mutual fund network - td ameritrade · 2020-03-09 · 1. mutual funds are subject to risks,...
TRANSCRIPT
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Mutual Fund
Network
TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and the Toronto-Dominion Bank.
© 2019 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.
135 Greene Street
Jersey City, NJ 07311
1-800-431-3500
Last Updated : November 11, 2019
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1. Mutual funds are subject to risks, including market risk. Mutual fund shares
fluctuate in price and may be sold at a price lower than the purchase price
resulting in a loss of principal. There is no guarantee that a fund will meet its
investment objectives.
2. Under the Investment Company Act of 1940, mutual funds may "redeem
shares in kind" (Rule 18F-1). This means that under certain conditions a
fund may redeem shares and deliver assets other than cash, such as
debt or equities held in the portfolio.
MUTUAL FUND RISK DISCLOSURE STATEMENT
6. Mutual funds are offered by prospectus only. Prospectuses are available upon request. TD
Ameritrade will provide a prospectus upon execution of a purchase
order as required. TD Ameritrade Institutional accepts only unsolicited orders. Therefore, it is
your responsibility to read and understand the terms and
conditions in the prospectus, including fees and charges which may apply,
before placing orders. TD Ameritrade Institutional shall not accept any liability or
responsibility for orders executed under the terms and conditions as stated in
a fund’s prospectus.
8. In accordance with many mutual funds’ prospectuses, a fund may reserve the
right to change its policies regarding exchanges, redemptions, or purchases.
This may affect the terms of an execution or our ability to execute an order on
your behalf.
3. Buying on margin involves greater risk than trading on a cash basis. If your
account has been approved for margin trading, you may be required to deposit
additional funds on short notice to maintain your position. However, notice is
not required to liquidate securities to cover a debit. If you do not provide the
required additional funds or securities within the prescribed time, all or a
portion of your holdings may be liquidated. You will be liable for any resulting
deficit in your account. The high degree of leverage obtained in margin trading
can work against you as well as for you, leading to larger losses as well as
larger gains.
4. Under certain “crisis” market conditions, mutual funds may be allowed to
suspend redemptions. This may affect our ability to execute an order on your
behalf.
9. Mutual funds are neither FDIC-insured nor guaranteed by the U.S. government,
and are not deposits or obligations of or guaranteed by any bank, and are subject
to market risk, including possible loss of principle. Before investing please read
the prospectus, which describes risks, management fees, and expenses. To
request a prospectus, please contact your Relationship Manager. Investment
return and principal value of an investment will fluctuate so that shares, when redeemed, may
be worth more or less than original cost. Returns are historical
and include change in share price and reinvestment of dividends and capital gains. No-load
funds have other fees and expenses that apply to a continued investment
in the fund and are described in the prospectus.
5. All orders given to TD Ameritrade Institutional are placed on a “best efforts”
basis. We will place orders as prescribed and recognized by the fund.
7. Some funds impose a wire redemption fee for orders we place on your behalf.
Such fees are indicated in the fund’s prospectus.
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
13D ACTIVIST INTF 66537V252 DDDAX 13D ACTIVIST A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
13D ACTIVIST T 66537V237 DDDIX 13D ACTIVIST I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
1919 FUNDS INTF 89832P879 SBFAX 1919 FINANCIAL SERVICES A 16:00 T+2 T+2 0.00 0.00 0.00 0.00
1919 FUNDS L 89832P861 SFSLX 1919 FINANCIAL SERVICES C 16:00 T+1 T+1 1000.00 50.00 250.00 50.00
1919 FUNDS T 89832P838 LMRIX 1919 FINANCIAL SERVICES CLASS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
1919 FUNDS INTF 89832P754 LMMDX 1919 MARYLAND TAX FREE
INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
1919 FUNDS L 89832P747 LMMCX 1919 MARYLAND TAX FREE
INCOME C
16:00 T+1 T+1 1000.00 50.00 250.00 50.00
1919 FUNDS T 89832P721 LMMIX 1919 MARYLAND TAX FREE
INCOME I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
1919 FUNDS INTF 89832P820 SSIAX 1919 SOCIALLY RESPONSIVE
BALANCED A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
1919 FUNDS L 89832P796 SESLX 1919 SOCIALLY RESPONSIVE
BALANCED C
16:00 T+1 T+1 1000.00 50.00 250.00 50.00
1919 FUNDS T 89832P762 LMRNX 1919 SOCIALLY RESPONSIVE
BALANCED I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
1WS CAPITAL T 68249P102 OWSCX 1WS CREDIT INCOME FUND 16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS T 46141Q535 ADMZX 361 DOMESTIC LONG SHORT
EQUITY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS NTF 46141Q527 ADMQX 361 DOMESTIC LONG SHORT
EQUITY INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS T 46141Q873 AGAZX 361 GLOBAL LONG SHORT EQUITY
I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS NTF 46141Q881 AGAQX 361 GLOBAL LONG SHORT EQUITY
INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS T 46141P453 AGMZX 361 GLOBAL MACRO
OPPORTUNITY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS NTF 46141P461 AGMQX 361 GLOBAL MACRO
OPPORTUNITY INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS T 46141P339 AGFZX 361 GLOBAL MANAGED FUTURES
STRATEGY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS NTF 46141P347 AGFQX 361 GLOBAL MANAGED FUTURES
STRATEGY INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
361 FUNDS T 461418337 AMFZX 361 MANAGED FUTURES
STRATEGY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS NTF 461418345 AMFQX 361 MANAGED FUTURES
STRATEGY INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
361 FUNDS T 46141Q394 ASFZX 361 U.S SMALL CAP EQUITY I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
361 FUNDS NTF 46141Q386 ASFQX 361 U.S SMALL CAP EQUITY
INVESTOR
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
AAM INTF 461418188 AFNAX AAM BAHL & GAYNOR INCOME
GROWTH A
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM L 461418170 AFYCX AAM BAHL & GAYNOR INCOME
GROWTH C
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM T 461418162 AFNIX AAM BAHL & GAYNOR INCOME
GROWTH I
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM INTF 46141P248 ASDAX AAM/HIMCO SHORT DURATION A 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM L 46141P230 ASDCX AAM/HIMCO SHORT DURATION C 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM T 46141P222 ASDIX AAM/HIMCO SHORT DURATION I 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM INTF 46141P883 CPUAX AAM/INSIGHT SELECT INCOME A 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM L 46141P875 CPUCX AAM/INSIGHT SELECT INCOME C 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AAM T 46141P867 CPUIX AAM/INSIGHT SELECT INCOME I 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ABBEY CAPITAL INTF 74925K375 ABYAX ABBEY CAPITAL FUTURES
STRATEGY A
16:00 T+1 T+1 2500.00 100.00 2500.00 100.00
ABBEY CAPITAL T 74925K367 ABYIX ABBEY CAPITAL FUTURES
STRATEGY I
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ABERDEEN
FUNDS
T 003022209 ABEIX ABERDEEM INTERMEDIATE
MUNICIPAL INCOME INST
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021185 APJAX ABERDEEN ASIA PACIFIC EQUITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003021177 APJCX ABERDEEN ASIA PACIFIC EQUITY
C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ABERDEEN
FUNDS
T 003021698 AAPIX ABERDEEN ASIA PACIFIC EQUITY
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021680 AAPEX ABERDEEN ASIA PACIFIC EQUITY
INSTITUTIONAL SERVICES
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003019106 GOPAX ABERDEEN CHINA A SHARE
EQUITY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ABERDEEN
FUNDS
L 003019304 GOPCX ABERDEEN CHINA A SHARE
EQUITY C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003019502 GOPIX ABERDEEN CHINA A SHARE
EQUITY INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003019601 GOPSX ABERDEEN CHINA A SHARE
EQUITY INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020849 GASAX ABERDEEN DIVERSIFIED
