exclude&action=getcompa

ny

Mobileye N.V. MBLY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mbly&owner=exclude&action=getcompa

ny

High Dividend Yield ETF Vanguard VYM ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0923&FundIntExt=INT

Autoliv, Inc. ALV Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=alv&owner=exclude&action=getcompany

S&P 500 Equal Weight ETF Guggenheim RSP ETF http://rsppermian.investorroom.com/

CNH Industrial N.V. CNHI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnhi&owner=exclude&action=getcompan

y

AerCap Holdings N.V. AER Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aer&owner=exclude&action=getcompany

Alerian MLP ETF ALPS AMLP ETF http://www.alpsfunds.com/AMLP

Sensata Technologies Holding NV ST Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=st&owner=exclude&action=getcompany

Willis Towers Watson plc WLTW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wltw&owner=exclude&action=getcompa

ny

Core MSCI Emerging Markets iShares IEMG ETFhttp://www.ishares.com/us/products/244050/ishare

s-core-msci-emerging-markets-etf

Core MSCI EAFE iShares IEFA ETFhttp://www.ishares.com/us/products/244049/IEFA?

referrer=tickerSearch

MSCI EAFE Small-Cap ETF iShares SCZ ETFhttps://www.ishares.com/us/products/239627/SCZ?

referrer=tickerSearch

Dow Jones Intl. Real Estate ETF SPDR RWX ETFhttps://www.spdrs.com/product/fund.seam?ticker=

rwx

CalAtlantic Group, Inc. CAA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=caa&owner=exclude&action=getcompan

y

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Senior Loan ETF PowerShares BKLN ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=BKLN

Ares Capital Corporation ARCC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ARCC&owner=exclude&action=getcompa

ny

Manhattan Associates, Inc. MANH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MANH&owner=exclude&action=getcomp

any

Core Laboratories NV CLB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLB&owner=exclude&action=getcompan

y

S&P 500 Low Volatility ETF PowerShares SPLV ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=splv

TransUnion TRU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TRU&owner=exclude&action=getcompan

y

ICON Public Limited Company ICLR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ICLR&owner=exclude&action=getcompan

y

US Large-Cap ETF Schwab SCHX ETF

https://www.csimfunds.com/public/csim/home/pro

ducts/exchange_traded_funds/summary.html?symb

ol=SCHX

Western Refining, Inc. WNR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WNR&owner=exclude&action=getcompa

ny

Enhanced Short Maturity Active ETF PIMCO MINT ETFhttp://www.pimcoetfs.com/Funds/Pages/PIMCOEnh

ancedShortMaturityStrategyFund.aspx

First American Financial Corporation FAF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FAF&owner=exclude&action=getcompan

y

Investors Bancorp Inc. ISBC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ISBC&owner=exclude&action=getcompan

y

International Equity ETF Schwab SCHF ETF

https://www.csimfunds.com/public/csim/home/pro

ducts/exchange_traded_funds/summary.html?symb

ol=SCHF

Ultragenyx Pharmaceutical Inc. RARE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RARE&owner=exclude&action=getcompa

ny

Alerian MLP ETN JPMorgan AMJ ETFhttps://jpmorganetns.com/etn/detail/JPMorgan-

Alerian-MLP-Index-ETN.html

Short Treasury Bond iShares SHV ETFhttps://www.ishares.com/us/products/239466/ishar

es-short-treasury-bond-etf

Post Holdings, Inc. POST Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=POST&owner=exclude&action=getcompa

ny

Steris Corp. STE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=STE&owner=exclude&action=getcompan

y

Molina Healthcare, Inc. MOH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MOH&owner=exclude&action=getcompa

ny

Page 80: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Barclays S-T Corp Bd ETF SPDR SCPB ETFhttps://www.spdrs.com/product/fund.seam?ticker=

scpb

Team Health Holdings, Inc. TMH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TMH&owner=exclude&action=getcompa

ny

Berry Plastics Group, Inc. BERY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BERY&owner=exclude&action=getcompa

ny

Burlington Stores, Inc. BURL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BURL&owner=exclude&action=getcompa

ny

ABIOMED, Inc. ABMD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ABMD&owner=exclude&action=getcomp

any

Bank of the Ozarks, Inc. OZRK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=OZRK&owner=exclude&action=getcompa

ny

Neurocrine Biosciences Inc. NBIX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NBIX&owner=exclude&action=getcompa

ny

Restoration Hardware Holdings, Inc. RH Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=RH&owner=exclude&action=getcompany

Floating Rate Bond iShares FLOT ETFhttps://www.ishares.com/us/products/239534/ishar

es-floating-rate-bond-etf

NetScout Systems, Inc. NTCT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NTCT&owner=exclude&action=getcompa

ny

Energy ETF Vanguard VDE ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0951&FundIntExt=INT

Clovis Oncology, Inc. CLVS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLVS&owner=exclude&action=getcompa

ny

Yandex N.V. YNDX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=YNDX&owner=exclude&action=getcompa

ny

CNO Financial Group, Inc. CNO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CNO&owner=exclude&action=getcompa

ny

Cavium, Inc. CAVM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CAVM&owner=exclude&action=getcomp

any

ACADIA Pharmaceuticals Inc. ACAD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACAD&owner=exclude&action=getcompa

ny

Umpqua Holdings Corporation UMPQ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=UMPQ&owner=exclude&action=getcomp

any

HEALTHSOUTH Corp. HLS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HLS&owner=exclude&action=getcompan

y

Dow Jones Internet ETF First Trust FDN ETFhttps://www.ftportfolios.com/Retail/etf/ETFsummar

y.aspx?Ticker=FDN

Page 81: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

American Capital, Ltd. ACAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACAS&owner=exclude&action=getcompa

ny

Health Care AlphaDEX ETF First Trust FXH ETFhttps://www.ftportfolios.com/retail/etf/ETFsummar

y.aspx?Ticker=FXH

PAREXEL International Corporation PRXL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PRXL&owner=exclude&action=getcompa

ny

Horizon Pharma plc HZNP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HZNP&owner=exclude&action=getcompa

ny

Radian Group Inc. RDN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RDN&owner=exclude&action=getcompa

ny

Barclays Short Term Hi Yld Bd ETF SPDR SJNK ETFhttps://www.spdrs.com/product/fund.seam?ticker=

sjnk

Portland General Electric Co. POR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=POR&owner=exclude&action=getcompan

y

Cepheid CPHD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CPHD&owner=exclude&action=getcompa

ny

Radius Health, Inc. RDUS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RDUS&owner=exclude&action=getcompa

ny

Webster Financial Corp. WBS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WBS&owner=exclude&action=getcompa

ny

Aspen Technology, Inc. AZPN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AZPN&owner=exclude&action=getcompa

ny

Microsemi Corporation MSCC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MSCC&owner=exclude&action=getcomp

any

Catalent, Inc. CTLT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CTLT&owner=exclude&action=getcompa

ny

Western Alliance Bancorporation WAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WAL&owner=exclude&action=getcompa

nyMSCI Europe Hedgd Eq Deutsche DBEU ETF http://www.etf.com/DBEU

Barclays 1-3 Month T-Bill ETF SPDR BIL ETFhttps://www.spdrs.com/product/fund.seam?ticker=

BIL

Wayfair Inc. W Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=W&owner=exclude&action=getcompany

Infinera Corporation INFN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=INFN&owner=exclude&action=getcompa

ny

Ciena Corporation CIEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CIEN&owner=exclude&action=getcompa

ny

PrivateBancorp, Inc. PVTB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PVTB&owner=exclude&action=getcompa

ny

Page 82: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Mentor Graphics Corp. MENT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MENT&owner=exclude&action=getcomp

any

Preferred ETF PowerShares PGX ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=PGX

Jack in the Box Inc. JACK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=JACK&owner=exclude&action=getcompa

ny

Tenneco Inc. TEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TEN&owner=exclude&action=getcompan

y

Houghton Mifflin Harcourt Company HMHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HMHC&owner=exclude&action=getcomp

any

Dynegy Inc. DYN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DYN&owner=exclude&action=getcompan

y

Impax Laboratories Inc. IPXL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IPXL&owner=exclude&action=getcompan

y

PolyOne Corporation POL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=POL&owner=exclude&action=getcompan

y

Europe iShares IEV ETFhttps://www.ishares.com/us/products/239736/ishar

es-europe-etf

Ascena Retail Group Inc. ASNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ASNA&owner=exclude&action=getcompa

ny

Kite Pharma, Inc. KITE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KITE&owner=exclude&action=getcompan

y

Verint Systems Inc. VRNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VRNT&owner=exclude&action=getcompa

ny

Barclays Convertible Secs ETF SPDR CWB ETFhttps://www.spdrs.com/product/fund.seam?ticker=

cwb

Cheesecake Factory Inc., The CAKE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CAKE&owner=exclude&action=getcompa

ny

MSCI All Country Asia ex Japan AAXJ ETFhttps://www.ishares.com/us/products/239601/ishar

es-msci-all-country-asia-ex-japan-etf

Consumer Staples AlphaDEX ETF First Trust FXG ETFhttps://www.ftportfolios.com/Retail/etf/ETFsummar

y.aspx?Ticker=FXG

Janus Capital Group, Inc. JNS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=JNS&owner=exclude&action=getcompan

y

Medicines Company, The MDCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MDCO&owner=exclude&action=getcomp

any

Texas Roadhouse, Inc. TXRH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TXRH&owner=exclude&action=getcompa

ny

Page 83: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Dana Holding Corporation DAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DAN&owner=exclude&action=getcompa

ny

MSCI Emerging Markets Mini Vol iShares EEMV ETFhttps://www.ishares.com/us/products/239641/ishar

es-msci-emerging-markets-minimum-volatility-etf

Parsley Energy, Inc. PE Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=PE&owner=exclude&action=getcompany

