This material does not constitute investment advice and should not be viewed as a current or past recommendation or a solicitation of an offer to buy or sell any securities or to adopt any investment strategy.
Directory: Ex. Traded Products All US Exchange Traded Products - United States of America August 2013
Q M S Advisors .
.
Q.M.S Advisors | Avenue de la Gare, 1 1003 Lausanne | tel: +41 (0)78 922 08 77 | e-mail: info@qmsadv.com |
Directory - All US Exchange Traded Products - United States of America Fund Type
Company Telephone Number
Company's Web Security's Name Address
Growth&IncomeLarge Cap
1-866-787-2257
www.spdrs.com
SPDR S&P 500 ETF Trust
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Investment Advisor
Fund's Manager
US
State Street Corp
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
iShares MSCI Emerging Markets ETF is an exchange-traded fund incorporated in th USA. The ETF seeks results that correspond generally to the price and yield performance of the MSCI TR Emerging Markets Index. The ETF will concentrate its UNITED STATES investments in a pa
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Financial Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that, before expenses, correspond to the performance of The Financial Select Sector. The Index includes financial
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds United States Management Inc
BlackRock BlackRock Fund Fund Advisors Advisors
United States
Boston
San Francisco
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
United States
New York
Rafferty Asset Rafferty Asset Management Management LLC LLC Invesco PowerShares United States Capital Management LLC
Wheaton
State Street Bank and Trust Co
Undefined Equity
1-212-528-7990
iPath S&P 500 VIX Short-Term Futures ETN is an exchange-traded note issued in the USA. The Note will provide investors www.ipathetn.co iPATH S&P 500 with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P UNITED STATES m VIX Short-Term F 500 Short-Te
US
GB
Barclays Capital Inc
Country FundJapan
1-415-670-2000
www.ishares.com
iShares MSCI Japan ETF
iShares MSCI Japan ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the Japanese market, as measured by the MSCI Japan Index. The ETF invests in a represe
UNITED STATES
US
US
State Street Bank and Trust Co
Growth&IncomeSmall Cap
1-415-670-2000
www.ishares.com
iShares Russell 2000 ETF
iShares Russell 2000 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell 2000 Index Fund. The Index measures the performance of the smallcapitalization sector of the
UNITED STATES
US
US
US
SSgA Funds Management Inc
Manager's City Name
Boston
US
US
1998
Manager's Country
SSgA Funds United States Management Inc
US
Market Vectors Market Vectors Gold Miners ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES Gold Miners ETF correspond to the price and yield of the Arca Gold Miners Index.
JOHN A TUCKER
Fund's Management Company
Fund's Manager Start Date
SSgA Funds Management Inc
UNITED STATES
www.vaneck.com
Fund's Custodian
US
www.spdrs.com
1-212-293-2000
Fund's Auditor
UNITED STATES
SPDR S&P 500 ETF Trust is a unit investment trust incorporated in the United States. The Trust consists of a portfolio representing all 500 stocks in the S&P 500 Index.
Financial Services 1-866-787-2257
Precious Metals
Financial Select Sector SPDR F
Fund's Description
JOHN A TUCKER
12/22/98
Barclays Capital Inc
ZHI CAO "GEORGE"
6/23/08
Van Eck Associates Corp
Precious Metals
1-877-437-9363
www.direxionshar Direxion Daily es.com Gold Miners Bul
Direxion Daily Gold Miners Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the NYSE Arca Gold Miners Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Sector FundTechnology
1-800-983-0903
Powershares www.powershare QQQ Trust s.com Series 1
PowerShares QQQ Trust, Series 1 is an exchange-traded fund incorporated in the USA. The Fund represents undivided ownership interests in the PowerShares QQQ. The Fund's objective is to provide investment results that generally correspond to the price and
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Emerging MarketEquity
1-866-499-8473
Vanguard FTSE www.vanguard.co Emerging m Markets
Vanguard FTSE Emerging Markets ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the FTSE Emerging Markets Index. The Fund invests its assets in the stocks that make up the Index, holding each stock in the
UNITED STATES
US
US
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard MICHAEL Group Inc/The PERRE
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Country FundChina
1-415-670-2000
www.ishares.com
iShares China Large-Cap ETF
iShares China Large-Cap ETF is an exchange traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield performance of the FTSE China 25 Index. The ETF invests at least 90% of its assets in the underlying in
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
International Equity 1-415-670-2000
www.ishares.com
iShares MSCI EAFE ETF
iShares MSCI EAFE ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks investment results that correspond to the performance of the MSCI EAFE Index. The ETF will concentrate its investments in stocks in the MSCI EAFE Index to
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Country FundBrazil
iShares MSCI www.ishares.com Brazil Capped ETF
iShares MSCI Brazil Capped ETF is an exchange-traded fund in the USA. The ETF's objective is to provide investment results UNITED STATES that correspond to the performance of the MSCI Brazil 25/50 Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
VelocityShares Daily Inverse VIX Short-Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the inverse performance of the underlying index, the
UNITED STATES
US
CH
Credit Suisse Securities LLC
iShares U.S. Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment iShares US Real results that correspond to the performance of the Dow Jones U.S. Real Estate Index. The Fund will concentrate its investments UNITED STATES Estate ETF in the rea
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
SPDR Gold Shares is an investment fund incorporated in the USA. The investment objective of the Trust is for the Shares to UNITED STATES reflect the performance of the price of gold bullion, less the Trust's expenses. The Trust holds gold and is expected from time to
US
US
Bank of New York Mellon/The
Deloitte & Touche
World Gold World Gold Trust Trust Services Services United States LLC/USA LLC/USA
Valley Forge
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Bethesda
1-415-670-2000
Undefined Equity
1-877-583-5624
www.velocityshar VelocityShares es.com Daily Inverse V
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
Growth&IncomeSmall Cap
1-877-437-9363
www.direxionshar Direxion Daily es.com Small Cap Bear
Commodity
1-866-787-2257
www.spdrs.com
Growth&IncomeLarge Cap
1-240-497-6400
ProShares www.proshares.c UltraShort om S&P500
UltraShort S&P500 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P 500 Index.
