Apex Clearing Corp. All Mutual Funds: Data as of Jan 4th 2013, but is subject to change ppt

Note: Client orders must be submitted atleast 15 minutes prior to the Fund's official cut-off time below, otherwise entry will be on a best-efforts basis.Direxion, Profunds, Rydex, & Van

Note: Client orders must be submitted atleast 15 minutes prior to the Fund's official cut-off time (below), otherwise entry will be on a best-efforts basis.

(Direxion, Profunds, Rydex, & Vanguard, among others, now have early cut-off times.)

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NTF Status Redemption Fee Family Name

Open?

(Yes/No)

$ Initial Buy Min

$ Subsequent Buy Min

$ IRA Initial Buy MinSettles (days)Cut Off (EST)

ABERDEEN CORE FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021409 PDIVX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM

ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS INSTL 003021714 ABEMX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PMABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS A A 003021250 GEGAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PMABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS C C 003021243 GEGCXBACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM

ABERDEEN EQUITY LONG SHORT INSTITUTIONAL CLASS INSTL 003020336 GGUIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM

ABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL CLASS INSTL 003021730 AGCIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PMABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021722 CGFIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM

ABERDEEN GLOBAL SMALL CAP INSTITUTIONAL SERVICE INSTL SVC 003021789 ABNIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM

ABERDEEN INTERNATIONAL EQUITY INSTITUTIONAL SERVICE INSTL SVC 003019387 GIGSX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM

ABERDEEN US HIGH YIELD BOND INSTITUTIONAL CLASS INSTL 003021276 AUYIX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PMABERDEEN US HIGH YIELD BOND INSTITUTIONAL SERVICE INSTL SVC 003021268 AUYSX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM

CAMBIAR AGGRESSIVE VALUE INVESTOR CLASS INVESTOR 0075W0650 CAMAX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PMCAMBIAR OPPORTUNITY INSTITUTIONAL CLASS INSTL 0075W0825 CAMWX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM

CAMBIAR SMALL CAP INSTITUTIONAL CLASS INSTL 0075W0593 CAMZX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM

FROST INTERNATIONAL EQUITY INSTITUTIONAL INSTL 00766Y836 FITNX NO LOAD NON-NTF 2% < 30 DAYS ADVISORS INNER CIRCLE Y 1000000 1 1000000 1 4:00 PM

ADVISORY RESEARCH INTERNATIONAL ALL CAP VALUE N/A 461418477 ADVEX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PMADVISORY RESEARCH INTERNATIONAL SMALL CAP VALUE N/A 461418741 ADVIX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM

ALGER HEALTH SCIENCES CLASS B B 015565757 AHSBX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM

ALLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS A 01877F658 ABWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS B 01877F641 ABWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS C 01877F633 ABWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLASS A 01879T102 ABBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLASS B 01879T201 ABBBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLASS C 01879T300 ABBCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS AA 018528570 ABNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS C C 018528554 ABNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY CLA 01877F617 ABPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY CLB 01877F591 ABPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY CLC 01877F583 ABPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CLAA 01877E552 ABAEX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CLAC 01877E537 ABCEX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT CL A 01877G102 AREAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT CL B 01877G201 AREBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT CL C 01877G300 ARECX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS A A 018525105 CABNX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS B B 018525204 CABBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS C C 018525402 CBACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS A A 018780106 ALTFX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPALA 085568814 AICAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPALB 085568798 ACLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPALC 085568780 ACMCXBACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA A 085568772 AIDAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA B 085568764 AIDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA C 085568756 AIMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL A 085568848 ANIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL B 085568830 ANYBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN INTERNATIONAL DISCOVERY EQUITY ADADVISOR 01877E677ADEYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS A A 01877E628 AIIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS C C 01877E594 ABFCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS AA 085568673 AIZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS BB 085568665 AIZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS C C 085568657 AIZCX BACK END NON-NTF 1% > 1 YR ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH CA 018620104 AIPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PMALLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH CC 018620302 AIPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PM

ALLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME ADVISADVISOR 018528331 ALHYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PMALLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLASA 018528349 ALHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLASC 018528323 ALHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEGYA 018528489 AUNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEGYC 018528463 AUNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLASSA 018642306 ALCAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLASSB 018642801 ALCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLASSC 018642850 ACACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS AA 01864E797 AAZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS B 01864E789 AAZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS C 01864E771 AAZCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETTSA 01864E763 AMAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETTSB 01864E755 AMABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETTSC 01864E748 AMACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLASSA 01864E730 AMIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLASSB 01864E722 AMIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLASSC 01864E714 AMICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLASA 01864E409 AMNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLASB 01864E508 AMNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLASC 01864E607 AMNCXBACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CLAA 01864E805 ANJAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CLAB 01864E888 ANJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CLAC 01864E870 ANJCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS A A 01864E862 AOHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS B B 01864E854 AOHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS C C 01864E847 AOHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA CA 01864E839 APAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA CB 01864E821 APABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA CC 01864E813 APACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS AA 01864E706 AVAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS BB 01864E698 AVABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS CC 01864E680 AVACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS AA 018642108 ALTHX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS BB 018642702 ALTBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS CC 018642835 ALNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS A 018642207 ALNYX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS B 018642876 ALNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS C 018642868 ANYCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2000 CLASS B B 01879T870 LTABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS A A 01879T847 LTBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS B B 01879T839 LTCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS C C 01879T821 LTSCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2010 CLASS B B 01879T789 LTDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2015 CLASS B B 01879T748 LTGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2020 CLASS B B 01879T698 LTHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2025 CLASS B B 01879T656 LTIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2030 CLASS B B 01879T615 LTJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS A A 01879T573 LTKAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS B B 01879T565 LTKBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS C C 01879T557 LTKCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2040 CLASS B B 01879T524 LTLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2045 CLASS B B 01879T474 LTPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS A A 01880E805 LTQAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS B B 01880E888 LTQBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS C C 01880E870 LTQCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS A A 01880E821 LTWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS B B 01880E813 LTWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PMALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS C C 01880E797 LTWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALTHA 01877F872 ACIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALTHB 01877F864 ACIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALTHC 01877F856 ACICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF A 085568715 ABXAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF B 085568699 ABXBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF C 085568681 ABXCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIONA 01877F567 ATWAXFRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIONB 01877F559 ATWBXBACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIONC 01877F542 ATWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CLAA 01877F708 AGIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CLAB 01877F807 AGIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CLAC 01877F880 AGICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN VALUE CLASS C C 018915306 ABVCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CLAA 01877F690 AWAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CLAB 01877F682 AWABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PMALLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CLAC 01877F674 AWACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANZ NFJ MID CAP VALUE CLASS A A 018918649 PQNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM

ALPINE ACCELERATING DIVIDEND INSTITUTIONAL INSTL 020875605 AADDX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM

ALPINE FINANCIAL INNOVATIONS INSTITUTIONAL INSTL 020875407 ADINX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM

ALPINE GLOBAL INFRASTRUCTURE INSTITUTIONAL INSTL 020940847 AIFRX NO LOAD NON-NTF 1% < 60 DAYS ALPINE N 1000000 1 1000000 1 4:00 PM

ALPINE ULTRA SHORT TAX OPTIMIZED INCOME INSTITUTIONA INSTL 020828208 ATOIX NO LOAD NON-NTF 25% < 1 MONTH ALPINE Y 250000 1 250000 1 4:00 PM

ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS I I 66537Y595 EVOIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM

