Information Circulars 2009

The NASDAQ Stock Market and Nasdaq BX

Overview

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

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

 

 
50/150 Nikkei 225 Index
Circular Date Structured Product Symbol(s)
01.15.09 50/150 Nikkei 225 Index Notes, due October 7, 2009 NKW
AB Svensk Exportkredit
Circular Date Structured Product Symbol(s)
03.05.09 AB Svensk Exportkredit Accelerated Return Bear Market Notes Linked to the S&P 500 Index ABY
03.05.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 500 Index AQD
02.04.09 AB Svensk Exportkredit Capped Leveraged Index Return Notes Linked to the S&P 500 Index SBK
02.04.09 AB Svensk Exportkredit Accelerated Return Bear Market Notes Linked to the S&P Retail Select Industry Index SBG
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 500 Index SZI
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 100 Index ODY
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 500 Index AXF
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Technology Select Sector Index IWK
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 500 Index SAD
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P MidCap 400 Index MHG
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Dow Jones Industrial Average DVK
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Russell 1000 Growth Index RDF
01.15.09 AB Svensk Exportkredit Accelerated Return Bear Market Notes Linked to the S&P 500 Index BJV
01.15.09 AB Svensk Exportkredit ELEMENTS Linked to the MLCX Grains Index - Total Return GRU
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the MSCI Emerging Markets Index MIS
01.15.09 AB Svensk Exportkredit Accelerated Return Bear Market Notes Linked to the Consumer Discretionary Select Sector Index CBJ
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Nikkei 225 Index NEH
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Russell 2000 Index REU
01.15.09 AB Svensk Exportkredit ELEMENTS Linked to the Rogers International Commodity Index – Total Return
AB Svensk Exportkredit ELEMENTS Linked to the Rogers International Commodity Index – Agriculture Total Return
AB Svensk Exportkredit ELEMENTS Linked to the Rogers International Commodity Index – Energy Total Return
AB Svensk Exportkredit ELEMENTS Linked to the Rogers International Commodity Index – Metals Total Return
RJI
RJA
RJN
RJZ
01.15.09 AB Svensk Exportkredit ELEMENTS Linked to the SPECTRUM Large Cap U.S. Sector Momentum Index EEH
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Russell 2000 Index SGH
01.15.09 AB Svensk Exportkredit Stock Market Upturn Notes Linked to the S&P 500 Index SMM
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P MidCap 400 Index SZM
01.15.09 AB Svensk Exportkredit Capped Leveraged Index Return Notes Linked to the S&P BRIC 40 Index BTG
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the MSCI EAFE Index EFD
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Russell 2000 Index RCW
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the Dow Jones EURO STOXX 50 Index EOA
01.15.09 AB Svensk Exportkredit Accelerated Return Notes Linked to the S&P 500 Index SQT
01.15.09 AB Svensk Exportkredit Capped Leveraged Index Return Notes Linked to the S&P 500 Index SCB
AdvisorShares Trust
Circular Date Structured Product Symbol(s)
09.03.09 AdvisorShares Dent Tactical ETF DENT
ALPS ETF Trust
Circular Date Structured Product Symbol(s)
10.27.09 ALPS Thomson Reuters/Jefferies CRB Global Agriculture Equity Index Fund CRBA
10.27.09 ALPS Thomson Reuters/Jefferies CRB Global Industrial Metals Equity Index Fund CRBI
09.21.09 Thomson Reuters/Jefferies CRB Global Commodity Equity Index Fund CRBQ
08.06.09 Swedish Export Credit Corporation Accelerated Return Notes Linked to the S&P 500 Index SGN
07.07.09 ALPS Equal Sector Weight ETF EQL
07.02.09 Swedish Export Credit Corporation Accelerated Return Notes Linked to the S&P 500 Index SAJ
01.15.09 Cohen & Steers Global Realty Majors ETF GRI
American International Group, Inc.
Circular Date Structured Product Symbol(s)
01.15.09 American International Group, Inc. Nikkei 225 Index Market Index Target-Term Securities NOW
Ameristock Exchange-Traded Funds
Circular Date Structured Product Symbol(s)
01.15.09 Ameristock/Ryan 1 Year Treasury ETF
Ameristock/Ryan 2 Year Treasury ETF
Ameristock/Ryan 5 Year Treasury ETF
Ameristock/Ryan 10 Year Treasury ETF
Ameristock/Ryan 20 Year Treasury ETF
GKA
GKB
GKC
GKD
GKE
Bank of America
Circular Date Structured Product Symbol(s)
12.30.09 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SJV
12.30.09 Bank of America Corporation Market-Linked Step Up Notes Linked to the S&P 500 Index MMY
12.07.09 Bank of America Market-Linked Step Up Notes Linked to the S&P 500 Index BSQ
12.07.09 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SFH
12.07.09 Bank of America Market-Linked Step Up Notes Linked to the S&P 500 Index MZW
12.01.09 Bank of America Market Index Target-Term Securities Linked to the Dow Jones Industrial Average MMF
11.04.09 Bank of America Corporation Step Up Notes Linked to the Russell 2000 Index RIH
11.04.09 Bank of America Corporation Step Up Notes Linked to the S&P 500 Index SKN
10.06.09 Bank of America Market Index Target-Term Securities Linked to the S&P 500 Index MLA
10.02.09 Bank of America Corporation Index Linked Notes SKL
09.03.09 Bank of America Corporation Accelerated Return Notes Linked to the S&P 500 Index SPC
08.06.09 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SPO
08.06.09 Bank of America Leveraged Index Return Notes Linked to the S&P 500 Index SBA
08.06.09 Bank of America Leveraged Index Return Notes Linked to the S&P 500 Index SBA
07.31.09 Bank of America Market Index Target-Term Securities Linked to the S&P 500 Index MKF
07.02.09 Bank of America Leveraged Index Return Notes Linked to the S&P 500 Index SVW
06.05.09 Bank of America Leveraged Index Return Notes Linked to the S&P 500 Index SZE
06.05.09 Bank of America Corporation Accelerated Return Notes Linked to the S&P 500 Index SMC
06.05.09 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SJP
06.05.09 Bank of America Strategic Accelerated Redemption Securities Linked to the iShares FTSE/Xinhua 25 Index SYP
05.29.09 Bank of America Market Index Target-Term Securities Linked to the Dow Jones Industrial Average MBL
04.30.09 Bank of America Strategic Accelerated Redemption Securities Linked to the SPDR Gold Trust GBN
04.24.09 Bank of America Market Index Target-Term Securities Linked to the S&P 500 Index MPE
04.01.09 Bank of America Bear Market Strategic Accelerated Redemption Securities Linked to the iShares Dow Jones U.S. Real Estate Index Fund SHK
03.27.09 Bank of America Market Index Target-Term Securities Linked to the S&P 500 Index SCT
03.05.09 Bank of America Bear Market Strategic Accelerated Redemption Securities Linked to the S&P Small Cap Regional Banks Index SDE
03.05.09 Bank of America Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SHR
03.05.09 Bank of America Capped Leveraged Index Return Notes Linked to the S&P 500 Index CFU
02.27.09 Bank of America Market Index Target-Term Securities Linked to the S&P 500 Index MGJ
02.05.09 Bank of America Corporation Accelerated Return Notes Linked to the S&P 500 Index SJD
02.05.09 Bank of America Corporation Bear Market Strategic Accelerated Redemption Securities Linked to the iShares Dow Jones U.S. Real Estate Index Fund DMH
02.05.09 Bank of America Corporation Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SKC
02.05.09 Bank of America Corporation Accelerated Return Notes Linked to the S&P 500 Index SJD
Barclays Bank PLC
Circular Date Structured Product Symbol(s)
11.18.09 Barclays Long B Leveraged S&P 500 Total Return ETN
Barclays Long C Leveraged S&P 500 Total Return ETN
Barclays Short B Leveraged S&P 500 Total Return ETN
Barclays Short C Leveraged S&P 500 Total Return ETN
Barclays Short D Leveraged S&P 500 Total Return ETN
BXUB
BXUC
BXDB
BXDC
BXDD
01.30.09 iPath S&P 500 VIX Short-Term Futures ETN
iPath S&P 500 VIX Mid-Term Futures ETN
VXX
VXZ
01.15.09 iPath EUR/USD Exchange Rate ETN
iPath GBP/USD Exchange Rate ETN
iPath JPY/USD Exchange Rate ETN
ERO
GBB
JYN
01.15.09 iPath Dow Jones-AIG Agriculture Total Return Sub-Index ETN
iPath Dow Jones-AIG Copper Total Return Sub-Index ETN
iPath Dow Jones-AIG Energy Total Return Sub-Index ETN
iPath Dow Jones-AIG Grains Total Return Sub-Index ETN
iPath Dow Jones-AIG Livestock Total Return Sub-Index ETN
iPath Dow Jones-AIG Natural Gas Total Return Sub-Index ETN
iPath Dow Jones-AIG Nickel Total Return Sub-Index ETN
iPath Dow Jones-AIG Industrial Metals Total Return Sub-Index ETN
JJA
JJC
JJE
JJG
COW
GAZ
JJN
JJM
01.15.09 Barclays GEMS Asia 8 Exchange-Traded Notes Due April 8, 2038 AYT
01.15.09 Barclays Asian and Gulf Currency Revaluation ETN PGD
01.15.09 Barclays GEMS Index Exchange-Traded Notes JEM
Bear Stearns Active ETF Trust
Circular Date Structured Product Symbol(s)
01.15.09 Bear Stearns Current Yield Fund YYY
BLDRS Index Fund Trust
Circular Date Structured Product Symbol(s)
01.15.09 BLDRS Asia 50 ADR Index Fund
BLDRS Developed Markets 100 ADR Index Fund
BLDRS Emerging Markets 50 ADR Index Fund
BLDRS Europe 100 ADR Index Fund
ADRA
ADRD
ADRE
ADRU
BOXES
Circular Date Structured Product Symbol(s)
01.15.09 Biotechnology Basket Opportunity Exchangeable Securities, due January 30, 2032
Pharmaceutical Basket Opportunity Exchangeable Securities, due October 30, 2031
BXB
RXB
01.15.09 Biotechnology Basket Opportunity Exchangeable Securities, due January 30, 2032
Pharmaceutical Basket Opportunity Exchangeable Securities, due October 30, 2031
BXB
RXB
BRIDGES
Circular Date Structured Product Symbol(s)
01.15.09 BRIDGES based upon value of common stock of ten companies, due March 30, 2009
Dow Jones EURO STOXX 50 Index BRIDGES, due December 30, 2009
BRIDGES based upon value of common stock of fifteen aerospace and defense companies, due December 30, 2009
BRIDGES based on the value of the Amex Pharmaceutical Index, due December 30, 2008
BRIDGES based on the value of fifteen financial services stocks, due August 30, 2009
BRIDGES based on the value of the Dow Jones Industrial Average, due June 30, 2009
BRIDGES Based on the value of common stock of fifteen companies in the oil industry, due June 15, 2010
BRIDGES based on the value of Russell 2000 Index, due December 30, 2008
BRIDGES based on the value of S&P Midcap 400 Index, due July 30, 2009
BRIDGES based on the value of common stock of ten companies, due February 28, 2009
BRIDGES based on the value of the S&P 500 Index, due August 30, 2008
TPA
DBX
DFB
DRU
MBK
BGD
BOI
RBG
MCB
TPS
BRD
01.15.09 BRIDGES based upon value of common stock of ten companies, due March 30, 2009
Dow Jones EURO STOXX 50 Index BRIDGES, due December 30, 2009
BRIDGES based upon value of common stock of fifteen aerospace and defense companies, due December 30, 2009
BRIDGES based on the value of fifteen financial services stocks, due August 30, 2009
BRIDGES based on the value of the Dow Jones Industrial Average, due June 30, 2009
BRIDGES Based on the value of common stock of fifteen companies in the oil industry, due June 15, 2010
BRIDGES based on the value of S&P Midcap 400 Index, due July 30, 2009
BRIDGES based on the value of common stock of ten companies, due February 28, 2009
TPA
DBX
DFB
MBK
BGD
BOI
MCB
TPS
BWN
Circular Date Structured Product Symbol(s)
01.15.09 Strategic Total Return Securities, due January 15, 2012 BWN
Capital Protected Notes
Circular Date Structured Product Symbol(s)
01.15. 09 Capital Protected Notes
Capital Protected Notes
Capital Protected Notes 1.875% Capital EFP
1% Capital Protected
Capital Protected Notes
Capital Protected Notes
Capital Protected Notes
Capital Protected Notes
Capital Protected Notes
GIC
GIT
MIB
MST
DPP
EEC
SDM
IIL
BEM
CAX
Circular Date Structured Product Symbol(s)
01.15.09 100% Capital Protected Notes Based on the American Stock Exchange China Index, due December 30, 2009 CAX
Citigroup Funding Inc.