UNITED STATES
US
Undefined Equity
1-877-583-5624
www.velocityshar VelocityShares es.com Daily 2x VIX Sh
VelocityShares Daily 2x VIX Short Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on 2X the performance of the underlying index, the S&P 500 VI
UNITED STATES
US
CH
Credit Suisse Securities LLC
Undefined Equity
1-866-787-2257
www.spdrs.com
Industrial Select Sector SPDR
Industrial Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Industrial Select Sector Index. The Index includes companies involved
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Investors Bank & Trust Co/Boston MA
Investors Bank & Ernst & Young BlackRock DIANE Trust Co/Boston LLP Fund Advisors HSIUNG MA
BlackRock BlackRock Fund Fund Advisors Advisors
JOHN A TUCKER
12/16/98
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
JOHN A TUCKER
12/22/98
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
SPDR Gold Shares
Direxion Daily Small Cap Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the inverse of the performance of the Small Cap Index. The Fund invests in a
Depository Trust Co/The
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
World Gold HSBC Bank USA Trust Services NA/New York NY LLC/
Depository Trust Co/The
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
JOHN A TUCKER
www.ishares.com
iShares Silver Trust
iShares Silver Trust is a trust formed to invest in silver. The assets of the trust consist primarily of silver held by the custodian on behalf of the trust. The objective of the trust is for the shares to reflect the price of silver owned by the trust, l
1-866-787-2257
www.spdrs.com
Energy Select Sector SPDR Fund
Energy Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Energy Select Sector Index. The Index includes companies that UNITED STATES develop & pr
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Sector Fund-Utility 1-866-787-2257
www.spdrs.com
Utilities Select Sector SPDR F
Utilities Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Utilities Select Sector Index. The Index includes communication UNITED STATES services
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Growth&IncomeSmall Cap
1-877-437-9363
www.direxionshar Direxion Daily es.com Small Cap Bull
Direxion Daily Small Cap Bull 3X Shares is and exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the Russell 2000 Index ("Small Cap Index"). The UNITED STATES Fund in
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Undefined Equity
1-866-787-2257
www.spdrs.com
Consumer Staples Select Sector
Consumer Staples Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Consumer Staples Select Sector Index. The Index UNITED STATES includes cosmeti
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Commodity
Sector FundEnergy
1-415-670-2000
UNITED STATES
US
US
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
United States
JOHN A TUCKER
12/22/98
12/22/98
SSgA Funds Management Inc
SSgA Funds United States Management Inc
United States
Boston
San Francisco
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
SSgA Funds Management Inc
Boston
SSgA Funds United States Management Inc
Company Telephone Number
Government/Agenc 1-415-670-2000 y-LT
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
www.ishares.com
iShares 20+ Year iShares 20+ Year Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the Treasury Bond investment results of an index composed of U.S. Treasury bonds with remaining maturities greater than twenty years.
Technology Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Technology Select Sector Index. The Index includes products UNITED STATES developed b
US
UNITED STATES
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
United States
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
12/22/98
SSgA Funds Management Inc
US
Manager's City Name
San Francisco
Sector FundTechnology
1-866-787-2257
www.spdrs.com
Technology Select Sector SPDR
Corp/Pref-High Yield
1-866-787-2257
www.spdrs.com
SPDR Barclays High Yield Bond
SPDR Barclays High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the price and yield of the Barclays High Yield Very Liquid Bond Index.
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
11/28/07
SSGA Funds SSGA Funds Management Management
Sector Fund-Real Estate
1-866-787-2257
www.spdrs.com
SPDR S&P Homebuilders ETF
SPDR S&P Homebuilders ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate the performance of the S&P Homebuilders Select Industry Index, an equal-weighted index. The Index tracks all the US common stocks listed on the NYSE,
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
2/06/06
Health & Biotechnology
1-866-787-2257
www.spdrs.com
Health Care Select Sector SPDR
Health Care Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of The Health Care Select Sector Index. The Index includes companies UNITED STATES involve
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
12/22/98
Growth&IncomeLarge Cap
1-240-497-6400
ProShares www.proshares.c UltraPro Short om S&P 5
ProShares UltraPro Short S&P 500 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to triple (300%) the inverse of the daily performance of the S&P 500 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Financial Services 1-877-437-9363
www.direxionshar Direxion Daily es.com Financial Bull
Direxion Daily Financial Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the Russell 1000 Financial Services Index ("Financial Ind
UNITED STATES
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Country FundJapan
1-212-896-1249
WisdomTree www.wisdomtree. Japan Hedged com Equity
WisdomTree Japan Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree Japan Hedged Equity Index. The Fund invests in dividend paying companies incorporated in Japan and
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
New York
Sector Fund-Real Estate
1-415-670-2000
iShares U.S. www.ishares.com Home Construction
iShares U.S. Home Construction ETF is an exchange-traded fund located in the USA. The Fund seeks investment results that UNITED STATES correspond generally to the price and yield performance of the Dow Jones US Select Home Builders Index.
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Ultra om S&P500
ProShares Ultra S&P500 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the S&P 500 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Commodity
1-800-920-0259
United States Oil Fund LP is a Delaware limited partnership incorporated in the USA. The Fund's objective is to have changes www.unitedstates United States Oil in percentage terms of its unit's net asset value reflect the changes of the price of WTI Crude Oil delivered to Cushing, UNITED STATES oilfund.com Fund LP Oklahoma
US
Brown Brothers Harriman & Co
EisnerAmper LLP
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
iShares MSCI Taiwan ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the Taiwanese market, as measured by the MSCI Taiwan Index. This UNITED STATES is an "extended trad
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Direxion Daily Financial Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the inverse of the performance of the Russell 1000 Financial Index.
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Brown Brothers Harriman & Co
EisnerAmper LLP
United States Commodities JOHN LOVE Fund
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
Barclays Global Investors NA
Ernst & Young Bank of Nova LLP Scotia
BlackRock Fund Advisors
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
JOHN A TUCKER
iShares MSCI Taiwan ETF
UNITED STATES
US
US
US
US
Brown Brothers Harriman & Co
www.ishares.com
Financial Services 1-877-437-9363
www.direxionshar Direxion Daily es.com Financial Bear
UNITED STATES
US
Commodity
1-800-920-0259
www.unitedstates United States United States Natural Gas Fund LP is a Delaware limited partnership incorporated in the USA. The Fund's objective is to have naturalgasfund.co UNITED STATES Natural Gas Fund changes in percentage terms of its unit's net asset value reflect the changes of the price of Natural Gas delivered to Henry Hub, m
US
Commodity
1-415-670-2000
www.ishares.com
iShares Gold Trust
iShares Gold Trust is an investment fund incorporated in the USA. The Fund issues shares representing fractional undivided beneficial interests in its net assets. The assets of the Trust will consist primarily of gold held by the custodian on behalf of th SPDR Dow Jones Industrial Average ETF Trust is an investment trust incorporated in the USA. The Trust consists of a portfolio representing all 30 stocks in the Dow Jones Industrial Average. The Trust entitles its holders to proportional monthly cash paym
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
UNITED STATES
US
US
THOMAS J DURANTE
United States Commodities RAY ALLEN Fund
Geo Focus-Equity 1-415-670-2000
Brown Brothers Harriman & Co
JOHN A TUCKER
SSgA Funds United States Management Inc
Boston
United States
Boston
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
WisdomTree Asset United States Management Inc
Growth&IncomeLarge Cap
1-866-787-2257
www.spdrs.com
SPDR Dow Jones Industrial Aver
Undefined Equity
1-866-787-2257
www.spdrs.com
Materials Select Sector SPDR F
Materials Select Sector SPDR Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the performance of the Materials Select Sector Index. The Index includes companies from the f
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
12/22/98
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Leisure Industry
1-866-787-2257
www.spdrs.com
Consumer Discretionary Select
Consumer Discretionary Select Sector SPDR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond to the price and yield performance of the Consumer Discretionary Select UNITED STATES Sector Index.
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
12/22/98
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
iShares Core S&P 500 ETF
iShares Core S&P 500 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the S&P 500 Index. The Fund uses a Replication strate
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Corp/Pref-High Yield
1-415-670-2000
www.ishares.com
iShares iBoxx $ High Yield Cor
iShares iBoxx $ High Yield Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated, high yield corporate bonds.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
ProShares UltraShort 20+ Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Barclays Capital US Treasury 20+ Year Treas
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
State Street Bank and Trust Co
Bingham McCutchen LLP
6/22/06
SSgA Funds Management Inc
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
10/03/11
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
United States
New York
Government/Agenc 1-240-497-6400 y-LT
Growth&IncomeLarge Cap
1-240-497-6400
ProShares www.proshares.c UltraShort 20+ om Year
www.proshares.c ProShares Short ProShares Short S&P500 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that om S&P500 correspond to the inverse (opposite) of the daily performance of the S&P 500 Index.