ALTERNATIVES A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020823 GAMCX ABERDEEN DIVERSIFIED
ALTERNATIVES C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003020799 GASIX ABERDEEN DIVERSIFIED
ALTERNATIVES INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020781 GAISX ABERDEEN DIVERSIFIED
ALTERNATIVES INSTITUTIONAL
SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020104 GMAAX ABERDEEN DIVERSIFIED INCOME
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020302 GMACX ABERDEEN DIVERSIFIED INCOME
C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003020500 GMAIX ABERDEEN DIVERSIFIED INCOME
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020708 GMMAX ABERDEEN DYNAMIC ALLOCATION
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020880 GMMCX ABERDEEN DYNAMIC ALLOCATION
C
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
T 003020864 GMMIX ABERDEEN DYNAMIC ALLOCATION
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020856 GAASX ABERDEEN DYNAMIC ALLOCATION
INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003022423 ADAVX ABERDEEN DYNAMIC DIVIDEND A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 003022431 ADVDX ABERDEEN DYNAMIC DIVIDEND
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021250 GEGAX ABERDEEN EMERGING MARKETS
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ABERDEEN
FUNDS
L 003021243 GEGCX ABERDEEN EMERGING MARKETS
C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
NTF 003021151 AKFAX ABERDEEN EMERGING MARKETS
DEBT FUND A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003021144 AKFCX ABERDEEN EMERGING MARKETS
DEBT FUND C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ABERDEEN
FUNDS
T 003021128 AKFIX ABERDEEN EMERGING MARKETS
DEBT FUND I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
T 003021714 ABEMX ABERDEEN EMERGING MARKETS
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020377 MLSAX ABERDEEN FOCUSED U.S. EQUITY
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020351 MLSCX ABERDEEN FOCUSED U.S. EQUITY
C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003020336 GGUIX ABERDEEN FOCUSED U.S. EQUITY
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020328 AELSX ABERDEEN FOCUSED U.S. EQUITY
INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020310 GLLAX ABERDEEN GLOBAL EQUITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020286 GLLCX ABERDEEN GLOBAL EQUITY C 16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
NTF 04315J845 JETAX ABERDEEN GLOBAL EQUITY
IMPACT A
16:00 T+1 T+1 1000.00 100.00 100.00 100.00
ABERDEEN
FUNDS
T 04315J837 JETIX ABERDEEN GLOBAL EQUITY
IMPACT INST
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
T 003020260 GWLIX ABERDEEN GLOBAL EQUITY
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020252 GLLSX ABERDEEN GLOBAL EQUITY
INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 04315J878 BJBHX ABERDEEN GLOBAL HIGH INCOME
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 04315J860 JHYIX ABERDEEN GLOBAL HIGH INCOME
I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003022399 AIAFX ABERDEEN GLOBAL
INFRASTRUCTURE A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ABERDEEN
FUNDS
T 003022415 AIFRX ABERDEEN GLOBAL
INFRASTRUCTURE INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021755 CUGAX ABERDEEN GLOBAL
UNCONSTRAINED FIXED INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003021748 CGBCX ABERDEEN GLOBAL
UNCONSTRAINED FIXED INCOME C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003021730 AGCIX ABERDEEN GLOBAL
UNCONSTRAINED FIXED INCOME
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003021722 CGFIX ABERDEEN GLOBAL
UNCONSTRAINED FIXED INCOME
INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003022449 AAADX ABERDEEN INCOME BUILDER A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 003022456 AADDX ABERDEEN INCOME BUILDER
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003020161 NTFAX ABERDEEN INTERMEDIATE
MUNICIPAL INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020146 GTICX ABERDEEN INTERMEDIATE
MUNICIPAL INCOME C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
NTF 003019445 GIGAX ABERDEEN INTERNATIONAL
EQUITY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003019429 GIGCX ABERDEEN INTERNATIONAL
EQUITY C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
NTF 003019387 GIGSX ABERDEEN INTERNATIONAL
EQUITY FD INSTITUTIONAL
SERVICE CL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
T 003019395 GIGIX ABERDEEN INTERNATIONAL
EQUITY INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003022373 EGALX ABERDEEN INTERNATIONAL REAL
ESTATE EQUITY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 003022381 EGLRX ABERDEEN INTERNATIONAL REAL
ESTATE EQUITY INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ABERDEEN
FUNDS
NTF 003021821 WVCCX ABERDEEN INTERNATIONAL
SMALL CAP A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003021797 CPVCX ABERDEEN INTERNATIONAL
SMALL CAP C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003021789 ABNIX ABERDEEN INTERNATIONAL
SMALL CAP INST
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003021771 AGISX ABERDEEN INTERNATIONAL
SMALL CAP INSTITUTIONAL
SERVICE
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003022837 AJEAX ABERDEEN JAPANESE EQUITIES A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003022357 AIAGX ABERDEEN REALTY INCOME &
GROWTH A
16:00 T+1 T+1 1000.00 100.00 250.00 25.00
ABERDEEN
FUNDS
T 003022365 AIGYX ABERDEEN REALTY INCOME &
GROWTH INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF-N 04315J407 BJBIX ABERDEEN SELECT
INTERNATIONAL EQUITY A
16:00 T+1 T+1 1000.00 500.00 100.00 0.00
ABERDEEN
FUNDS
T-N 04315J506 JIEIX ABERDEEN SELECT
INTERNATIONAL EQUITY I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003022332 AAHMX ABERDEEN SHORT DURATION
HIGH YIELD MUNICIPAL A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 003022340 AHYMX ABERDEEN SHORT DURATION
HIGH YIELD MUNICIPAL INST
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 04315J100 BJBGX ABERDEEN TOTAL RETURN BOND
A
16:00 T+1 T+1 1000.00 500.00 100.00 0.00
ABERDEEN
FUNDS
T 04315J209 JBGIX ABERDEEN TOTAL RETURN BOND
I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021425 GXXAX ABERDEEN U.S. MULTI CAP
EQUITY FUND A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003021417 GXXCX ABERDEEN U.S. MULTI CAP
EQUITY FUND C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003021383 GGLIX ABERDEEN U.S. MULTI CAP
EQUITY FUND INST
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003021375 GXXIX ABERDEEN U.S. MULTI CAP
EQUITY INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ABERDEEN
FUNDS
NTF 003020716 GSXAX ABERDEEN U.S. SMALL CAP
EQUITY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
L 003020682 GSXCX ABERDEEN U.S. SMALL CAP
EQUITY C
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABERDEEN
FUNDS
T 003020666 GSCIX ABERDEEN U.S. SMALL CAP
EQUITY INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
NTF 003020658 GSXIX ABERDEEN U.S. SMALL CAP
EQUITY INSTITUTIONAL SERVICE
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABERDEEN
FUNDS
NTF 003022316 ATOAX ABERDEEN ULTRA SHORT
MUNICIPAL INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABERDEEN
FUNDS
T 003022324 ATOIX ABERDEEN ULTRA SHORT
MUNICIPAL INCOME
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABR DYNAMIC
FUNDS
T 34984Y781 ABRVX ABR DYNAMIC BLEND EQUITY AND
VOLATILITY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABR DYNAMIC
FUNDS
NTF 34984Y773 ABRTX ABR DYNAMIC BLEND EQUITY AND
VOLATILITY INVESTOR
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ABR DYNAMIC
FUNDS
T 34984Y658 ABRSX ABR DYNAMIC SHORT VOLATILITY
INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABR DYNAMIC
FUNDS
NTF 34984Y641 ABRJX ABR DYNAMIC SHORT VOLATILITY
INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABSOLUTE
CAPITAL
NTF 66538G353 AAMAX ABSOLUTE CAPITAL ASSET
ALLOCATOR A
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABSOLUTE
CAPITAL
T 66538G338 AAMCX ABSOLUTE CAPITAL ASSET
ALLOCATOR INVESTOR
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABSOLUTE
CAPITAL
NTF 66538G320 ACMAX ABSOLUTE CAPITAL DEFENDER FD
A
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABSOLUTE
CAPITAL
T 66538G296 ACMDX ABSOLUTE CAPITAL DEFENDER FD
INVESTOR
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ABSOLUTE
FUNDS
T 34985A709 CAPOX ABSOLUTE CAPITAL
OPPORTUNITIES INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABSOLUTE
FUNDS
T 34984T287 ARBIX ABSOLUTE MOHICAN