Circular Date Structured Product Symbol(s)
11.24.09 Citigroup Funding Inc. 2% Minimum Coupon Principal Protected Notes Based Upon the Price of Gold MOL
11.24.09 Citigroup Funding Inc. Index LeAding Stock markEt Return Securities Based Upon the S&P 500 Index IFO
10.27.09 Citigroup Funding Inc. 2% Minimum Coupon Principal Protected Notes Based Upon the Russell 2000 Index MMY
Citigroup Funding Inc. 2% Minimum Coupon Principal Protected Notes Based Upon the S&P 500 Index MHC
09.24.09 Citigroup Funding Inc. Buffer Notes Based Upon the S&P 500 Index BLN
08.26.09 Citigroup Funding Inc. 3% Minimum Principal Protected Notes Based Upon the Russell 2000 Index MJC
07.28.09 Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the S&P 500 Index MUK
07.28.09 Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the Price of Gold MTY
06.25.09 Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the Dow Jones-UBS Commodity Index MKZ
06.24.09 Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the S&P MidCap 400 Index MBF
05.22.09 Citigroup Funding Inc. 3% Minimum Principal Protected Notes Based Upon the Russell 2000 Index MBC
05.07.09 Citigroup Funding Inc. Safety First Trust Series 2009-2 Principal Protected Trust Certificates Linked to the Dow Jones Industrial Average Index ABI
03.26.09 Citigroup Funding Inc. 3% Minimum Coupon Principal Protected Notes Based Upon the Dow Jones AIG Commodity Index – Excess Return MKN
02.24.09 Citigroup Funding Inc. 2% Minimum Principal Protected Notes Based Upon the Russell 2000 Index MOU
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the S&P 500 Index BEJ
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the S&P 500 Index BGI
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the S&P 500 Index BUW
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the S&P 500 Index BPD
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Based upon the Performance of the S&P 500 Index SRU
01.15.09 Citigroup Funding Inc. Strategic Market Access Notes Based Upon the Citi U.S. Equity Model Index CKK
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the Performance of the MSCI EAFE Index SPU
01.15.09 Citigroup Funding Inc. 10% Premium Mandatory Callable Equity Linked Securities Linked to the ADRs of Companhia Vale do Rio Doce PBA
01.15.09 Safety First Trust Principal-Protected Certificates Linked to a Global Index Basket AKE
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the Financial Select Sector SPDR Fund BZZ
01.15.09 Citigroup Funding Inc. 9% Equity Linked Securities Based Upon the Common Stock of Time Warner Inc. EYW
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon The S&P 500 Index BLM
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Based upon the S&P 500 Index SVE
01.15.09 Citigroup Funding Inc. 10% Equity Linked Securities Based on the Common Stock of Schlumberger Ltd. EAP
01.15.09 Citigroup Funding Inc. 10.75% Equity Linked Securities Based Upon the Common Stock of Valero Energy Corp. ELJ
01.15.09 Citigroup Funding Inc. 10.5% Equity Linked Securities Based Upon the Common Stock of Intel Corporation EHP
01.15.09 Citigroup Funding Inc. 10% Equity Linked Securities Based Upon the Common Stock of Merck & Co. EBY
01.15.09 Citigroup Funding Inc. 11% Equity Linked Securities Based Upon the Common Stock of Celgene Corporation. EHC
01.15.09 Citigroup Funding Inc. 11.75% Equity Linked Securities Based Upon the Common Stock of Deere & Co. ECB
01.15.09 Citigroup Funding Inc. 8.5% Equity- Linked Securities Based upon the Common Stock of Exxon Mobil Corporation ESM
01.15.09 Citigroup Funding Inc. 13.5% Equity Linked Securities Based Upon the Common Stock of Apple Inc. EYJ
01.15.09 Citigroup Funding Inc. Equity-Linked Securities Based upon the Common Stock of AT&T Inc. EDA
01.15.09 Citigroup Funding Inc. 11.5% Equity- Linked Securities Based Upon the Common Stock of NYSE Euronext EKJ
01.15.09 Citigroup Funding Inc. Equity-Linked Securities Based upon the Common Stock of Federal National Mortgage Association EJC
01.15.09 Citigroup Funding Inc. 8.5% Equity- Linked Note Linked to the Common Stock of Chesapeake Energy Corporation ECC
01.15.09 Citigroup Funding Inc. 9.25% Equity- Linked Note Linked to the Common Stock of Intel Corporation EIK
01.15.09 Citigroup Funding Inc., Stock Market Upturn Notes Linked to the MSCI EAFE Index SMU
01.15.09 Citigroup Funding Inc. 9.25% Equity- Linked Note Linked to the Common Stock of Intel Corporation EIK
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon the Financial Select Sector SPDR Fund BLZ
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon The iShares MSCI Emerging Markets Index Fund BYL
01.15.09 Citigroup Funding Inc. Buffer Notes Based Upon Dow Jones Industrial Average BUN
01.15.09 Citigroup Funding Inc. Equity Linked Securities Based Upon the Common Stock of Barrick Gold Corporation ELQ
01.15.09 Citigroup Funding Inc. Equity Linked Securities Based Upon the Common Stock of Halliburton Company ECK
01.15.09 Citigroup Funding Inc. Equity Linked Securities Based Upon the Common Stock of Barrick Gold Corporation ELQ
01.15.09 Citigroup Funding Inc. 8.5% Equity Linked Securities Based Upon the Common Stock of Microsoft Corporation EHD
01.15.09 Citigroup Funding Inc. 8% Equity Linked Securities Based Upon the Common Stock of Exxon Mobil Corporation EKG
01.15.09 Citigroup Funding Inc. 11.5% Equity Linked Securities Based Upon the ADRs of Nokia Corporation EKK
01.15.09 Citigroup Funding Inc. 12% Equity Linked Securities Based Upon the Common Stock of International Game Technology EPH
01.15.09 Citigroup Funding Inc. 9% Equity Linked Securities Based Upon the Common Stock of Cisco Systems, Inc. EKV
01.15.09 Citigroup Funding Inc. 13.5% Equity Linked Securities Based Upon the Common Stock of Amazon.com, Inc. EGJ
01.15.09 Citigroup Funding Inc. 13.5% Equity Linked Securities Based Upon the Common Stock of JC Penney Company, Inc. EAZ
01.15.09 Citigroup Funding Inc. 14% Equity Linked Securities Based on the Common Stock of Research In Motion Ltd. EGK
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Based Upon the Dow Jones EURO STOXX 50 Index SOG
01.15.09 Citigroup Funding Inc. 11% Equity- Linked Securities Based Upon the Common Stock of Nucor Corporation ENQ
01.15.09 Citigroup Funding Inc. 9% Equity- Linked Securities Based Upon the Common Stock of Texas Instruments Inc. EKD
01.15.09 Citigroup Funding Inc. 8.75% Equity- Linked Securities Based Upon the Common Stock of American Express Co. EVD
01.15.09 Citigroup Funding Inc. 9% Equity Linked Securities Based Upon the Common Stock of Halliburton Company EKO
01.15.09 Citigroup Funding Inc. 9.00% Equity Linked Securities Based on Exxon Mobil Corp. Common Stock EBE
01.15.09 Citigroup Funding Inc., Stock Market Upturn Notes Based Upon the U.S.-Europe-Japan Basket SJP
01.15.09 Citigroup Funding Inc. 9.00% Equity- Linked Securities Based Upon the American Depository Receipts of Cemex S.A.B. de C.V. EKM
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Based Upon iShares MSCI Emerging Markets Index Fund SKC
01.15.09 Citigroup Funding Inc. Equity Linked Notes based on the Common Stock of Hess Corporation EHJ
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Linked to the S&P 500 Index SKL
01.15.09 Citigroup Funding Inc. Equity-Linked Securities linked to the Common Stock of NYSE Euronext EKE
01.15.09 Citigroup Funding Inc. Premium Mandatory Callable Equity-Linked Securities linked to the Common Stock of eBay Inc. PAB
01.15.09 Citigroup Funding Inc. Equity-Linked Securities linked to the Common Stock of Lowe’s Companies, Inc. EAN
01.15.09 Citigroup Funding Inc. Safety First Trust Series 2007-2 Principal-Protected Certificates Linked to the Nikkei 225 Index AFO
01.15.09 Citigroup Funding Inc. Stock Market Upturn Notes Linked to the Nikkei 225 Index SNQ
01.15.09 Citigroup Funding Inc. 8.00% Equity Linked Securities Based on the Common Stock of Monsanto Company EMH
Claymore Exchange- Traded Funds
Circular Date Structured Product Symbol(s)
01.15.09 Claymore Exchange-Traded Fund Trust 2 CUT
12.08.09 Claymore China Technology ETF CQQ
10.19.09 Claymore/AlphaShares China All-Cap Exchange-Traded Fund YAO
01.15.09 Claymore/Zacks Dividend Rotation ETF IRO
01.15.09 Claymore/Morningstar Information Super Sector Index ETF
Claymore/Morningstar Services Super Sector Index ETF
Claymore/Morningstar Manufacturing Super Sector Index ETF
MZN
MZO
MZG
01.15.09 Claymore/Robb Report Global Luxury Index ETF ROB
01.15.09 Claymore/Clear Global Vaccine Index ETF
Claymore/SWM Canadian Energy Income Index ETF
Claymore/Clear Global Exchanges, Brokers & Asset Managers Index ETF
JNR
ENY
EXB
01.15.09 Claymore/Robeco Boston Partners Large -Cap Value ETF CLV
01.15.09 Claymore/BBD High Income Index ETF
Claymore/KLD Sudan-Free Large Cap Core ETF
LVL
KSF
01.15.09 Claymore/Zacks Country Rotation ETF
Claymore/Zacks International Yield Hog Index ETF
CRO
HGI
01.15.09 Claymore/IndexIQ Small-Cap Value ETF
Claymore/Zacks Growth & Income ETF
SCV
CZG
01.15.09 Claymore/Robeco Developed International Equity ETF
Claymore/Robeco Developed World Equity ETF
EEN
EEW
01.15.09 Claymore S&P Global Water Index ETF CGW
01.15.09 Claymore/Clear Mid-Cap Growth Index ETF MCG
01.15.09 Claymore/Zacks Mid-Cap Core ETF
Claymore/BIR Leaders Mid-Cap Value ETF
Claymore/BIR Leaders Small-Cap Core ETF
Claymore/BIR Leaders 50 ETF
Claymore/Ocean Tomo Growth Index ETF
Claymore/Great Companies Large-Cap Growth Index ETF
CZA
BES
BMV
BST
OTR
XGC
01.15.09 Claymore MACROshares Oil Up Tradeable Trust
Claymore MACROshares Oil Down Tradeable Trust
UCR
DCR
01.15.09 Claymore/Clear Spin-off ETF
Claymore/Ocean Tomo Patent ETF
Claymore/ LGA Green ETF
Claymore/Sabrient Defender ETF
Claymore/BNY BRIC ETF
Claymore/Sabrient Insider ETF
Claymore/Sabrient Stealth ETF
Claymore/Zacks Sector Rotation ETF
Claymore/Zacks Yield Hog ETF
CSD
OTP
GRN
DEF
EEB
NFO
STH
XRO
CVY
Claymore Exchange-Traded Fund Trust 2
Circular Date Structured Product Symbol(s)
12.08.09 Claymore China Technology ETF CQQQ
01.15.09 Claymore/Delta Global Shipping Index ETF SEA
01.15.09 Claymore/BNY Mellon Frontier Markets ETF FRN
01.15.09 Claymore/MAC Global Solar Energy Index ETF TAN
01.15.09 Claymore U.S. Capital Markets Bond ETF
Claymore U.S. Capital Markets Micro-Term Fixed Income ETF
Claymore US-1 - The Capital Markets Index ETF
UBD
ULQ
UEM
01.15.09 Claymore/AlphaShares China Small Cap Index ETF HAO
01.15.09 Claymore/AlphaShares China Real Estate ETF TAO
Credit Suisse Group
Circular Date Structured Product Symbol(s)
01.15.09 ELEMENTS MLCX Gold Index - Total Return ETN GOE
01.15.09 ELEMENTS MLCX Livestock Index - Total Return ETN LSO
01.15.09 ELEMENTS MLCX Precious Metals ETN
ELEMENTS Credit Suisse Global Warming ETN
PMY
GMO
CurrencyShares Trusts
Circular Date Structured Product Symbol(s)
01.15.09 CurrencyShares Australian Dollar Trust
CurrencyShares British Pound Sterling Trust
CurrencyShares Canadian Dollar Trust
CurrencyShares Euro Trust
CurrencyShares Swiss Franc Trust
CurrencyShares Mexican Peso Trust
CurrencyShares Swedish Krona Trust
CurrencyShares Japanese Yen Trust