Cimpress N.V. CMPR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CMPR&owner=exclude&action=getcomp

any

Emerging Markets Sov Dbt ETF PowerShares PCY ETFhttps://www.invesco.com/portal/site/us/financial-

professional/etfs/product-detail?productId=PCY

US Dividend Equity ETF Schwab SCHD ETF

https://www.csimfunds.com/public/csim/home/pro

ducts/exchange_traded_funds/summary.html?symb

ol=SCHD

Sinclair Broadcast Group, Inc. SBGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SBGI&owner=exclude&action=getcompa

ny

ACI Worldwide, Inc. ACIW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACIW&owner=exclude&action=getcompa

ny

Proofpoint, Inc. PFPT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PFPT&owner=exclude&action=getcompa

ny

United Natural Foods, Inc. UNFI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=UNFI&owner=exclude&action=getcompa

ny

HRG Group, Inc. HRG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HRG&owner=exclude&action=getcompa

ny

Cathay General Bancorp CATY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CATY&owner=exclude&action=getcompa

ny

Cnsmr Discret AlphaDEX ETF First Trust FXD ETFhttp://www.ftportfolios.com/retail/etf/etfsummary.

aspx?Ticker=FXD

Univar Inc. UNVR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=UNVR&owner=exclude&action=getcomp

any

Dycom Industries Inc. DY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=DY&owner=exclude&action=getcompany

IMAX Corporation IMAX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IMAX&owner=exclude&action=getcompa

ny

Texas Capital BancShares Inc. TCBI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TCBI&owner=exclude&action=getcompa

ny

Blackhawk Network Holdings, Inc. HAWK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HAWK&owner=exclude&action=getcomp

any

Page 84: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

FS Investment Corporation FSIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FSIC&owner=exclude&action=getcompan

y

Sotheby's BID Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BID&owner=exclude&action=getcompan

y

NRG Yield, Inc. - Class A Shares NYLD.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NYLDA&owner=exclude&action=getcomp

any

NRG Yield, Inc. NYLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NYLD&owner=exclude&action=getcompa

ny

Convergys Corporation CVG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CVG&owner=exclude&action=getcompan

y

Steven Madden, Ltd. SHOO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SHOO&owner=exclude&action=getcomp

any

Bloomin' Brands, Inc. BLMN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BLMN&owner=exclude&action=getcomp

any

BancorpSouth, Inc. BXS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BXS&owner=exclude&action=getcompan

y

Wolverine World Wide Inc. WWW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WWW&owner=exclude&action=getcomp

any

Primerica, Inc. PRI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=PRI&owner=exclude&action=getcompany

Valley National Bancorp VLY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VLY&owner=exclude&action=getcompan

y

Cooper Tire & Rubber Co. CTB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CTB&owner=exclude&action=getcompan

y

Swift Transportation Company SWFT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SWFT&owner=exclude&action=getcompa

ny

F.N.B. Corporation FNB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FNB&owner=exclude&action=getcompan

y

PNM Resources, Inc. PNM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PNM&owner=exclude&action=getcompa

ny

PDC Energy, Inc. PDCE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PDCE&owner=exclude&action=getcompa

ny

Paycom Software, Inc. PAYC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PAYC&owner=exclude&action=getcompa

ny

TRI Pointe Group, Inc. TPH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TPH&owner=exclude&action=getcompan

y

Page 85: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

GrubHub Inc. GRUB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GRUB&owner=exclude&action=getcomp

any

WisdomTree Investments, Inc. WETF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WETF&owner=exclude&action=getcomp

any

SemGroup Corporation SEMG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SEMG&owner=exclude&action=getcomp

any

Washington Federal Inc. WAFD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WAFD&owner=exclude&action=getcomp

any

La Quinta Holdings Inc. LQ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=LQ&owner=exclude&action=getcompany

RSP Permian, Inc. RSPP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RSPP&owner=exclude&action=getcompa

ny

Summit Materials, Inc. SUM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SUM&owner=exclude&action=getcompa

ny

Louisiana-Pacific Corp. LPX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LPX&owner=exclude&action=getcompan

y

Imperva Inc. IMPV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IMPV&owner=exclude&action=getcompa

ny

Hancock Holding Company HBHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HBHC&owner=exclude&action=getcomp

any

INSYS Therapeutics, Inc. INSY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=INSY&owner=exclude&action=getcompa

ny

American Equity Investment Life Holding Co. AEL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AEL&owner=exclude&action=getcompan

y

Cirrus Logic Inc. CRUS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CRUS&owner=exclude&action=getcompa

ny

BGC Partners, Inc. BGCP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BGCP&owner=exclude&action=getcompa

ny

New York Times Company, The NYT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NYT&owner=exclude&action=getcompan

y

Ferrari N.V. RACE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RACE&owner=exclude&action=getcompa

ny

GW Pharmaceuticals plc GWPH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GWPH&owner=exclude&action=getcomp

any

Knight Transportation Inc. KNX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KNX&owner=exclude&action=getcompan

y

Page 86: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Matador Resources Company MTDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MTDR&owner=exclude&action=getcomp

any

UBS ETRACS Alerian MLP Infras ETN MLPI ETFhttp://etracs.ubs.com/product/detail/index/ussymb

ol/MLPI

Meredith Corporation MDP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MDP&owner=exclude&action=getcompa

ny

Mellanox Technologies, Ltd. MLNX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MLNX&owner=exclude&action=getcomp

any

Boyd Gaming Corporation BYD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BYD&owner=exclude&action=getcompan

y

Generac Holdings Inc. GNRC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GNRC&owner=exclude&action=getcomp

any

Halozyme Therapeutics, Inc. HALO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HALO&owner=exclude&action=getcompa

ny

Five Below, Inc. FIVE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FIVE&owner=exclude&action=getcompan

y

Sterling Bancorp. STL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=STL&owner=exclude&action=getcompan

y

Novavax, Inc. NVAX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NVAX&owner=exclude&action=getcompa

ny

Nimble Storage, Inc. NMBL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NMBL&owner=exclude&action=getcomp

any

Entegris, Inc. ENTG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ENTG&owner=exclude&action=getcompa

ny

SUPERVALU Inc. SVU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SVU&owner=exclude&action=getcompan

y

Cornerstone OnDemand, Inc. CSOD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CSOD&owner=exclude&action=getcompa

ny

Endurance International Group Hldgs, Inc EIGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EIGI&owner=exclude&action=getcompan

y

Darling Ingredients Inc. DAR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DAR&owner=exclude&action=getcompan

y

Guess' Inc. GES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GES&owner=exclude&action=getcompan

y

Zendesk, Inc. ZEN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ZEN&owner=exclude&action=getcompan

y

Page 87: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Werner Enterprises Inc. WERN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WERN&owner=exclude&action=getcomp

any

Carrizo Oil & Gas Inc. CRZO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CRZO&owner=exclude&action=getcompa

ny

Intra-Cellular Therapies, Inc. ITCI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ITCI&owner=exclude&action=getcompan

y

Abengoa Yield plc ABY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ABY&owner=exclude&action=getcompan

y

Heartland Express, Inc. HTLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HTLD&owner=exclude&action=getcompa

ny

Delek US Holdings, Inc. DK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=DK&owner=exclude&action=getcompany

Media General, Inc. MEG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MEG&owner=exclude&action=getcompa

ny

Diplomat Pharmacy, Inc. DPLO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DPLO&owner=exclude&action=getcompa

ny

CVB Financial Corp. CVBF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CVBF&owner=exclude&action=getcompa

ny

Diamond Resorts International, Inc. DRII Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DRII&owner=exclude&action=getcompan

y

Scorpio Tankers Inc. STNG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=STNG&owner=exclude&action=getcompa

ny

Exact Sciences Corporation EXAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EXAS&owner=exclude&action=getcompa

ny

InterOil Corporation IOC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IOC&owner=exclude&action=getcompan

y

India Earnings Wisdom Tree ETF EPI ETFhttp://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=51

Globalstar Inc. GSAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GSAT&owner=exclude&action=getcompa

ny

Rexnord Corporation RXN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RXN&owner=exclude&action=getcompan

y

Sanmina Corporation SANM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SANM&owner=exclude&action=getcomp

any

Tesaro, Inc. TSRO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TSRO&owner=exclude&action=getcompa

ny

Page 88: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Eros International Plc EROS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EROS&owner=exclude&action=getcompa

ny

KapStone Paper and Packaging Corporation KS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=KS&owner=exclude&action=getcompany

SeaWorld Entertainment, Inc. SEAS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SEAS&owner=exclude&action=getcompa

ny

Capitol Federal Financial, Inc. CFFN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CFFN&owner=exclude&action=getcompa

ny

Sarepta Therapeutics, Inc. SRPT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SRPT&owner=exclude&action=getcompa

ny

Travelport Worldwide Limited TVPT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TVPT&owner=exclude&action=getcompa

ny

Commercial Metals Company CMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CMC&owner=exclude&action=getcompa

ny

Lannett Company, Inc. LCI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=LCI&owner=exclude&action=getcompany

Astoria Financial Corporation AF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=AF&owner=exclude&action=getcompany

Fairchild Semiconductor Intl. Inc. FCS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FCS&owner=exclude&action=getcompan

y

CommVault Systems, Inc. CVLT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CVLT&owner=exclude&action=getcompa

ny

Ironwood Pharmaceuticals, Inc. IRWD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IRWD&owner=exclude&action=getcompa

ny

Dean Foods Company DF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=DF&owner=exclude&action=getcompany