AMERICA FIRST QUANTITATIVE STRATEGIES CLASS A A 02365Y860 AFIAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PMAMERICA FIRST QUANTITATIVE STRATEGIES CLASS C C 02365Y878 AFISX BACK END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM

AMERICAN BEACON BRIDGEWAY LARGE CAP VALUE INSTL INSTITUTIONA024524126 BRLVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PMAMERICAN BEACON BRIDGEWAY LARGE CAP VALUE INVESTO INVESTOR 024524118 BWLIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PMAMERICAN BEACON EMERGING MARKETS INVESTOR INVESTOR 02368A448 AAEPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN BEACON HIGH YIELD BOND INVESTOR INVESTOR 02368A455 AHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PMAMERICAN BEACON HOLLAND LARGE CAP GROWTH INSTL INSTITUTIONA024525404 LHGIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PMAMERICAN BEACON HOLLAND LARGE CAP GROWTH INVESTO INVESTOR 024525503 LHGFX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN BEACON LONDON COMPANY EQUITY INCOME INSTINSTITUTIONA024527400 ABCIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PMAMERICAN BEACON LONDON COMPANY EQUITY INCOME INVEINVESTOR 024527509 ABCVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN BEACON SIM HIGH YIELD OPPORTUNITIES INVESTOINVESTOR 024524274 SHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN BEACON STEPHENS MID CAP GROWTH INSTL INSTITUTIONA024524217 SFMIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PMAMERICAN BEACON STEPHENS MID CAP GROWTH INVESTOR INVESTOR 024524191 STMGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PMAMERICAN BEACON STEPHENS SMALL CAP GROWTH INSTL INSTITUTIONA02368A141STSIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PMAMERICAN BEACON STEPHENS SMALL CAP GROWTH INVESTOINVESTOR 02368A133STSGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN BEACON ZEBRA SMALL CAP EQUITY INVESTOR INVESTOR 024524647 AZSPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM

AMERICAN CENTURY CALIFORNIA HIGH YIELD MUNICIPAL INV INVESTOR 025075201 BCHYX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PMAMERICAN CENTURY CALIFORNIA INTERMEDIATE TAX FREE B INVESTOR 025075508 BCITX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY CALIFORNIA LONG TERM TAX FREE INVEINVESTOR 025075607 BCLTX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PMAMERICAN CENTURY CAPITAL PRESERVATION INVESTOR CLA INVESTOR 025081803 CPFXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY DISCIPLINED GROWTH INVESTOR CLASSINVESTOR 02507M675 ADSIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY EMERGING MARKETS INVESTOR CLASS INVESTOR 025086885 TWMIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY EQUITY MARKET NEUTRAL INVESTOR CLINVESTOR 02507M691 ALHIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY GLOBAL ALLOCATION INVESTOR CLASS INVESTOR 025085697 AGAVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY GLOBAL GOLD INVESTOR CLASS INVESTOR 02507M105 BGEIX NO LOAD NON-NTF 1% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY GLOBAL GROWTH INVESTOR CLASS INVESTOR 025086844 TWGGX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY HIGH YIELD MUNICIPAL BOND INVESTORINVESTOR 024934804 ABHYX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY INFLATION ADJUSTED BOND INVESTOR CINVESTOR 025081704 ACITX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY INTERMEDIATE TERM TAX FREE BOND ININVESTOR 024934507 TWTIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY INTERNATIONAL BOND INVESTOR CLASSINVESTOR 025082108 BEGBX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY INTERNATIONAL CORE EQUITY INVESTO INVESTOR 02507M568 ACIMX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY INTERNATIONAL DISCOVERY INVESTOR INVESTOR 025086505 TWEGX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY INTERNATIONAL GROWTH INVESTOR CL INVESTOR 025086109 TWIEX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PMAMERICAN CENTURY INTERNATIONAL OPPORTUNITIES CLASSA 025086455 AIVOX FRONT END NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY INTERNATIONAL OPPORTUNITIES CLASSC 025086448 AIOCX BACK END NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY INTERNATIONAL OPPORTUNITIES INVES INVESTOR 025086745 AIOIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY INTERNATIONAL VALUE INVESTOR CLAS INVESTOR 025086588 ACEVX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY LIVESTRONG INCOME INVESTOR CLASS INVESTOR 02507F795 ARTOX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY MID CAP VALUE ADVISOR CLASS A 025076639 ACLAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY NEW OPPORTUNITIES INVESTOR CLASS INVESTOR 025083452 TWNOX NO LOAD NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY NEW YORK TAX FREE INVESTOR CLASS INVESTOR 024934697 ANYIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY ONE CHOICE AGGRESSIVE INVESTOR CLINVESTOR 02507F720 AOGIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY ONE CHOICE CONSERVATIVE INVESTOR INVESTOR 02507F746 AOCIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY ONE CHOICE VERY AGGRESSIVE INVESTINVESTOR 02507F712 AOVIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PMAMERICAN CENTURY ONE CHOICE VERY CONSERVATIVE INVEINVESTOR 02507F753 AONIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY PRIME MONEY MARKET INVESTOR CLAS INVESTOR 024932105 BPRXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY SHORT DURATION INFLATION PROTECTI INVESTOR 024932774 APOIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY SMALL CAP GROWTH INVESTOR CLASS INVESTOR 025083338 ANOIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE I INVESTOR 025085705 TWSAX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY STRATEGIC ALLOCATION CONSERVATIV INVESTOR 025085101 TWSCX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY STRATEGIC ALLOCATION MODERATE INVINVESTOR 025085408 TWSMX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PMAMERICAN CENTURY TAX FREE MONEY MARKET INVESTOR C INVESTOR 024934408 BNTXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY VEEDOT INVESTOR CLASS INVESTOR 025083551 AMVIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN EUROPACIFIC GROWTH CLASS C C 298706300 AEPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM

AMERICAN WASHINGTON MUTUAL INVESTOR CLASS B B 939330205 WSHBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM

AMERICAN INDEPENDENCE ABSOLUTE RETURN BULL BEAR BOA 026762393 AABBX FRONT END NON-NTF N/A AMERICAN INDEPENDENCE Y 5000 1 250 3 4:00 PMAMERICAN INDEPENDENCE FINANCIAL SERVICES CLASS A A 026762617 ANEAX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE FINANCIAL SERVICES CLASS C C 026762591 ANECX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE INTERMEDIATE BOND CLASS A A 026762609 IBFSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE INTERMEDIATE BOND CLASS C C 026762690 IIBSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE INTERNATIONAL EQUITY CLASS A A 026762872 IIESX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE INTERNATIONAL EQUITY CLASS C C 026762724 IEFSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE KANSAS TAX EXEMPT BOND CLAS A 026762856 IKSTX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE KANSAS TAX EXEMPT BOND CLAS C 026762682 IKTEX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE NESTEGG DOW JONES 2010 CLAS C 026762674 NECNX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PMAMERICAN INDEPENDENCE NESTEGG DOW JONES 2015 CLAS A 026762815 NENPX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PMAMERICAN INDEPENDENCE NESTEGG DOW JONES 2015 CLAS C 026762666 NENCX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PMAMERICAN INDEPENDENCE NESTEGG DOW JONES 2020 CLAS C 026762658 NEDJX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PMAMERICAN INDEPENDENCE NESTEGG DOW JONES 2030 CLAS C 026762641 NEDVX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PMAMERICAN INDEPENDENCE SHORT TERM BOND CLASS A A 026762401 ISTSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE SHORT TERM BOND CLASS C C 026762716 ITBSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PMAMERICAN INDEPENDENCE STOCK CLASS A A 026762807 IFCSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM

ARROW ALTERNATIVE SOLUTIONS INSTITUTIONAL CLASS INSTL 042765305 ASFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM

ARROW COMMODITY STRATEGY INSTITUTIONAL CLASS INSTL 042765826 CSFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM

ARTIO INTERNATIONAL EQUITY CLASS I I 04315J506 JIEIX NO LOAD NON-NTF N/A ARTIO N 1000000 1 1000000 1 4:00 PM

BLACKROCK CAPITAL APPRECIATION CLASS A A 09251R107 MDFGX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM

BLACKROCK INFLATION PROTECTED BOND BLACKROCK CLASBLACKROCK 091937755 BPLBX NO LOAD NON-NTF N/A BLACKROCK Y 5000000 1 5000000 1 4:00 PM

BLACKROCK INTERNATIONAL OPPORTUNITIES CLASS C C 091929505 BRECX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM

BLACKROCK STRATEGIC INCOME OPPORTUNITIES CLASS C C 09256H294 BSICX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM

BROWN ADVISORY EQUITY INCOME ADVISOR CLASS ADVISOR 115233678 BADAX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 2000 100 1000 1 4:00 PMBROWN ADVISORY EQUITY INCOME INVESTOR CLASS INVESTOR 115233686 BIADX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM

BROWN ADVISORY INTERMEDIATE INCOME ADVISOR CLASSADVISOR 115233736 BAIAX NO LOAD NON-NTF N/A BROWN ADVISORY N 2000 100 1000 1 4:00 PMBROWN ADVISORY OPPORTUNITY INVESTOR CLASS INVESTOR 115233769 BIAOX NO LOAD NON-NTF 2% < 180 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM

BROWN ADVISORY SMALL CAP GROWTH INVESTOR CLASS INVESTOR 115233835 BIASX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM

BROWN CAPITAL INTERNATIONAL EQUITY INVESTOR CLASS INVESTOR 115291858 BCIIX NO LOAD NON-NTF N/A BROWN CAPITAL Y 10000 500 2000 3 4:00 PM

CALAMOS GLOBAL GROWTH AND INCOME CLASS A A 128119500 CVLOX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 2500 50 500 3 4:00 PM

CAUSEWAY EMERGING MARKETS INSTITUTIONAL CLASS INSTL 149498107 CEMIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM

CAUSEWAY GLOBAL ABSOLUTE RETURN INSTITUTIONAL CLASINSTL 14949P406 CGAIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PMCAUSEWAY GLOBAL ABSOLUTE RETURN INVESTOR CLASS INVESTOR 14949P505 CGAVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PMCAUSEWAY GLOBAL VALUE INSTITUTIONAL CLASS INSTL 14949P307 CGVIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM

CAUSEWAY INTERNATIONAL OPPORTUNITIES INSTITUTIONAL INSTL 14949Q107 CIOIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PMCAUSEWAY INTERNATIONAL OPPORTUNITIES INVESTOR CLASINVESTOR 14949Q206 CIOVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PMCAUSEWAY INTERNATIONAL VALUE INSTITUTIONAL CLASS INSTL 14949P208 CIVIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PMCAUSEWAY INTERNATIONAL VALUE INVESTOR CLASS INVESTOR 14949P109 CIVVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM

CAVANAL HILL INTERMEDIATE TAX FREE BOND INVESTOR CLAINVESTOR 14956P737APTFX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM

CENTURY SMALL CAP SELECT INSTITUTIONAL CLASS INSTL 15649P208 CSMCXNO LOAD NON-NTF 1% < 90 DAYS CENTURY Y 100000 1 100000 1 4:00 PM

CHARTWELL SMALL CAP VALUE CLASS A A 461418378 CWSVX FRONT END NON-NTF 2% < 30 DAYS CHARTWELL Y 1000 100 1000 1 4:00 PM

COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND C C 19765N302 LCTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA LARGE CAP CORE CLASS B B 19765H297 NSIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM

COLUMBIA PORTFOLIO BUILDER MODERATE AGGRESSIVE CLAA 19766G470 AXMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

CONGRESSIONAL EFFECT SERVICE SHARES SERVICE 207267204 CEFRX NO LOAD NON-NTF 1% < 60 DAYS CONGRESSIONAL EFFECT Y 1000 250 1000 1 4:00 PM

CREDIT SUISSE COMMODITY RETURN STRATEGY CLASS A A 22544R107 CRSAX FRONT END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PMCREDIT SUISSE COMMODITY RETURN STRATEGY CLASS B B 22544R206 CRSCX BACK END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PMCREDIT SUISSE COMMODITY RETURN STRATEGY INSTL INSTL 22544R305 CRSOX NO LOAD NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PMCREDIT SUISSE FLOATING RATE HIGH INCOME CLASS A A 22540S877 CHIAX FRONT END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM

CREDIT SUISSE FLOATING RATE HIGH INCOME CLASS C C 22540S851 CHICX BACK END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM

CRM INTERNATIONAL OPPORTUNITY INSTITUTIONAL CLASS INSTL 12628J709 CRIIX NO LOAD NON-NTF 1.5% < 30 DAYS CRM Y 1000000 1 1 1 4:00 PM

CULLEN INTERNATIONAL HIGH DIVIDEND RETAIL CLASS RETAIL 230001505 CIHDX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM

DELAWARE MID CAP VALUE CLASS C C 246093850 DLMCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM

DIREXION INDEXED COMMODITY TRENDS STRATEGY CLASS AA 254939457 DXCTX FRONT END NON-NTF 1% < 90 DAYS DIREXION Y 2500 1 1000 1 3:45 PM

DIREXION INDEXED MANAGED FUTURES STRATEGY CLASS A A 254939291 DXMAX FRONT END NON-NTF 1% < 30 DAYS DIREXION Y 2500 1 1000 1 3:45 PM

DOMINI INTERNATIONAL SOCIAL EQUITY INVESTOR CLASS INVESTOR 257132704 DOMIX NO LOAD NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM

BNY MELLON BOND INVESTOR INVESTOR 05569M822 MIBDX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 1 4:00 PM

DREYFUS EMERGING MARKETS DEBT LOCAL CURRENCY CLA A 261980528 DDBAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PMDREYFUS EMERGING MARKETS DEBT LOCAL CURRENCY CLA C 261980510 DDBCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM

DREYFUS NEWTON INTERNATIONAL EQUITY CLASS A A 26203E505 NIEAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM

DUNDEE WEALTH DYNAMIC CONTRARIAN ADVANTAGE CLASS I 265313791 DWGVX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM

DUNDEE WEALTH DYNAMIC ENERGY INCOME CLASS I I 265313700 DWEIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PMDUNDEE WEALTH DYNAMIC GOLD AND PRECIOUS METALS CL I 265313759 DWGOX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PMDUNDEE WEALTH DYNAMIC INFRASTRUCTURE CLASS I I 265313841 DWGIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM

DUNDEE WEALTH JOHCM INTERNATIONAL SELECT CLASS I I 265313668 JOHIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PMDUNDEE WEALTH MOUNT LUCAS US FOCUSED EQUITY CLASSI 265313304 BMLEX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PMDUNDEE WEALTH SMITH GROUP LARGE CAP CORE GROWTH I 265313106 BSLGX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM

DUPREE NORTH CAROLINA TAX FREE INCOME SERIES N/A 266155704 NTFIX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM

DWS DREMAN SMALL CAP VALUE INSTITUTIONAL CLASS INSTL 23338F754 KDSIX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 1000000 1 1000000 1 4:00 PM