FXA
FXB
FXC
FXE
FXF
FXM
FXS
FXY
DB Commodity Index Tracking Fund
Circular Date Structured Product Symbol(s)
01.15.09 DB Commodity Index Tracking Fund DBC
DB G10 CURRENCY HARVEST FUND
Circular Date Structured Product Symbol(s)
01.15.09 PowerShares DB G10 Currency Harvest Fund DBV
DBY
Circular Date Structured Product Symbol(s)
01.15.09 Strategic Total Return Securities Exchangeable for a Cash Amount based on the CBOE Dow Jones Industrial Average BuyWrite Index, due July 30, 2011 DBY
Deutsche Bank AG
Circular Date Structured Product Symbol(s)
01.15.09 Deutsche Bank AG ELEMENTS – “Dogs of the Dow” DOD
01.15.09 Deutsche Bank AG ELEMENTS Linked to the Morningstar Wide Moat Focus Total Return Index Linked to the Dow Jones High Yield Select 10 Total Return Index WMW
01.15.09 DB DB ELEMENTS Linked to the Benjamin Graham Total Market Value Index – Total Return
DB ELEMENTS Linked to the Benjamin Graham Small Cap Value Index – Total Return
DB ELEMENTS Linked to the Benjamin Graham Large Cap Value Index – Total Return
BVT
BVS
BVL
01.15.09 DB Gold Double Short Exchange-Traded Note
DB Gold Double Long Exchange Traded Note
DB Gold Short Exchange Traded Note
DZZ
DGP
DGZ
01.15.09 ELEMENTS Linked to the British Pound/U.S. Dollar Exchange Rate
ELEMENTS Linked to the U.S. Dollar/Canadian Dollar Exchange Rate
ELEMENTS Linked to the U.S. Dollar/Swiss Franc Exchange Rate
ELEMENTS Linked to the Euro/U.S. Dollar Exchange Rate
ELEMENTS Linked to the Australian Dollar/U.S. Dollar Exchange Rate
EGB
CUD
SZE
ERE
ADE
01.15.09 PowerShares DB Base Metals Double Long ETN
PowerShares DB Base Metals Double Short ETN
PowerShares DB Base Metals Long ETN
PowerShares DB Base Metals Short ETN
PowerShares DB Crude Oil Double Long ETN
PowerShares DB Crude Oil Double Short ETN
PowerShares DB Crude Oil Long ETN
PowerShares DB Crude Oil Short ETN
BDD
BOM
BDG
BOS
DXO
DTO
OLO
SZO
01.15.09 DB Commodity Double Short Exchange Traded Notes
DB Commodity Double Long Exchange Traded Notes
DB Commodity Short Exchange Traded Notes
DB Commodity Long Exchange Traded Notes
DEE
DYY
DDP
DPU
01.15.09 DB Agriculture Double Short Exchange Traded Notes
DB Agriculture Double Long Exchange Traded Notes
DB Agriculture Short Exchange Traded Notes
DB Agriculture Long Exchange Traded Notes/U.S. Dollar Exchange Rate
AGA
DAG
ADZ
AGF
DIAMOND TRUST FUNDS
Circular Date Structured Product Symbol(s)
01.15.09 DIAMONDS Trust Series I DIA
Direxion Shares ETF Trust
Circular Date Structured Product Symbol(s)
12.03.09 Direxion Funds Daily China Bull 3X Shares
Direxion Funds Daily China Bear 3X Shares
Direxion Funds Daily Latin America Bull 3X Shares
Direxion Funds Daily Latin America Bear 3X Shares
CZM
CZI
LBJ
LHB
07.16.09 Direxion Funds Daily Real Estate Bull 3X Shares
Direxion Funds Daily Real Estate Bear 3X Shares
DRN
DRV
04.16.09 Direxion Funds Daily 10-Year Treasury Bull 3X Shares
Direxion Funds Daily 10-Year Treasury Bear 3X Shares
Direxion Funds Daily 30-Year Treasury Bull 3X Shares
Direxion Funds Daily 30-Year Treasury Bear 3X Shares
TYD
TYO
TMF
TMV
01.15.09 Direxion Funds Developed Markets Bull 3x Shares
Direxion Funds Emerging Markets Bull 3x Shares
Direxion Funds Technology Bull 3x Shares
DZK
EDC
TYH
01.15.09 Direxion Funds Large Cap Bull 3x Shares
Direxion Funds Small Cap Bull 3x Shares
Direxion Funds Energy Bull 3x Shares
Direxion Funds Financial Bull 3x Shares
BGU
TNA
ERX
FAS
EGA Emerging Global Shares Trust
Circular Date Structured Product Symbol(s)
09.16.09 Emerging Global Shares Dow Jones Emerging Markets Financials Titans Index Fund EFN
07.22.09 Emerging Global Shares Dow Jones Emerging Markets Titans Composite Index Fund EEG
05.21.09 Emerging Global Shares Dow Jones Emerging Markets Metals & Mining Titans Index Fund
Emerging Global Shares Dow Jones Emerging Markets Energy Titans Index Fund
EMT
EEO
ELKS
Circular Date Structured Product Symbol(s)
01.15.09 Citigroup Funding Inc. 14% Equity Linked Securities Based Upon the Common Stock of Morgan Stanley EBB
01.15.09 Citigroup Funding Inc. 12.5 %Equity Linked Securities Based Upon the Common Stock of Alcoa, Inc. EPK
01.15.09 12% ELKS Linked to Nucor Corporation, due October 5, 2007
8.40% ELKS Based Upon the Texas Instruments Inc., due March 14, 2007
12.5% ELKS Linked to Apple Computer Inc., due July 11, 2007
9.5% ELKS Linked to Archer-Daniels-Midland Co., due December 6, 2007
10% ELKS Linked to Best Buy Co., Inc., due January 8, 2008
11.25% ELKS Linked to Qualcomm Inc., due November 5, 2007
9% ELKS Linked to the Common Stock of Caterpillar Inc., due August 10, 2007
11% ELKS Linked to Halliburton Company, due August 27, 2007
EKN
EET
EYA
EAM
EBC
EQL
EKC
EHC
Eksportfinans ASA
Circular Date Structured Product Symbol(s)
05.15.09 Eksportfinans ASA Accelerated Return Notes Linked to the S&P 500 Index AKL
05.15.09 Eksportfinans ASA Accelerated Return Notes Linked to the MSCI EAFE Index ECV
05.15.09 Eksportfinans ASA Accelerated Redemption Securities Linked to the S&P 500 Index SGO
07.02.09 Eksportfinans ASA Accelerated Return Notes Linked to the Russell 2000 Index RHA
06.05.09 Eksportfinans ASA Accelerated Return Notes Linked to the S&P MidCap 400 Index SZF
06.05.09 Eksportfinans ASA Accelerated Redemption Securities Linked to the MSCI Brazil Index BON
01.15.09 Eksportfinans 11% Enhanced Yield Securities Linked to the Common Stock in the Claymore YieldStream 20 Index EKF
01.15.09 Eksportfinans ASA Performance Leveraged Upside Securities Based Upon the S&P 500 Index PJK
ETFS Gold Trust
Circular Date Structured Product Symbol(s)
09.09.09 ETFS Physical Swiss Gold Shares SGOL
FaithShares Trust
Circular Date Structured Product Symbol(s)
12.15.09 FaithShares Baptist Values Fund
FaithShares Lutheran Values Fund
FZB
FKL
12.09.09 FaithShares Catholic Values Fund
FaithShares Christian Values Fund
FaithShares Methodist Values Fund
FCV
FOC
FMV
First Trust Exchange-Traded Fund
Circular Date Structured Product Symbol(s)
07.01.09 First Trust NASDAQ ABA Community Bank Index Fund QABA
01.15.09 First Trust Dow Jones Global Select Dividend Index Fund FGD
FFR
01.15.09 First Trust DJ STOXX Select Dividend 30 Index Fund
First Trust FTSE EPRA/NAREIT Global Real Estate Index Fund
FDD
FFR
01.15.09 First Trust Value Line 100 Exchange- Traded Fund FVL
01.15.09 First Trust ISE ChIndia Index Fund FNI
01.15.09 First Trust Consumer Discretionary AlphaDEX Fund First Trust Consumer Staples AlphaDEX Fund
First Trust Energy AlphaDEX Fund
First Trust Financials AlphaDEX Fund
First Trust Health Care AlphaDEX Fund
First Trust Industrials AlphaDEX Fund
First Trust Materials AlphaDEX Fund
First Trust Technology AlphaDEX Fund
First Trust Utilities AlphaDEX Fund
First Trust Large Cap Core AlphaDEX Fund
First Trust Mid Cap Core AlphaDEX Fund
First Trust Small Cap Core AlphaDEX Fund
First Trust Large Cap Value Opportunities AlphaDEX Fund
First Trust Large Cap Growth Opportunities AlphaDEX Fund
First Trust Multi Cap Value AlphaDEX Fund
First Trust Multi Cap Growth AlphaDEX Fund
FXD
FXG
FXN
FXO
FXH
FXR
FXZ
FXL
FXU
FEX
FNX
FYX
FTA
FTC
FAB
FAD
11.17.09 First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund GRID
01.15.09 First Trust ISE-Revere Natural Gas Index Fund
First Trust ISE Water Index Fund
FCG
FIW
01.15.09 First Trust S&P REIT Index Fund FRI
01.15.09 First Trust IPOX-100 Index Fund
First Trust Morningstar Dividend Leaders Index Fund
First Trust Dow Jones Select MicroCap Index Fund
FPX
FDL
FDM
01.15.09 First Trust Amex Biotechnology Index Fund
First Trust Dow Jones Internet Index Fund
First Trust DB Strategic Value Index Fund
FBT
FDN
FDV
First Trust Exchange-Traded Fund Trust II
Circular Date Structured Product Symbol(s)
01.15.09 First Trust ISE Global Engineering and Construction Index Fund FLM
01.15.09 First Trust ISE Global Wind Energy Index Fund FAN
FocusShares Trust
Circular Date Structured Product Symbol(s)
01.15.09 FocusShares ISE Homebuilders Index Fund
FocusShares ISE SINdex Fund
FocusShares ISE-CCM Homeland Security Index Fund
FocusShares ISE-Revere Wal-Mart Supplier Index Fund
SAW
PUF
MYP
WSI
GLL
Circular Date Structured Product Symbol(s)
01.15.09 SBasket Capital Protected Notes, due September 30, 2008 GLL
Global X Funds
Circular Date Structured Product Symbol(s)
12.15.09 Global X China Energy ETF CHIE
12.11.09 Global X China Financials ETF CHIX
12.09.09 Global X China Technology ETF CHIB
12.01.09 Global X China Consumer ETF
Global X China Industrials ETF
CHIQ
CHII
08.12.09 Global X FTSE Nordic 30 ETF GXG
02.06.09 Global X/InterBolsa FTSE Colombia 20 ETF GXG
Goldman Sachs Group, Inc.
Circular Date Structured Product Symbol(s)
01.15.09 GS Connect Exchange Traded Notes linked to the S&P GSCI™ Enhanced Commodity Total Return Strategy Index GSC
Grail Advisors ETF Trust
Circular Date Structured Product Symbol(s)
10.01.09 Grail Advisors RP Growth ETF
Grail Advisors RP Focused Large Cap Growth ETF
Grail Advisors RP Technology ETF
Grail Advisors RP Financials ETF
RPX
RWG
RPQ
RFF
05.04.09 Grail American Beacon Large Cap Value ETF GVT
Greenhaven Continuous Commodity Index Fund
Circular Date Structured Product Symbol(s)
01.15.09 Greenhaven Continuous Commodity Index Fund GCC
GS Finance Corp. Index-Linked Notes
Circular Date Structured Product Symbol(s)
01.15.09 GS Finance Corp. Claymore CEF Index- Linked GS Connect Exchange-Traded Notes GCE
HealthShares
Circular Date Structured Product Symbol(s)
01.15.09 HealthShares Orthopedic Repair ETF HHP
01.15.09 Healthshares European Medical Products and Devices ETF HHT
01.15.09 HealthShares Dermatology and Wound Care ETF HRW
01.15.09 HealthShares Infectious Disease ETF
HealthShares European Drugs ETF
HHG
HRJ
01.15.09 HealthShares AutoImmune Inflammation ETF
HealthShares Cancer ETF
HealthShares Cardiology ETF
HealthShares Composite ETF
HealthShares GI/Gender Health ETF
HealthShares Respiratory/Pulmonary ETF
HealthShares Neuroscience ETF
HealthShares Ophthalmology ETF
HealthShares Metabolic-Endocrine Disorders ETF
HHA
HHK
HRD
HHQ
HHU
HHR
HHN
HHZ
HHM
HITS
Circular Date Structured Product Symbol(s)
01.15.09 9% HITS Linked to Schlumberger Limited, due December 20, 2007
11.25% HITS Linked to XM Satellite Radio Holdings Inc., due April 20, 2007
10% HITS Linked to Newmont Mining Corp., due June 20, 2007
13.25% HITS Linked to SanDisk Corporation, due March 20, 2007
9.25% HITS Linked to Wynn Resorts Ltd, due May 20, 2007
9% HITS Linked to Archer-Daniels-Midland Company, due January 20, 2008
SBM
XMM
NHS
SHM
MWH
AND
HOLDRS TRUSTS
Circular Date Structured Product Symbol(s)
01.15.09 Market 2000+ HOLDRS
Wireless HOLDRS
CP HOLDRS
MKH
WMH
HCH
01.15.09 Biotech HOLDRS
Broadband HOLDRS
B2B HOLDRS
Europe 2001 HOLDRS
Internet HOLDRS
Internet Architecture HOLDRS
Internet Infrastructure HOLDRS
Oil Services HOLDRS
Pharmaceutical HOLDRS
Regional Bank HOLDRS
Retail HOLDRS
Semiconductor HOLDERS
Software HOLDRS
Telecom HOLDRS
Utilities HOLDRS
BBH
BDH
BHH
EKH
HHH
IAH
IIH
OIH
PPH
RKH
RTH
SMH
SWH
TTH
UTH
 
HPB
Circular Date Structured Product Symbol(s)
01.15.09 100% Capital Protected Bear Notes Based on the Philadelphia Stock Exchange Housing Sector Index, due August 30, 2010 HPB
HSBC USA Inc.