UNITED STATES
SPDR S&P SPDR S&P Regional Banking ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as Regional Banking UNITED STATES closely as possible the performance of the S&P Regional Banks Select Industry Index, an equal-weighted index. ETF
US
www.spdrs.com
Undefined Equity
1-240-497-6400
www.proshares.c ProShares Ultra om VIX Short-Term
ProShares Ultra VIX Short-Term Futures is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the performance of the S&P 500 VIX Short-Term Futures Index.
UNITED STATES
US
Country FundMexico
1-415-670-2000
iShares MSCI www.ishares.com Mexico Capped ETF
iShares MSCI Mexico Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide UNITED STATES investment results that correspond to the performance of the MSCI Mexico IMI 25/50 Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Country FundRussia
1-212-293-2000
www.vaneck.com
Market Vectors Russia ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Market Vectors Russia TR Index, which tracks publicly traded companies that are domiciled in Russ
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
UNITED STATES
US
JOHN A TUCKER
Financial Services 1-866-787-2257
Market Vectors Russia ETF
US
SSgA Funds State Street Bank Management and Trust Co Inc
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
HAO-HUNG LIAO "PETER"
4/26/07
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
SSgA Funds United States Management Inc
Van Eck Associates Corp
Boston
Company Telephone Number
Sector Fund-Real Estate
1-866-499-8473
Company's Web Security's Name Address
www.vanguard.co Vanguard REIT m ETF
Fund's Description
Country
Vanguard REIT ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI REIT Index. The Fund invests in the stocks that make up the Index, holding each stock in the same proportion as its weighting in the
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Manager's Country
Manager's City Name
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Fund's Manager Start Date
Vanguard Group Inc/The
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
New York
2004
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares ProShares UltraPro S&P 500 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, om UltraPro S&P 500 before fees and expenses, that correspond to triple (300%) the daily performance of the S&P 500 Index.
UNITED STATES
US
Growth&IncomeLarge Cap
1-877-437-9363
Direxion Daily S&P 500 Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily www.direxionshar Direxion Daily investment results, before fees and expenses, of 300% of the inverse (opposite) of the performance of the S&P 500 Index es.com S&P 500 Bear 3X ("Large Cap In
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
International Equity 1-866-499-8473
Vanguard FTSE Developed Markets ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide a taxwww.vanguard.co Vanguard FTSE efficient investment return consisting of long-term capital appreciation. The Fund seeks investment performance that UNITED STATES m Developed Market corresponds to the
US
US
Vanguard Group Inc/The
Pricewaterhou JPMorgan Chase Vanguard CHRISTINE D seCoopers 2013 Bank Group Inc/The FRANQUIN LLP
Vanguard Vanguard Group Group Inc/The Inc/The
Sector FundEnergy
1-866-787-2257
www.spdrs.com
SPDR S&P Oil & Gas Exploration & Production ETF is an exchange-traded fund incorporated in the USA. The Fund's SPDR S&P Oil & objective is to replicate as closely as possible the S&P Oil & Gas Exploration & Production Select Industry Index, an equalGas Exploration weighted index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Sector FundEnergy
1-212-293-2000
www.vaneck.com
Market Vectors Oil Service ETF
Market Vectors Oil Service ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES results of the US Listed Oil Services 25 Index.
US
US
Van Eck Associates Corp
Precious Metals
1-866-787-2257
www.spdrs.com
SPDR S&P Metals & Mining ETF
SPDR Metals & Mining ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Metals & Mining Select Industry Index, an equal-weighted index.
US
US
State Street Bank and Trust Co
Government/Corpo 1-800-983-0903 rate
PowerShares www.powershare Senior Loan s.com Portfo
Country Fund-India 1-212-896-1249
WisdomTree www.wisdomtree. India Earnings com Fund
WisdomTree India Earnings Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the WisdomTree India Earnings Index.
UNITED STATES
US
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares om UltraShort QQQ
UltraShort QQQ ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that UNITED STATES correspond to twice (200%) the inverse (opposite) of the daily performance of the NASDAQ-100 Index
US
Sector FundEnergy
1-877-398-8461
www.alerianmlp.c Alerian MLP ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield Alerian MLP ETF om performance of the Alerian MLP Infrastructure Index.
Country FundGermany
1-415-670-2000
www.ishares.com
iShares MSCI Germany ETF
Undefined Equity
1-866-787-2257
www.spdrs.com
SPDR S&P Retail SPDR S&P Retail ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as ETF possible the performance of the S&P Retail Select Industry Index, an equal-weighted index.
www.ishares.com
iShares MSCI Hong Kong ETF
iShares MSCI Hong Kong ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of publicly traded securities in the Hong Kong market, as measured by the MSCI Hong K
iShares MSCI EMU ETF
iShares MSCI EMU ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide investment results that correspond to the performance of publicly traded securities in the European Monetary Union markets, as measured UNITED STATES by the MSCI
Geo Focus-Equity 1-415-670-2000
Region Fund-EU
PowerShares Senior Loan Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the S&P/LSTA U.S. Leveraged Loan 100 Index (the Underlyi
UNITED STATES
UNITED STATES
US
BM
US
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
6/22/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
12/21/11
Van Eck Associates Corp
Van Eck Associates Corp
New York
Bingham McCutchen LLP
JOHN A TUCKER
6/22/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
SSgA Funds State Street Bank Management and Trust Co Inc
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York SCOTT seCoopers PowerShares Mellon/The BASKIND LLP Capital Ma
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
KAREN Q. WONG
United States
Bethesda
ALPS Advisors Inc
United States
Denver
United States
San Francisco
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
iShares MSCI Germany ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of publicly traded securities in the German market, as measured by the UNITED STATES MSCI Germany Ind
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
Boston
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JOHN A TUCKER
ALPS Advisors Inc
BlackRock BlackRock Fund Fund Advisors Advisors
6/22/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
1-415-670-2000
www.ishares.com
Growth&IncomeLarge Cap
1-240-497-6400
ProShares www.proshares.c UltraPro Short om QQQ
ProShares UltraPro Short QQQ is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which UNITED STATES correspond to three times (300%) the inverse of the daily performance of the NASDAQ-100 Index.
US
Region FundEuropean
1-866-499-8473
www.vanguard.co Vanguard FTSE m Europe ETF
Vanguard FTSE Europe ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the FTSE Developed Europe Index. The Fund invests all of its assets in the stocks that make up the Index, holding each stock UNITED STATES in the sam
US
Growth&IncomeSmall Cap
1-240-497-6400
ProShares www.proshares.c UltraShort om Russell20
UltraShort Russell 2000 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 2000 Index.
UNITED STATES
US
Corporate/Preferre 1-415-670-2000 d
iShares US www.ishares.com Preferred Stock ETF
iShares U.S. Preferred Stock ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield performance of the S&P U.S. Preferred Stock Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Corp/Pref-Inv Grade
1-415-670-2000
www.ishares.com
iShares iBoxx $ Investment Grade Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated, investment-grade corporate bonds.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth & Income
1-866-499-8473
www.vanguard.co Vanguard Total Vanguard U.S. Total Stock Market Shares Index ETF is an exchange-traded fund incorporated in the USA. The Fund's m Stock Market ET objective seeks to match the performance of the CRSP US Total Market Index.