Intersil Corporation - Class A Shares ISIL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ISIL&owner=exclude&action=getcompan

y

Insulet Corporation PODD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PODD&owner=exclude&action=getcomp

any

Old National Bancorp. ONB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ONB&owner=exclude&action=getcompa

ny

Ship Finance International Limited SFL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SFL&owner=exclude&action=getcompan

y

Alder Biopharmaceuticals Inc. ALDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ALDR&owner=exclude&action=getcompa

ny

Page 89: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Express Inc. EXPR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EXPR&owner=exclude&action=getcompa

ny

E. W. Scripps Company, The - Class A Shares SSP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SSP&owner=exclude&action=getcompan

y

Nationstar Mortgage Holdings Inc. NSM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NSM&owner=exclude&action=getcompa

ny

Pacira Pharmaceuticals, Inc. PCRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PCRX&owner=exclude&action=getcompa

ny

Interface Inc. TILE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TILE&owner=exclude&action=getcompan

y

Nektar Therapeutics NKTR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NKTR&owner=exclude&action=getcompa

ny

Meritage Homes Corporation MTH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MTH&owner=exclude&action=getcompa

ny

MSG Networks Inc. MSGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MSGN&owner=exclude&action=getcomp

any

NeuStar, Inc. - Class A Shares NSR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NSR&owner=exclude&action=getcompan

y

Vishay Intertechnology Inc. VSH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VSH&owner=exclude&action=getcompan

y

Virgin America Inc. VA Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=VA&owner=exclude&action=getcompany

Headwaters Incorporated HW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HW&owner=exclude&action=getcompan

y

AMAG Pharmaceuticals, Inc. AMAG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AMAG&owner=exclude&action=getcomp

any

Nordic American Tankers Limited NAT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NAT&owner=exclude&action=getcompan

y

Builders FirstSource, Inc. BLDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BLDR&owner=exclude&action=getcompa

ny

Synchronoss Technologies, Inc. SNCR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SNCR&owner=exclude&action=getcompa

ny

DigitalGlobe, Inc. DGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DGI&owner=exclude&action=getcompan

y

Polycom, Inc. PLCM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PLCM&owner=exclude&action=getcomp

any

Page 90: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Box, Inc. BOX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BOX&owner=exclude&action=getcompan

y

American Axle & Manufacturing Holdings Inc. AXL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AXL&owner=exclude&action=getcompan

y

AMN Healthcare Services Inc. AHS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AHS&owner=exclude&action=getcompan

y

S&P Oil & Gas Explor & Prodtn ETF SPDR XOP ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XOP

Penn National Gaming Inc. PENN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PENN&owner=exclude&action=getcompa

ny

Cempra, Inc. CEMP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CEMP&owner=exclude&action=getcomp

any

Oil States International Inc. OIS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=OIS&owner=exclude&action=getcompan

y

Rambus Inc. RMBS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RMBS&owner=exclude&action=getcomp

any

Select Medical Holdings Corporation SEM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SEM&owner=exclude&action=getcompa

ny

Stratasys Ltd. SSYS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SSYS&owner=exclude&action=getcompa

ny

Great Western Bancorp. Inc. GWB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GWB&owner=exclude&action=getcompa

ny

Olin Corp. OLN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=OLN&owner=exclude&action=getcompan

y

Halyard Health, Inc. HYH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HYH&owner=exclude&action=getcompan

yJunior Gold Miners ETF Market Vectors GDXJ ETF http://www.vaneck.com/funds/GDXJ.aspx

Emerging Markets Equity ETF Schwab SCHE ETF

https://www.csimfunds.com/public/csim/home/pro

ducts/exchange_traded_funds/summary.html?symb

ol=SCHE

Archrock Inc. AROC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AROC&owner=exclude&action=getcompa

ny

Exelixis, Inc. EXEL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EXEL&owner=exclude&action=getcompa

ny

Gogo Inc. GOGO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GOGO&owner=exclude&action=getcomp

any

Axovant Sciences Ltd. AXON Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AXON&owner=exclude&action=getcomp

any

Page 91: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Talen Energy Corporation TLN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TLN&owner=exclude&action=getcompan

y

World Wrestling Entertainment Inc. WWE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=WWE&owner=exclude&action=getcompa

ny

Alon USA Energy, Inc. ALJ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ALJ&owner=exclude&action=getcompany

Stillwater Mining Company SWC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SWC&owner=exclude&action=getcompa

ny

MasTec, Inc. MTZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MTZ&owner=exclude&action=getcompa

ny

Apollo Investment Corporation AINV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AINV&owner=exclude&action=getcompa

ny

Rent-A-Center, Inc. RCII Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RCII&owner=exclude&action=getcompan

y

ZIOPHARM Oncology, Inc. ZIOP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ZIOP&owner=exclude&action=getcompa

ny

MDC Holdings Inc. MDC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MDC&owner=exclude&action=getcompa

ny

Chemours Company, The CC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=CC&owner=exclude&action=getcompany

RingCentral, Inc. RNG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RNG&owner=exclude&action=getcompa

ny

KB Home KBH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KBH&owner=exclude&action=getcompan

y

Vivint Solar, Inc. VSLR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VSLR&owner=exclude&action=getcompa

ny

Methode Electronics, Inc. MEI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MEI&owner=exclude&action=getcompan

y

Mueller Water Products, Inc. MWA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MWA&owner=exclude&action=getcomp

any

Cogent Communications Holdings, Inc. CCOI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CCOI&owner=exclude&action=getcompa

ny

Vonage Holdings Corporation VG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=VG&owner=exclude&action=getcompany

Lexicon Pharmaceuticals, Inc. LXRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LXRX&owner=exclude&action=getcompa

ny

Page 92: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

TriNet Group, Inc. TNET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TNET&owner=exclude&action=getcompa

ny

TASER International Inc. TASR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TASR&owner=exclude&action=getcompa

ny

CaesarStone Sdot-Yam Ltd. CSTE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CSTE&owner=exclude&action=getcompa

ny

Hewlett Packard Enterprise Co. HPE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=HPE&owner=exclude&action=getcompan

y

NorthStar Realty Europe Corp. NRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NRE&owner=exclude&action=getcompan

y

Exterran Corporation EXTN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EXTN&owner=exclude&action=getcompa

ny

Golden Dragon China PowerShares PGJ ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PGJ&title=powershares-golden-

dragon-china-portfolioChina AMC A-Share Market Vectors PEK ETF http://www.vaneck.com/pek/

China Technology Guggenheim CQQQ ETFhttp://guggenheiminvestments.com/products/etf/c

qqq

China Small Cap Guggenheim HAO ETFhttp://guggenheiminvestments.com/products/etf/h

aoChina Financials Global X CHIX ETF http://www.globalxfunds.com/CHIXChina Consumer Global X CHIQ ETF http://www.globalxfunds.com/CHIQ

United States Short Oil Fund DNO ETFhttp://www.unitedstatescommodityfunds.com/fund-

details.php?fund=dno

Carlyle Group, The CG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=CG&owner=exclude&action=getcompany

Cloud Peak Energy Inc. CLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLD&owner=exclude&action=getcompan

y

EPAM Systems, Inc. EPAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EPAM&owner=exclude&action=getcomp

any

Luxoft Holding, Inc. LXFT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LXFT&owner=exclude&action=getcompa

ny

Cosan Limited CZZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CZZ&owner=exclude&action=getcompan

y

Christopher & Banks Corporation CBK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CBK&owner=exclude&action=getcompan

y

SolarEdge Technologies, Inc. SEDG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SEDG&owner=exclude&action=getcompa

ny

Northwest Bancshares, Inc. NWBI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NWBI&owner=exclude&action=getcomp

any

Page 93: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Acorda Therapeutics, Inc. ACOR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ACOR&owner=exclude&action=getcompa

ny

Trex Co. Inc. TREX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TREX&owner=exclude&action=getcompa

ny

DepoMed Inc. DEPO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DEPO&owner=exclude&action=getcompa

ny

Finisar Corp. FNSR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FNSR&owner=exclude&action=getcompa

ny

Celldex Therapeutics, Inc. CLDX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLDX&owner=exclude&action=getcompa

ny

Momenta Pharmaceuticals Inc. MNTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MNTA&owner=exclude&action=getcomp

any

Shutterstock, Inc. SSTK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SSTK&owner=exclude&action=getcompa

ny

Select Comfort Corporation SCSS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SCSS&owner=exclude&action=getcompa

ny

Synergy Resources Corporation SYRG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SYRG&owner=exclude&action=getcompa

ny

Actuant Corporation ATU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ATU&owner=exclude&action=getcompan

y

Forum Energy Technologies, Inc. FET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FET&owner=exclude&action=getcompan

y

Kindred Healthcare Inc. KND Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KND&owner=exclude&action=getcompan

y

Oil Services ETF OIH ETFhttp://www.vaneck.com/Templates/PageLayout_ET

F_rwd.aspx?pageid=3825

Bankrate, Inc. RATE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RATE&owner=exclude&action=getcompa

ny

TherapeuticsMD, Inc. TXMD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TXMD&owner=exclude&action=getcomp

any

Intl Div Achiev ETF PowerShares PID ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PID&title=powershares-

international-dividend-achievers-portfolio

Amkor Technology, Inc. AMKR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AMKR&owner=exclude&action=getcomp

any

KCG Holdings, Inc. KCG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KCG&owner=exclude&action=getcompan

yISE Cyber Security ETF PureFunds HACK ETF http://www.pureetfs.com/etfs/hack.html