DWS INTERMEDIATE TAX/AMT FREE CLASS S S 23337X509 SCMTX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM

EAGLE GROWTH AND INCOME CLASS A A 26958A104 HRCVX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM

EATON VANCE FLOATING RATE HIGH INCOME ADVISER ADVISER 277911574 EAFHX NO LOAD NON-NTF 1% < 90 DAYS EATON VANCE Y 5000 50 2000 3 4:00 PM

EATON VANCE HIGH INCOME OPPORTUNITIES CLASS A A 277923405 ETHIX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE LARGE CAP CORE RESEARCH CLASS A A 277911285 EAERX FRONT END NON-NTF 1% < 18 MONTHSEATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE MULTI STRATEGY ABSOLUTE RETURN CLASS BB 277923603 EBDDX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM

EATON VANCE STRUCTURED EMERGING MARKETS CLASS AA 277923777 EAEMX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE TAX MANAGED INTERNATIONAL EQUITY CLASS A 277911731 ETIGX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE WORLDWIDE HEALTH SCIENCES CLASS A A 277902813 ETHSX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM

FAMCO MLP AND ENERGY INCOME CLASS A A 461418543 INFRX FRONT END NON-NTF 2% < 90 DAYS FAMCO Y 2500 500 2500 1 4:00 PM

FAMCO MLP AND ENERGY INCOME INSTITUTIONAL CLASS INSTL 461418535 INFIX NO LOAD NON-NTF 2% < 90 DAYS FAMCO Y 1000000 100000 1000000 1 4:00 PM

FEDERATED INTERMEDIATE GOVERNMENT INSTITUTIONAL SHISS 31420H208 FLDSX NO LOAD NON-NTF 1%< 4 YEARS FEDERATED Y 25000 100 250 1 4:00 PM

FEDERATED INTERNATIONAL SMALL MID COMPANY CLASS A A 31428U748 ISCAX FRONT END NON-NTF 2% < 30 DAYS FEDERATED Y 1500 100 250 1 4:00 PMFEDERATED INTERNATIONAL SMALL MID COMPANY CLASS B B 31428U730 ISCBX BACK END NON-NTF 2% < 30 DAYS FEDERATED Y 1500 100 250 1 4:00 PMFEDERATED INTERNATIONAL SMALL MID COMPANY CLASS C C 31428U722 ISCCX BACK END NON-NTF 2% < 30 DAYS FEDERATED Y 1500 100 250 1 4:00 PMFEDERATED INTERNATIONAL SMALL MID COMPANY CLASS IS IS 31428U631 ISCIX NO LOAD NON-NTF 2% < 30 DAYS FEDERATED Y 25000 1 250 1 4:00 PM

FEDERATED MORTGAGE FUND INSTITUTIONAL SHARES IS 31428Q887 FGFIX NO LOAD NON-NTF N/A FEDERATED Y 100000 100 250 1 4:00 PM

FEDERATED MUNICIPAL HIGH YIELD ADVANTAGE CLASS F F 313923831 FHTFX BACK END NON-NTF 1%< 4 YEARS FEDERATED Y 1500 100 250 1 4:00 PM

FIDELITY ADVISOR BIOTECHNOLOGY CLASS A A 315918516 FBTAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR BIOTECHNOLOGY CLASS B B 315918482 FBTBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR BIOTECHNOLOGY CLASS C C 315918474 FBTCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR BIOTECHNOLOGY CLASS I I 315918466 FBTIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR BIOTECHNOLOGY CLASS T T 315918490 FBTTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CALIFORNIA MUNICIPAL INCOME CLASS A A 316061704 FCMAX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CALIFORNIA MUNICIPAL INCOME CLASS B B 316061886 FCMBX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CALIFORNIA MUNICIPAL INCOME CLASS C C 316061878 FCMKX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CALIFORNIA MUNICIPAL INCOME CLASS II 316061860 FCMQX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR CALIFORNIA MUNICIPAL INCOME CLASS T T 316061803 FCMTX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR CAPITAL DEVELOPMENT CLASS B B 316127885 FDEBX BACK END NON-NTF N/A FIDELITY INVESTMENT N 2500 1 500 3 4:00 PM