UNITED STATES
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Growth&IncomeLarge Cap
1-415-670-2000
iShares MSCI www.ishares.com USA Minimum Volat
BlackRock BlackRock Fund Fund Advisors Advisors
Growth&IncomeLarge Cap
1-877-437-9363
Country FundKorea
1-415-670-2000
iShares iBoxx $ Investment Gra
iShares MSCI USA Minimum Volatility ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. equities that, in the aggregate, have lower volatility characteristics relative to the b
US
SSgA Funds State Street Bank Management and Trust Co Inc
WILLIAM E FLAIG JR
ProShare ProShare Advisors LLC Advisors LLC
UNITED STATES
US
Bank of New York ALPS Mellon/The Advisors Inc
Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
United States
US
Vanguard GERARD C Group Inc/The O'REILLY
2008
2001
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.direxionshar Direxion Daily Direxion Daily S&P 500 Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily es.com S&P 500 Bull 3X investment results, before fees and expenses, of 300% of the performance of the S&P 500 Index ("Large Cap Index").
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
iShares MSCI www.ishares.com South Korea Cappe
iShares MSCI South Korea Capped ETF is an exchange traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the MSCI Korea 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Country Fund-U.K. 1-415-670-2000
iShares MSCI www.ishares.com United Kingdom ET
iShares MSCI United Kingdom ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the British market, as measured by the MSCI United Kingdom Index. UNITED STATES The ETF inv
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth & Income1-866-787-2257 Mid Cap
www.spdrs.com
SPDR S&P SPDR S&P MidCap 400 ETF Trust issues exchange-traded funds called Standard & Poor's MidCap 400 Depositary Receipts MidCap 400 ETF or "MidCap SPDRs". The MidCap SPDR Trust holds all of the common stocks of the Standard & Poors MidCap 400 Index and UNITED STATES Trust provides investment re
US
US
Bank of New York Mellon/The
Pricewaterhou Bank of New Bank of New York seCoopers York Mellon/The LLP Mellon/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JOHN A TUCKER
1998
Bank of New York Mellon/The
Bank of New York United States Mellon/The
Valley Forge
Company Telephone Number
Currency
1-877-369-4617
Company's Web Security's Name Address
Fund's Description
Country
PowerShares DB US Dollar Index Bullish Fund is an exchange-traded fund incorporated in the USA. The Fund is designed to www.dbfunds.db. PowerShares DB replicate being long the US Dollar against the following currencies: Euro, Japanese Yen, British Pound, Canadian Dollar, com US Dollar Index Swedish Krona iShares MSCI Canada ETF
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
iShares MSCI Canada ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide investment results that correspond to the performance of publicly traded securities in the Canadian market, as measured by the MSCI UNITED STATES Canada Index.
US
ProShares UltraShort DJ-UBS Crude Oil is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the inverse (opposite) the daily performance, whether positive or negative, of its corres
UNITED STATES
US
DE
Fund's Administrator
Fund's Auditor
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Manager's Country
DB DB Commodity Commodity Services LLC Services LLC
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Fund's Manager Start Date
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
Bank of New York Mellon/The
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Manager's City Name
Country FundCanada
1-415-670-2000
www.ishares.com
Commodity
1-240-497-6400
ProShares www.proshares.c UltraShort DJom UBS Cr
Country FundSingapore
1-415-670-2000
www.ishares.com
iShares MSCI Singapore ETF
iShares MSCI Singapore ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the Singaporean market, as measured by the MSCI Singapore (Free) UNITED STATES Index. The ETF in
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Country FundAustralia
1-415-670-2000
www.ishares.com
iShares MSCI Australia ETF
iShares MSCI Australia ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide investment results that correspond generally to the performance of publicly traded securities in the Australian market, as measured by the UNITED STATES MSC
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Commodity
1-240-497-6400
www.proshares.c ProShares Ultra om Silver
ProShares Ultra Silver is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the daily performance, whether positive or negative, of its corresponding benchmark. The Fund tracks the
UNITED STATES
US
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
iShares 3-7 Year iShares 3-7 Year Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the Treasury Bond investment results of an index composed of U.S. Treasury bonds with remaining maturities between three and seven years.
UNITED STATES
US
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
DB DB Commodity Commodity Services LLC Services LLC
United States
New York
United States
San Francisco
United States
Bethesda
United States
New York
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
US
State Street Bank and Trust Co
Fund's Custodian
SEI Investments Distribution Co
Brown Brothers Harriman & Co
SEI Investments Distribution Co
Brown Brothers Harriman & Co
ProShare TODD Advisors LLC JOHNSON
ProShare TODD Advisors LLC JOHNSON
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
DE
Bank of New York Mellon/The
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
US
CH
Credit Suisse Securities LLC
Vanguard S&P 500 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the UNITED STATES S&P 500 Index.
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard seCoopers Bank Group Inc/The LLP
Vanguard Vanguard Group Group Inc/The Inc/The
iShares MSCI Malaysia ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the Malaysian market, as measured by the MSCI Malaysia Index. The ETF invests in a
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Government/Corpo 1-866-499-8473 rate
Vanguard Total Bond Market ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.vanguard.co Vanguard Total performance of the Barclays Capital Aggregate Bond Index, which measures a wide spectrum of public, investment-grade, m Bond Market ETF taxable, fixed income secu
UNITED STATES
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard seCoopers Bank Group LLP
Vanguard Group
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Ultra om QQQ
Ultra QQQ ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the NASDAQ-100 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Geo Focus-Debt
1-866-499-8473
www.vanguard.co Vanguard Shortm Term Bond ETF
Vanguard Short-Term Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital 1-5 Year Government/Credit Index, which includes all medium and larger issues of U.S. government, investment-g
UNITED STATES
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard seCoopers Bank Group LLP
Vanguard Group
Vanguard Group
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
Van Eck Associates Corp
Govt/Agency-Inter 1-415-670-2000 Term
www.ishares.com
Commodity
1-877-369-4617
PowerShares DB Commodity Index Tracking Fund is an investment fund incorporated in the USA. The Fund's objective is to www.dbfunds.db. PowerShares DB reflect the performance of the DBIQ Optimum Yield Diversified Commodity Index Excess. The Fund invests in commodities com Commodity Index such as Light, Sw
UNITED STATES
US
Commodity
1-877-583-5624
VelocityShares 3x Silver ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash www.velocityshar VelocityShares 3x payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P GSCI速 es.com Long Silver Silver Index Exce
UNITED STATES
Growth&IncomeLarge Cap
1-866-499-8473
www.vanguard.co Vanguard S&P m 500 ETF
Country FundMalaysia
1-415-670-2000
www.ishares.com
Sector FundTechnology
Commodity
Growth&IncomeLarge Cap
iShares MSCI Malaysia ETF
1-212-293-2000
www.vaneck.com
Market Vectors Market Vectors Semiconductor is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES Semiconductor E results of the Market Vectors US Listed Semiconductor 25 Index.