Page 94: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Kearny Financial Corp. KRNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KRNY&owner=exclude&action=getcompa

ny

Bloomberg Cmdty TR ETN iPath DJP ETFhttp://www.ipathetn.com/US/16/en/details.app?ins

trumentId=1193

McDermott International Inc. MDR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MDR&owner=exclude&action=getcompa

ny

Envestnet, Inc. ENV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ENV&owner=exclude&action=getcompan

y

MiMedx Group, Inc. MDXG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MDXG&owner=exclude&action=getcomp

any

Caesars Entertainment Corporation CZR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CZR&owner=exclude&action=getcompan

y

NewLink Genetics Corporation NLNK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NLNK&owner=exclude&action=getcompa

ny

Dynavax Technologies Corporation DVAX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=DVAX&owner=exclude&action=getcompa

ny

Qualys, Inc. QLYS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=QLYS&owner=exclude&action=getcompa

ny

PTC Therapeutics, Inc. PTCT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PTCT&owner=exclude&action=getcompa

ny

Merrimack Pharmaceuticals, Inc MACK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MACK&owner=exclude&action=getcomp

any

Innoviva, Inc. INVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=INVA&owner=exclude&action=getcompa

ny

EnerSys ENS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ENS&owner=exclude&action=getcompan

y

iShares Core Dividend Growth ETF DGRO ETFhttps://www.ishares.com/us/products/264623/ishar

es-core-dividend-growth-etf

Unilever N.V. UN Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=UN&owner=exclude&action=getcompany

Unilever plc UL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=UL&owner=exclude&action=getcompany

O'Shares FTSE Asia Pac Qual Div Hdgd ETF OAPH ETF http://oshares.com/oaph/O'Shares FTSE Europe Qual Div Hdgd ETF OEUH ETF http://oshares.com/oeuh/

LG Display Co., Ltd. LPL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LPL&owner=exclude&action=getcompan

y

Square, Inc. SQ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=SQ&owner=exclude&action=getcompany

Page 95: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

CSRA Inc. CSRA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CSRA&owner=exclude&action=getcompa

ny

Franco-Nevada Corporation FNV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FNV&owner=exclude&action=getcompan

y

Amaya, Inc. AYA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AYA&owner=exclude&action=getcompan

y

Silver Wheaton Corp. SLW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SLW&owner=exclude&action=getcompan

y

NeoPhotonics Corporation NPTN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NPTN&owner=exclude&action=getcompa

ny

Atlassian Corporation Plc TEAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TEAM&owner=exclude&action=getcomp

any

Steelcase Inc. SCS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SCS&owner=exclude&action=getcompan

y

Mercadolibre, Inc. MELI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MELI&owner=exclude&action=getcompa

ny

FXCM Inc. FXCM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FXCM&owner=exclude&action=getcomp

anyVIX Short-Term Futures ProShares VIXY ETF http://www.proshares.com/funds/vixy.html

Short VIX Short-Term Futures ProShares SVXY ETF http://www.proshares.com/funds/svxy.html

S&P 500 VIX ST Futures ETN iPath VXX ETFhttp://www.ipathetn.com/US/16/en/details.app?ins

trumentId=259118

Core High Dividend iShares HDV ETF https://www.ishares.com/us/products/239563/HDV

Cracker Barrel Old Country Store, Inc. CBRL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CBRL&owner=exclude&action=getcompa

ny

Royal Dutch Shell plc - Class B Shares RDS.B Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RDSB&owner=exclude&action=getcompa

ny

Royal Dutch Shell plc - Class A Shares RDS.A Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RDSA&owner=exclude&action=getcompa

ny

Loral Space & Communications, Inc. LORL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LORL&owner=exclude&action=getcompa

ny

Sturm, Ruger & Co. Inc. RGR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RGR&owner=exclude&action=getcompan

y

Smith & Wesson Holding Corporation SWHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SWHC&owner=exclude&action=getcomp

any

STAG Industrial, Inc. STAG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=STAG&owner=exclude&action=getcompa

ny

Page 96: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Inphi Corporation IPHI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IPHI&owner=exclude&action=getcompan

y

Ligand Pharmaceuticals Incorporated LGND Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=LGND&owner=exclude&action=getcompa

ny

Companhia Brasileira de Distribuicao CBD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CBD&owner=exclude&action=getcompan

y

Tailored Brands, Inc. TLRD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TLRD&owner=exclude&action=getcompa

ny

TOTAL S.A. TOT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TOT&owner=exclude&action=getcompan

y

Sumitomo Mitsui Financial Group, Inc. SMFG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SMFG&owner=exclude&action=getcomp

any

Companhia Energética de Minas Gerais S.A. CIG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CIG&owner=exclude&action=getcompan

y

S&P 500 Dividend Aristocrats Proshares ETF NOBL ETF http://www.proshares.com/funds/nobl.html

Health Care Vanguard ETF VHT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0956&FundIntExt=INT

Deutsche X-trackers Harvest CSI300 CHN A ASHR ETFhttps://etfus.deutscheam.com/US/EN/Product-

Detail-Page/ASHR

Chinese Yuan Strategy Wisdom Tree ETF CYB ETFhttp://www.wisdomtree.com/etfs/fund-details-

currency.aspx?etfid=64

Eldorado Gold Corporation EGO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EGO&owner=exclude&action=getcompan

y

Yirendai Ltd. YRD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=YRD&owner=exclude&action=getcompan

y

Controladora Vuela Compañía de Aviación,

S.A.B. de C.V.VLRS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=VLRS&owner=exclude&action=getcompa

ny

Kennedy-Wilson Holdings, Inc. KW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KW&owner=exclude&action=getcompan

y

Greenlight Capital Re, Ltd. GLRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GLRE&owner=exclude&action=getcompa

ny

Retail Opportunity Investments Corp. ROIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ROIC&owner=exclude&action=getcompa

ny

Third Point Reinsurance Ltd. TPRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TPRE&owner=exclude&action=getcompa

ny

POSCO PKX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=PKX&owner=exclude&action=getcompan

y

Page 97: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

YPF S.A. YPF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=YPF&owner=exclude&action=getcompan

y

Grupo Financiero Galicia S.A. GGAL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=GGAL&owner=exclude&action=getcompa

ny

ABB Ltd. ABB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ABB&owner=exclude&action=getcompan

y

New Gold, Inc. NGD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NGD&owner=exclude&action=getcompa

ny

Icahn Enterprises, L.P. IEP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=IEP&owner=exclude&action=getcompany

Intermediate-Term Bond Vanguard ETF BIV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0925&FundIntExt=INT

MSCI All Peru Capped iShares EPU ETF https://www.ishares.com/us/products/239606/EPU

Tax-Exempt Bond Vanguard ETF VTEB ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=4391&FundIntExt=INT

America Movil S.A.B. de C.V. AMOV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=AMOV&owner=exclude&action=getcomp

any

Carnival plc CUK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CUK&owner=exclude&action=getcompan

y

Syngenta AG SYT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SYT&owner=exclude&action=getcompan

y

Mobile TeleSystems PJSC MBT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MBT&owner=exclude&action=getcompa

ny

Ultrapar Participações S.A. UGP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=UGP&owner=exclude&action=getcompan

y

Turkcell Iletisim Hizmetleri AS TKC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TKC&owner=exclude&action=getcompan

y

British American Tobacco p.l.c. BTI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=BTI&owner=exclude&action=getcompany

TIM Participações S.A. TSU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=TSU&owner=exclude&action=getcompan

y

Industrias Bachoco S.A.B. de C.V. IBA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=IBA&owner=exclude&action=getcompan

y

BHP Billiton plc BBL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BBL&owner=exclude&action=getcompan

y

BRF S.A. BRFS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BRFS&owner=exclude&action=getcompa

ny

Page 98: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Nortel Inversora S.A. NTL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NTL&owner=exclude&action=getcompan

y

Ryanair Holdings plc RYAAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=RYAAY&owner=exclude&action=getcomp

any

Fresenius Medical Care AG & Co. KGAA FMS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FMS&owner=exclude&action=getcompan

y

KT Corp. KT Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=KT&owner=exclude&action=getcompany

Statoil ASA STO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=STO&owner=exclude&action=getcompan

y

Shire plc SHPG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SHPG&owner=exclude&action=getcompa

ny

National Grid plc NGG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NGG&owner=exclude&action=getcompa

ny

NICE Systems Ltd. NICE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=NICE&owner=exclude&action=getcompa

ny

LATAM Airlines Group S.A. LFL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=LFL&owner=exclude&action=getcompany

Orange ORAN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ORAN&owner=exclude&action=getcomp

any

Embraer S.A. ERJ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ERJ&owner=exclude&action=getcompan

y

Companhia Paranaense de Energia ELP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ELP&owner=exclude&action=getcompan

y

Fibria Celulose S.A. FBR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=FBR&owner=exclude&action=getcompan

y

Braskem S.A. BAK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BAK&owner=exclude&action=getcompan

y

Bancolombia S.A. CIB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=CIB&owner=exclude&action=getcompany

Banco Santander-Chile BSAC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BSAC&owner=exclude&action=getcompa

ny

Compañía de Minas Buenaventura S.A.A. BVN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BVN&owner=exclude&action=getcompan

y

Eni SpA E Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=E&owner=exclude&action=getcompany