CONVERTIBLE ARBITRAGE I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ABSOLUTE
FUNDS
T 34984T600 ASFIX ABSOLUTE STRATEGIES
INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
AC ONE FUNDS T 56166Y859 ACOIX AC ONE CHINA INSTITUTIONAL 16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 9
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ACADIAN FUNDS NTF-N 00758M162 AEMGX ACADIAN EMERGING MARKETS
INVESTOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ACM FUNDS INTF 66538G668 ADOAX ACM DYNAMIC OPPORTUNITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ACM FUNDS T 66538G650 ADOIX ACM DYNAMIC OPPORTUNITY I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ACM FUNDS INTF 66538R771 TINAX ACM TACTICAL INCOME A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ACM FUNDS T 66538R763 TINIX ACM TACTICAL INCOME I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ACR MULTI
STRAT FUNDS
T 46141T653 IQRIX ACR INTERNATIONAL QUALITY
RETURN INSTITUTIONAL
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ACR MULTI
STRAT FUNDS
T 46141T802 MQRIX ACR MULTI STRATEGY QUALITY
RETURN MQR I
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ADAMS
HARKNESS
NTF 349903229 ASCGX LISANTI SMALL CAP GROWTH 16:00 T+1 T+1 1000.00 250.00 500.00 250.00
ADIRONDACK
FUNDS
NTF 00688P103 ADKSX ADIRONDACK SMALL CAP FUND 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F458 CLFLX CLS FLEXIBLE INCOME N 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F441 CLACX CLS GLOBAL AGGRESSIVE EQUITY
N
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F201 CLSAX CLS GLOBAL DIVERSIFIED EQUITY
N
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F300 CLERX CLS GROWTH & INCOME N 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F433 CLSHX CLS SHELTER FUND N 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORONE
FUNDS
NTF 00764F193 SGEFX CLS STRATEGIC GLOBAL EQUITY
N
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00774Q585 APEEX APERTURE ENDEAVOUR EQUITY X 16:00 T+1 T+1 500.00 0.00 500.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00774Q619 ANWRX APERTURE NEW WORLD
OPPORTUNITIES X
16:00 T+1 T+1 500.00 0.00 500.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00769G170 AWGIX CIBC ATLAS ALL CAP GROWTH 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 10
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ADVISORS
INNER CIRCLE
FUNDS
T 00769G493 AWEIX CIBC ATLAS DISCIPLINED EQUITY 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00769G154 AWYIX CIBC ATLAS EQUITY INCOME 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00769G451 AWIIX CIBC ATLAS INCOME
OPPORTUNITIES
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00769G139 AWWIX CIBC ATLAS INTERNATIONAL
GROWTH INSTL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
T 00769G477 AWMIX CIBC ATLAS MID CAP EQUITY 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
NTF 0075W0866 HAVGX HAVERFORD QUALITY GROWTH
STOCK FUND
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ADVISORS
INNER CIRCLE
FUNDS
NTF 00758M188 MKIEX MCKEE INTERNATIONAL EQUITY
PORTFOLIO
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ADVISORS
INNER CIRCLE
FUNDS
NTF 00758M212 RHJSX RICE HALL JAMES MICRO CAP
PORTFOLIO
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ADVISORS
INNER CIRCLE
FUNDS
NTF 00758M196 RHJMX RICE HALL JAMES SMALL-CAP
INSTITUTIONAL
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ADVISORS
PREFERRED
INTF 00771F723 KAMAX KENSINGTON MANAGED INCOME A 16:00 T+1 T+1 1000.00 250.00 500.00 250.00
ADVISORS
PREFERRED
T 00771F715 KAMIX KENSINGTON MANAGED INCOME I 16:00 T+1 T+1 1000.00 250.00 500.00 250.00
ADVISORS
PREFERRED
NTF 00771F301 OTRGX ONTRACK CORE ADVISOR 16:00 T+1 T+1 1000.00 500.00 1000.00 500.00
ADVISORS
PREFERRED
T 00771F103 OTRFX ONTRACK CORE INVESTOR 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
Page 11
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ADVISORS
PREFERRED
T 00771F798 SAPEX SPECTRUM ADVISORS
PREFERRED INVESTOR
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ADVISORS
PREFERRED
T 00771F871 SVARX SPECTRUM LOW VOLATILITY
INVESTOR
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ADVISORY
RESEARCH
FUNDS
T 461418816 ADVGX ADVISORY RESEARCH ALL CAP
VALUE
16:00 T+1 T+1 1000.00 100.00 0.00 0.00
ADVISORY
RESEARCH
FUNDS
T 46141P503 ADVNX ADVISORY RESEARCH STRATEGIC
INCOME
16:00 T+1 T+1 1000.00 500.00 0.00 0.00
ADVISORY
RESEARCH
FUNDS
INTF 461418543 INFRX TORTOISE MLP & ENERGY INCOME
A
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ADVISORY
RESEARCH
FUNDS
L 461418238 INFFX TORTOISE MLP & ENERGY INCOME
C
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ADVISORY
RESEARCH
FUNDS
T 461418535 INFIX TORTOISE MLP & ENERGY INCOME
I
16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ADVISORY
RESEARCH
FUNDS
T 461418626 MLPPX TORTOISE MLP & ENERGY
INFRASTRUCTURE I
16:00 T+1 T+1 5.00M 500.00 5.00M 500.00
AEGIS FUNDS NTF 00764V305 AVFAX AEGIS VALUE FUND CLASS A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
AEGIS FUNDS T 00761L102 AVALX AEGIS VALUE FUND I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
AKRE FUNDS T 742935125 AKRIX AKRE FOCUS INSTITUTIONAL 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
AKRE FUNDS NTF 742935117 AKREX AKRE FOCUS RETAIL 16:00 T+1 T+1 1000.00 250.00 500.00 250.00
AL FRANK
FUNDS
T 66538A349 VALAX AL FRANK FUND ADVISOR 16:00 T+1 T+1 1000.00 250.00 500.00 250.00
AL FRANK
FUNDS
NTF 66538A356 VALUX AL FRANK FUND INVESTOR 16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ALGER FUNDS T 015565153 ATFFX ALGER 25 P-2 16:00 T+1 T+1 25.00K 0.00 25.00K 0.00
ALGER FUNDS T 015565146 ATVVX ALGER 35 P-2 16:00 T+1 T+1 25.00K 0.00 25.00K 0.00
ALGER FUNDS INTF 015565849 ACAAX ALGER CAPITAL APPRECIATION A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L-N 015565880 ACAPX ALGER CAPITAL APPRECIATION B 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 12
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALGER FUNDS L 015565781 ALCCX ALGER CAPITAL APPRECIATION C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015570401 ALARX ALGER CAPITAL APPRECIATION
INSTITUTIONAL I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015570757 ACIZX ALGER CAPITAL APPRECIATION
INSTITUTIONAL Z-2
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS T 015565419 ACAZX ALGER CAPITAL APPRECIATION Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015566813 SPEDX ALGER DYNAMIC OPPORTUNITIES
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015566748 ADOCX ALGER DYNAMIC OPPORTUNITIES
C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS T 015566755 ADOZX ALGER DYNAMIC OPPORTUNITIES
Z
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015566797 AAEMX ALGER EMERGING MARKETS A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015566789 ACEMX ALGER EMERGING MARKETS C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015566771 AIEMX ALGER EMERGING MARKETS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015566730 AZEMX ALGER EMERGING MARKETS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015570799 ALAFX ALGER FOCUS EQUITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015570781 ALCFX ALGER FOCUS EQUITY C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015570302 ALGRX ALGER FOCUS EQUITY I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015570773 ALZFX ALGER FOCUS EQUITY Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015549108 CHUSX ALGER GLOBAL FOCUS A 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS L 015549207 CHUCX ALGER GLOBAL FOCUS C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015549306 AFGIX ALGER GLOBAL FOCUS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015549405 AFGZX ALGER GLOBAL FOCUS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565831 ALBAX ALGER GROWTH & INCOME A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015565773 ALBCX ALGER GROWTH & INCOME C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS T 015565351 AGIZX ALGER GROWTH AND INCOME Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565765 AHSAX ALGER HEALTH SCIENCES A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015565740 AHSCX ALGER HEALTH SCIENCES C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS T 015565328 AHSZX ALGER HEALTH SCIENCES Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565856 ALGAX ALGER INTERNATIONAL FOCUS A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L-N 015565609 AFGPX ALGER INTERNATIONAL FOCUS B 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS L 015565799 ALGCX ALGER INTERNATIONAL FOCUS C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 13