US
1-240-497-6400
ProShares Ultra DJ-UBS Crude Oil is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment www.proshares.c ProShares Ultra results that correspond to twice (200%) the daily performance of its corresponding benchmark, The Dow Jones-AIG Crude Oil UNITED STATES om DJ-UBS Crude O Sub-Index.
US
1-800-983-0903
PowerShares www.powershare S&P 500 Low s.com Volati
PowerShares S&P 500 Low Volatility Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond (before fees and expenses) generally to the price and yield of the S&P 500 Low Volatility Index the "Underlying UNITED STATES Index")
US
US
US
KPMG LLP
VLS Securities LLC
SEI Investments Distribution Co
Brown Brothers Harriman & Co
VelocityShare VelocityShares s LLC LLC
KENNETH E VOLPERT
HAO-HUNG LIAO "PETER"
12/21/11
ProShare TODD Advisors LLC JOHNSON
Vanguard Group
ProShare ProShare Advisors LLC Advisors LLC Invesco PowerShares Capital Management LLC
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares Core S&P Mid-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P MidCap 400 Index. The Fund uses a Representative Sampling strategy to track the UNITED STATES Index. The In
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares 1-3 Year iShares 1-3 Year Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the Treasury Bond investment results of an index composed of U.S. Treasury bonds with remaining maturities between one and three years.
5/05/11
Govt/Agency-Short 1-415-670-2000 Term
www.ishares.com
Growth & Income1-415-670-2000 Mid Cap
iShares Core www.ishares.com S&P Mid-Cap ETF
Financial Services 1-866-787-2257
www.spdrs.com
SPDR S&P Bank ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the SPDR S&P Bank performance of the S&P Banks Select Industry Index. The Index itself is a float adjusted modified-market capitalization ETF weighted index of geogra
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Govt/Agency-Inter 1-415-670-2000 Term
www.ishares.com
iShares 7-10 Year iShares 7-10 Year Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the Treasury Bon investment results of an index composed of U.S. Treasury bonds with remaining maturities between seven and ten years.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth-Large Cap 1-415-670-2000
iShares Russell 1000 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results iShares Russell www.ishares.com that correspond to the performance of the Russell 1000 Growth Index. The Index measures the performance of the large1000 Growth ET capitalization gro
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares Russell 1000 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell 1000 Value Index. The Index measures the performance of the largeUNITED STATES capitalization value
US
US
JOHN A TUCKER
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
VelocityShares Daily 3x Long Natural Gas ETN is an exchange-traded note issued in the USA. The Note will provide investors www.velocityshar VelocityShares 3x with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, S&P UNITED STATES es.com Long Natural GSCI速 Natur
US
CH
Credit Suisse Securities LLC
www.proshares.c ProShares Ultra 7- ProShares Ultra 7-10 Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment om 10 Year Trea results that correspond to twice (200%) the daily performance of the Barclays Capital 7-10 Year U.S. Treasury Bond Index.
US
Value-Large Cap
1-415-670-2000
www.ishares.com
iShares Russell 1000 Value ETF
Corp/Pref-High Yield
1-866-787-2257
www.spdrs.com
SPDR Barclays SPDR Barclays Short Term High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to Short Term High track the performance of the Barclays US High Yield 350mn Cash Pay 0-5 Yr 2% Capped Index.
Commodity
1-877-583-5624
Govt/Agency-Inter 1-240-497-6400 Term
UNITED STATES
SSgA Funds State Street Bank Management and Trust Co Inc
UNITED STATES
JPMorgan Investor Services Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
MIKE BRUNELL
VLS Securities LLC Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
11/15/05
03/12
SSgA Funds Management Inc
SSgA Funds Management Inc
SSgA Funds United States Management Inc
SSgA Funds United States Management Inc
Boston
Valley Forge
VelocityShare VelocityShares s LLC LLC
United States
Darien
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Company Telephone Number
Country Fund-Italy 1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
Fund's Description
Country
iShares MSCI iShares MSCI Italy Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide Italy Capped ETF investment results that correspond to the performance of the MSCI Italy 25/50 Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
United States
Manager's City Name
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock DIANE seCoopers and Trust Co Fund Advisors HSIUNG LLP
BlackRock BlackRock Fund Fund Advisors Advisors Invesco PowerShares Capital Management LLC
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SSGA Funds SSGA Funds Management Management
United States
Valley Forge
Invesco PowerShares United States Capital Management LLC
San Francisco
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York JEFF seCoopers PowerShares Mellon/The KERNAGIS LLP Capital Ma
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.spdrs.com
SPDR Barclays Short Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is SPDR Barclays to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an UNITED STATES Short Term Corpo index that
US
US
State Street Bank and Trust Co
Ernst & Young
1-415-670-2000
www.ishares.com
iShares Mortgage iShares Mortgage Real Estate Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment Real Estate C results that correspond to the FTSE NAREIT Mortgage Plus Capped Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
www.ishares.com
iShares MSCI Pacific ex Japan
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth-Small Cap 1-415-670-2000
www.ishares.com
iShares Russell 2000 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment returns iShares Russell that correspond to the performance of the Russell 2000 Growth Index. The Index measures the performanceof the small2000 Growth ET capitalization growt
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Emerging MarketDebt
PowerShares www.powershare Emerging s.com Markets S
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Rafferty Asset Rafferty Asset Management Management LLC LLC
Corporate/Preferre 1-800-983-0903 d
www.powershare PowerShares PowerShares Preferred Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that s.com Preferred Portfoli correspond to the price and yield performance of the BofA Merrill Lynch Core Plus Fixed Rate Preferred Securities Index.
Global Equity
www.ishares.com
iShares MSCI ACWI ETF
Corporate/Preferre 1-866-787-2257 d
Sector Fund-Real Estate
Asian Pacific Ex Japan
1-415-670-2000
1-800-983-0903
iShares MSCI ACWI ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI ACWI Index.
iShares MSCI Pacific ex Japan ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks investment results that correspond to the performance of publicly traded securities in the Australia, Hong Kong, New Zealand, and Singapore ma
PowerShares Emerging Markets Sovereign Debt Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the DB Emerging Market USD Liquid Balanced Index.