FIDELITY ADVISOR CHINA REGION CLASS A A 315910174 FHKAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CHINA REGION CLASS B B 315910166 FHKBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CHINA REGION CLASS C C 315910158 FCHKX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CHINA REGION CLASS I I 315910133 FHKIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR CHINA REGION CLASS T T 315910141 FHKTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR COMMUNICATIONS EQUIPMENT CLASS A A 315918458 FDMAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR COMMUNICATIONS EQUIPMENT CLASS B B 315918433 FDMBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR COMMUNICATIONS EQUIPMENT CLASS CC 315918425 FDMCXBACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR COMMUNICATIONS EQUIPMENT CLASS I I 315918417 FDMIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR COMMUNICATIONS EQUIPMENT CLASS T T 315918441 FDMTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER DISCRETIONARY CLASS A A 315918706 FCNAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER DISCRETIONARY CLASS B B 315918656 FCIBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER DISCRETIONARY CLASS C C 315918581 FCECX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER DISCRETIONARY CLASS I I 315918888 FCNIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR CONSUMER DISCRETIONARY CLASS T T 315918805 FACPX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER STAPLES CLASS A A 316390434 FDAGX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER STAPLES CLASS B B 316390426 FDBGX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER STAPLES CLASS C C 316390418 FDCGX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR CONSUMER STAPLES CLASS I I 316390384 FDIGX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR CONSUMER STAPLES CLASS T T 316390392 FDTGX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR DAILY MONEY MARKET FUND (USED FOR AA (T) 233809102 FDAXX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 1000 1 1000 3 4:00 PMFIDELITY ADVISOR DIVERSIFIED INTERNATIONAL CLASS A A 315920736 FDVAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR DIVERSIFIED INTERNATIONAL CLASS B B 315920728 FDIBX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR DIVERSIFIED INTERNATIONAL CLASS C C 315920710 FADCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR DIVERSIFIED INTERNATIONAL CLASS I I 315920686 FDVIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR DIVERSIFIED INTERNATIONAL CLASS T T 315920694 FADIX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR ELECTRONICS CLASS A A 315918391 FELAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR ELECTRONICS CLASS B B 315918375 FELBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR ELECTRONICS CLASS C C 315918367 FELCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR ELECTRONICS CLASS I I 315918359 FELIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR ELECTRONICS CLASS T T 315918383 FELTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING ASIA CLASS A A 315920413 FEAAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING ASIA CLASS B B 315920421 FERBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING ASIA CLASS C C 315920439 FERCX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING ASIA CLASS I I 315920454 FERIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EMERGING ASIA CLASS T T 315920447 FEATX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING EUROPE, MIDDLE EAST, AFRICAA 315910240 FMEAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING EUROPE, MIDDLE EAST, AFRICAB 315910232 FEMBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING EUROPE, MIDDLE EAST, AFRICAC 315910224 FEMCX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING EUROPE, MIDDLE EAST, AFRICAI 315910216 FIEMX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EMERGING EUROPE, MIDDLE EAST, AFRICAT 315910190 FEMTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS CLASS A A 315920280 FAMKX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS CLASS B B 315920272 FBMKX BACK END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT N 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS CLASS C C 315920264 FMCKX BACK END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS CLASS I I 315920249 FIMKX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EMERGING MARKETS CLASS T T 315920256 FTMKX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS DISCOVERY CLASS AA 31618H531 FEDAX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS DISCOVERY CLASS CC 31618H523 FEDGX BACK END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS DISCOVERY CLASS I I 31618H499 FEDIX NO LOAD NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EMERGING MARKETS DISCOVERY CLASS TT 31618H515 FEDTX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS INCOME CLASS A A 315920876 FMKAX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS INCOME CLASS B B 315920405 FBEMX BACK END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS INCOME CLASS C C 315920751 FMKCX BACK END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EMERGING MARKETS INCOME CLASS I I 315920702 FMKIX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EMERGING MARKETS INCOME CLASS T T 315920207 FAEMX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR EUROPE CAPITAL APPRECIATION CLASS A A 315920678 FAEAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EUROPE CAPITAL APPRECIATION CLASS B B 315920660 FBEAX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EUROPE CAPITAL APPRECIATION CLASS C C 315920652 FCEAX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR EUROPE CAPITAL APPRECIATION CLASS I I 315920637 FIEAX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR EUROPE CAPITAL APPRECIATION CLASS T T 315920645 FAECX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FINANCIAL SERVICES CLASS A A 315918813 FAFDX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FINANCIAL SERVICES CLASS B B 315918698 FAFBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FINANCIAL SERVICES CLASS C C 315918565 FAFCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FINANCIAL SERVICES CLASS I I 315918789 FFSIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR FINANCIAL SERVICES CLASS T T 315918797 FAFSX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FLOATING RATE HIGH INCOME CLASS A A 315807594 FFRAX FRONT END NON-NTF 1% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FLOATING RATE HIGH INCOME CLASS B B 315807578 FFRBX BACK END NON-NTF 1% < 60 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FLOATING RATE HIGH INCOME CLASS C C 315807560 FFRCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR FLOATING RATE HIGH INCOME CLASS I I 315807552 FFRIX NO LOAD NON-NTF 1% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR FLOATING RATE HIGH INCOME CLASS T T 315807586 FFRTX FRONT END NON-NTF 1% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR FREEDOM 2010 CLASS T T 315792879 FCFTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR GLOBAL BALANCED CLASS A A 316069467 FGLAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL BALANCED CLASS B B 316069459 FGLBX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL BALANCED CLASS C C 316069442 FGLCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL BALANCED CLASS I I 316069426 FGLIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR GLOBAL BALANCED CLASS T T 316069434 FGLTX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL CAPITAL APPRECIATION CLASS A A 315920629 FGEAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL CAPITAL APPRECIATION CLASS B B 315920611 FGEBX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL CAPITAL APPRECIATION CLASS C C 315920595 FEUCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL CAPITAL APPRECIATION CLASS I I 315920579 FEUIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR GLOBAL CAPITAL APPRECIATION CLASS T T 315920587 FGETX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL COMMODITY STOCK CLASS A A 31618H101 FFGAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL COMMODITY STOCK CLASS B B 31618H200 FFGBX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL COMMODITY STOCK CLASS C C 31618H309 FCGCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL COMMODITY STOCK CLASS I I 31618H507 FFGIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR GLOBAL COMMODITY STOCK CLASS T T 31618H408 FFGTX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL HIGH INCOME CLASS A A 31641Q805 FGHAX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL HIGH INCOME CLASS C C 31641Q888 FGHCX BACK END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR GLOBAL HIGH INCOME CLASS I I 31641Q862 FGHIX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR GLOBAL HIGH INCOME CLASS T T 31641Q870 FGHTX FRONT END NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR HEALTH CARE CLASS A A 315918847 FACDX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR HEALTH CARE CLASS B B 315918680 FAHTX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR HEALTH CARE CLASS C C 315918557 FHCCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR HEALTH CARE CLASS I I 315918821 FHCIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR HEALTH CARE CLASS T T 315918839 FACTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR HIGH INCOME ADVANTAGE CLASS I I 315807875 FAHCX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM

FIDELITY ADVISOR HIGH INCOME CLASS I I 315807651 FHNIX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM

FIDELITY ADVISOR INCOME REPLACEMENT 2016 CLASS A A 31617K725FRJAX FRONT END NON-NTF N/A FIDELITY INVESTMENT N 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2016 CLASS C C 31617K717 FRJCX BACK END NON-NTF N/A FIDELITY INVESTMENT N 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2016 CLASS I I 31617K683FRJIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT N 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2016 CLASS T T 31617K691FRJTX FRONT END NON-NTF N/A FIDELITY INVESTMENT N 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2018 CLASS A A 31617K667FRKAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2018 CLASS C C 31617K659 FRKCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2018 CLASS I I 31617K634FRKIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2018 CLASS T T 31617K642FRKTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2020 CLASS A A 31617K618 FILAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2020 CLASS C C 31617K592 FILCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2020 CLASS I I 31617K576FILIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM

FIDELITY ADVISOR INCOME REPLACEMENT 2022 CLASS A A 31617K550FRAMX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2022 CLASS C C 31617K543 FRCMXBACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2022 CLASS I I 31617K527FRIMX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2022 CLASS T T 31617K535FRTMX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2024 CLASS A A 31617K493FRNAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2024 CLASS C C 31617K485 FRNCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2024 CLASS I I 31617K469FRNIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2024 CLASS T T 31617K477FRNTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2026 CLASS A A 31617K444FIOAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2026 CLASS C C 31617K436FIOCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2026 CLASS I I 31617K410FIOIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2026 CLASS T T 31617K428FIOTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2028 CLASS A A 31617K386FARPX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2028 CLASS C C 31617K378 FCRPX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PM

FIDELITY ADVISOR INCOME REPLACEMENT 2028 CLASS T T 31617K360FTRPX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2030 CLASS A A 31617K337FRQAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2030 CLASS C C 31617K329FRQCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2030 CLASS I I 31617K295FRQIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2030 CLASS T T 31617K311FRQTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2032 CLASS A A 31617K279FIARX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2032 CLASS C C 31617K261 FICRX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2032 CLASS I I 31617K246FIIRX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2032 CLASS T T 31617K253FTIRX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2034 CLASS A A 31617K220FARSX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2034 CLASS C C 31617K212 FCRSX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PM