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALGER FUNDS NTF 015565344 AIGIX ALGER INTERNATIONAL FOCUS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015565393 ALCZX ALGER INTERNATIONAL FOCUS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS NTF 015565179 AFOIX ALGER MID CAP FOCUS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015565161 AFOZX ALGER MID CAP FOCUS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS L 015565815 AMGCX ALGER MID CAP GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS T 015570740 ALMZX ALGER MID CAP GROWTH
INSTITUTIONAL Z-2
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS T 015565336 AMCZX ALGER MID CAP GROWTH Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565864 AMGAX ALGER MIDCAP GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L-N 015565807 AMCGX ALGER MIDCAP GROWTH B 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015570203 ALMRX ALGER MIDCAP GROWTH
INSTITUTIONAL I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS INTF 015566409 SPEGX ALGER RESPONSIBLE INVESTING
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015566508 AGFCX ALGER RESPONSIBLE INVESTING
C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015566607 AGIFX ALGER RESPONSIBLE INVESTING I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015566698 ALGZX ALGER RESPONSIBLE INVESTING
Z
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF-N 015565450 AOFAX ALGER SMALL CAP FOCUS A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L-N 015565443 AOFCX ALGER SMALL CAP FOCUS C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015565435 AOFIX ALGER SMALL CAP FOCUS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015565369 AGOZX ALGER SMALL CAP FOCUS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565872 ALSAX ALGER SMALL CAP GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L-N 015565500 ALSCX ALGER SMALL CAP GROWTH B 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS L 015565823 AGSCX ALGER SMALL CAP GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015570104 ALSRX ALGER SMALL CAP GROWTH
INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015565377 ASCZX ALGER SMALL CAP GROWTH Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS T 015570765 AISZX ALGER SMALLCAP GROWTH
INSTITUTIONAL Z-2
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015565732 ALMAX ALGER SMIDCAP FOCUS A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015565716 ALMCX ALGER SMIDCAP FOCUS C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 14
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALGER FUNDS NTF 015565468 ASIMX ALGER SMIDCAP FOCUS I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015565385 ASMZX ALGER SMIDCAP FOCUS Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALGER FUNDS INTF 015566102 SPECX ALGER SPECTRA A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS L 015566201 ASPCX ALGER SPECTRA C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALGER FUNDS NTF 015566300 ASPIX ALGER SPECTRA I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALGER FUNDS T 015566763 ASPZX ALGER SPECTRA Z 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALKEON
CAPITAL (ACAP)
T-N 000843102 XCAPX ACAP STRATEGIC FUND A 16:00 T+1 T+1 50.00K 5000.00 50.00K 5000.00
ALKEON
CAPITAL (ACAP)
T-N 000843201 XCWPX ACAP STRATEGIC FUND W 16:00 T+1 T+1 50.00K 5000.00 50.00K 5000.00
ALL TERRAIN T 46141T406 TERIX ALL TERRAIN OPPORTUNITY
INSTITUTIONAL
16:00 T+1 T+1 1000.00 100.00 500.00 100.00
ALLEGIANCE
FUNDS
T 007989106 ATAFX AMERICAN TRUST ALLEGIANCE
FUND
16:00 T+1 T+1 1000.00 250.00 500.00 100.00
ALLIANCE
BERNSTEIN
T 002542207 ACEYX AB ALL CHINA EQUITY PORTFOLIO
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878T186 MRKAX AB ALL MARKET INCOME
PORTFOLIO A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878T160 MRKYX AB ALL MARKET INCOME
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878T178 MRKCX AB ALL MARKET INCOME
PORTFOLIO C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 018528430 AMTAX AB ALL MARKET REAL RETURN A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528422 AMTYX AB ALL MARKET REAL RETURN
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018528414 ACMTX AB ALL MARKET REAL RETURN C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018528372 AMTIX AB ALL MARKET REAL RETURN I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018528398 AMTRX AB ALL MARKET REAL RETURN R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 15
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01877F625 ABWYX AB ALL MARKET TOTAL RETURN
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877F658 ABWAX AB ALL MARKET TOTAL RETURN
PORTFOLIO A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877F633 ABWCX AB ALL MARKET TOTAL RETURN
PORTFOLIO C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877F427 ABWIX AB ALL MARKET TOTAL RETURN
PORTFOLIO I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877F518 ABWRX AB ALL MARKET TOTAL RETURN
PORTFOLIO R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018528570 ABNAX AB BOND INFLATION STRATEGY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528562 ABNYX AB BOND INFLATION STRATEGY
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018528554 ABNCX AB BOND INFLATION STRATEGY C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018528521 ANBIX AB BOND INFLATION STRATEGY I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878T707 WPASX AB CONCENTRATED GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878T848 WPSGX AB CONCENTRATED GROWTH
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878T806 WPCSX AB CONCENTRATED GROWTH C 16:00 T+1 T+1 1000.00 500.00 500.00 250.00
ALLIANCE
BERNSTEIN
T 01878T863 WPSIX AB CONCENTRATED GROWTH I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878T889 WPRSX AB CONCENTRATED GROWTH R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878T475 CIGYX AB CONCENTRATED
INTERNATIONAL GROWTH
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877F617 ABPAX AB CONSERVATIVE WEALTH
STRATEGY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877F575 ABPYX AB CONSERVATIVE WEALTH
STRATEGY ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 16
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
L 01877F583 ABPCX AB CONSERVATIVE WEALTH
STRATEGY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877F393 APWIX AB CONSERVATIVE WEALTH
STRATEGY I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877F492 APPRX AB CONSERVATIVE WEALTH
STRATEGY R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01879K101 ADGAX AB CORE OPPORTUNITIES A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01879K705 ADGYX AB CORE OPPORTUNITIES
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01879K309 ADGCX AB CORE OPPORTUNITIES C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01879K606 ADGIX AB CORE OPPORTUNITIES I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01879K408 ADGRX AB CORE OPPORTUNITIES R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T-N 01879V107 ACISX AB CORPORATE INCOME SHARES 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 018636100 CHCLX AB DISCOVERY GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018636407 CHCYX AB DISCOVERY GROWTH ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018636308 CHCCX AB DISCOVERY GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018636704 CHCIX AB DISCOVERY GROWTH I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018636506 CHCRX AB DISCOVERY GROWTH R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018914101 ABASX AB DISCOVERY VALUE A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018914408 ABYSX AB DISCOVERY VALUE ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018914309 ABCSX AB DISCOVERY VALUE C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018914705 ABSIX AB DISCOVERY VALUE I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 17
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 018914507 ABSRX AB DISCOVERY VALUE R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877E552 ABAEX AB EMERGING MARKETS MULTI
ASSET A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877E545 ABYEX AB EMERGING MARKETS MULTI
ASSET ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877E537 ABCEX AB EMERGING MARKETS MULTI
ASSET C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877E529 ABIEX AB EMERGING MARKETS MULTI
ASSET I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877E495 ABREX AB EMERGING MARKETS MULTI