Circular Date Structured Product Symbol(s)
01.15.09 HSBC USA Inc. ELEMENTS Linked to the S&P Commodity Trends Indicator — Total Return due June 16, 2023 LSC
IndexIQ ETF Trust
Circular Date Structured Product Symbol(s)
11.17.09 IQ ARB Merger Arbitrage ETF MNA
10.27.09 IQ CPI Inflation Hedged ETF CPI
10.27.09 IQ ARB Global Resources ETF GRES
06.09.09 IQ Hedge Macro Tracker ETF MCRO
03.25.09 IQ Hedge Multi-Strategy Tracker ETF QAI
iPath
Circular Date Structured Product Symbol(s)
01.15.09 iPath Dow Jones-AIG Agriculture Total Return Sub-Index ETN
iPath Dow Jones-AIG Copper Total Return Sub-Index ETN
iPath Dow Jones-AIG Energy Total Return Sub-Index ETN
iPath Dow Jones-AIG Grains Total Return Sub-Index ETN
iPath Dow Jones-AIG Livestock Total Return Sub-Index ETN
iPath Dow Jones-AIG Natural Gas Total Return Sub-Index ETN
iPath Dow Jones-AIG Nickel Total Return Sub-Index ETN
iPath Dow Jones-AIG Industrial Metals Total Return Sub-Index ETN
iPath Dow Jones-AIG Agriculture Total Return Sub-Index ETN
JJC
JJE
JJG
COW
GAZ
JJN
JJM
01.15.09 iPath Exchange-Traded Notes Linked to the MSCI India Total Return Index (the “Notes”) INP
01.15.09 iPath Exchange Traded Notes Linked to the CBOE S&P 500 BuyWrite Index BWV
01.15.09 Dow Jones – AIG Commodity Index Total Return DJP
01.15.09 Goldman Sachs Crude Oil Total Return Index OIL
01.15.09 GSCI Total Return Index GSP
01.15.09 iPath DJ-AIG Tin ETN
iPath DJ-AIG Sugar ETN
iPath DJ-AIG Softs ETN
iPath DJ-AIG Precious Metals ETN
iPath DJ-AIG Platinum ETN
iPath DJ-AIG Lead ETN
iPath DJ-AIG Cotton ETN
iPath DJ-AIG Coffee ETN
iPath DJ-AIG Cocoa ETN
iPath DJ-AIG Aluminum ETN
iPath Global Carbon ETN
JJT
SGG
JJS
JJP
PGM
LD
BAL
JO
NIB
JJU
GRN
01.15.09 iPath Optimized Currency Carry Exchange-Traded Notes ICI
iShares Exchange Traded Funds
Circular Date Structured Product Symbol(s)
01.15.09 iShares S&P National Municipal Bond Fund MUB
01.15.09 iShares S&P World ex-U.S. Property Index Fund WPS
01.15.09 iShares S&P U.S. Preferred Stock Index Fund PFF
01.15.09 iShares Silver Trust S
iShares COMEX Gold Trust
SLV
IAU
01.15.09 iShares GSCI Commodity-Indexed Trust GSG
01.15.09 iShares Lehman Short Treasury
iShares Lehman 3-7 Year Treasury Bond Fund
iShares Lehman 10-20 Year Treasury Bond Fund
iShares Lehman 1-3 Year Credit Bond Fund
iShares Lehman Intermediate Credit Bond Fund
iShares Lehman Credit Bond Fund
iShares Lehman Intermediate Government/Credit Bond Fund
iShares Lehman Government/Credit Bond Fund
iShares Lehman Aggregate Bond Fund
iShares Lehman TIPS Bond Fund
iShares Lehman 1-3 Year Treasury Bond Fund
iShares Lehman 7-10 Year Treasury Bond Fund
iShares Lehman 20+ Year Treasury Bond Fund
iShares iBoxx $ Investment Grade Corporate Bond Fund
SHV
IEI
TLH
CSJ
CIU
CFT
GVI
GBF
AGG
TIP
SHY
IEF
TLT
LQD
01.15.09 iShares NASDAQ Biotechnology Index Fund
IBB iShares S&P 500 Index Fund
iShares S&P 100 Index Fund
iShares S&P Midcap 400 Index Fund
iShares S&P SmallCap 600 Index Fund
iShares S&P 500 Value Index Fund
iShares S&P 500 Growth Index Fund
iShares S&P MidCap 400 Growth Index Fund
iShares S&P MidCap 400 Value Index Fund
iShares S&P SmallCap 600 Growth Index Fund
iShares S&P SmallCap 600 Value Index Fund
iShares Dow Jones Transportation Index Fund
iShares Dow Jones Select Dividend Index Fund
iShares Goldman Sachs Natural Resources Index Fund
iShares KLD 400 Select Social Index Fund
iShares Morningstar Small Core Index Fund
iShares Morningstar Mid Value Index Fund
iShares Morningstar Large Value Index Fund
iShares Morningstar Mid Growth Index Fund
iShares Morningstar Mid Core Index Fund
iShares Morningstar Large Growth Index Fund
iShares Morningstar Large Core Index Fund
iShares Morningstar Small Growth Index Fund
iShares Morningstar Small Value Index Fund
iShares MSCI EAFE Growth Index Fund
iShares MSCI EAFE Value Index Fund
iShares NYSE 100 Index Fund
iShares NYSE Composite Index Fund
iShares S&P 1500 Index Fund
IBB
IVV
OEF
IJH
IJR
IVE
IVW
IJK
IJJ
IJT
IJS
IYT
DVY
IGE
KLD
JKJ
JKI
JKF
JKH
JKG
JKE
JKD
JKK
JKL
EFG
EFV
NY
NYC
ISI
01.15.09 iShares MSCI Brazil
iShares MSCI South Africa
iShares MSCI South Korea
iShares MSCI Taiwan
iShares S&P Europe 350 Index Fund
iShares S&P Global Energy Sector Index Fund
iShares S&P Global Financials Sector Index Fund
iShares S&P Global Health Care Sector Index Fund
iShares S&P Global Telecommunications Sector Index Fund
iShared S&P Global Technology Sector Index Fund
iShares S&P/TOPIX 150 Index Fund
iShares S&P Latin America 40 Index Fund
iShares MSCI EAFE Index Fund
iShares MSCI Emerging Markets Index Fund
iShares MSCI Pacific Free Ex Japan Index Fund
iShares MSCI Belgium
iShares MSCI France
iShares MSCI Hong Kong
iShares MSCI Italy
iShares MSCI Japan
iShares MSCI Malaysia
iShares MSCI Netherlands
iShares MSCI Singapore
iShares MSCI Spain
iShares MSCI Sweden
iShares MSCI Switzerland
iShares MSCI United Kingdom
S&P Global 100 Index Fund
iShares Russell Midcap Index Fund
iShares Russell Midcap Growth Index Fund
iShares Russell Midcap Value Index Fund
iShares Cohen & Steers Realty Majors Index Fund
iShares Russell 1000 Index Fund
iShares Russell 1000 Growth Index Fund
iShares Russell 1000 Value Index Fund
iShares Russell 2000 Index Fund
iShares Russell 2000 Growth Index Fund
iShares Russell 2000 Value Index Fund
iShares Russell 3000 Index Fund
iShares Russell 3000 Growth Index Fund
iShares Russell 3000 Value Index Fund
iShares MSCI Australia Index Fund
iShares MSCI Austria Index Fund
iShares MSCI Canada Index Fund
iShares MSCI EMU Index Fund
iShares MSCI Germany Index Fund
iShares MSCI Mexico Index Fund
iShares KLD 400 Social Index Fund
iShares S&P Global Consumer Discretionary Sector Index Fund
iShares S&P Global Consumer Staples Sector Index Fund
iShares S&P Global Industrials Sector Index Fund
iShares S&P Global Utilities Sector Index Fund
iShares S&P Global Materials Sector Index Fund
iShares Dow Jones U.S. Oil & Gas Exploration & Production Index Fund
iShares Dow Jones U.S. Oil Equipment & Services Index Fund
iShares Dow Jones U.S. Pharmaceuticals Index Fund
iShares Dow Jones U.S. Health Care Providers Index Fund
iShares Dow Jones U.S. Medical Devices Index Fund
iShares Dow Jones U.S. Broker-Dealers Index Fund
iShares Dow Jones U.S. Insurance Index Fund
iShares Dow Jones U.S. Regional Banks Index Fund
iShares Dow Jones U.S. Aerospace & Defense Index Fund
iShares Dow Jones U.S. Home Construction Index Fund
iShares Russell Micrcap Index Fund
iShares FTSE/Xinhua China 25 Index Fund
EWZ
EZA
EWY
EWT
IEV
IXC
IXG
IXJ
IXP
IXN
ITF
ILF
EFA
EEM
EPP
EWK
EWQ
EWH
EWI
EWJ
EWM
EWN
EWS
EWP
EWD
EWL
EWU
IOO
IWR
IWP
IWS
ICF
IWB
IWF
IWD
IWM
IWO
IWN
IWV
IWZ
IWW
EWA
EWO
EWC
EZU
EWG
EWW
DSI
RXI
KXI
EXI
JXI
MXI
IEO
IEZ
IHE
IHF
IHI
IAI
IAK
IAT
ITA
ITB
IWC
FXI
01.15.09 iShares MSCI ACWI Index Fund
iShares MSCI ACWI ex US Index Fund
ACWI
ACWX
iShares Trust
Circular Date Structured Product Symbol(s)
12.09.09 iShares 10+ Year Credit Bond Fund
iShares 10+ Year Government Credit Bond Fund
CLY
GLJ
11.20.09 iShares S&P India Nifty 50 Index Fund INDY
11.16.09 iShares Diversified Alternatives Trust ALT
10.02.09 iShares MSCI Emerging Markets Eastern Europe Index Fund ESR
09.25.09 iShares Russell Top 200 Value Index Fund
iShares Russell Top 200 Index Fund
iShares Russell Top 200 Growth Index Fund
IWX
IWL
IWY
06.19.09 iShares MSCI All Peru Capped Index Fund EPU
06.19.09 iShares S&P Emerging Markets Infrastructure Index Fund EMIF
01.15.09 iShares MSCI Kokusai Index Fund
iShares S&P Global Infrastructure Index Fund
iShares MSCI EAFE Small Cap Index Fund
TOK
IGF
SCZ
01.15.09 iShares MSCI BRIC Index Fund
iShares MSCI Chile Index Fund
iShares S&P Asia 50 Index Fund
BKF
ECH
AIA
01.15.09 iShares S&P California Municipal Bond Fund
iShares S&P New York Municipal Bond Fund
CMF
NYF
01.15.09 iShares Dow Jones EPAC Select Dividend Index Fund IDV
01.15.0 9 iShares iBozz $ $ High Yield Corporate Bond Fund
iShares Lehman MBS Fixed-Rate Bond Fund
HYG
MBB
01.15.09 iShares FTSE NAREIT Residential Index Fund
iShares FTSE NAREIT Industrial/Office Index Fund
iShares FTSE NAREIT Retail Index Fund
iShares FTSE NAREIT Mortgage REITs Index Fund
iShares FTSE NAREIT Real Estate 50 Index Fund
REZ
FIO
RTL
REM
FTY
01.15.09 iShares Lehman 3-7 Year Treasury Bond Fund
iShares Lehman Short Treasure Bond Fund
iShares Lehman 10-20 Year Treasury Bond Fund
iShares Lehman 1-3 Year Credit Bond Fund
iShares Lehman Intermediate Credit Bond Fund
iShares Lehman Credit Bond Fund
iShares Lehman Intermediate Government/Credit Bond Fund
iShares Lehman Government/Credit Bond Fund
iShares Lehman Aggregate Bond Fund
iShares Lehman TIPS Bond Fund TIP
iShares Lehman 1-3 Year Treasury Bond Fund
iShares Lehman 7-10 Year Treasury Bond Fund
iShares Lehman 20+ Year Treasury Bond Fund
iShares iBoxx $ Investment Grade Corporate Bond Fund
IEI
SHV
TLH
CSJ
CIU
CFT
GVI
GBF
AGG
TIP
SHY
IEF
TLT
LQD
01.15.09 iShares MSCI Israel Capped Investable Market Index Fund
iShares MSCI ACWI ex US Index Fund
iShares MSCI Thailand Investable Market Index Fund
EIS
TUR
THD
01.15.09 iShares Barclays Agency Bond Fund
iShares S&P Short Term National Municipal Bond Fund
AGZ
SUB
01. 15.09 iShares S&P Target Date Retirement Income Index Fund
iShares S&P Target Date 2010 Index Fund
iShares S&P Target Date 2015 Index Fund
iShares S&P Target Date 2020 Index Fund
iShares S&P Target Date 2025 Index Fund
iShares S&P Target Date 2030 Index Fund
iShares S&P Target Date 2035 Index Fund
iShares S&P Target Date 2040 Index Fund
TGR
TZD
TZE
TZG
TZI
TZL
TZO
TZV
01. 15.09 iShares S&P Conservative Allocation Fund
iShares S&P Moderate Allocation Fund
iShares S&P Growth Allocation Fund
iShares S&P Aggressive Allocation Fun
AOK
AOM
AOR
AOA
01.15.09 iShares FTSE China (HK Listed) Index Fund
iShares S&P Global Clean Energy Index Fund
iShares S&P Global Nuclear Energy Index Fund
iShares S&P Global Timber & Forestry Index Fund
FCHI
ICLN
NUCL
WOOD
01.15.09 iShares JPMorgan USD Emerging Markets Bond Fund EMB
01.15.09 iShares MSCI Japan Small Cap Index Fund SCI
01.15.09 iShares MSCI All Country Asia ex Japan Index Fund AAXJ
01.15.09 iShares MSCI ACWI Index Fund
iShares MSCI ACWI ex US Index Fund
ACWI
ACWX
01.15.0 9 iShares FTSE China (HK Listed) Index Fund
iShares S&P Global Clean Energy Index Fund
iShares S&P Global Nuclear Energy Index Fund
iShares S&P Global Timber & Forestry Index Fund
FCHI
ICLN
NUCL
WOOD
01.15.09 iShares FTSE EPRA/NAREIT Global Real Estate ex-U.S. Index Fund
iShares FTSE EPRA/NAREIT Asia Index Fund
Shares FTSE EPRA/NAREIT Europe Index Fund
iShares FTSE EPRA/NAREIT North America Index Fund
iShares FTSE Developed Small Cap ex-North America Index Fund
IFGL
IFAS
IFEU
IFNA
IFSM
Javelin Exchange-Traded Trust
Circular Date Structured Product Symbol(s)
06.30.09 JETS Dow Jones Islamic Market International Index Fund JVS
JPMorgan Chase & Co.