FIDELITY ADVISOR INCOME REPLACEMENT 2034 CLASS T T 31617K196FTRSX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2036 CLASS A A 31617K162FURAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2036 CLASS C C 31617K154 FURCX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2036 CLASS I I 31617K139FURIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2036 CLASS T T 31617K147FURTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2038 CLASS A A 31617L202 FARVX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2038 CLASS C C 31617L301 FCRVX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2038 CLASS I I 31617L509 FIIVX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2038 CLASS T T 31617L400 FTRVX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2040 CLASS A A 31617L707 FARWX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2040 CLASS C C 31617L806 FCRWX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2040 CLASS I I 31617L871 FIIWX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2040 CLASS T T 31617L889 FTRWX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2042 CLASS A A 31617L855 FARFX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2042 CLASS C C 31617L848 FCRFX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2042 CLASS I I 31617L822 FIRFX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INCOME REPLACEMENT 2042 CLASS T T 31617L830 FITTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 25000 1 25000 3 4:00 PMFIDELITY ADVISOR INDUSTRIALS CLASS A A 315918870 FCLAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INDUSTRIALS CLASS B B 315918714 FCLBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INDUSTRIALS CLASS C C 315918573 FCLCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INDUSTRIALS CLASS I I 315918854 FCLIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INDUSTRIALS CLASS T T 315918862 FCLTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INFLATION PROTECTED BOND CLASS A A 316146851 FIPAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR INFLATION PROTECTED BOND CLASS I I 316146810 FIPIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INFLATION PROTECTED BOND CLASS T T 316146828 FIPTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR INTERMEDIATE MUNICIPAL INCOME CLASS A 31638R402 FZIAX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERMEDIATE MUNICIPAL INCOME CLASS B 31638R501 FZIBX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT N 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERMEDIATE MUNICIPAL INCOME CLASS C 31638R600 FZICX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERMEDIATE MUNICIPAL INCOME CLASS I 31638R808FZIIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERMEDIATE MUNICIPAL INCOME CLASS T 31638R709 FZITX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION CA 315920843 FCPAX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION CB 315920835 FCPBX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION CC 315920744 FCPCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION CI 315920819 FCPIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL CAPITAL APPRECIATION CT 315920827 FIATX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL DISCOVERY CLASS A A 315910661 FAIDX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL DISCOVERY CLASS B B 315910653 FADDX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL DISCOVERY CLASS C C 315910646 FCADX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL DISCOVERY CLASS I I 315910620 FIADX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL DISCOVERY CLASS T T 315910638 FTADX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL GROWTH CLASS A A 315910422 FIAGX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL GROWTH CLASS B B 315910414 FBIGX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL GROWTH CLASS C C 315910398 FIGCX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL GROWTH CLASS I I 315910372 FIIIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL GROWTH CLASS T T 315910380 FITGX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL REAL ESTATE CLASS A A 316389634 FIRAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL REAL ESTATE CLASS B B 316389626 FIRBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL REAL ESTATE CLASS C C 316389618 FIRCX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL REAL ESTATE CLASS I I 316389584 FIRIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL REAL ESTATE CLASS T T 316389592 FIRTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP CLASS A A 315910729 FIASX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP CLASS B B 315910711 FIBSX BACK END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP CLASS C C 315910695 FICSX BACK END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP CLASS I I 315910679 FIXIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP CLASS T T 315910687 FTISX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP OPPORTUNITI A 315910612 FOPAX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP OPPORTUNITI B 315910596 FOPBX BACK END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT N 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP OPPORTUNITI C 315910588 FOPCX BACK END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP OPPORTUNITI I 315910554 FOPIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL SMALL CAP OPPORTUNITI T 315910570 FOPTX FRONT END NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL VALUE CLASS A A 315910547 FIVMX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL VALUE CLASS B B 315910539 FIVNX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL VALUE CLASS C C 315910521 FIVOX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR INTERNATIONAL VALUE CLASS I I 315910497 FIVQX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR INTERNATIONAL VALUE CLASS T T 315910513 FIVPX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR LATIN AMERICA CLASS A A 31618H713 FLFAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR LATIN AMERICA CLASS B B 31618H697 FLFBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR LATIN AMERICA CLASS I I 31618H671 FLFIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR LATIN AMERICA CLASS T T 31618H663 FLFTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR LEVERAGED COMPANY STOCK CLASS I I 315805374 FLVIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM

FIDELITY ADVISOR MID CAP GROWTH CLASS A A 316128719 FGCAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP GROWTH CLASS B B 316128693 FGCBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP GROWTH CLASS C C 316128685 FGCCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP GROWTH CLASS I I 316128669 FGCOX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 500 1 4:00 PMFIDELITY ADVISOR MID CAP GROWTH CLASS T T 316128677 FGCTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR MID CAP VALUE CLASS A A 316128875 FMPAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP VALUE CLASS B B 316128867 FMPBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP VALUE CLASS C C 316128859 FMPEX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR MID CAP VALUE CLASS I I 316128834 FMPOX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR MID CAP VALUE CLASS T T 316128842 FMPTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR MUNICIPAL INCOME 2015 CLASS A A 316146497 FAMPX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 3 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2015 CLASS I I 316146489 FAMIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2017 CLASS A A 316146463 FAMMX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 3 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2017 CLASS I I 316146455 FAVIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2019 CLASS A A 316146430 FAPAX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 3 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2019 CLASS I I 316146422 FACIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2021 CLASS A A 316146398 FOMAXFRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 3 4:00 PMFIDELITY ADVISOR MUNICIPAL INCOME 2021 CLASS I I 316146380 FOMIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY ADVISOR NEW YORK MUNICIPAL INCOME CLASS A A 316337807 FNMAX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR NEW YORK MUNICIPAL INCOME CLASS B B 316337872 FNYBX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR NEW YORK MUNICIPAL INCOME CLASS C C 316337864 FNYCX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR NEW YORK MUNICIPAL INCOME CLASS I I 316337856 FEMIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR NEW YORK MUNICIPAL INCOME CLASS T T 316337880 FNYPX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR REAL ESTATE INCOME CLASS A A 316389477 FRINX FRONT END NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR REAL ESTATE INCOME CLASS C C 316389469 FRIOX BACK END NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR REAL ESTATE INCOME CLASS I I 316389444 FRIRX NO LOAD NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR REAL ESTATE INCOME CLASS T T 316389451 FRIQX FRONT END NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR SHORT INTERMEDIATE MUNICIPAL INCOMEA 316203801 FASHX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SHORT INTERMEDIATE MUNICIPAL INCOMEB 316203884 FBSHX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SHORT INTERMEDIATE MUNICIPAL INCOMEC 316203876 FCSHX BACK END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SHORT INTERMEDIATE MUNICIPAL INCOMEI 316203850 FISHX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR SHORT INTERMEDIATE MUNICIPAL INCOMET 316203868 FTSHX FRONT END NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR SMALL CAP GROWTH CLASS A A 316389758 FCAGX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP GROWTH CLASS B B 316389741 FCBGX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP GROWTH CLASS C C 316389733 FCCGX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP GROWTH CLASS I I 316389717 FCIGX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR SMALL CAP GROWTH CLASS T T 316389725 FCTGX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP INDEPENDENCE CLASS A A 316066505 FCDAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP INDEPENDENCE CLASS B B 316066604 FCDBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP INDEPENDENCE CLASS C C 316066703 FCDCX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP INDEPENDENCE CLASS I I 316066885 FCDIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR SMALL CAP INDEPENDENCE CLASS T T 316066802 FCDTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP VALUE CLASS A A 316389824 FCVAX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP VALUE CLASS B B 316389816 FCVBX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP VALUE CLASS C C 316389790 FCVCX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR SMALL CAP VALUE CLASS I I 316389774 FCVIX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR SMALL CAP VALUE CLASS T T 316389782 FCVTX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE CLA A 316128768 FLUAX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE CLA B 316128750 FLUBX BACK END NON-NTF N/A FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE CLA C 316128743 FLUEX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE CLA I 316128727 FLUIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR STOCK SELECTOR LARGE CAP VALUE CLA T 316128735 FLUTX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR STRATEGIC DIVIDEND AND INCOME CLASS A 316145408 FASDX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR STRATEGIC DIVIDEND AND INCOME CLASS B 316145507 FBSDX BACK END NON-NTF N/A FIDELITY INVESTMENT N 2500 1 500 3 4:00 PM

FIDELITY ADVISOR STRATEGIC DIVIDEND AND INCOME CLASS I 316145804 FSIDX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR STRATEGIC DIVIDEND AND INCOME CLASS T 316145705 FTSDX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PM