ASSET R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018791103 AUIAX AB EQUITY INCOME A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018791400 AUIYX AB EQUITY INCOME ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018791301 AUICX AB EQUITY INCOME C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018791707 AUIIX AB EQUITY INCOME I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018791509 AUIRX AB EQUITY INCOME R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01881M699 HIYYX AB FLEXFEE HIGH YIELD
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01881M426 FFIYX AB FLEXFEE INTERNATIONAL
BOND PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878H786 FFLYX AB FLEXFEE LARGE CAP GROWTH
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878H778 FFTYX AB FLEXFEE US THEMATIC
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01853W105 ANAGX AB GLOBAL BOND A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01853W709 ANAYX AB GLOBAL BOND ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01853W303 ANACX AB GLOBAL BOND C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 18
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01853W600 ANAIX AB GLOBAL BOND I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878T269 GCEAX AB GLOBAL CORE EQUITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877G102 AREAX AB GLOBAL REAL ESTATE
INVESTMENT A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877G409 ARSYX AB GLOBAL REAL ESTATE
INVESTMENT ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877G300 ARECX AB GLOBAL REAL ESTATE
INVESTMENT C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877G706 AEEIX AB GLOBAL REAL ESTATE
INVESTMENT I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018907501 ARIIX AB GLOBAL REAL ESTATE
INVESTMENT II I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877G508 ARRRX AB GLOBAL REAL ESTATE
INVESTMENT R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018525105 CABNX AB GLOBAL RISK ALLOCATION A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018525501 CBSYX AB GLOBAL RISK ALLOCATION
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018525402 CBACX AB GLOBAL RISK ALLOCATION C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018525808 CABIX AB GLOBAL RISK ALLOCATION I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018525600 CBSRX AB GLOBAL RISK ALLOCATION R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877F401 AGRFX AB GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877F757 AGRYX AB GROWTH ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877F609 AGRCX AB GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877F468 AGFIX AB GROWTH I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877F484 AGFRX AB GROWTH R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 19
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
INTF 01859M101 AGDAX AB HIGH INCOME A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01859M408 AGDYX AB HIGH INCOME ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01859M309 AGDCX AB HIGH INCOME C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01859M507 AGDIX AB HIGH INCOME I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018642751 ABTHX AB HIGH INCOME MUNICIPAL A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018642744 ABTYX AB HIGH INCOME MUNICIPAL
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018642736 ABTFX AB HIGH INCOME MUNICIPAL C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01859M705 AGDRX AB HIGH INCOME R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T-N 01879V602 ABIMX AB IMPACT MUNICIPAL INCOME
SHARES
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 01881M467 AKGAX AB INCOME FUND A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01881M442 ACGYX AB INCOME FUND ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01881M459 AKGCX AB INCOME FUND C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 085568442 AICYX AB INTERMEDIATE CA MUNICIPAL
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 085568814 AICAX AB INTERMEDIATE CALIFORNIA
MUNI A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568780 ACMCX AB INTERMEDIATE CALIFORNIA
MUNICIPAL C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 085568772 AIDAX AB INTERMEDIATE DIVERSIFIED
MUNICIPAL A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 085568483 AIDYX AB INTERMEDIATE DIVERSIFIED
MUNICIPAL ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568756 AIMCX AB INTERMEDIATE DIVERSIFIED
MUNICIPAL C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 20
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
INTF 085568848 ANIAX AB INTERMEDIATE NEW YORK
MUNI A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568822 ANMCX AB INTERMEDIATE NEW YORK
MUNI C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 085568434 ANIYX AB INTERMEDIATE NY MUNICIPAL
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 085568673 AIZAX AB INTERNATIONAL PORTFOLIO A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568657 AIZCX AB INTERNATIONAL PORTFOLIO C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01878H109 ISARX AB INTERNATIONAL STRATEGIC
CORE PORTFOLIO A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878H307 ISRYX AB INTERNATIONAL STRATEGIC
CORE PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878H208 ISCRX AB INTERNATIONAL STRATEGIC
CORE PORTFOLIO C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 018913103 ABIAX AB INTERNATIONAL VALUE A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018913400 ABIYX AB INTERNATIONAL VALUE
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018913301 ABICX AB INTERNATIONAL VALUE C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018913707 AIVIX AB INTERNATIONAL VALUE I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018913509 AIVRX AB INTERNATIONAL VALUE R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877C101 APGAX AB LARGE CAP GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877C408 APGYX AB LARGE CAP GROWTH ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877C309 APGCX AB LARGE CAP GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877C705 ALLIX AB LARGE CAP GROWTH I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877C507 ABPRX AB LARGE CAP GROWTH R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 21
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
INTF 018528349 ALHAX AB LIMITED DURATION HIGH
INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528331 ALHYX AB LIMITED DURATION HIGH
INCOME ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018528323 ALHCX AB LIMITED DURATION HIGH
INCOME C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01878V801 TDBAX AB MULTI-MANAGER SELECT 2010
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V843 TDIBX AB MULTI-MANAGER SELECT 2010 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V827 TDCAX AB MULTI-MANAGER SELECT 2015
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V769 TDCIX AB MULTI-MANAGER SELECT 2015 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V744 TDDAX AB MULTI-MANAGER SELECT 2020
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V686 TDDIX AB MULTI-MANAGER SELECT 2020 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V660 TDAGX AB MULTI-MANAGER SELECT 2025
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V611 TDIGX AB MULTI-MANAGER SELECT 2025 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V587 TDHAX AB MULTI-MANAGER SELECT 2030
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V538 TDIHX AB MULTI-MANAGER SELECT 2030 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V512 TDMAX AB MULTI-MANAGER SELECT 2035
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V454 TDIMX AB MULTI-MANAGER SELECT 2035 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V439 TDJAX AB MULTI-MANAGER SELECT 2040
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V371 TDJIX AB MULTI-MANAGER SELECT 2040 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V355 TDNAX AB MULTI-MANAGER SELECT 2045
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 22
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01878V298 TDNIX AB MULTI-MANAGER SELECT 2045 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V272 TDLAX AB MULTI-MANAGER SELECT 2050
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V223 TDLIX AB MULTI-MANAGER SELECT 2050 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V199 TDAPX AB MULTI-MANAGER SELECT 2055