Circular Date Structured Product Symbol(s)
05.21.09 JPMorgan Chase & Co. Buffer Notes Based Upon the S&P 500 Index BJI
J.P. Morgan
Circular Date Structured Product Symbol(s)
04.02.09 J.P. Morgan Alerian MLP Index Exchange-Traded Notes AMJ
01.15.09 JPMorgan Chase & Co. KEYnotes Exchange-Traded Notes Linked to the First Trust Enhanced130/30 Large Cap Index Due May 25, 2023 JFT
Lehman Brothers
Circular Date Structured Product Symbol(s)
01.15.09 Lehman Brothers Opta Exchange-Traded Notes Linked to the S&P Listed Private Equity Index Net Return PPE
01.15.09 Lehman Brothers Opta Exchange-Traded Notes Linked to the LBCI Pure Beta Total Return
Lehman Brothers Opta Exchange-Traded Notes Linked to the LBCI Pure Beta Agriculture Total Return
RAW
EOH
MacroShares Trusts
Circular Date Structured Product Symbol(s)
06.30.09 MacroShares Major Metro Housing Up Trust
MacroShares Major Metro Housing Down Trust
UMM
DMM
01.15.09 MacroShares $100 Oil Up Shares
MacroShares $100 Oil Down Shares
UOY
DOY
Market Participation Securities
Circular Date Structured Product Symbol(s)
01.15.09 MPS linked to the Dow Jones Industrial Average, due December 12, 2009
MPS linked to the S&P 500 Index, due December 30, 2008
MPS linked to the Russell 2000 Index, due February 1, 2010
DMJ
MRP
MSU
Market Vectors ETF Trust
Circular Date Structured Product Symbol(s)
11.24.09 Market Vectors Poland Exchange-Traded Fund PLND
08.14.09 Market Vectors Vietnam Exchange-Traded Fund VNM
05.14.09 Market Vectors Brazil Small-Cap Exchange-Traded Fund BRF
01.15.09 Market Vectors-RVE Hard Assets Producers ETF HAP
01.15.09 Market Vectors - Gulf States Index ETF MES
01.15.09 Market Vectors - Africa Index ETF AFK
01.15.09 Market Vectors - Solar Energy ETF KWT
01.15.09 Market Vector - Lehman Brothers AMT- Free Short Municipal Index ETF SMB
01.15.09 Market Vectors – Gaming ETF BJK
01.15.09 Market Vectors – Coal ETF KOL
01.15.09 Market Vectors - Lehman Brothers AMT- Free Long Municipal Index ETF MLN
Market Vectors Exchange-Traded Notes
Circular Date Structured Product Symbol(s)
01.15.09 Market Vectors-Indian Rupee/USD ETNs INR
01.15.09 Market Vectors-Chinese Renminbi/USD ETNs CNY
MARKET VECTORS FUNDS
Circular Date Structured Product Symbol(s)
11.11.09 Market Vectors Junior Gold Miners Exchange-Traded Fund GDXJ
02.05.09 Market Vectors High-Yield Municipal Index ETF HYD
02.03.09 Market Vectors Pre-Refunded Municipal Index ETF PRB
01.15.09 Market Vectors – Lehman Brothers AMT-Free Intermediate Municipal Index ETF ITM
01.15.09 Market Vectors – Agribusiness ETF MOO
01.15.09 Market Vectors - Russia ETF RSX
01.15.09 Market Vectors – Nuclear Energy ETF NLR
01.15.09 Market Vectors – Global Alternative Energy ETF GEX
01.15.09 Market Vectors – Environmental Services ETF
Market Vectors – Steel ETF
Market Vectors – Gold Miners ETF
EVX
SLX
GDX
 
Merrill Lynch & Co., Inc.
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 100 Index RZI
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the PHLX Gold & Silver Index GZV
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P MidCap 400 Index MHR
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the PHLX Semiconductor Index ELU
01.15.09 Merrill Lynch Accelerated Return Notes Linked to the Nikkei 225 Index due May 8, 2008 NKM
01.15.09 Accelerated Return Notes Linked to the Dow Jones Industrial Average, due March 6, 2008
Accelerated Return Notes Linked to the Russell 2000 Index, due January 4, 2008
Accelerated Return Notes linked to the S&P 400 Midcap Index, due August 8, 2007
Accelerated Return Notes linked to the Russell 2000 Index, due February 28, 2007
Accelerated Return Notes linked to the Dow Jones EURO STOXX Price Index, Due May 8, 2007
Accelerated Return Notes linked to the MSCI EAFE Index, due February 6, 2008
Accelerated Return Note linked to the Russell 2000 Index, Due September 6, 2007
Accelerated Return Notes Linked to the Nikkei-225 Stock Average, due March 5, 2007
Accelerated Return Notes linked to the Nikkei 225 Index, due August 6, 2007
Accelerated Return Notes linked to the S&P 500 Index, due August 24, 2007
Accelerated Return Notes linked to the Energy Select Sector Index, due February 29, 2008
Accelerated Return Notes linked to the Dow Jones Industrial Average, due November 20, 2007
Accelerated Return Notes linked to the Nikkei 225 Index, due January 7, 2008
MRI
RRL
ANM
RNI
PPE
MLN
NKN
ARY
ELC
MRA
NKV
Merrill Lynch & Co., Inc. Accelerated Return Notes
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index MAO
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index SAR
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Nikkei 225 Index NYW
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the PHLX Gold and Silver Index XUF
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the AMEX Health Care Select Sector Index HSJ
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index NMQ
Merrill Lynch & Co.
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the Dow Jones Industrial Average DGD
01.15.09 Accelerated Return Bear Market Notes linked to the PHLX Housing Sector Index
Accelerated Return Bear Market Notes linked to the Russell 3000 Index
Accelerated Return Bear Market Notes linked to the Russell 3000 Index
Accelerated Return Bear Market Notes linked to the Russell 2000 Index
Accelerated Return Bear Market Notes linked to the Russell 2000 Index
Accelerated Return Bear Market Notes linked to the Utilities Select Sector
BHZ
BJW
RTC
RTX
RZY
UZW
01.15.09 Merrill Lynch & Co., Inc. 100% Principal Protected Global Currency Basket Notes GBO
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index MHU
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Merrill Lynch Factor Model MXH
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Dow Jones Industrial Average DMY
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index EDF
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index SOT
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Russell 1000 Growth Index GOC
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the PHLX Gold & Silver Index GGW
01.15.09 Merrill Lynch & Co., Inc. 9% Callable Stock Return Income Debt Securities Due September 24, 2009 Linked to Caterpillar Inc. STF
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Russell 2000 Index REK
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index AGW
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Dow Jones STOXX Index DXI
01.15.09 Merrill Lynch & Co., Inc. 12% Callable Stock Return Income Debt Securities Linked to Apple Inc. AVN
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Nikkei 225 Index NKB
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P MidCap 400 Index MMF
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Dow Jones EURO STOXX 50 Index DMU
01.15.09 Merrill Lynch & Co., Inc. Strategic Return Notes Linked to the Select 10 Index SZX
01.15.09 Merrill Lynch & Co, Inc. Accelerated Return Notes Linked to the MSCI EAFE Index MZP
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the PHLX Housing Sector Index PHE
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Dow Jones EURO STOXX 50 Index ETX
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Russell 2000 Index RSM
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Nikkei 225 Index NNL
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the Performance of the S&P 500 Index NBM
01.15.09 Merrill Lynch & Co., Inc. Strategic Return Notes Linked to the Select 10 Index RSY
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Dow Jones EURO STOXX 50 Index DEZ
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the PHLX Housing Sector Index BPH
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index MNA
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P MidCap 400 Index NAR
Merrill Lynch & Co., Inc. Callable Stock Return Income Debt Securities (“Callable STRIDES”) Based on Best Buy Co. Common Stock
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Callable Stock Return Income Debt Securities (“Callable STRIDES”) Based on Best Buy Co. Common Stock BLB
Merrill Lynch & Co., Inc. Index-Linked Notes
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Principal Protected Conditional Participation Notes Linked to the S&P 500 Index SVQ
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Consumer Staples Select Sector Index CAK
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index SQD
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the S&P 500 Index BSB
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index AMO
01.15.09 Merrill Lynch & Co., Inc. Capped Leverage Index Return Notes Linked to the S&P 500 Index CUL
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index AQS
01.15.09 Merrill Lynch & Co., Inc. Capped Leverage Index Return Notes Linked to the S&P 500 Index AXT
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the S&P 500 Inde SXF
01.15.09 Merrill Lynch & Co., Inc. Principal Protected Conditional Participation Notes Linked to the S&P 500 Index SXC
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the Russell 2000 Index RXY
01.15.09 Merrill Lynch & Co., Inc. Principal Protected Range Notes Linked to the S&P 500 Index SVC
01.15.09 Merrill Lynch & Co., Inc. Capped Leveraged Index Return Notes Linked to the S&P 500 Index SOM
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the S&P 500 Index SJO
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the S&P 500 Index SBL
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the Dow Jones Industrial Average DCX
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the Dow Jones U.S. Real Estate Index RET
01.15.09 Merrill Lynch & Co., Inc. Capped Leveraged Index Return Notes Linked to the S&P 500 Index SPI
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index MKY
01.15.09 Merrill Lynch & Co., Inc. Capped Leverage Index Return Notes Linked to the MSCI Emerging Markets Index MKI
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the Russell 3000 Index BFN
01.15.09 Merrill Lynch & Co., Inc. Capped Leveraged Index Return Notes Linked to the Russell 2000 Index RHQ
01.15.09 Merrill Lynch & Co., Inc. Capped Leveraged Index Return Notes Linked to the MSCI Brazil Index BPF
01.15.09 Merrill Lynch & Co., Inc. Leveraged Index Return Notes Linked to the Russell 2000 Index RLO
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the AMEX Energy Select Sector Index ICT
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI Brazil Index BTR
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Bear Market Notes Linked to the AMEX Energy Select Sector Index IMW
01.15.09 Merrill Lynch & Co., Inc. Accelerated Return Notes Linked to the MSCI EAFE Index MWL
Merrill Lynch & Co., Inc. STARS
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SKP