FIDELITY ADVISOR STRATEGIC REAL RETURN CLASS A A 315912873 FSRAX FRONT END NON-NTF 75% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR STRATEGIC REAL RETURN CLASS B B 315912865 FSBRX BACK END NON-NTF 78% < 60 DAYS FIDELITY INVESTMENT N 2500 1 500 3 4:00 PMFIDELITY ADVISOR STRATEGIC REAL RETURN CLASS C C 315912857 FCSRX BACK END NON-NTF 75% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR STRATEGIC REAL RETURN CLASS I I 315912832 FSIRX NO LOAD NON-NTF 75% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR STRATEGIC REAL RETURN CLASS T T 315912840 FSRTX FRONT END NON-NTF 75% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PM

FIDELITY ADVISOR TECHNOLOGY CLASS A A 315918771 FADTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR TECHNOLOGY CLASS I I 315918755 FATIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR TECHNOLOGY CLASS T T 315918763 FATEX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TELECOMMUNICATIONS CLASS A A 316390269 FTUAX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TELECOMMUNICATIONS CLASS B B 316390251 FTUBX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TELECOMMUNICATIONS CLASS C C 316390244 FTUCX BACK END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TELECOMMUNICATIONS CLASS I I 316390228 FTUIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR TELECOMMUNICATIONS CLASS T T 316390236 FTUTX FRONT END NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR TOTAL EMERGING MARKETS CLASS A A 31618H580 FTEDX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR TOTAL EMERGING MARKETS CLASS C C 31618H572 FTEFX BACK END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR TOTAL EMERGING MARKETS CLASS I I 31618H556 FTEJX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR TOTAL EMERGING MARKETS CLASS T T 31618H564 FTEHX FRONT END NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 500 3 4:00 PMFIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY CLASS A A 315910364 FTAEX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY CLASS B B 315910356 FTBEX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY CLASS C C 315910349 FTCEX BACK END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY CLASS I I 315910323 FTEIX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PMFIDELITY ADVISOR TOTAL INTERNATIONAL EQUITY CLASS T T 315910331 FTTEX FRONT END NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR ULTRA SHORT BOND CLASS A A 31617K824 FUBAX FRONT END NON-NTF 25% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR ULTRA SHORT BOND CLASS T T 31617K816 FTUSX FRONT END NON-NTF 25% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PMFIDELITY ADVISOR US TREASURY DAILY MONEY (USED FOR A A (T) 233809201 FDUXX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM

FIDELITY ADVISOR UTILITIES CLASS I I 315918722 FUGIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM

FIDELITY ARIZONA MUNICIPAL INCOME RETAIL 316448885 FSAZX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY CALIFORNIA MUNICIPAL INCOME RETAIL 316061209 FCTFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY CALIFORNIA SHORT INTERMEDIATE TAX FREE BONDRETAIL 316061852 FCSTX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY CONNECTICUT MUNICIPAL INCOME RETAIL 316089101 FICNX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY DIVERSIFIED INTERNATIONAL RETAIL 315910802 FDIVX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY EMERGING EUROPE, MIDDLE EAST, AFRICA (EMEA) RRETAIL 315910182 FEMEX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 25000 1 25000 1 4:00 PM

FIDELITY EMERGING MARKETS DISCOVERY RETAIL 31618H549 FEDDX NO LOAD NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY EUROPE CAPITAL APPRECIATION RETAIL 315910828 FECAX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PMFIDELITY EXPORT AND MULTINATIONAL RETAIL 316448877 FEXPX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY FLOATING RATE HIGH INCOME RETAIL 315916783 FFRHX NO LOAD NON-NTF 1% < 60 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY FREEDOM 2015 RETAIL 315792671 FFVFX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY INSTITUTIONAL CASH PORTFOLIO MONEY MARKET CI 316175207 FMPXX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 1000000 1 1000000 1 4:00 PMFIDELITY INSTITUTIONAL MONEY MARKET INSTITUTIONAL CLAINSTL 31607A109FNSXX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000000 1 10000000 1 4:00 PMFIDELITY INSTITUTIONAL SHORT INTERMEDIATE GOVERNMEN RETAIL 315809400 FFXSX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 1000000 1 1000000 1 4:00 PM

FIDELITY INTERMEDIATE MUNCIPAL INCOME RETAIL 31638R204 FLTMX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY INTERNATIONAL CAPITAL APPRECIATION RETAIL 315910810 FIVFX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY INTERNATIONAL ENHANCED INDEX RETAIL 31606X407 FIENX NO LOAD NON-NTF 1% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY INTERNATIONAL REAL ESTATE RETAIL 316389840 FIREX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 25000 1 25000 1 4:00 PM

FIDELITY INTERNATIONAL SMALL CAP OPPORTUNITIES RETAIL 315910562 FSCOX NO LOAD NON-NTF 2% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY JAPAN SMALLER COMPANIES RETAIL 315910760 FJSCX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY LARGE CAP GROWTH ENHANCED INDEX INSTITUTIO INSTL 31606X308FLGEX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY LEVERAGED COMPANY STOCK RETAIL 316389873 FLVCX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 500 1 4:00 PM

FIDELITY MARYLAND MUNICIPAL INCOME RETAIL 316448604 SMDMX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY MASSACHUSETTS MUNICIPAL INCOME RETAIL 315902205 FDMMX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY MICHIGAN MUNICIPAL INCOME RETAIL 316412204 FMHTX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY MINNESOTA MUNICIPAL INCOME RETAIL 316412303 FIMIX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY MONEY MARKET TRUST RETIREMENT MONEY MARK RETAIL 316191600 FRTXX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 100000 1 100000 1 4:00 PM

FIDELITY MUNICIPAL INCOME 2015 RETAIL 316146513 FMLCX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY MUNICIPAL INCOME 2017 RETAIL 316146471 FMIFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY MUNICIPAL INCOME 2019 RETAIL 316146448 FMCFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY MUNICIPAL INCOME 2021 RETAIL 316146414 FOCFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY NASDAQ COMPOSITE INDEX RETAIL 315912709 FNCMXNO LOAD NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY NEW JERSEY MUNICIPAL INCOME RETAIL 316089200 FNJHX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY NEW YORK MUNICIPAL INCOME RETAIL 316337203 FTFMX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY OHIO MUNICIPAL INCOME RETAIL 316412105 FOHFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY PENNSYLVANIA MUNICIPAL INCOME RETAIL 316344209 FPXTX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY PRIME MONEY MARKET INSTITUTIONAL INSTL 31607A208FIPXX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000000 1 10000000 1 4:00 PM

FIDELITY SELECT AIR TRANSPORTATION RETAIL 316390798 FSAIX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT BROKERAGE AND INVESTMENT RETAIL 316390855 FSLBX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT COMMUNICATIONS EQUIPMENT RETAIL 316390566 FSDCX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT CONSTRUCTION AND HOUSING RETAIL 316390616 FSHOX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PMFIDELITY SELECT CONSUMER DISCRETIONARY RETAIL 316390558 FSCPX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PMFIDELITY SELECT CONSUMER STAPLES RETAIL 316390848 FDFAX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PMFIDELITY SELECT DEFENSE AND AEROSPACE RETAIL 316390806 FSDAX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT FINANCIAL SERVICES RETAIL 316390608 FIDSX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT INDUSTRIAL EQUIPMENT RETAIL 316390533 FSCGX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT IT SERVICES RETAIL 316390483 FBSOX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT MEDICAL DELIVERY RETAIL 316390665 FSHCX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PMFIDELITY SELECT MEDICAL EQUIPMENT AND SYSTEMS RETAIL 316390475 FSMEX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT NATURAL RESOURCES RETAIL 316390491 FNARX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT SOFTWARE AND COMPUTER RETAIL 316390822 FSCSX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SELECT TELECOMMUNICATIONS RETAIL 316390830 FSTCX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 2500 1 2500 1 4:00 PM