Page 99: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Empresa Nacional de Electricidad S.A. EOCC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=EOCC&owner=exclude&action=getcompa

ny

Siliconware Precision Industries Co. Ltd. SPIL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SPIL&owner=exclude&action=getcompan

y

Korea Electric Power Corp. KEP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=KEP&owner=exclude&action=getcompan

y

BBVA Banco Francés S.A. BFR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=BFR&owner=exclude&action=getcompan

y

Chemical & Mining Co. of Chile Inc. SQM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SQM&owner=exclude&action=getcompa

ny

Grupo Simec S.A.B. de C.V. SIM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SIM&owner=exclude&action=getcompan

y

SK Telecom Co. Ltd. SKM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SKM&owner=exclude&action=getcompa

ny

Compania Cervecerias Unidas S.A. CCU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CCU&owner=exclude&action=getcompan

y

ING Groep N.V. ING Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ING&owner=exclude&action=getcompan

y

RELX NV RENX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=renx&owner=exclude&action=getcompa

ny

Telefonaktiebolaget LM Ericsson ERIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eric&owner=exclude&action=getcompan

y

Credit Suisse Group AG CS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cs&owner=exclude&action=getcompany

ORIX Corporation IX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ix&owner=exclude&action=getcompany

James Hardie Industries plc JHX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=jhx&owner=exclude&action=getcompany

Lloyds Banking Group plc LYG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lyg&owner=exclude&action=getcompany

Smith & Nephew plc SNN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=snn&owner=exclude&action=getcompan

y

RELX PLC RELX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=relx&owner=exclude&action=getcompan

y

Prudential plc PUK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=puk&owner=exclude&action=getcompan

y

Page 100: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Pearson plc PSO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pso&owner=exclude&action=getcompan

y

Harmony Gold Mining Company Limited HMY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hmy&owner=exclude&action=getcompan

y

CRH plc CRH Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=crh&owner=exclude&action=getcompany

AstraZeneca PLC AZN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=azn&owner=exclude&action=getcompan

y

Westpac Banking Corporation WBK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wbk&owner=exclude&action=getcompan

y

Rio Tinto plc RIO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rio&owner=exclude&action=getcompany

Luxottica Group SpA LUX Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=lux&owner=exclude&action=getcompany

BHP Billiton Limited BHP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bhp&owner=exclude&action=getcompan

y

Barclays PLC BCS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bcs&owner=exclude&action=getcompan

y

Banco Bilbao Vizcaya Argentaria, S.A. BBVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bbva&owner=exclude&action=getcompa

ny

Advanced Accelerator Applications S.A. AAAP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=aaap&owner=exclude&action=getcompa

ny

Amec Foster Wheeler plc AMFW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amfw&owner=exclude&action=getcompa

ny

Woori Bank Co., Ltd. WF Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=w&owner=exclude&action=getcompany

DBV Technologies S.A. DBVT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dbvt&owner=exclude&action=getcompa

ny

Marine Harvest ASA MHG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mhg&owner=exclude&action=getcompa

ny

Criteo SA CRTO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=crto&owner=exclude&action=getcompan

y

Vedanta Limited VEDL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=vedl&owner=exclude&action=getcompan

y

Sibanye Gold Limited SBGL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbgl&owner=exclude&action=getcompan

y

Page 101: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Grupo Financiero Santander Mexico BSMX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bsmx&owner=exclude&action=getcompa

ny

Grifols, S.A. GRFS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=grfs&owner=exclude&action=getcompan

y

RLJ Lodging Trust RLJ Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rlj&owner=exclude&action=getcompany

PowerShares Water Resources ETF PHO ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PHO&title=powershares-water-

resources-portfolio

Government Properties Income Trust GOV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gov&owner=exclude&action=getcompan

y

Apollo Commercial Real Estate Finance, Inc. ARI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ari&owner=exclude&action=getcompany

Frontline Ltd. FRO Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fro&owner=exclude&action=getcompany

USANA Health Sciences Inc. USNA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=usna&owner=exclude&action=getcompa

nyMarket Vectors Biotech ETF BBH ETF http://www.vaneck.com/funds/BBH.aspx

Guggenheim S&P 500 Eq Wt Healthcare ETF RYH ETFhttp://guggenheiminvestments.com/products/etf/d

etails?productId=88

Guggenheim S&P 500 Eq Wt Con Stpl ETF RHS ETFhttp://guggenheiminvestments.com/products/etf/d

etails?productId=90Market Vectors Intl High-Yield Bond ETF IHY ETF http://www.vaneck.com/funds/IHY.aspx

Under Armour, Inc. – Class C Shares UA.C Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=under+armour&owner=exclude&ac

tion=getcompany

Physicians Realty Trust DOC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=doc&owner=exclude&action=getcompan

y

Universal Health Realty Income Trust UHT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uht&owner=exclude&action=getcompan

y

Healthcare Realty Trust Incorporated HR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=hr&owner=exclude&action=getcompany

Medical Properties Trust Inc. MPW Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mpw&owner=exclude&action=getcompa

ny

National Health Investors Inc. NHI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nhi&owner=exclude&action=getcompany

Chatham Lodging Trust CLDT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CLDT&owner=exclude&action=getcompa

ny

Chesapeake Lodging Trust CHSP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chsp&owner=exclude&action=getcompa

ny

Page 102: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Sandstorm Gold Ltd. SAND Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=SAND&owner=exclude&action=getcompa

ny

Bats Global Markets BATS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bats&owner=exclude&action=getcompan

y

Popeyes Louisiana Kitchen, Inc. PLKI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=plki&owner=exclude&action=getcompan

y

Brookfield Infrastructure Partners L.P. BIP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=bip&owner=exclude&action=getcompany

ImmunoGen, Inc. IMGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=imgn&owner=exclude&action=getcompa

ny

Pacific Biosciences of California, Inc. PACB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pacb&owner=exclude&action=getcompa

ny

AK Steel Holding Corporation AKS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=aks&owner=exclude&action=getcompany

Xenia Hotels & Resorts, Inc. XHR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=xhr&owner=exclude&action=getcompany

LendingTree, Inc. TREE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tree&owner=exclude&action=getcompan

y

US Aggregate Bond Schwab ETF SCHZ ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?&&path=%2FProspect%2FResearch%2Fetf

s%2Fsummary.asp%3Fsymbol%3DSCHZ

Aaa - A Rated Corporate Bond iShares ETF QLTA ETFhttps://www.ishares.com/us/products/239431/QLT

A

Prothena Corporation plc PRTA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=prta&owner=exclude&action=getcompan

y

Quorum Health Corporation QHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=qhc&owner=exclude&action=getcompan

y

First Trust ISE Water ETF FIW ETFhttps://www.ftportfolios.com/Retail/Etf/EtfSummar

y.aspx?Ticker=FIW

BofI Holding, Inc. BOFI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bofi&owner=exclude&action=getcompan

y

iRobot Corporation IRBT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=irbt&owner=exclude&action=getcompan

y

Vail Resorts Inc. MTN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=MTN&owner=exclude&action=getcompa

ny

EPR Properties EPR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=epr&owner=exclude&action=getcompan

y&Find=SearchGlobal X SuperIncome Preferred ETF SPFF ETF http://www.globalxfunds.com/funds/spff/

Page 103: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Coeur Mining, Inc. CDE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cde&owner=exclude&action=getcompan

y

Interval Leisure Group, Inc. IILG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=iilg&owner=exclude&action=getcompany

Ingevity Corporation NGVT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ngvt&owner=exclude&action=getcompan

y

LifeLock, Inc. LOCK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lock&owner=exclude&action=getcompan

y&Find=Search

Federal-Mogul Holdings Corporation FDML Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fdml&owner=exclude&action=getcompa

ny&Find=Search

Williams Partners L.P. WPZ Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wpz&owner=exclude&action=getcompan

y&Find=Search

Buffalo Wild Wings Inc. BWLD Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bwld&owner=exclude&action=getcompa

ny

Inovio Pharmaceuticals, Inc. INO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ino&owner=exclude&action=getcompany

&Find=Search

Energous Corporation WATT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=watt&owner=exclude&action=getcompa

ny&Find=Search

Agrium Inc. AGU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=agu&owner=exclude&action=getcompan

y&Find=SearchTeucrium Wheat ETF WEAT ETF http://teucriumweatfund.com/

United States Natural Gas Fund, LP UNG ETFhttp://www.unitedstatescommodityfunds.com/fund-

details.php?fund=UNGTeucrium Corn ETF CORN ETF http://teucriumcornfund.com/

iPath Bloomberg Coffee SubTR ETN JO ETFhttp://www.ipathetn.com/US/16/en/details.app?ins

trumentId=31021

The Brink's Company BCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bco&owner=exclude&action=getcompan

y

Kite Realty Group Trust KRG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=krg&owner=exclude&action=getcompany

Whitestone REIT WSR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wsr&owner=exclude&action=getcompan

y

PS Business Parks Inc. PSB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=psb&owner=exclude&action=getcompan

y

Cyrusone Inc. CONE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cone&owner=exclude&action=getcompa

ny&Find=Search

Hannon Armstrong Sustnbl Infrstr Cap Inc HASI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hasi&owner=exclude&action=getcompan

y

Page 104: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

First Data Corporation FDC Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=fdc&owner=exclude&action=getcompany