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the iShares Dow Jones U.S. Real Estate Index Fund SMM
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the SPDR S&P Retail ETF BYG
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SFO
01.15.09 Merrill Lynch & Co., Inc. Capped Leverage Index Return Notes Linked to the Nikkei 225 Index NCE
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the MSCI EAFE Index EFS
08.08.08 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SFA
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SXU
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the S&P Small Cap Regional Banks Index BCU
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the Dow Jones Industrial Average DEV
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the AMEX Consumer Discretionary Select Sector Index BJT
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SZL
01.15.09 Merrill Lynch & Co., Inc. Bear Market Strategic Accelerated Redemption Securities Linked to the PHLX Housing Sector Index HDJ
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SSM
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the Value of the Dow Jones Industrial Average DGK
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the Value of the Russell 2000 Index RER
01.15.09 Merrill Lynch & Co., Inc. Strategic Accelerated Redemption Securities Linked to the S&P 500 Index SHJ
Merrill Lynch & Co., Inc. STEPS
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. STEP Income Securities Linked to the Common Stock of Monsanto Co. MZJ
01.15.09 Merrill Lynch & Co., Inc. STEP Income Securities Linked to the Common Stock of Freeport- McMoRan Copper & Gold Inc. FOA
01.15.09 Merrill Lynch & Co., Inc. STEP Income Securities Linked to the Common Stock of Apple Inc. AXD
01.15.09 Merrill Lynch & Co., Inc. STEP Income Securities Linked to the Common Stock of Qualcomm Incorporatedtd> QKP
The Merrill Lynch & Co., Inc. Strategic Return NotesSM Linked to the Select Ten Index (the “Notes”)
Circular Date Structured Product Symbol(s)
01.15.09 The Merrill Lynch & Co., Inc. Strategic Return NotesSM Linked to the Select Ten Index (the “Notes”) DOWT  
Merrill Lynch & Co., Inc. STRIDES
Circular Date Structured Product Symbol(s)
01.15.09 Merrill Lynch & Co., Inc. 9.25% Callable STRIDES Based Upon the Common Stock of Oracle Corporationtd> OLE
01.15.09 Merrill Lynch & Co., Inc. 11% Callable Stock Return Income Debt Securities Linked to the Common Stock of Cisco Systems, Inc. CRJ
01.15.09 Merrill Lynch & Co., Inc. 12% Callable Stock Return Income Debt Securities Linked to Monsanto Company MYX
01.15.09 Merrill Lynch & Co.BXT, Inc. 10% Callable Stock Return Income Debt Securities Linked to Boeing Company BXT
01.15.09 Merrill Lynch & Co., Inc. 9% Callable Stock Return Income Debt Securities Linked to Common Stock of Google Inc. GKO
01.15.09 Merrill Lynch & Co., Inc. 11% Callable Stock Return Income Debt Securities Linked to Common Stock of The Home Depot, Inc. HRO
MIDCAP SPDRs TRUST FUNDS
Circular Date Structured Product Symbol(s)
04.30.09 SPDR KBW Mortgage Finance ETF KME
01.15.09 MidCap SPDR Trust, Series I MDY
MITSS
Circular Date Structured Product Symbol(s)
01.15.09 Nikkei 225 Market Index Target-Term, due June 27, 2007
Nikkei 225 Market Index Target-Term, due March 30, 2007
Nikkei 225 Market Index Target-Term, due March 30, 2009
Russell 2000 Market Index Target-Term, due March 30, 2009
S&P 500 Market Index Target-Term Securities, due December 8, 2010
MITTS Linked to the Nikkei-225 Stock Average, due April 5, 2010
Callable MITTS based upon the Biotech HOLDRS, due August 3, 2007
Callable MITTS based upon the Broadband HOLDRS, due September 13, 2007
DJIA Market Index Target-Term Securities, due August 7, 2009
Callable MITTS based upon the Internet HOLDRs, due March 5, 2007
Callable NASDAQ-100 Market Index Target-Term Securities (MITTS), due August 3, 2007
S&P 500 Market Index Target Term Securities, Due September 4, 2009
S&P 500 Market Index Target-Term Securities, due June 29, 2009
Callable MITTS based upon Semiconductor HOLDRS, due October 5, 2007
Dow Jones EURO STOXX 50 Index Market Target-Term Securities, due June 28, 2010
NML
MLJ
MNK
RRM
IFK
MNL
BHM
BDM
MKO
IHM
MNM
MKP
MLW
SME
MLB
MJP
Circular Date Structured Product Symbol(s)
01.15.09 Securities linked to the Nikkei 225 Index, due December 30, 2010 MJP
MOR
Circular Date Structured Product Symbol(s)
01.15.09 Notes based on the S&P 500 Index, due December 30, 2011 MOR
Morgan Stanley
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley Bear Market Performance Leveraged Upside Securities (“PLUS”) RDP
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Weatherford International Ltd. FWT
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the value of the S&P 500 Index Due October 20, 2008 (SBK) SBK
01.15.09 Morgan Stanley 12% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Arch Coal, Inc. AHB
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for American Depositary Shares of Cemex, S.A. de C.V. CEQ
01.15.09 Morgan Stanley Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Monsanto Company MAO
01.15.09 Morgan Stanley Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Apple Inc. AHY
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Linked to the iShares MSCI EAFE Index Fund EHN
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for American Depositary Shares of Cemex, S.A. de C.V. CEQ
01.15.09 Morgan Stanley 9% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Lyondell Chemical Company MLQ
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Valero Energy Corporation SVL
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Intel Corporation IAY
01.15.09 Morgan Stanley Capital Protected Notes based on a Global Basket of Indices GBC
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the Dow Jones Industrial Average Due May 20, 2008 DMI
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-Pay Securities Linked to Deere & Company Common Stock DSK
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes due October 20, 2008, Based on the Value of the PHLX Housing Sector Index HPD
01.15.09 Morgan Stanley Bear Market Performance Leveraged Upside Securities (“PLUS”) RBL
01.15.09 Morgan Stanley 10% High Income Trigger Securities Linked to Allegheny Technologies Incorporated Common Stock AAY
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Linked to Archer-Daniels-Midland Company Common Stock AMA
01.15.09 Morgan Stanley Performance Leveraged Upside Securities (“PLUS”) Based upon the PHLX Semiconductor Index XVS
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index Due September 20, 2008 RPN
Morgan Stanley ETNs
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley Market Vectors - Double Short Euro ETNs
Morgan Stanley Market Vectors - Double Long Euro ETNs
DRR
URR
Morgan Stanley Index-Linked Notes
Circular Date Structured Product Symbol(s)
03.26.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the S&P 500 Index SNZ
03.26.09 Morgan Stanley Buffered Performance Leverage Upside Securities Based on the S&P 500 Index BJI
02.24.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index ANG
01.27.09 Morgan Stanley Protected Absolute Return Notes Based on the Value of the S&P 500 Index SBF
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index SDG
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index AOF
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index SLZ
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index SOU
Morgan Stanley Notes
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index AMK
01.15.09 Morgan Stanley Protected Absolute Return Barrier Notes Based on the Value of the S&P 500 Index BNP
Morgan Stanley PLUS
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the Performance of the S&P 500 Index BTQ
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the Performance of the S&P 500 Index SUO
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the Performance of the Dow Jones Industrial Average DCV
01.15.09 Morgan Stanley Performance Leveraged Upside Securities Based on the S&P 500 Index SKE
01.15.09 Morgan Stanley Performance Leveraged Upside Securities based upon the S&P 500 Index RLL
Morgan Stanley SPARQS
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley 9% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Lyondell Chemical Company MLQ
01.15.09 Morgan Stanley 12% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Weatherford International Ltd. WVK
01.15.09 Morgan Stanley 8% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Intel Corporation ADJ
01.15.09 Morgan Stanley 10% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Baker Hughes Inc. BSL
01.15.09 Morgan Stanley 10% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of AT&T Inc. TQK
01.15.09 Morgan Stanley 14% Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Apple Inc. ANY
01.15.09 Morgan Stanley Stock Participation Accreting Redemption Quarterly-pay Securities Mandatorily Exchangeable for Common Stock of Target Corporation MNM
MPL
Circular Date Structured Product Symbol(s)
01.15.09 Accelerated Return Bear Market Notes Linked to the Performance of the PHLX Housing Sector Index, due March 22, 2007 MPL
NES
Circular Date Structured Product Symbol(s)
01.15.09 Capital Protected Notes based on an Equal-Weighted Basket of Three Global Indices, due June 30, 2008 NES
NETS Trust
Circular Date Structured Product Symbol(s)
01.15.09 NETS FTSE CNBC Global 300 Index Fund MYG
01.15.09 NETS Tokyo Stock Exchange REIT Index Fund JRE
01.15.09 NET ISEQ 20 Index Fund IQE
01.15.09 NETS TA-25 Index Fund
NETS PSI 20 Index Fund
TAV
LIS
01.15.09 NETS AEX-index Fund
NETS BEL 20 Index Fund
NETS Hang Seng China Enterprises Index Fund
AEX
BRU
SNO
01.15.09 NETS S&P/MIB Index Fund
NETS FTSE Singapore Straits Times Index Fund
NETS FTSE/JSE Top 40 Index Fund
ITL
SGT
JNB
01.15.09 NETS CAC40 Index Fund
NETS TOPIX Index Fund
NETS Hang Seng Index Fund
FRC
TYI
HKG
01.15.09 NETS DAX Index Fund DAX
01.15.09 NETS S&P/ASX 200 Index Fund
NETS FTSE 100 Index Fund
AUS
LDN
NPS
Circular Date Structured Product Symbol(s)
01.15.09 S&P 500 Index Capital Protected Notes, due June 30, 2011 NPS
Old Mutual Global Shares Trust
Circular Date Structured Product Symbol(s)
12.08.09 GlobalShares FTSE Emerging Markets Fund GSR
OOK.,Inc. Trust
Circular Date Structured Product Symbol(s)
10.29.09 OOK, Inc. Exchange-Traded Fund OOK
PACERS
Circular Date Structured Product Symbol(s)
01.15.09 Citigroup Funding Inc. Equity Linked Securities Linked to the Common Stock of eBay Inc. PPK
01.15.09 PACERS Based Upon the Common Stock of Valero Energy Corp, due April 28, 2008
PACERS Linked to the American Depository Receipts of Cemex SAB de C.V., due May 1, 2008
PCV
PXX
PIMCO ETF Trust
Circular Date Structured Product Symbol(s)