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V140 TDIPX AB MULTI-MANAGER SELECT 2055 I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878V108 TDAAX AB MULTI-MANAGER SELECT
RETIREMENT ALLOCATION A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878V603 TDAIX AB MULTI-MANAGER SELECT
RETIREMENT ALLOCATION I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01864E797 AAZAX AB MUNI INCOME ARIZONA A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E771 AAZCX AB MUNI INCOME ARIZONA C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 018642306 ALCAX AB MUNI INCOME CALIFORNIA A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018642785 ALCVX AB MUNI INCOME CALIFORNIA
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018642850 ACACX AB MUNI INCOME CALIFORNIA C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01864E862 AOHAX AB MUNI INCOME FUND II OHIO A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E847 AOHCX AB MUNI INCOME FUND II OHIO C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01864E839 APAAX AB MUNI INCOME FUND II PENN A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E813 APACX AB MUNI INCOME FUND II PENN C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01864E110 AMAYX AB MUNI INCOME FUND
MASSACHUSETTS PORTFOLIO
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 23
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
INTF 01864E763 AMAAX AB MUNI INCOME
MASSACHUSETTS A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E748 AMACX AB MUNI INCOME
MASSACHUSETTS C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
L 01864E607 AMNCX AB MUNI INCOME MINN C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01864E409 AMNAX AB MUNI INCOME MINNESOTA A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 018642108 ALTHX AB MUNI INCOME NATIONAL A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018642819 ALTVX AB MUNI INCOME NATIONAL
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018642835 ALNCX AB MUNI INCOME NATIONAL C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01864E805 ANJAX AB MUNI INCOME NEW JERSEY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E870 ANJCX AB MUNI INCOME NEW JERSEY C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 018642207 ALNYX AB MUNI INCOME NEW YORK A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018642769 ALNVX AB MUNI INCOME NEW YORK
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018642868 ANYCX AB MUNI INCOME NEW YORK C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 018528489 AUNAX AB MUNICIPAL BOND INFLATION
STRATEGY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528471 AUNYX AB MUNICIPAL BOND INFLATION
STRATEGY ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018528463 AUNCX AB MUNICIPAL BOND INFLATION
STRATEGY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01864E706 AVAAX AB MUNICIPAL INCOME II VIRGINIA
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01864E128 AVAYX AB MUNICIPAL INCOME II VIRGINIA
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01864E680 AVACX AB MUNICIPAL INCOME II VIRGINIA
C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 24
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T-N 01879V206 MISHX AB MUNICIPAL INCOME SHARES 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018597500 CBBYX AB RELATIVE VALUE ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018597807 CBBIX AB RELATIVE VALUE I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018597104 CABDX AB RELATIVE VALUE A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018597401 CBBCX AB RELATIVE VALUE C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018597609 CBBRX AB RELATIVE VALUE R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877E313 AUUAX AB SELECT US EQUITY A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877E297 AUUYX AB SELECT US EQUITY ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877E289 AUUCX AB SELECT US EQUITY C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877E271 AUUIX AB SELECT US EQUITY I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877E255 AUURX AB SELECT US EQUITY R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01878T103 ASLAX AB SELECT US LONG/SHORT
PORTFOLIO A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878T202 ASYLX AB SELECT US LONG/SHORT
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878T301 ASCLX AB SELECT US LONG/SHORT
PORTFOLIO C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878T400 ASILX AB SELECT US LONG/SHORT
PORTFOLIO I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878T608 ASRLX AB SELECT US LONG/SHORT
PORTFOLIO R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 085568749 ADPAX AB SHORT DURATION PORTFOLIO
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568723 ADPCX AB SHORT DURATION PORTFOLIO
C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 25
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
INTF 01877E107 QUASX AB SMALL CAP GROWTH A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877E503 QUAYX AB SMALL CAP GROWTH ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877E404 QUACX AB SMALL CAP GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877E800 QUAIX AB SMALL CAP GROWTH I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877E602 QUARX AB SMALL CAP GROWTH R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018780106 ALTFX AB SUSTAINABLE GLOBAL
THEMATIC A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018780502 ATEYX AB SUSTAINABLE GLOBAL
THEMATIC ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018780403 ATECX AB SUSTAINABLE GLOBAL
THEMATIC C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018780809 AGTIX AB SUSTAINABLE GLOBAL
THEMATIC I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018780601 ATERX AB SUSTAINABLE GLOBAL
THEMATIC R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
L 01879X301 AWPCX AB SUSTAINABLE INTERNATIONAL
THEMATIC C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01879X103 AWPAX AB SUSTAINABLE INTERNATIONAL
THEMATIC A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01879X400 AWPYX AB SUSTAINABLE INTERNATIONAL
THEMATIC ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01879X707 AWPIX AB SUSTAINABLE INTERNATIONAL
THEMATIC I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01879X509 AWPRX AB SUSTAINABLE INTERNATIONAL
THEMATIC R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018528174 ATTAX AB TAX AWARE FIXED INCOME
PORTFOLIO A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528133 ATTYX AB TAX AWARE FIXED INCOME
PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 26
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
L 018528166 ATCCX AB TAX AWARE FIXED INCOME
PORTFOLIO C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01877F708 AGIAX AB TAX MANAGED ALL MARKET
INCOME A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877F724 AGIYX AB TAX MANAGED ALL MARKET
INCOME ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877F880 AGICX AB TAX MANAGED ALL MARKET
INCOME C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 085568715 ABXAX AB TAX MANAGED INTERNATIONAL
A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 085568681 ABXCX AB TAX MANAGED INTERNATIONAL
PRTFL C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
INTF 01877F567 ATWAX AB TAX MANAGED WEALTH
APPRECIATION STRATEGY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877F534 ATWYX AB TAX MNGD WLTH
APPRECIATION STRATEGY
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877F542 ATWCX AB TAX MNGD WLTH
APPRECIATION STRATEGY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T-N 01879V305 CSHTX AB TAXABLE MULTI SECTOR
INCOME SHARES
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
INTF 018528711 ABQUX AB TOTAL RETURN BOND A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018528729 ABQYX AB TOTAL RETURN BOND
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018528687 ABQCX AB TOTAL RETURN BOND C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018528612 ABQIX AB TOTAL RETURN BOND I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018528653 ABQRX AB TOTAL RETURN BOND R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01859N109 AGSAX AB UNCONSTRAINED BOND A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01859N406 AGSIX AB UNCONSTRAINED BOND
ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 27
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