MSCI Global Gold Miners iShares ETF RING ETFhttps://www.ishares.com/us/products/239654/ishar

es-msci-global-gold-miners-etf

China Customer Relations Centers, Inc. CCRC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ccrc&owner=exclude&action=getcompan

y&Find=SearchGlobal X Uranium ETF URA ETF http://www.globalxfunds.com/funds/ura/

MeetMe, Inc. MEET Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=meet&owner=exclude&action=getcompa

ny

Moleculin Biotech, Inc. MBRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=Moleculin+Biotech%2C+Inc.&matc

h=&filenum=&State=&Country=&SIC=&myowner=ex

clude&action=getcompany

Eagle Pharmaceuticals Inc. EGRX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=egrx&owner=exclude&action=getcompan

y

China Online Education Group COE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=China+Online+Education+Group&o

wner=exclude&action=getcompany

Chuy's Holding, Inc. CHUY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=chuy&owner=exclude&action=getcompa

ny

Columbia Sportswear Company COLM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=colm&owner=exclude&action=getcompa

ny

AMC Entertainment Holdings, Inc. AMC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amc&owner=exclude&action=getcompan

y

Zoe's Kitchen, Inc. ZOES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=zoes&owner=exclude&action=getcompa

ny

Shopify Inc. SHOP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=shop&owner=exclude&action=getcompa

ny&Find=Search

Habit Restaurants, Inc. HABT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=habt&owner=exclude&action=getcompa

ny&Find=Search

Bojangles', Inc. BOJA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=boja&owner=exclude&action=getcompan

y

Angie's List, Inc. ANGI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=angi&owner=exclude&action=getcompan

y

Wingstop Inc. WING Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wing&owner=exclude&action=getcompa

ny&Find=Search

Red Robin Gourmet Burgers Inc. RRGB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=rrgb&owner=exclude&action=getcompan

y&Find=Search

Match Group, Inc. MTCH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=match+group%2C+Inc.&owner=excl

ude&action=getcompany

Page 105: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

VanEck Vectors Vietnam ETF VNM ETFhttp://www.vaneck.com/vaneck-vectors/equity-

etfs/vnm/snapshot/

El Pollo Loco Holdings, Inc. LOCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=loco&owner=exclude&action=getcompan

y&Find=Search

Enerplus Corporation ERF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=erf&owner=exclude&action=getcompany

&Find=Search

Teekay Tankers Ltd. TNK Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=tnk&owner=exclude&action=getcompany

Enviva Partners, LP EVA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=eva&owner=exclude&action=getcompan

y&Find=Search

QTS Realty Trust, Inc. QTS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=qts&owner=exclude&action=getcompany

Terreno Realty Corp. TRNO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=trno&owner=exclude&action=getcompan

y&Find=Search

LTC Properties Inc. LTC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ltc&owner=exclude&action=getcompany

&Find=Search

Stone Energy Corp. SGY Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sgy&owner=exclude&action=getcompany

Altisource Residential Corporation RESI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=resi&owner=exclude&action=getcompan

y

Minerva Neurosciences, Inc. NERV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nerv&owner=exclude&action=getcompa

ny

Flexion Therapeutics, Inc. FLXN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=flxn&owner=exclude&action=getcompan

y&Find=Search

Twilio TWLO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=Twilio&owner=exclude&action=get

company

Herc Holdings Inc. Common Stock HRI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?action=getcompany&CIK=0001364479&owne

r=exclude&count=40&hidefilings=0

Duluth Holdings Inc. DLTH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=dlth&owner=exclude&action=getcompan

y

Line Corp. LN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=line+corp&owner=exclude&action=

getcompany

Universal Insurance Holdings Inc. UVE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uve&owner=exclude&action=getcompan

y&Find=Search

LGI Homes, Inc. LGIH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=lgih&owner=exclude&action=getcompan

y

Page 106: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Fidelity MSCI Telecommunication Svc ETF FCOM ETFhttps://screener.fidelity.com/ftgw/etf/goto/snapsho

t/snapshot.jhtml?symbols=FCOM&type=sq-NavBar

iShares Intl. Developed Property ETF WPS ETF https://www.ishares.com/us/products/239734/WPS

S&P MidCap 400 Pure Value ETF RFV ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=119

iShares Russell Top 200 IWL ETF https://www.ishares.com/us/products/239721/IWL

iShares 1-3 Year Credit Bond ETF CSJ ETF https://www.ishares.com/us/products/239451/CSJ

Vanguard Information Technology ETF VGT ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0958&FundIntExt=INT

iShares Intermediate Credit Bond ETF CIU ETF https://www.ishares.com/us/products/239463/CIU

iShares 3-7 Year Treasury Bond ETF IEI ETFhttps://www.ishares.com/us/products/239455/IEI?r

eferrer=tickerSearch

iShares S&P Mid-Cap 400 Growth ETF IJK ETFhttps://www.ishares.com/us/products/239762/IJK?r

eferrer=tickerSearch

PowerShares FTSE RAFI US 1000 Portfolio PRF ETFhttps://www.invesco.com/portal/site/us/investors/e

tfs/product-detail?productId=PRF

iShares S&P Mid-Cap 400 Value ETF IJJ ETFhttps://www.ishares.com/us/products/239764/IJJ?r

eferrer=tickerSearch

Vanguard Extended Market ETF VXF ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0965&FundIntExt=INT

iShares Cohen & Steers REIT ETF ICF ETF https://www.ishares.com/us/products/239482/ICF

iShares S&P Small-Cap 600 Value ETF IJS ETFhttps://www.ishares.com/us/products/239775/IJS?r

eferrer=tickerSearch

SPDR Dow Jones REIT ETF RWR ETFhttps://www.spdrs.com/product/fund.seam?ticker=

RWR

iShares S&P Small-Cap 600 Growth ETF IJT ETFhttps://www.ishares.com/us/products/239773/IJT?r

eferrer=tickerSearch

Schwab US Small-Cap ETF SCHA ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?path=%2FProspect%2FResearch%2Fetfs%2

Fsummary.asp%3Fsymbol%3DSCHA

Vanguard Financials ETF VFH ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0957&FundIntExt=INT

WisdomTree LargeCap Dividend Fund DLN ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=2

SPDR Dow Jones Global Real Estate ETF RWO ETFhttps://www.spdrs.com/product/fund.seam?ticker=

RWO

Guggenheim S&P 500 Pure Growth ETF RPG ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=93

Schwab US Large-Cap Growth ETF SCHG ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?path=%2FProspect%2FResearch%2Fetfs%2

Fsummary.asp%3Fsymbol%3DSCHG

Vanguard Mega Cap Growth ETF MGK ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3138&FundIntExt=INT

iShares Edge MSCI Min Vol Global ETF ACWV ETFhttps://www.ishares.com/us/products/239605/ACW

V

Page 107: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

iShares Transportation Average ETF IYT ETFhttps://www.ishares.com/us/products/239501/IYT?r

eferrer=tickerSearch

iShares Intermediate Gov/Credit Bond ETF GVI ETFhttps://www.ishares.com/us/products/239464/GVI?

referrer=tickerSearch

Schwab US Mid-Cap ETF SCHM ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?path=%2FProspect%2FResearch%2Fetfs%2

Fsummary.asp%3Fsymbol%3DSCHM

Vanguard Consumer Discretionary ETF VCR ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0954&FundIntExt=INT

WisdomTree MidCap Dividend Fund DON ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=3

Schwab US Large-Cap Value ETF SCHV ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?path=%2FProspect%2FResearch%2Fetfs%2

Fsummary.asp%3Fsymbol%3DSCHV

Schwab U.S. REIT ETF SCHH ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?path=%2FProspect%2FResearch%2Fetfs%2

Fsummary.asp%3Fsymbol%3DSCHH

WisdomTree Dividend ex-Financials Fund DTN ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=1

Vanguard Materials ETF VAW ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=0952&FundIntExt=INTALPS Sector Dividend Dogs ETF SDOG ETF http://www.alpsfunds.com/overview/SDOG

WisdomTree High Dividend Fund DHS ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=4

WisdomTree SmallCap Dividend Fund DES ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=15

iShares Global Infrastructure ETF IGF ETFhttps://www.ishares.com/us/products/239746/IGF?

referrer=tickerSearch

Guggenheim S&P 500 Pure Value ETF RPV ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=94

iShares Core U.S. Credit Bond ETF CRED ETFhttps://www.ishares.com/us/products/239460/CRE

D?referrer=tickerSearch

iShares Intl Developed Real Estate ETF IFGL ETFhttps://www.ishares.com/us/products/239540/IFGL

?referrer=tickerSearch

iShares Dow Jones U.S. ETF IYY ETFhttps://www.ishares.com/us/products/239513/IYY?r

eferrer=tickerSearch

Vanguard Mega Cap Value ETF MGV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3139&FundIntExt=INT

ETFS Gold Trust SGOL ETF

https://www.etfsecurities.com/institutional/us/en-

us/products/product/etfs-physical-swiss-gold-shares-

sgol-arca

iShares U.S. Pharmaceuticals ETF IHE ETFhttps://www.ishares.com/us/products/239519/IHE?

referrer=tickerSearch

VanEck Vectors Morningstar Wide Moat ETF MOAT ETF http://www.vaneck.com/funds/MOAT.aspx

AMT-Free Intermediate Muni. Index ETF ITM ETF http://www.vaneck.com/funds/ITM.aspx

iShares Core U.S. Value ETF IUSV ETF https://www.ishares.com/us/products/239715/IUSV

Page 108: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

S&P 500 Eq Wt Technology ETF RYT ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=85

FlexShares Mstar US Mkt Factors Tilt ETF TILT ETFhttps://www.flexshares.com/exchange-traded-

funds/morningstar-us-market-tilt-factor-index

iShares North American Tech ETF IGM ETFhttps://www.ishares.com/us/products/239769/IGM

?referrer=tickerSearch

iShares Morningstar Large-Cap ETF JKD ETFhttps://www.ishares.com/us/products/239579/JKD?

referrer=tickerSearch

NASDAQ Technology Dividend Index Fund TDIV ETFhttps://www.ftportfolios.com/Retail/Etf/EtfSummar

y.aspx?Ticker=TDIV

X-trackers MSCI Japan Hedged Equity ETF DBJP ETFhttps://etfus.deutscheam.com/US/EN/Product-