12.01.09 PIMCO Intermediate Municipal Bond Strategy Fund MUNI
11.17.09 PIMCO Enhanced Short Maturity Strategy Fund MINT
11.02.09 PIMCO 3-7 Year U.S. Treasury Index Fund FIVZ
11.02.09 PIMCO 25+ Year Zero Coupon U.S. Treasury Index Fund ZROZ
09.11.09 PIMCO 7-15 Year U.S. Treasury Index Fund TENZ
09.04.09 PIMCO 15+ Year U.S. TIPS Index Fund
PIMCO Broad U.S. TIPS Index Fund
LTPZ
TIPZ
08.21.09 PIMCO 1-5 Year U.S. TIPS Index Fund STPZ
06.02.09 PIMCO 1-3 Year U.S. Treasury Index Fund TUZ
PISTONS
Circular Date Structured Product Symbol(s)
01.15.09 PISTONS linked to the CBOE S&P 500 BuyWrite Index, due September 23, 2010 PBN
PLUS
Circular Date Structured Product Symbol(s)
01.15.09 Morgan Stanley Outperformance PLUS (Performance Leveraged Upside Securities) based on the performance of the S&P 100 Index Relative to the Russell 2000 Index RAO
01.15.09 Bear Market PLUS Linked to the S&P 500 Index, due September 20, 2007
PLUS Linked to the Nikkei 225 Index, due April 30, 2008
PLUS linked to the S&P 500 Index, due June 20, 2007
PLUS Linked to the Nikkei 225 Index, due June 20, 2007
Bear Market PLUS linked to the PHLX Housing Sector Index, due April 20, 2007
PLUS linked to the PHLX Oil Service Sector Index, due March 20, 2007
PLUS based on the Nikkei 225 Index, due June 30, 2009
PLUS linked to the Dow Jones Industrial Average, due April 30, 2007
PLUS Linked to the Jones Euro STOXX 50 Index, due October 20, 2007
PLUS Based on the value of the Nikkei 225 Index, due January 20, 2008
Bear Market PLUS based on the value of the PHLX Housing Sector Index, due February 20, 2008
PLUS Linked to the S&P 500 Index, due March 20, 2008
PLUS based on the PHLX Oil Service Sector Index, due November 20, 2007
PLUS Linked to the Amex China Index, due November 20, 2007
BMP
NKP
SND
NKD
MFP
MPQ
JPK
DJL
EJS
NIN
HPM
SPU
XZO
CSM
PowerShares
Circular Date Structured Product Symbol(s)
01.15.09 PowerShares Emerging Markets Infrastructure Portfolio PXR
01.15.09 PowerShares Global Nuclear Energy Portfolio PKN
01.15.09 PowerShares Preferred Portfolio PGX
01.15.09 PowerShares Autonomic Growth NFA Global Asset Portfolio
PowerShares Autonomic Balanced NFA Global Asset Portfolio
PowerShares Autonomic Balanced Growth NFA Global Asset Portfolio
PTO
PCA
PAO
01.15.09 PowerShares VRDO Tax-Free Weekly Portfolio
PowerShares High Yield Corporate Bond Portfolio
PVI
PHB
01.15.09 PowerShares Insured National Municipal Bond Portfolio
PowerShares Insured California Municipal Bond Portfolio
PowerShares Insured New York Municipal Bond Portfolio
PowerShares Emerging Markets Sovereign Debt Portfolio
PowerShares 1-30 Laddered Treasury Portfolio
PZA
PWZ
PZT
PCY
PLW
01.15.09 PowerShares FTSE RAFI Europe Small-Mid Portfolio
PowerShares FTSE RAFI Emerging Markets Portfolio
PowerShares International Listed Private Equity Portfolio
PowerShares FTSE RAFI Developed Markets ex-US Small-Mid Portfolio
PowerShares FTSE RAFI Asia Pacific ex-Japan Small-Mid Portfolio
PWD
PXH
PFP
PDN
PDQ
01.15.09 PowerShares FTSE RAFI Asia ex-Japan Portfolio
PowerShares FTSE RAFI Europe Portfolio
PowerShares FTSE RAFI Developed Markets ex-US Portfolio
PowerShares FTSE RAFI Japan Portfolio
PAF
PEF
PXF
PJO
01.15.09 PowerShares Dynamic Asica Pacific Portfolio
PowerShares Dynamic Europe Portfolio
PowerShares Global Water Portfolio
PowerShares Global Clean Energy Portfolio
PowerShares Dynamic Developed International Opportunities Portfolio
PUA
PEH
PIO
PBD
PFA
01.15.09 PowerShares DB US Dollar Index Bullish Fund
PowerShares DB US Dollar Index Bearish Fund
UUP
UDN
01.15.09 PowerShares DB Energy Fund (the “Energy Fund”)
PowerShares DB Oil Fund (the “Oil Fund”)
PowerShares DB Precious Metals Fund (the “Precious Metals Fund)
PowerShares DB Gold Fund (the “Gold Fund”)
PowerShares DB Silver Fund (the “Silver Fund”)
PowerShares DB Base Metals Fund (the “Base Metals Fund”)
PowerShares DB Agriculture Fund (the “Agriculture Fund”)
DBE
DBO
DBP
DGL
DBS
DBB
DBA
01.15.09 PowerShares DWA Technical Leaders Portfolio PDP
01.15.09 PowerShares Wilderhill Clean Energy
PowerShares Dynamic Biotechnology & Genome
PowerShares Dynamic Food & Beverage
PowerShares Dynamic Networking
PowerShares Dynamic Pharmaceuticals
PowerShares Dynamic Software
PowerShares Dynamic Media
PowerShares Dynamic Leisure & Entertainment
PowerShares Dynamic OTC
PowerShares Dynamic Market
PowerShares Dynamic Energy Sector
PowerShares Dynamic Large Cap Growth
PowerShares Dynamic Large Cap Value
PowerShares Dynamic Mid Cap Growth
PowerShares Dynamic Small Cap Growth
PowerShares Dynamic Mid Cap Value
PowerShares Dynamic Small Cap Value
PowerShares Golden Dragon Halter USX China
PowerShares High Yield Equity Dividend Achievers
PBW
PBE
PBJ
PXQ
PJP
PSJ
PBS
PEJ
PWO
PWC
PXI
PWB
PWV
PWJ
PWT
PWP
PWY
PGJ
PEY
01.15.09 PowerShares Buyback Achievers Portfolio
PowerShares Dynamic Deep Value Portfolio
PowerShares Dynamic Aggressive Growth Portfolio
PowerShares Dynamic Large Cap Portfolio
PowerShares Dynamic Mid Cap Portfolio
PowerShares Dynamic Small Cap Portfolio
PowerShares Financial Preferred Portfolio
PowerShares Value Line Industry Rotation Portfolio
PowerShares Listed Private Equity Portfolio PSP PowerShares WilderHill Progressive Energy Portfolio
PowerShares CleantechTM Portfolio
PowerShares Dynamic MagniQuant Portfolio
PowerShares Dynamic Basic Materials Sector Portfolio
PowerShares Dynamic Consumer Discretionary Sector Portfolio
PowerShares Dynamic Consumer Staples Sector Portfolio
PowerShares Dynamic Energy Sector Portfolio
PowerShares Dynamic Financial Sector Portfolio
PowerShares Dynamic Healthcare Sector Portfolio
PowerShares Dynamic Industrials Sector Portfolio
PowerShares Dynamic Technology Sector Portfolio
PowerShares Dynamic Banking Portfolio
PowerShares Dynamic Healthcare Services Portfolio
PowerShares International Dividend Achievers Portfolio
PowerShares Zacks Small Cap Portfolio
PowerShares FTSE RAFI US 1000 Portfolio
PowerShares Value Line Timeliness Select Portfolio
PowerShares Dividend Achievers Portfolio
PowerShares High Growth Rate Dividend Achievers Portfolio
PowerShares Dynamic Hardware & Consumer Electronics Portfolio
PowerShares Dynamic Telecommunications & Wireless Portfolio
PowerShares Water Resources Portfolio
PowerShares Aerospace & Defense Portfolio
PowerShares Dynamic Building & Construction Portfolio
PowerShares Dynamic Energy Exploration & Production Portfolio
PowerShares Dynamic Insurance Portfolio
PowerShares Dynamic Oil Services Portfolio
PowerShares Dynamic Retail Portfolio
PowerShares Dynamic Utilities Portfolio
PowerShares Lux Nanotech Portfolio
PowerShares Zacks Micro Cap Portfolio
PKW
PVM
PGZ
PJF
PJG
PJM
PGF
PYH
PSP
PUW
PZD
PIQ
PYZ
PEZ
PSL
PXI
PFI
PTH
PRN
PTF
PJB
PTJ
PID
PZJ
PRF
PIV
PFM
PHJ
PHW
PTE
PHO
PPA
PKB
PXE
PIC
PXJ
PMR
PUI
PXN
PZI
PowerShares Actively Managed ETF Trust
Circular Date Structured Product Symbol(s)
01.15.09 PowerShares Active AlphaQ Fund
PowerShares Active Alpha Multi-Cap Fund
PowerShares Active Mega Cap Fund
PowerShares Active Low Duration Fund
PQY
PQZ
PMA
PLK
PowerShares Exchange-Traded Fund Trust
Circular Date Structured Product Symbol(s)
01.15.09 PowerShares FTSE RAFI US 1500 Small-Mid Portfolio
PowerShares FTSE RAFI Energy Sector Portfolio
PowerShares FTSE RAFI Basic Materials Sector Portfolio PRFM
PowerShares FTSE RAFI Industrials Sector Portfolio
PowerShares FTSE RAFI Consumer Goods Sector Portfolio
PowerShares FTSE RAFI Healthcare Sector Portfolio PRFH PowerShares FTSE RAFI Consumer Services Sector Portfolio
PowerShares FTSE RAFI Telecommunications & Technology Sector Portfolio
PowerShares FTSE RAFI Utilities Sector Portfolio
PowerShares FTSE RAFI Sector Financials Portfolio
PRFZ
PRFE
PRFM
PRFN
PRFG
PRFH
PRFS
PRFQ
PRFU
PRFF
01.15.09 PowerShares NASDAQ Internet Portfolio
PowerShares Nasdaq-100 BuyWrite Portfolio
PNQI
PQBW
01.15.09 PowerShares Global Wind Energy Portfolio PWND
01.15.09 PowerShares NASDAQ NextQ Portfolio
PowerShares FTSE NASDAQ Small Cap Portfolio
PNXQ
PQSC
01.15.09 PowerShares MENA Frontier Countries Portfolio PMNA
01.15.09 PowerShares Global Agriculture Portfolio
PowerShares Global Progressive Transportation Portfolio
PowerShares Global Steel Portfolio
PowerShares Global Coal Portfolio
PowerShares Global Gold and Precious Metals Portfolio
PowerShares Global Biotech Portfolio
PAGG
PTRP
PSTL
PKOL
PSAU
PBTQ
PowerShares India ETF Trust
Circular Date Structured Product Symbol(s)
01.15.09 PowerShares India Portfolio PIN
PowerShares ETF Trust II
Circular Date Structured Product Symbol(s)
11.17.09 PowerShares Build America Bond Portfolio ETF BAB
PPY
Circular Date Structured Product Symbol(s)
01.15.09 2.8% Market Participation Securities linked to the DJ High Yield Select 10 Index, due March 30, 2012 PPY
Principal Protected Notes
Circular Date Structured Product Symbol(s)
01.1 5.09 Principal Protected Notes Linked to a Basket of Asian Currencies, due December 6, 2008
Principal Protected Notes Linked to a Basket of Emerging Market Currencies, Due April 8, 2008
Principal Protected Notes based upon a group of Asian Currencies, due April 28, 2008
Currency Linked Principal Protected Notes Based upon a Group of Five Asian Currencies, due June 30, 2008
AWO
ECN
CAQ
CZJ
01.1 5.09 Principal Protected Equity Linked Notes based on the MSCI EAFE Index, due December 7, 2009
Principal-Protected Notes based on the Russell 1000 Growth Index, due March 2, 2009
Principal-Protected Notes based upon the Dow Jones Industrial Average, due January 25, 2010
1.75% Principal-Protected Notes based upon the Nikkei 225 Index, due May 29, 2009
Principal Protected Notes linked to the S&P 500 Index, due December 30, 2008
2.5% Principal Protected Notes linked to the Dow Jones Global Titans 50 Index, due October 28, 2010
2% Principal Protected Notes linked to the Dow Jones Industrial Average, due August 25, 2010
Principal-Protected Notes linked to the S&P 100 Index, due April 29, 2010
1.5% Principal-Protected Equity Linked Notes based on the Dow Jones Global Titans 50 Index, due October 29, 2009
1.5% Principal-Protected Equity Linked Notes based on the S&P 500 Index, due October 29, 2009
Principal Protected Notes linked to the S&P 500, due January 28, 2010
2% Principal-Protected Notes linked to the NASDAQ-100 Index, Due September 28, 2009
PPI
PLR
PPJ
PFT
PTS
PNJ
PDD
PCO
PDW
PDY
PSC
PQU
 
PROPELS
Circular Date Structured Product Symbol(s)
01.15.09 0.50% PROPELS based on the value of the S&P 500 Index, due December 30, 2011
PROPELS based on the Value of a Basket of Three International Indices, due December 30, 2011
0.40% PROPELS based on the value of the Dow Jones Industrial Average, Due December 30, 2011
PEL
EBK
PDJ
PROSHARES Trust
Circular Date Structured Product Symbol(s)
08.20.09 ProShares Short 20+ Year Treasury TBF
07.14.09 ProShares Credit Suisse 130/30 CSM
07.02.09 ProShares Ultra Russell 3000
ProShares UltraShort Russell 3000