FIDELITY SHORT INTERMEDIATE MUNICIPAL INCOME RETAIL 316203207 FSTFX NO LOAD NON-NTF 50% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIDELITY SPARTAN EMERGING MARKETS INDEX INVESTOR CL INVESTOR 316146349 FPEMX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN EXTENDED MARKET INDEX INVESTOR CLA INVESTOR 315911503 FSEMX NO LOAD NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN GLOBAL EX US INDEX INVESTOR CLASS INVESTOR 316146158 FSGUX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN INTERMEDIATE TREASURY BOND INDEX ININVESTOR 315911842 FIBIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN INTERNATIONAL INDEX INVESTOR CLASS INVESTOR 315911602 FSIIX NO LOAD NON-NTF 1% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN LONG TERM TREASURY BOND INDEX INVE INVESTOR 315911826 FLBIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN MID CAP INDEX INVESTOR CLASS INVESTOR 316146299 FSCLX NO LOAD NON-NTF 75% < 30 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN REAL ESTATE INDEX INVESTOR CLASS INVESTOR 316146257 FRXIX NO LOAD NON-NTF 75% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN SHORT TERM TREASURY BOND INDEX INV INVESTOR 315911867 FSBIX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN SMALL CAP INDEX INVESTOR CLASS INVESTOR 316146224 FSSPX NO LOAD NON-NTF 1.5% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN TOTAL MARKET INDEX INVESTOR CLASS INVESTOR 315911404 FSTMX NO LOAD NON-NTF 5% < 90 DAYS FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN US BOND INDEX INVESTOR CLASS INVESTOR 315911107 FBIDX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PMFIDELITY SPARTAN US EQUITY INDEX INVESTOR CLASS INVESTOR 315911206 FUSEX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 10000 1 10000 1 4:00 PM

FIRST INVESTORS CALIFORNIA TAX FREE CLASS A A 320604507 FICAX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS CONNECTICUT TAX FREE CLASS A A 320604853 FICTX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS GROWTH AND INCOME CLASS A A 32061M407 FGINX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS MASSACHUSETTS TAX FREE CLASS A A 320604101 FIMAX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS MICHIGAN TAX FREE CLASS A A 320604200 FTMIX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS MID CAP OPPORTUNITY CLASS A A 32061M209 FIUSX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS MINNESOTA TAX FREE CLASS A A 320604309 FIMNX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS NEW JERSEY TAX FREE CLASS A A 320604606 FINJX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS NEW YORK TAX FREE CLASS A A 320917107 FNYFX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS NORTH CAROLINA TAX FREE CLASS A A 320604820 FMTNX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS PENNSYLVANIA TAX FREE CLASS A A 320604705 FTPAX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS SPECIAL SITUATIONS SERIES A A 320616303 FISSX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS TAX EXEMPT II CLASS B B 30157P409EIIUX BACK END NON-NTF N/A FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FIRST INVESTORS VIRGINIA TAX FREE CLASS A A 320604804 FIVAX FRONT END NON-NTF 1% < 2 YEARS FIRST INVESTORS Y 1000 50 500 3 4:00 PM

FORMULA INVESTING INTERNATIONAL VALUE 400 CLASS A A 360873541 FNVAX NO LOAD NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 5000 250 5000 3 4:00 PMFORMULA INVESTING INTERNATIONAL VALUE SELECT CLASS A 360873517 FNAAX NO LOAD NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 5000 250 5000 3 4:00 PMFORMULA INVESTING INTERNATIONAL VALUE SELECT CLASS I 360873483 FNAIX NO LOAD NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 1000000 250000 1000000 3 4:00 PMFORMULA INVESTING US VALUE 1000 CLASS A A 360873616 FVVAX NO LOAD NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 5000 250 5000 3 4:00 PMFORMULA INVESTING US VALUE SELECT CLASS A A 360873574 FNSAX NO LOAD NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 5000 250 5000 3 4:00 PMFORMULA INVESTING US VALUE SELECT CLASS C C 360873566 FNSCX BACK END NON-NTF 1% < 90 DAYS FORMULA INVESTING Y 5000 250 5000 3 4:00 PM

FORUM ADAMS HARKNESS SMALL CAP GROWTH INVESTOR C INVESTOR 349903229 ASCGX NO LOAD NON-NTF 1% < 30 DAYS FORUM Y 2000 250 2000 1 4:00 PM

FRANKLIN CALIFORNIA HIGH YIELD MUNICIPAL CLASS A A 354025306 FCAMX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

FRANKLIN CALIFORNIA INSURED TAX FREE INCOME CLASS A A 352519102 FRCIX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PMFRANKLIN CALIFORNIA INSURED TAX FREE INCOME CLASS B B 352519508 FRCBX BACK END NON-NTF N/A FRANKLIN TEMPLETON N 1000 50 250 3 4:00 PMFRANKLIN CALIFORNIA INSURED TAX FREE INCOME CLASS C C 352519409 FRCAX BACK END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PMFRANKLIN CALIFORNIA INTERMEDIATE TERM TAX FREE INCOMA 352519300 FKCIX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PMFRANKLIN CALIFORNIA INTERMEDIATE TERM TAX FREE INCOMC 352519607 FCCIX BACK END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

FRANKLIN FEDERAL INTERMEDIATE TERM TAX FREE INCOME A 354723710 FKITX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PMFRANKLIN FEDERAL INTERMEDIATE TERM TAX FREE INCOME C 354723298 FCITX BACK END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

FRANKLIN LIMITED MATURITY US GOVERNMENT SECURITIES CA 353612203 FRGVX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

FRANKLIN NEW YORK INTERMEDIATE TERM TAX FREE INCOM A 354128308 FKNIX FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

FRANKLIN TEMPLETON MULTI ASSET REAL RETURN CLASS A A 35472P471 FQHIZ FRONT END NON-NTF N/A FRANKLIN TEMPLETON Y 1000 50 250 3 4:00 PM

MUTUAL SHARES CLASS Z Z 628380107 MUTHX NO LOAD NON-NTF N/A FRANKLIN TEMPLETON N 1000 50 250 3 4:00 PM

GABELLI ENTERPRISE MERGERS AND ACQUISITIONS CLASS A AAA 362402109 EAAAX NO LOAD NON-NTF 2% < 7 DAYS GABELLI Y 1000 100 250 1 4:00 PM

GAMCO INTERNATIONAL GROWTH CLASS B B 364645309 GBIGX BACK END NON-NTF N/A GABELLI N 1000 100 250 1 4:00 PM

GAVEKAL PLATFORM COMPANY INSTITUTIONAL CLASS INSTL 461418659 GAVIX NO LOAD NON-NTF 2% < 90 DAYS GAVEKAL Y 500000 25000 500000 1 4:00 PM

GOLDMAN SACHS EMERGING MARKETS DEBT CLASS A A 38143H803 GSDAX FRONT END NON-NTF 2% < 30 DAYS GOLDMAN SACHS Y 1000 50 250 3 4:00 PM

GOLDMAN SACHS LOCAL EMERGING MARKETS DEBT CLASS AA 38145N105 GAMDX FRONT END NON-NTF 2% < 30 DAYS GOLDMAN SACHS Y 1000 50 250 3 4:00 PMGOLDMAN SACHS LOCAL EMERGING MARKETS DEBT CLASS CC 38145N204 GCMDX BACK END NON-NTF 2% < 30 DAYS GOLDMAN SACHS Y 1000 50 250 3 4:00 PM