UNITED STATES
US
BM
State Street Bank SSGA Funds PATRICK 02/12 and Trust Co Management BRESNEHAN
10/11/07
Invesco PowerShares United States Capital Management LLC
Wheaton
Wheaton
Closed-end Funds 1-877-437-9363
www.direxionshar Direxion Daily Direxion Daily Gold Miners Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily es.com Gold Miners Bea investment results of 300% the inverse (opposite) of the NYSE Arca Gold Miners Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Government/Agenc 1-415-670-2000 y
www.ishares.com
iShares TIPS ETF is an exchange-traded fund incorporated in the USA. The ETF will track the Barclays Capital US Treasury Inflation Notes Index. The Index measures the performance of inflation protected public obligation of the US Treasury, also known as
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Government/Agenc 1-240-497-6400 y-LT
ProShares Short 20+ Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment www.proshares.c ProShares Short results, before fees and expenses and interest earned on cash and financial instruments, that correspond to the inverse om 20+ Year Treas (opposite) of the
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Growth&IncomeLarge Cap
www.proshares.c ProShares om UltraPro QQQ
ProShares UltraPro QQQ is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the daily performance of the NASDAQ-100 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Aggressive Growth 1-866-499-8473
Vanguard www.vanguard.co Dividend m Appreciation
Vanguard Dividend Appreciation Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Mergent Dividend Achievers Select Index, which measures the investment return of common stocks of UNITED STATES companies that h
US
US
Vanguard Group Inc/The
Pricewaterhou JPMorgan Chase Vanguard RYAN E seCoopers Bank Group Inc/The LUDT LLP
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Precious Metals
www.vaneck.com
Market Vectors Junior Gold Miners ETF is an exchange traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Junior Gold Miners Index
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
1-240-497-6400
1-212-293-2000
iShares TIPS Bond ETF
Market Vectors Junior Gold Min
UNITED STATES
2006
HAO-HUNG LIAO "PETER"
Van Eck Associates Corp
iShares Floating Rate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance UNITED STATES of the Barclays Capital US Floating Rate Note < 5 Years Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
iShares Core www.ishares.com S&P Small-Cap ETF
iShares Core S&P Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P SmallCap 600 Index. The Fund uses a Representative sampling strategy to track the Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
International Equity 1-866-499-8473
www.vanguard.co Vanguard FTSE m All-World ex-US
Vanguard FTSE All-World Ex-US Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the FTSE All-World ex-US Index Fund, which measures the investment return of stocks of companies located in developing
UNITED STATES
US
US
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Government/Corpo 1-415-670-2000 rate
iShares Core www.ishares.com Total US Bond Mar
iShares Core Total U.S. Bond Market ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of the total U.S. investment-grade bond market.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock JAMES seCoopers and Trust Co Fund Advisors MAURO LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth&IncomeSmall Cap
1-240-497-6400
www.proshares.c ProShares Short Short Russell2000 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results om Russell2000 that correspond to the inverse (opposite) of the daily performance of the Russell 2000 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Emerging MarketEquity
1-877-437-9363
Direxion Daily Emerging Markets Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.direxionshar Direxion Daily investment results of 300% of the performance of the MSCI Emerging Markets Index. The Fund invests at least 80% of its net es.com Emerging Market assets in th
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Emerging MarketDebt
1-415-670-2000
iShares JP www.ishares.com Morgan USD Emerging
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GABRIEL seCoopers and Trust Co Fund Advisors SHIPLEY LLP
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds Management Inc
Govt/Corp Short Term
1-415-670-2000
www.ishares.com
Growth&IncomeSmall Cap
1-415-670-2000
Aggressive Growth 1-866-787-2257
www.spdrs.com
iShares Floating Rate Bond ETF
SPDR S&P Dividend ETF
iShares J.P. Morgan USD Emerging Markets Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield of the JP Morgan Emerging Markets Bond Index. SPDR S&P Dividend ETF is an exchange traded fund incorporated in the USA. The Fund's objective is to replicate the price and yield of the S&P High Yield Dividend Aristocrats Index. The Index measures the performance of 60 highest dividend yielding S&P C
UNITED STATES
US
US
Vanguard DUANE F Group Inc/The KELLY
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
Aggressive Growth 1-415-670-2000
www.ishares.com
iShares Select Dividend ETF
iShares Select Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones Select Dividend Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Region FundEuropean
1-866-787-2257
www.spdrs.com
SPDR EURO STOXX 50 ETF
SPDR EURO STOXX 50 Fund is an exchange -traded fund which represents a passive management strategy designed to track the performance of the Euro STOXX 50 Index. The Euro STOXX 50 Index represents the performance of the 50 largest companies, across all com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Currency
1-240-497-6400
www.proshares.c ProShares om UltraShort Euro
ProShares UltraShort Euro is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the inverse (opposite) the daily performance, whether positive or negative, of its corresponding UNITED STATES benc
US
SEI Investments Distribution Co
Brown Brothers Harriman & Co
Value-Small Cap
1-415-670-2000
www.ishares.com
iShares Russell 2000 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performanceof the Russell 2000 Value Index. The Index measures the performance of the smallUNITED STATES capitalization value se
US
iShares Russell 2000 Value ETF
US
State Street Bank and Trust Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JOHN A TUCKER
ProShare TODD Advisors LLC JOHNSON
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
11/15/05
SSgA Funds United States Management Inc
BlackRock BlackRock Fund Fund Advisors Advisors
10/15/02
SSgA Funds Management Inc
United States
United States
SSgA Funds United States Management Inc
Boston
San Francisco
Boston
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Company Telephone Number
Emerging MarketEquity
1-212-896-1249
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
WisdomTree Emerging Markets Equity Income Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield of the WisdomTree Emerging Markets Equity Income Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
SPDR Barclays 1-3 Month T-Bill ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide SPDR Barclays 1investment results that correspond generally to the price and yield performance of the Barclays 1-3 Month U.S. Treasury Bill 3 Month T-Bill Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
JPMorgan Chase Bank NA
Pricewaterhou JPMorgan Chase Precidian seCoopers Bank NA Funds LLC LLP
WisdomTree www.wisdomtree. Emerging com Markets Eq
Fund's Manager
www.spdrs.com
Country FundJapan
1-855-621-0930
MAXIS Nikkei www.precidianfun 225 Index Fund ds.com ET
Maxis Nikkei 225 Index Fund is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results, UNITED STATES before fees and expenses, that track the performance of the Nikkei 225 Index.
US
Undefined Equity
1-877-583-5624
www.velocityshar VelocityShares es.com VIX Short Term
VelocityShares VIX Short Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P 500 VIX Short-Term
UNITED STATES
US
CH
Credit Suisse Securities LLC
Commodity
1-877-583-5624
VelocityShares Daily 3x Inverse Natural Gas ETN is an exchange-traded note issued in the USA. The Note will provide www.velocityshar VelocityShares 3x investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES es.com Inverse Natu S&P GSCI速 Na
US
CH
Credit Suisse Securities LLC
Value-Large Cap
1-866-499-8473
www.vanguard.co Vanguard Value m ETF
Vanguard Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the CRSP U.S. Large Cap Value Index. The Fund invests all of its assets in the stocks that make up the Index, holding each stock UNITED STATES in the same
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
Undefined Equity
1-240-497-6400
www.proshares.c ProShares Short ProShares Short VIX Short-Term Futures is an exchange-traded fund incorporated in the USA. The Fund with seek daily om VIX Short-Term investment results that correspond to the inverse (-100%) of the performance of the S&P 500 VIX Short-Term Futures Index.
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
1-415-670-2000
www.ishares.com
iShares MSCI France ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of publicly traded securities in the French market, as measured by the MSCI France Index
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Commodity
1-877-369-4617
PowerShares DB Gold Double Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the inverse UNITED STATES m Gold Double Sho (opposite) performan
Growth&IncomeLarge Cap
1-888-949-3837
www.guggenhei mfunds.com
Country FundFrance
iShares MSCI France ETF
Guggenheim S&P 500 Equal Weigh
Country Fund-India 1-800-983-0903
www.powershare PowerShares s.com India Portfolio
Health & Biotechnology
1-415-670-2000
www.ishares.com
Sector Fund-Real Estate
1-630-765-8000
www.ftportfolios.c First Trust S&P om REIT Index Fun
Growth&IncomeLarge Cap
iShares Nasdaq Biotechnology E
UNITED STATES
Guggenheim S&P Equal Weight ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate UNITED STATES as closely as possible, before expenses, the performance of the S&P Equal Weight Index.