Detail-Page/DBJP

iShares U.S. Medical Devices ETF IHI ETFhttps://www.ishares.com/us/products/239516/IHI?r

eferrer=tickerSearch

WisdomTree MidCap Earnings Fund EZM ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=44

S&P MidCap 400 Pure Growth ETF RFG ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=118

Schwab Short-Term U.S. Treasury ETF SCHO ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?&&path=%2FProspect%2FResearch%2Fetf

s%2Fsummary.asp%3Fsymbol%3DSCHO

iShares Morningstar Large-Cap Growth ETF JKE ETFhttps://www.ishares.com/us/products/239580/JKE?

referrer=tickerSearch

iShares Russell Top 200 Growth IWY ETFhttps://www.ishares.com/us/products/239720/IWY?

referrer=tickerSearch

WisdomTree International Equity Fund DWM ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=20

High Yield. Equity Div. Achievers PEY ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PEY&ticker=PEY&title=powershare

s-high-yield-equity-dividend-achievers-portfolio

iShares U.S. Financial Services ETF IYG ETFhttps://www.ishares.com/us/products/239509/IYG?

referrer=tickerSearch

WisdomTree Total Dividend Fund DTD ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=40

iShares Core U.S. Growth ETF IUSG ETFhttps://www.ishares.com/us/products/239713/IUSG

?referrer=tickerSearch

iShares Edge MSCI USA Momentum Factor MTUM ETFhttps://www.ishares.com/us/products/251614/MTU

M?referrer=tickerSearch

iShares PHLX Semiconductor ETF SOXX ETFhttps://www.ishares.com/us/products/239705/SOX

X?referrer=tickerSearchProShares Large Cap Core Plus ETF CSM ETF http://www.proshares.com/funds/csm.html

Vanguard Short-Term Government Bond ETF VGSH ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3142&FundIntExt=INT

iShares US Regional Banks ETF IAT ETFhttps://www.ishares.com/us/products/239521/ishar

es-us-regional-banks-etf

Guggenheim S&P 500 Top 50 ETF XLG ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=101

Fidelity Nasdaq Composite Tr Stk ETF ONEQ ETFhttps://screener.fidelity.com/ftgw/etf/goto/snapsho

t/snapshot.jhtml?symbols=ONEQ&type=o-NavBar

Page 109: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

SPDR S&P 500 Growth ETF SPYG ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SPYG

PowerShares S&P 500 Quality ETF SPHQ ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=SPHQ&ticker=SPHQ&title=powers

hares-s-p-500-quality-portfolio

Vanguard Russell 1000 ETF VONE ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3348&FundIntExt=INT

iShares US Oil&Gas Explor&Prodtn ETF IEO ETFhttps://www.ishares.com/us/products/239517/IEO?

referrer=tickerSearch

Vanguard Russell 2000 ETF VTWO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3351&FundIntExt=INT

iShares US Aerospace & Defense ETF ITA ETFhttps://www.ishares.com/us/products/239502/ITA?

referrer=tickerSearch

iShares 10-20 Year Treasury Bond ETF TLH ETFhttps://www.ishares.com/us/products/239453/TLH?

referrer=tickerSearch

iShares Morningstar Mid-Cap ETF JKG ETFhttps://www.ishares.com/us/products/239582/JKG?

referrer=tickerSearch

WisdomTree SmallCap Earnings ETF EES ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=45

SPDR S&P 600 Small Cap Growth ETF SLYG ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SLYG

iShares Morningstar Small-Cap Value ETF JKL ETF https://www.ishares.com/us/products/239588/JKL

PowerShares S&P 500 High Div Low Vol ETF SPHD ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=SPHD&ticker=SPHD&title=powersh

ares-s-p-500-high-dividend-low-volatility-portfolio

VanEck Vectors Semiconductor ETF SMH ETFhttp://www.vaneck.com/vaneck-vectors/equity-

etfs/smh/

SPDR S&P 600 Small Cap ETF SLY ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SLY

iShares MSCI Europe Financials ETF EUFN ETFhttps://www.ishares.com/us/products/239645/EUF

N?referrer=tickerSearch

VanEck Vectors Pharmaceutical ETF PPH ETFhttp://www.vaneck.com/vaneck-vectors/equity-

etfs/pph/snapshot/

iShares US Oil Equipment&Services ETF IEZ ETFhttps://www.ishares.com/us/products/239518/IEZ?r

eferrer=tickerSearch

Vanguard Russell 1000 Value ETF VONV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3349&FundIntExt=INT

WisdomTree International LargeCp Div ETF DOL ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=21

Oppenheimer Small Cap Revenue ETF RWJ ETFhttp://www.revenueshares.com/etfs/oppenheimer-

small-cap-revenue-etf/

Vanguard S&P Mid-Cap 400 Growth ETF IVOG ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3343&FundIntExt=INT

SPDR S&P 600 Small Cap Value ETF SLYV ETFhttps://www.spdrs.com/product/fund.seam?ticker=

SLYV

iShares MSCI USA ESG Select ETF KLD ETFhttps://www.ishares.com/us/products/239692/KLD?

referrer=tickerSearch

SPDR Barclays Long Term Treasury ETF TLO ETFhttps://www.spdrs.com/product/fund.seam?ticker=

TLO

First Trust S&P REIT ETF FRI ETFhttps://www.ftportfolios.com/Retail/Etf/EtfSummar

y.aspx?Ticker=FRI

Page 110: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Oppenheimer Large Cap Revenue ETF RWL ETFhttp://www.revenueshares.com/etfs/oppenheimer-

large-cap-revenue-etf/

iShares Morningstar Large-Cap Value ETF JKF ETFhttps://www.ishares.com/us/products/239581/JKF?

referrer=tickerSearch

ETFS Physical Silver SIVR ETF

https://www.etfsecurities.com/institutional/us/en-

us/products/product/etfs-physical-silver-shares-sivr-

arca

SPDR Wells Fargo Preferred Stock ETF PSK ETFhttps://www.spdrs.com/product/fund.seam?ticker=

PSK

Schwab Intermediate-Term US Trs ETF SCHR ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?&&path=%2FProspect%2FResearch%2Fetf

s%2Fsummary.asp%3Fsymbol%3DSCHR

VanEck Vectors AMT-Free Short Muni ETF SMB ETFhttp://www.vaneck.com/vaneck-vectors/income-

etfs/smb/snapshot/

PowerShares S&P SmallCap Info Tech ETF PSCT ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PSCT&ticker=PSCT&title=powersha

res-s-p-smallcap-information-technology-portfolio

VanEck Vectors Retail ETF RTH ETFhttp://www.vaneck.com/vaneck-vectors/equity-

etfs/rth/snapshot/

PowerShares KBW Bank ETF KBWB ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=KBWB&ticker=KBWB&title=powers

hares-kbw-bank-portfolio

PowerShares S&P 500 High Beta ETF SPHB ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=SPHB&ticker=SPHB&title=powersh

ares-s-p-500-high-beta-portfolio

SPDR STOXX Europe 50 ETF FEU ETFhttps://www.spdrs.com/product/fund.seam?ticker=

FEU

iShares Government/Credit Bond ETF GBF ETFhttps://www.ishares.com/us/products/239462/GBF?

referrer=tickerSearch

iShares Morningstar Mid-Cap Value ETF JKI ETFhttps://www.ishares.com/us/products/239584/JKI?r

eferrer=tickerSearch

iShares Morningstar Small-Cap JKJ ETF https://www.ishares.com/us/products/239586/JKJ

SPDR S&P Oil & Gas Equipment&Svcs ETF XES ETFhttps://www.spdrs.com/product/fund.seam?ticker=

XES

Vanguard S&P Small-Cap 600 ETF VIOO ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3345&FundIntExt=INT

iShares Russell Top 200 Value IWX ETF https://www.ishares.com/us/products/239722/IWX

Guggenheim S&P SmallCap 600 PureVal ETF RZV ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=126

Guggenheim S&P 500 Eq Wt Cons Discr ETF RCD ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=95

Guggenheim S&P 500 Eq Weight Fincl ETF RYF ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=87

iShares North American Tech-Multimd Ntwk IGN ETFhttps://www.ishares.com/us/products/239770/IGN?

referrer=tickerSearch

Guggenheim S&P 500 Equal Wt Energy ETF RYE ETFhttp://gi.guggenheiminvestments.com/products/etf

/details?productid=91

Page 111: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

PowerShares Russell Top 200 Pure Gr ETF PXLG ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PXLG&ticker=PXLG&title=powersh

ares-russell-top-200-pure-growth-portfolio

WisdomTree Earnings 500 ETF EPS ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=43

KBW Premium Yield Eq REIT ETF KBWY ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=KBWY&ticker=KBWY&title=powers

hares-kbw-premium-yield-equity-reit-portfolio

iShares MSCI Belgium Capped ETF EWK ETFhttps://www.ishares.com/us/products/239610/EWK

?referrer=tickerSearch

iShares US Insurance ETF IAK ETFhttps://www.ishares.com/us/products/239515/IAK?

referrer=tickerSearch

iShares MSCI Netherlands ETF EWN ETFhttps://www.ishares.com/us/products/239671/EWN

?referrer=tickerSearch

Vanguard S&P Mid-Cap 400 Value ETF IVOV ETFhttps://personal.vanguard.com/us/funds/snapshot?