L 01859N307 AGCCX AB UNCONSTRAINED BOND C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01859N703 AGLIX AB UNCONSTRAINED BOND I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01859N505 AGSRX AB UNCONSTRAINED BOND R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 018915108 ABVAX AB VALUE A 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 018915405 ABVYX AB VALUE ADVISOR 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 018915306 ABVCX AB VALUE C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 018915702 ABVIX AB VALUE I 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018915504 ABVRX AB VALUE R 16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
INTF 01877F690 AWAAX AB WEALTH APPRECIATION
STRATEGY A
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01877F666 AWAYX AB WEALTH APPRECIATION
STRATEGY ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01877F674 AWACX AB WEALTH APPRECIATION
STRATEGY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01877F443 AWAIX AB WEALTH APPRECIATION
STRATEGY I
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01877F526 AWARX AB WEALTH APPRECIATION
STRATEGY R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878H760 FFCYX ALLIANCEBERNSTEIN FLEXFEE
CORE OPPORTUNITIES ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
T 01878T244 GCEYX ALLIANCEBERNSTEIN GLOBAL
CORE EQUITY ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878T251 GCECX ALLIANCEBERNSTEIN GLOBAL
CORE EQUITY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 085567402 STEYX ALLIANCEBERNSTEIN
INTERNATIONAL STRATEGIC
EQUITIES PORTFOLIO ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
Page 28
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01878V876 TDBYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2010 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V884 TDBCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2010 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V850 TDBKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2010 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V868 TDBRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2010 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V793 TDCYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2015 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V819 TDCCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2015 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V777 TDCKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2015 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V785 TDCRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2015 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V728 TDDYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2020 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V736 TDDCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2020 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V694 TDDKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2020 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V710 TDDRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2020 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V645 TDGYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2025 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V652 TDCGX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2025 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V629 TDGKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2025 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V637 TDGRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2025 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 29
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01878V561 TDYHX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2030 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V579 TDHCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2030 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V546 TDHKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2030 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V553 TDHRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2030 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V488 TDMYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2035 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V496 TDMCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2035 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V462 TDMKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2035 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V470 TDRMX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2035 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V413 TDJYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2040 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V421 TDJCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2040 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V389 TDJKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2040 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V397 TDJRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2040 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V330 TDNYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2045 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V348 TDNCX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2045 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V314 TDNKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2045 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V322 TDNRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2045 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
Page 30
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANCE
BERNSTEIN
T 01878V256 TDLYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2050 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V264 TDCLX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2050 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V231 TDLKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2050 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V249 TDLRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2050 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V173 TDPYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2055 ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V181 TDCPX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2055 C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V157 TDPKX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2055 K
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V165 TDPRX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT 2055 R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878V306 TDAYX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT RETIREMENT
ALLOCATION ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANCE
BERNSTEIN
L 01878V207 TDACX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT RETIREMENT
ALLOCATION C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANCE
BERNSTEIN
T 01878V405 TDARX ALLIANCEBERNSTEIN MULTI-
MANAGER SELECT RETIREMENT
ALLOCATION R
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 018907204 ALLIANCEBERNSTEIN PREMIER
GROWTH INSTITUTIONAL -
**INACTIVATED 12/14/06**
16:00 T+1 T+1 1000.00 0.00 500.00 0.00
ALLIANCE
BERNSTEIN
T 01878T558 SCYVX ALLIANCEBERNSTEIN SMALL CAP
VALUE ADVISOR
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01882F875 ALLGX ALLIANZGI BEST STYLES GLOBAL
EQUITY A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
L 01882F784 ABSGX ALLIANZGI BEST STYLES GLOBAL
EQUITY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
Page 31
-
Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANZGI
FUNDS
T 01882F867 ALLHX ALLIANZGI BEST STYLES GLOBAL
EQUITY INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G204 ALGPX ALLIANZGI BEST STYLES GLOBAL
EQUITY P
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G105 AGERX ALLIANZGI BEST STYLES GLOBAL
EQUITY R6
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01882F776 AXABX ALLIANZGI BEST STYLES
INTERNATIONAL EQUITY A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
L 01882F768 AXCBX ALLIANZGI BEST STYLES
INTERNATIONAL EQUITY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01882G824 ASTYX ALLIANZGI BEST STYLES
INTERNATIONAL EQUITY I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G832 ASQPX ALLIANZGI BEST STYLES
INTERNATIONAL EQUITY P
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G840 ASESX ALLIANZGI BEST STYLES
INTERNATIONAL EQUITY R6
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01882F750 AABUX ALLIANZGI BEST STYLES U.S.