The JPMorgan Alerian MLP Index ETN is an exchange-traded note issued in the USA by JPMorgan Chase & Co. The Notes JPMorgan Alerian will provide investors with a cash payment at the scheduled maturity or upon early repurchase and pass on quarterly variable MLP Index ETN coupon payments
Closed-end Funds 1-800-576-3529
UNITED STATES
UNITED STATES
US
US
US
US
DE
Deutsche Bank AG
US
US
State Street Bank and Trust Co
US
US
JP Morgan Securities Inc
WisdomTree Asset Management Inc
KAREN Q. WONG
Govt/Agency-Short 1-866-787-2257 Term
State Street Bank SSGA Funds JEFF ST and Trust Co Management PETERS
Depository Trust Co/The
CHAD M RAKVIN
Fund's Management Company
Fund's Manager Start Date
07/11
Manager's Country
WisdomTree Asset United States Management Inc
Manager's City Name
New York
SSGA Funds SSGA Funds Management Management
United States
Boston
Precidian Funds LLC
United States
Portland
Precidian Funds LLC
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
United States
Darien
2004
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
10/03/11
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Deutsche Bank AG
United States
New York
Deutsche Bank AG
MARTIN KREMENSTE IN
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Deutsche Bank AG
Security Security Investors United States Investors LLC LLC
Rockville
JPMorgan Chase & Co
JPMorgan Chase & Co
JPMorgan Chase United States & Co
New York
Invesco PETER PowerShares HUBBARD Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
4/30/03
PowerShares India Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Indus India Index.
UNITED STATES
US
BM
Brown Brothers Harriman & Co
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
iShares Nasdaq Biotechnology ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Nasdaq Biotechnology Index. The Fund will concentrate its investments in companies
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
First Trust S&P REIT Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond generally to the S&P REIT Composite Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
3/03/08
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
1-240-497-6400
www.proshares.c ProShares ProShares UltraShort Dow30 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results om UltraShort Dow30 that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones Industrial Average.
Govt/Corp Short Term
1-415-670-2000
iShares 1-3 Year Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the iShares 1-3 Year www.ishares.com investment results of an index composed of U.S. dollar-denominated, investment-grade corporate, sovereign, supranational, Credit Bond E local authority and n
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
Emerging MarketEquity
1-415-670-2000
iShares Core www.ishares.com MSCI Emerging Mar
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares Short Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment UNITED STATES results of an index composed of U.S. Treasury bonds with remaining maturities between one month and one year.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
iShares Core MSCI Emerging Markets ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the MSCI Emerging Markets Investable Market Index.
iShares S&P 100 iShares S&P 100 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that ETF correspond generally to the price and yield performance, before fees and expenses, of the S&P 100 Index.
UNITED STATES
US
10/22/12
BlackRock BlackRock Fund Fund Advisors Advisors
Govt/Agency-Short 1-415-670-2000 Term
iShares Short www.ishares.com Treasury Bond ET
Emerging MarketDebt
1-212-293-2000
www.vaneck.com
Market Vectors Emerging Markets Local Currency Bond ETF is an exchange-traded fund incorporated in the USA. The Fund Market Vectors seeks investment results the correspond with the performance of the JP Morgan Government Bond Index - Emerging Markets Emerging Market Global Core.
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
Value-Large Cap
1-415-670-2000
www.ishares.com
iShares S&P 500 iShares S&P 500 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that Value ETF correspond to the performance of the S&P 500 Value Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Vanguard Group Inc/The
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2009 Mellon Group Inc/The LLP N "JOSH"
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Van Eck Associates Corp
Van Eck Bank of New York Ernst & Young Associates Mellon/The Corp
Van Eck Associates Corp
United States
New York
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Vanguard Group Inc/The
Pricewaterhou Bank of New York Vanguard MICHAEL seCoopers Mellon Group Inc/The PERRE LLP
Vanguard Vanguard Group Group Inc/The Inc/The
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
United States
New York
Corporate/Preferre 1-866-499-8473 d
www.vanguard.co Vanguard Shortm Term Corporate
Vanguard Short-Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital US 1-5 Year Corporate Bond Index.
Market Vectors High Yield Muni
Market Vectors High Yield Municipal Index ETF is an exchange-traded fund incorporated in the USA. The Fund is to replicate as closely as possible the price and yield performance of the Barclays Capital Municipal Custom High Yield Composite Index. The Fund
UNITED STATES
US
ProShares UltraPro Short Russell2000 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the inverse of the daily performance of the Russell 2000 Index.
UNITED STATES
US
UNITED STATES
US
Municipal
1-212-293-2000
www.vaneck.com
Growth&IncomeSmall Cap
1-240-497-6400
ProShares www.proshares.c UltraPro Short om Russe
Aggressive Growth 1-866-499-8473
Commodity
1-212-528-7990
Vanguard High Dividend Yield ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.vanguard.co Vanguard High performance of the FTSE High Dividend Yield Index, which consists of common stocks of companies that pay dividends that m Dividend Yield E generally are higher t www.ipathetn.co iPath Goldman m Sachs Crude Oil
UNITED STATES
iPath S&P GSCI Crude Oil Total Return Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its underlying index, UNITED STATES the S&P GSC
US
US
US
US
US
GB
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Van Eck Bank of New York Associates Mellon/The Corp
MICHAEL F MAZIER
JAMES T COLBY III
Van Eck Associates Corp
Barclays Capital Inc
Company Telephone Number
Growth&IncomeSmall Cap
Convertible
1-240-497-6400
1-866-787-2257
Sector Fund-Utility 1-415-670-2000
Corp/Pref-High Yield
1-800-983-0903
Company's Web Security's Name Address
www.proshares.c ProShares Ultra om Russell2000
Fund's Description
Country
ProShares Ultra Russell2000 is an exchange traded-fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell 2000 Index.
UNITED STATES
US
www.spdrs.com
SPDR Barclays Convertible Securities ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to SPDR Barclays provide investment results that correspond generally to the total return performance of the Barclays U.S. Convertible Bond > Convertible Secu $500MM Ind
UNITED STATES
US
www.ishares.com
iShares US Utilities ETF
iShares U.S. Utilities ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Utilities Sector Index. The Fund will concentrate its investments in UNITED STATES the
US
PowerShares www.powershare Fundamental s.com High Y
Fund's Investment Advisor
Fund's Manager
United States
Bethesda
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
SSGA Funds SSGA Funds Management Management
United States
Boston
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares Capital Management LLC
iShares Latin American 40 ETF is an exchange-traded fund incorporatedin the USA. The Fund seeks investment results that correspond generally to the performance of the S&P Latin America 40 Index. The Fund uses a Representative Sampling strategy to try to
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
US
ELEMENTS Linked to the Rogers
ELEMENTS Linked to the Rogers International Commodity Index - Total Return is an exchange-traded note issued in the USA by Swedish Credit Corp. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption UNITED STATES based on the
US
iShares U.S. Energy ETF
iShares U.S. Energy ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Energy Sector Index. The Fund will concentrate its investments in UNITED STATES a partic
Commodity
1-877-ETNADVICE
www.ELEMENT Setn.com
iShares MSCI India ETF
Country Fund-India 1-415-670-2000
www.ishares.com
Emerging MarketEquity
iShares MSCI www.ishares.com Emerging Markets
US
SEI Investments Distribution Co
US
US
11/15/07
JPMorgan Chase ProShare HOWARD S Bank NA Advisors LLC RUBIN Swedish Export Credit Corp - S
HSBC USA Inc
Invesco PowerShares United States Capital Management LLC United States
San Francisco
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Swedish Export United States Credit Corp - SEK
New York
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
BlackRock BlackRock Fund Fund Advisors Advisors
BlackRock BlackRock Fund Fund Advisors Advisors
UNITED STATES
US
US
State Street Bank and Trust Co
iShares MSCI Emerging Markets Minimum Volatility ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of emerging market equities that, in the aggregate, have lower volatility UNITED STATES character
US
US
State Street Bank and Trust Co
State Street Bank BlackRock GREG and Trust Co Fund Advisors SAVAGE
UNITED STATES
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
DE
Bank of New York Mellon/The
KPMG
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York JEFF seCoopers PowerShares Mellon/The KERNAGIS LLP Capital Ma
Wheaton
BlackRock BlackRock Fund Fund Advisors Advisors
Swedish Export Credit Corp - SEK
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
iShares MSCI India ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI India Index.