FundId=3344&FundIntExt=INT

FlexShares iBoxx 3Yr Target Dur TIPS ETF TDTT ETFhttps://www.flexshares.com/exchange-traded-

funds/iboxx-3-year-target-duration-us-tips-index

iShares Edge MSCI Min Vol EAFE ETF EFAV ETFhttps://www.ishares.com/us/products/239626/EFA

V?referrer=tickerSearch

PIMCO 1-5 Year US TIPS ETF STPZ ETFhttp://www.pimcoetfs.com/Funds/Pages/1-

5YearUSTIPSIndexFund.aspx?WT.svl=fund_nav

FTSE RAFI US 1500 Sm-Mid ETF PRFZ ETF

https://www.invesco.com/portal/site/us/investors/e

tfs/product-

detail?productId=PRFZ&ticker=PRFZ&title=powersha

res-ftse-rafi-us-1500-small-mid-portfolio

Guggenheim BulletShrs 2017 Corp Bnd ETF BSCH ETFhttp://gi.guggenheiminvestments.com/products/etf

/bsch

Guggenheim BulletShrs 2016 Corp Bnd ETF BSCG ETFhttp://gi.guggenheiminvestments.com/products/etf

/bscg

SPDR Barclays TIPS ETF IPE ETFhttps://www.spdrs.com/product/fund.seam?ticker=I

PE

Schwab US TIPS ETF SCHP ETF

http://www.schwab.com/public/schwab/investing/i

nvestment_help/investment_research/etf_research/

etfs.html?&&path=%2FProspect%2FResearch%2Fetf

s%2Fsummary.asp%3Fsymbol%3DSCHP

Guggenheim BulletShrs 2018 Corp Bd ETF BSCI ETFhttp://gi.guggenheiminvestments.com/products/etf

/bsci

iShares Core Growth Allocation ETF AOR ETFhttps://www.ishares.com/us/products/239756/AOR

?referrer=tickerSearch

iShares Agency Bond ETF AGZ ETF https://www.ishares.com/us/products/239457/AGZ

iShares Core US Treasury Bond ETF GOVT ETFhttps://www.ishares.com/us/products/239468/GOV

T?referrer=tickerSearch

WisdomTree US Quality Dividend Gr ETF DGRW ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=82

iShares Core 1-5 Year USD Bond ISTB ETFhttps://www.ishares.com/us/products/244051/ISTB

?referrer=tickerSearch

Page 112: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

iShares Morningstar Mid-Cap Growth ETF JKH ETFhttps://www.ishares.com/us/products/239583/JKH?

referrer=tickerSearch

WisdomTree Europe SmallCap Dividend ETF DFE ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=37

iShares International Treasury Bond ETF IGOV ETFhttps://www.ishares.com/us/products/239830/IGO

V

SPDR Barclays International Corp Bd ETF IBND ETFhttps://www.spdrs.com/product/fund.seam?ticker=I

BND

Amerisafe, Inc. AMSF Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=amsf&owner=exclude&action=getcompa

ny

Gigamon Inc. GIMO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=gimo&owner=exclude&action=getcompa

ny

Nautilus Inc. NLS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=nls&owner=exclude&action=getcompany

ASML Holding NV ASML Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=asml&owner=exclude&action=getcompa

ny

CalAmp Corp. CAMP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=CAMP&owner=exclude&action=getcomp

any

Monotype Imaging Holdings Inc. TYPE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=type&owner=exclude&action=getcompa

ny

Costamare Inc. CMRE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cmre&owner=exclude&action=getcompa

ny&Find=Search

The GEO Group, Inc. GEO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=geo&owner=exclude&action=getcompan

y

Osisko Gold Royalties Ltd. OR Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=Osisko+Gold&owner=exclude&acti

on=getcompany

Clayton Williams Energy, Inc. CWEI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cwei&owner=exclude&action=getcompa

ny

InvenSense, Inc. INVN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=invn&owner=exclude&action=getcompan

y&Find=Search

VimpelCom Ltd. VIP Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=vip&owner=exclude&action=getcompany

Aviva plc AV Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=av&owner=exclude&action=getcompany

&Find=Search

Petrobras Argentina SA PZE Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pze&owner=exclude&action=getcompan

y

Pampa Energia SA PAM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pam&owner=exclude&action=getcompa

ny&Find=Search

Page 113: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

KB Financial Group, Inc. KB Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kb&owner=exclude&action=getcompany

Ecopetrol SA EC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ec&owner=exclude&action=getcompany

&Find=Search

Galapagos NV GLPG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=glpg&owner=exclude&action=getcompan

y

Royal Bank of Scotland Group plc RBS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=rbs&owner=exclude&action=getcompany

Hanwha Q CELLS Co., Ltd. HQCL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hqcl&owner=exclude&action=getcompan

y&Find=Search

Grupo Aeroportuario Centro Norte OMAB Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=omab&owner=exclude&action=getcomp

any

WNS (Holdings) Ltd. WNS Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=wns&owner=exclude&action=getcompan

y&Find=Search

Banco Macro S.A. BMA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bma&owner=exclude&action=getcompa

ny

Himax Technologies, Inc. HIMX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=himx&owner=exclude&action=getcompa

ny

Silicon Motion Technology Corp. SIMO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=simo&owner=exclude&action=getcompa

ny&Find=Search

CPFL Energia S.A. CPL Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=cpl&owner=exclude&action=getcompany

Cencosud S.A. CNCO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cnco&owner=exclude&action=getcompa

ny

Shinhan Financial Group Co. Ltd. SHG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=shg&owner=exclude&action=getcompan

y&Find=Search

Telecom Italia S.p.A. TI Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ti&owner=exclude&action=getcompany

Chunghwa Telecom Co., Ltd. CHT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=cht&owner=exclude&action=getcompany

&Find=Search

Intercontinental Hotels Group plc IHG Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ihg&owner=exclude&action=getcompany

Tenaris S.A. TS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=ts&owner=exclude&action=getcompany

Sanofi SNY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=sny&owner=exclude&action=getcompan

y&Find=Search

Page 114: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

AU Optronics Corp. AUO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=auo&owner=exclude&action=getcompan

y&Find=Search

Companhia de Saneamento Basico SBS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=sbs&owner=exclude&action=getcompany

Banco de Chile BCH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bch&owner=exclude&action=getcompan

y&Find=SearchEGShares India Consumer ETF INCO ETF http://emergingglobaladvisors.com/inco

Healthways, Inc. HWAY Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=hway&owner=exclude&action=getcompa

ny

PRA Health Sciences, Inc. PRAH Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=prah&owner=exclude&action=getcompa

ny

Emerge Energy Services LP EMES Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=emes&owner=exclude&action=getcompa

ny

KKR & Co. L.P. KKR Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=kkr&owner=exclude&action=getcompany

Medpace Holdings, Inc. MEDP Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=Medpace+Holdings%2C+Inc.&owne

r=exclude&action=getcompany

Planet Fitness, Inc. PLNT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=plnt&owner=exclude&action=getcompan

y&Find=Search

Cellectis S.A. CLLS Stockhttps://www.sec.gov/cgi-bin/browse-

edgar?CIK=clls&owner=exclude&action=getcompany

Editas Medicine Inc. EDIT Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=edit&owner=exclude&action=getcompan

y

Intellia Therapeutics Inc. NTLA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ntla&owner=exclude&action=getcompan

y

Texas Pacific Land Trust TPL Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tpl&owner=exclude&action=getcompany

&Find=Search

National HealthCare Corporation NHC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nhc&owner=exclude&action=getcompan

y

National Storage Affiliates NSA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=nsa&owner=exclude&action=getcompan

y&Find=Search

Patrick Industries Inc. PATK Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=patk&owner=exclude&action=getcompa

ny&Find=Search

MarketAxess Holdings Inc. MKTX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=mktx&owner=exclude&action=getcompa

ny&Find=Search

AxoGen, Inc. AXGN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=axgn&owner=exclude&action=getcompa

ny&Find=Search

Page 115: DriveWealth Approved Security Listing Criteria Market ......Sep 16, 2016  · DriveWealth Approved Security Listing Criteria US exchange listed (OTC securities are not available) Market

Ebix Inc. EBIX Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ebix&owner=exclude&action=getcompan

y&Find=Search

Hawaiian Holdings Inc. HA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=ha&owner=exclude&action=getcompany

&Find=Search

Pure Storage, Inc. PSTG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?company=Pure+Storage%2C+Inc&owner=excl

ude&action=getcompany

Tower Semiconductor Ltd. TSEM Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tsem&owner=exclude&action=getcompa

ny

BioSpecifics Technologies Corp. BSTC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=bstc&owner=exclude&action=getcompan

y&Find=Search

Urstadt Biddle Properties Inc. UBA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=uba&owner=exclude&action=getcompan

y&Find=Search

Plains All American Pipeline, L.P. PAA Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=paa&owner=exclude&action=getcompan

y&Find=Search

2U, Inc. TWOU Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=twou&owner=exclude&action=getcompa

ny&Find=Search

Ellie Mae, Inc. ELLI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=elli&owner=exclude&action=getcompany

&Find=Search

TiVo Inc. TIVO Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=tivo&owner=exclude&action=getcompan

y&Find=Search

Farmland Partners Inc. FPI Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=fpi&owner=exclude&action=getcompany

&Find=Search

Pretium Resources Inc. PVG Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=pvg&owner=exclude&action=getcompan

y&Find=Search

Sunrun Inc. RUN Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=run&owner=exclude&action=getcompan

y&Find=Search

Emerging Markets High Dividend ETF DEM ETFhttps://www.wisdomtree.com/etfs/fund-

details.aspx?etfid=50

Enersis Chile S.A. ENIC Stock

https://www.sec.gov/cgi-bin/browse-

edgar?CIK=enic&owner=exclude&action=getcompan

y