EQUITY A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
L 01882F743 ACBUX ALLIANZGI BEST STYLES U.S.
EQUITY C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01882G501 ABTLX ALLIANZGI BEST STYLES U.S.
EQUITY INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G303 ALBPX ALLIANZGI BEST STYLES U.S.
EQUITY P
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882G402 ALSEX ALLIANZGI BEST STYLES U.S.
EQUITY R6
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01900C680 ANZAX ALLIANZGI CONVERTIBLE A 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
NTF 01900C631 ANNAX ALLIANZGI CONVERTIBLE
ADMINISTRATIVE
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
L 01900C672 ANZCX ALLIANZGI CONVERTIBLE C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01900C649 ANNPX ALLIANZGI CONVERTIBLE I 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01900C342 ANCMX ALLIANZGI CONVERTIBLE P 16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANZGI
FUNDS
T 01882F438 AOBSX ALLIANZGI CORE BOND
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F347 APEIX ALLIANZGI CORE BOND P 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F354 APUPX ALLIANZGI CORE BOND R6 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F396 ACOSX ALLIANZGI CORE PLUS BOND
INSTITUTIONAL
16:00 T+1 T+1 1000.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F370 ACKIX ALLIANZGI CORE PLUS BOND P 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F388 ACKPX ALLIANZGI CORE PLUS BOND R6 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01882G881 AMMAX ALLIANZGI EMERGING MARKETS
CONSUMER A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01882G873 AERIX ALLIANZGI EMERGING MARKETS
CONSUMER I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 018920629 AOTAX ALLIANZGI EMERGING MARKETS
OPPORTUNITIES A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
L 018920611 AOTCX ALLIANZGI EMERGING MARKETS
OPPORTUNITIES C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 018920637 AOTIX ALLIANZGI EMERGING MARKETS
OPPORTUNITIES INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 018922401 AEMPX ALLIANZGI EMERGING MARKETS
OPPORTUNITIES P
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01882G865 ALMMX ALLIANZGI EMERGING MARKETS
SMALL CAP A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01882G857 ALAIX ALLIANZGI EMERGING MARKETS
SMALL CAP I
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F883 AGMIX ALLIANZGI EMERGING MARKETS
SRI DEBT INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 018918318 PGWAX ALLIANZGI FOCUSED GROWTH A 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
NTF 018918300 PGFAX ALLIANZGI FOCUSED GROWTH
ADMINISTRATIVE
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
L 018918334 PGWCX ALLIANZGI FOCUSED GROWTH C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANZGI
FUNDS
T 018918292 PGFIX ALLIANZGI FOCUSED GROWTH
INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 018922781 AOGPX ALLIANZGI FOCUSED GROWTH P 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
NTF 018918359 PPGRX ALLIANZGI FOCUSED GROWTH R 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01900C771 PALAX ALLIANZGI GLOBAL ALLOCATION A 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
NTF 01900C797 AGAMX ALLIANZGI GLOBAL ALLOCATION
ADMINISTRATIVE
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
L 01900C755 PALCX ALLIANZGI GLOBAL ALLOCATION C 16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 01900C789 PALLX ALLIANZGI GLOBAL ALLOCATION
INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01900C821 AGAPX ALLIANZGI GLOBAL ALLOCATION P 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
NTF 01900C813 AGARX ALLIANZGI GLOBAL ALLOCATION R 16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F826 AGASX ALLIANZGI GLOBAL ALLOCATION
R6
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 01900C706 ASGAX ALLIANZGI GLOBAL DYNAMIC
ALLOCATION A
16:00 T+1 T+1 1000.00 50.00 500.00 25.00
ALLIANZGI
FUNDS
L 01900C805 ASACX ALLIANZGI GLOBAL DYNAMIC
ALLOCATION C
16:00 T+1 T+1 1000.00 50.00 1000.00 50.00
ALLIANZGI
FUNDS
T 01900C854 AGAIX ALLIANZGI GLOBAL DYNAMIC
ALLOCATION INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01900C870 AGSPX ALLIANZGI GLOBAL DYNAMIC
ALLOCATION P
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
T 01882F818 ADYFX ALLIANZGI GLOBAL DYNAMIC
ALLOCATION R6
16:00 T+1 T+1 0.00 0.00 0.00 0.00
ALLIANZGI
FUNDS
INTF 018920710 ARMAX ALLIANZGI GLOBAL NATURAL
RESOURCES A
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
L 018920694 ARMCX ALLIANZGI GLOBAL NATURAL
RESOURCES C
16:00 T+1 T+1 1000.00 50.00 500.00 50.00
ALLIANZGI
FUNDS
T 018920108 RGLIX ALLIANZGI GLOBAL NATURAL
RESOURCES INSTITUTIONAL
16:00 T+1 T+1 0.00 0.00 0.00 0.00
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Fund Family
Name
Status Cusip Symbol Fund Name Purch Cut-off Purch Settle Redm Settle Min Init Subseq IRA Min Subseq.
ALLIANZGI
F