UWC
TWQ
06.25.09 ProShares UltraPro S&P500
ProShares UltraPro Short S&P 500
UPRO
SPXU
06.18.09 ProShares UltraShort MSCI Europe
ProShares UltraShort MSCI Pacific ex-Japan
ProShares UltraShort MSCI Brazil
ProShares UltraShort MSCI Mexico Investable Market
EPV
JPX
BZQ
SMK
06.04.09 ProShares Ultra MSCI EAFE
ProShares Ultra MSCI Emerging Markets
ProShares Ultra FTSE/Xinhua China 25
ProShares Ultra MSCI Japan
EFO
EET
XPP
EZJ
01.15.09 ProShares Trust Ultra Telecommunications ETF
ProShares Trust UltraShort Telecommunications ETF
ProShares Trust UltraShort Lehman 7-10 Year Treasury ETF
ProShares Trust UltraShort Lehman 20+ Year Treasury ETF
ProShares Trust Short Oil & Gas ETF
ProShares Trust Short Financials ETF
LTL
TLL
PST
TBT
DDG
SEF
01.15.09< /td> ProShares Trust UltraShort MSCI EAFE ETF
ProShares Trust Short MSCI EAFE ETF
ProShares Trust UltraShort MSCI Emerging Markets ETF
ProShares Trust Short MSCI Emerging Markets ETF
ProShares Trust UltraShort MSCI Japan ETF
ProShares Trust UltraShort FTSE/Xinhua China 25 ETF
EFU
EFZ
EEV
EUM
EWV
FXP
01.15.09 Ultra Dow30 ProShares
Ultra MidCap400 ProShares
Ultra QQQ ProShares
Ultra S&P500 ProShares
Ultra Russell 1000 Value ProShares
Ultra Russell MidCap Value ProShares
Ultra Russell MidCap Growth ProShares
Ultra Russell 1000 Growth ProShares
Ultra Russell 2000 Value ProShares
Ultra Russell 2000 Growth ProShares
Ultra Oil & Gas ProShares
Ultra Technology ProShares
Ultra Health Care ProShares
Ultra SmallCap600 ProShares
Ultra Consumer Services ProShares
Ultra Consumer Goods ProShares
Ultra Utilities ProShares
Ultra Real Estate ProShares
Ultra Semiconductors ProShares
Ultra Russell 2000 ProShares
Ultra Industrials ProShares
Ultra Financials ProShares
Ultra Basic Materials ProShares
Short Dow30 ProShares
Short MidCap400 ProShares
Short QQQ ProShares
Short S&P500 ProShares
Short Russell 2000 ProShares
Short SmallCap600 ProShares
UltraShort Dow30 ProShares
UltraShort MidCap400 ProShares
UltraShort QQQ ProShares
UltraShort S&P500 ProShares
UltraShort Russell 1000 Value ProShares
UltraShort Russell 1000 Growth ProShares
UltraShort Russell MidCap Value ProShares
UltraShort Russell MidCap Growth ProShares
UltraShort Russell 2000 Value ProShares
UltraShort Russell 2000 Growth ProShares
UltraShort Oil & Gas ProShares
UltraShort Technology ProShares
UltraShort Health Care ProShares
UltraShort Consumer Services ProShares
UltraShort SmallCap600 ProShares
UltraShort Utilities ProShares
UltraShort Industrials ProShares
UltraShort Financials ProShares
UltraShort Basic Materials ProShares
UltraShort Real Estate ProShares
UltraShort Semiconductors ProShares
UltraShort Consumer Goods ProShares
UltraShort Russell 2000 ProShares
DDM
MVV
QLD
SSO
UVG
UVU
UKW
UKF
UVT
UKK
DIG
ROM
RXL
SAA
UCC
UGE
UPW
URE
USD
UWM
UXI
UYG
UYM
DOG
MYY
PSQ
SH
RWM
SBB
DXD
MZZ
QID
SDS
SJF
SFK
SJL
SDK
SJH
SKK
DUG
REW
RXD
SCC
SDD
SDP
SIJ
SKF
SMN
SRS
SSG
SZK
TWM
Realty Funds, Inc. ETFs
Circular Date Structured Product Symbol(s)
01.15.09 Adelante Shares RE Growth Exchange- Traded Fund
Adelante Shares RE Value Exchange-Traded Fund
Adelante Shares RE Classics Exchange-Traded Fund
Adelante Shares RE Kings Exchange-Traded Fund
Adelante Shares RE Yield Plus Exchange-Traded Fund
Adelante Shares RE Shelter Exchange-Traded Fund
Adelante Shares RE Composite Exchange-Traded Fund
AGV
AVU
ACK
AKB
ATY
AQS
ACB
RevenueShares ETF Trust
Circular Date Structured Product Symbol(s)
01.15.09 RevenueShares ADR Fund RTR
01.15.09 RevenueShares Financials Sector Fund RWW
01.15.09 RevenueShares Large Cap Fund
RevenueShares Mid Cap Fund
RevenueShares Small Cap Fund
RWL
RWK
RWJ
Rydex Exchange Traded Funds
Circular Date Structured Product Symbol(s)
01.15.09 Rydex 2x S&P Select Sector Energy ETF
Rydex Inverse 2x S&P Select Sector Energy ETF
Rydex 2x S&P Select Sector Financial ETF
Rydex Inverse 2x S&P Select Sector Financial ETF
Rydex 2x S&P Select Sector Health Care ETF
Rydex Inverse 2x S&P Select Sector Health Care ETF
Rydex 2x S&P Select Sector Technology ETF
Rydex Inverse 2x S&P Select Sector Technology ETF
REA
REC
FRL
FRN
RHM
RHO
RTG
RTW
01.15.09 Rydex S&P Equal Weight ETF
Rydex Russell Top 50 ETF
RSP
XLG
01.15.09 Rydex S&P Equal Weight Consumer Discretionary ETF
Rydex S&P Equal Weight Consumer Staples ETF
Rydex S&P Equal Weight Energy ETF
Rydex S&P Equal Weight Financial ETF
Rydex S&P Equal Weight Health Care ETF
Rydex S&P Equal Weight Industrial ETF
Rydex S&P Equal Weight Materials
Rydex S&P Equal Weight Technology ETF
Rydex S&P Equal Weight Utilities
Rydex S&P 500 Pure Value ETF
Rydex S&P 500 Pure Growth ETF
Rydex S&P MidCap 400 Pure Value ETF
Rydex S&P MidCap 400 Pure Growth ETF
Rydex S&P SmallCap 600 Pure Value ETF
Rydex S&P SmallCap 600 Pure Growth ETF
RCD
RHS
RYE
RYF
RYH
RGI
RTM
RYT
RYU
RPV
RPG
RFV
RFG
RZV
RZG
Rydex ETF Trust
Circular Date Structured Product Symbol(s)
01.15.09 Rydex 2x S&P 500 ETF
Rydex Inverse 2x S&P 500 ETF
Rydex 2x S&P MidCap 400 ETF
Rydex Inverse 2x S&P MidCap 400 ETF
Rydex 2x Russell 2000 ETF
Rydex Inverse 2x Russell 2000 ETF
RSU
RSW
RMM
RMS
RRY
RRZ
Safety First Trust
Circular Date Structured Product Symbol(s)
04.27.09 Citigroup Funding Inc. Safety First Trust Series 2009-2 3% Minimum Principal Protected Notes Based Upon the S&P 500 Index MYP
04.14.09 Citigroup Funding Inc. Safety First Trust Series 2009-1 Principal Protected Trust Certificates Linked to the S&P 500 Index AJB
01.15.09 Safety First Trust Series 2007-4 Principal-Protected Certificates linked to a Global Index Basket AKN
Safety First Trust Index-Linked Notes
Circular Date Structured Product Symbol(s)
01.15.09 Safety First Trust Series 2008-4 Principal-Protected Certificates linked to the S&P 500 Index AHY
01.15.09 Safety First Trust Series 2008-3 Principal-Protected Certificates linked to a Global Index Basket AHB
01.15.09 Safety First Trust Principal-Protected Certificates Linked to the S&P 500 Index AMM
01.15.09 Safety First Trust Series 2008-1 Principal-Protected Certificates Linked to a U.S.-Europe-Japan Basket ATA
Schwab Strategic Trust
Circular Date Structured Product Symbol(s)
12.11.09 Schwab U.S. Large-Cap Growth ETF
Schwab U.S. Large-Cap Value ETF
SCHG
SCHV
11.03.09 Schwab U.S. Broad Market ETF
Schwab U.S. Large-Cap ETF
Schwab U.S. Small-Cap ETF
Schwab International Equity ETF
SCHB
SCHX
SCHA
SCHF
SELECT SECTOR SPDR FUNDS
Circular Date Structured Product Symbol(s)
01.15.09 SPDR DB International Government Inflation-Protected Bond ETF WIP
01.15.09 Heath Care Select Sector SPDR Fund
Consumer Discretionary Select Sector SPDR Fund
Consumer Staples Select Sector SPDR Fund
Materials Select Sector SPDR Fund
Energy Select Sector SPDR Fund
Financial Select Sector SPDR Fund
Industrial Select Sector SPDR Fund
Technology Select Sector SPDR Fund
Utilities Select Sector SPDR Fund
XLV
XLY
XLP
XLB
XLE
XLF
XLI
XLK
XLU
SEQUINS
Circular Date Structured Product Symbol(s)
01.15.09 7.5% SEQUINS Linked to UnitedHealth Group Inc., due April 10, 2007 CTH
SPA ETF Funds
Circular Date Structured Product Symbol(s)
01.15.09 SPA MarketGrader 40 Fund
SPA MarketGrader 100 Fund
SPA MarketGrader 200 Fund
SPA MarketGrader Small Cap 100 Fund
SPA MarketGrader Mid Cap 100 Fund
SPA MarketGrader Large Cap 100 Fund
SFV
SIH
SNB
SSK
SVD
SZG
SPARQS
Circular Date Structured Product Symbol(s)
01.15.09 SPDR Lehman Municipal Bond ETF TFI
01.15.09 10% SPARQS Linked to Apple Computer, Inc., due December 20, 2007
8% SPARQS Linked to Dell Inc., due November 20, 2007
9% SPARQS Linked to Yahoo! Inc., due December 20, 2007
9.50% SPARQS Linked to Sunoco Inc., due April 20, 2007
11% SPARQS Linked to Tellabs Incorporated, due October 20, 2007
8% SPARQS Linked to Starbucks Corporation, due October 20, 2007
8.5% SPARQS Linked to Devon Energy Corporation, due May 20, 2007
7.5% SPARQS Linked to National Semiconductor Corp., due March 20, 2007
9% SPARQS Linked to Valero Energy Corp., due June 20, 2007
8% SPARQS Linked to Genentech, Inc., due August 20, 2007
10% SPARQS Linked to Circuit City Stores, Inc., due January 20, 2008
7.5% SPARQS Linked to Coach Inc., due January 20, 2008
9% SPARQS Linked to Intel Corporation, due September 20, 2007
8.5% SPARQS Linked to Whole Foods Market, Inc., due September 20, 2007
APE
DSA
MYH
SSK
TSX
SBA
DEV
NSD
SVE
DGK
CKK
CFM
ITL
MWL
SPDR FUNDS
Circular Date Structured Product Symbol(s)
03.10.09 SPDR Barclays Capital Long Term Credit Bond ETF LWC
02.11.09 SPDR Barclays Capital Intermediate Term Credit Bond ETF ITR
01.15.09 SPDR Lehman High Yield Bond ETF JNK
01.15.09 SPDR Lehman International Treasury Bond ETF BWX
01.15.09 SPDR Lehman Municipal Bond ETF TFI
01.15.09 SPDR Russell/Nomura Small Cap Japan ETF
SPDR Russell/Nomura PRIME Japan ETF
SPDR DJ Wilshire International Real Estate ETF
SPDR MSCI ACWI (EX-US) ETF
JSC
JPP
RWX
CWI
01.15.09 SPDR Trust, Series I SPY
01.15.09 SPDR DOW JONES WILSHIRE LARGE CAP
SPDR DOW JONES WILSHIRE SMALL CAP
SPDR DOW JONES WILSHIRE MID CAP
SPDR DOW JONES WILSHIRE MID CAP GROWTH
SPDR DOW JONES WILSHIRE MID CAP VALUE
SPDR DOW JONES WILSHIRE LARGE CAP GROWTH
SPDR DOW JONES WILSHIRE LARGE CAP VALUE
DOW JONES WILSHIRE REIT ETF
SPDR DOW JONES WILSHIRE SMALL CAP GROWTH
SPDR DOW JONES WILSHIRE SMALL CAP VALUE
SPDR DOW JONES WILSHIRE TOTAL MARKET ETF
SPDR GLOBAL TITANS ETF
KBW BANK ETF
KBW CAPITAL MARKETS ETF
KBW INSURANCE ETF
KBW REGIONAL BANK ETF
MORGAN STANLEY TECHNOLOGY ETF
SPDR BIOTECH ETF
SPDR DIVIDEND ETF
SPDR HOMEBUILDERS ETF
SPDR METALS & MINING ETF
SPDR OIL & GAS
EXPLORATION & PRODUCTION ETF SPDR OIL & GAS EQUIPMENT & SERVICES ETF
SPDR PHARMACEUTICALS ETF
SPDR RETAIL ETF
SPDR SEMI CONDUCTOR ETF
STREETTRACK DOW JONES EURO STOXX 50
STREETTRACKS DOW JONES STOXX 50 FUND
ELR
DSC
EMM
EMG
EMV
ELG
ELV
RWR
DSG
DSV
TMW
DGT
KBE
KCE
KIE
KRE
MTK
XBI
SDY
XHB
XME
XOP
XES
XPH
XRT
XSD
FEZ
FEU
SPDR Index Shares Funds
Circular Date Structured Product Symbol(s)
01.15.09 SPDR S&P International Energy Sector ETF
SPDR S&P International Industrial Sector ETF
SPDR S&P International Financial Sector ETF
SPDR S&P International Materials Sector ETF
SPDR S&P International Technology Sector ETF
SPDR S&P International Utilities Sector ETF
SPDR S&P International Telecommunications Sector ETF
SPDR S&P International Consumer Staples Sector ETF
SPDR S&P International Consumer Discretionary Sector ETF
SPDR S&P International Health Care Sector ETF
IPW
IPN
IPF
IRV
IPK
IPU
IST
IPS
IPD
IRY
01.15.09 SPDR S&P Emerging Markets Small Cap EWX
01.15.09 SPDR S&P International Mid Cap ETF
SPDR DJ Wilshire Global Real Estate ETF
MDD
RWO
SPDR Series Trust
Circular Date Structured Product Symbol(s)
09.24.09 SPDR S&P VRDO Municipal Bond ETF VRD
09.17.09 SPDR Wells Fargo Preferred Stock ETF PSK
01.15.09 SPDR Lehman California Municipal Bond ETF
SPDR Lehman New York Municipal Bond ETF
SPDR Lehman Short Term Municipal Bond ETF
CXA
INY
SHM
09.24.09 SPDR S&P VRDO Municipal Bond ETF VRD