Manager's City Name
ProShare ProShare Advisors LLC Advisors LLC
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
www.proshares.c ProShares VIX ProShares VIX Short-Term Futures ETF is an exchange-traded fund incorporated in the USA. The Fund seeks daily om Short-Term Futur investment results that correspond to the performance of the S&P VIX Short-Term Index before fees and expenses.
Manager's Country
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Bank of New York Mellon/The
iShares Latin America 40 ETF
Fund's Management Company
Fund's Manager Start Date
JPMorgan Investor Services Co
BM
1-240-497-6400
1-415-670-2000
Fund's Custodian
US
Undefined Equity
www.ishares.com
Fund's Auditor
UNITED STATES
www.ishares.com
1-415-670-2000
Fund's Administrator
PowerShares Fundamental High Yield Corporate Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the RAFI High Yield Bond Index.
Region Fund-Latin 1-415-670-2000 Amer
Sector FundEnergy
Ultimate Country of Country of Incorporation Incorporation of Parent Company
United States
San Francisco
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Deutsche Bank AG
United States
New York
Growth-Large Cap 1-866-499-8473
Vanguard Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the www.vanguard.co Vanguard Growth CRSP U.S. Large Cap Growth Index. The Fund invests all of its assets in the stocks that make up the Index, holding each m ETF stock in the sam
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Agriculture Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the com Agriculture Fun performance of the DBIQ Diversified Agriculture Index Excess Return.
UNITED STATES
US
Emerging MarketEquity
1-240-497-6400
www.proshares.c ProShares Short Short MSCI Emerging Markets ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment om MSCI Emerging results that correspond to the inverse (opposite) of the daily performance of the MSCI Index.
UNITED STATES
US
Corporate/Preferre 1-800-983-0903 d
PowerShares Financial Preferred Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.powershare PowerShares results that correspond to the price and yield of the Wells Fargo Hybrid & Preferred Securities Financial Index, a market-cap s.com Financial Preferre weighted
Emerging MarketDebt
1-212-896-1249
WisdomTree www.wisdomtree. Emerging com Markets Lo
WisdomTree Emerging Markets Local Debt Fund is an actively managed exchange-traded fund incorporated in the USA. The fund seeks to achieve a high level of total returns consisting of both income and capital appreciation. The fund attempts to achieve its i
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Country FundSwitzerland
1-415-670-2000
iShares MSCI www.ishares.com Switzerland Cappe
iShares MSCI Switzerland Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the MSCI Switzerland 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Municipal
1-866-787-2257
www.spdrs.com
SPDR Nuveen Barclays Short Term Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Managed Money Municipal Short Term Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
Direxion Emerging Markets Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.direxionshar Direxion Daily investment results of 300% of the inverse of the performance of the EM Index. The Fund does not invest in equity securities. es.com Emerging Market The Fund invests
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares PHILIP FANG 12/09 Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Wheaton
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Pacific Investment Management Co LLC
United States
Newport Beach
Sector Fund-Asset 1-877-437-9363 Alloc
iShares Russell 1000 ETF
SPDR Nuveen Barclays Short Ter
iShares Russell 1000 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell 1000 Index.
UNITED STATES
US
BM
DB Bank of New York ALEXIS Commodity Mellon/The DEPETRIS Services LLC
PowerShares www.powershare Insured National s.com M
PowerShares Insured National Municipal Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Merrill Lynch U.S. Insured Long-Term Core Plus Municipal Securities I
UNITED STATES
US
Growth & Income1-240-497-6400 Mid Cap
www.proshares.c ProShares Ultra om MidCap400
Ultra MidCap400 ProShares is an exchange-traded fun incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the S&P MidCap400 Index.
UNITED STATES
US
JPMorgan Investor Services Co
www.pimcoetfs.c Pimco Total om Return ETF
PIMCO Total Return Exchange-Traded Fund is an actively managed ETF incorporated in the USA. The Fund's objective is to provide maximum total return, consistent with preservation of capital and prudent investment management. The Fund invests under normal c
US
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Govt/Corp Intermediate
1-888-400-4383
UNITED STATES
Financial Services 1-240-497-6400
ProShares www.proshares.c UltraShort om Financial
UltraShort Financials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Financials Index.
US
Sector FundEnergy
1-877-437-9363
www.direxionshar Direxion Daily es.com Energy Bull 3X
Direxion Daily Energy Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the Energy Select Sector Index.
UNITED STATES
US
Geo Focus-Debt
1-866-499-8473
Vanguard www.vanguard.co Intermediatem Term Bon
Vanguard Intermediate-Term Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital 5-10 Year Government/Credit Index, which includes all medium and larger issues of U.S. government, inve
UNITED STATES
Value-Mid Cap
1-415-670-2000
www.ishares.com
iShares Russell Midcap Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Russell MidcapValue Index.
UNITED STATES
iShares Russell Mid-Cap Value
BM
DE
WILLIAM HUNT GROSS "BILL"
Deutsche Bank AG
ProShare ProShare Advisors LLC Advisors LLC Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
DAVID KWAN
State Street Bank SSGA Funds TIM RYAN and Trust Co Management
1-800-983-0903
Municipal
2004
10/15/07
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SSGA Funds SSGA Funds Management Management
United States
Boston
Invesco PowerShares United States Capital Management LLC
Pacific Investment Management Co LLC
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard seCoopers Bank Group LLP
Vanguard Group
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
KENNETH E VOLPERT
Vanguard Group
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Company Telephone Number
Government/Agenc 1-877-437-9363 y-LT
Company's Web Security's Name Address
Fund's Description
Country
Direxion Daily 20-Year Treasury Bear 3X is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.direxionshar Direxion Daily 20 investment results of 300% of the inverse of the performance of the NYSE Current 20-Year U.S. Treasury Index. The Fund es.com Year Plus Tr invests in Financial In
Country FundChina
1-415-670-2000
www.ishares.com
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Short Short QQQ ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that om QQQ correspond to the inverse (opposite) of the daily performance of the NASDAQ-100 Index.
Growth & Income
1-800-983-0903
iShares MSCI China ETF
PowerShares www.powershare Buyback s.com Achievers
UNITED STATES
iShares MSCI China ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the UNITED STATES MSCI China Index.
PowerShares Buyback Achievers Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond with the Mergent Buyback Achievers Index, which tracks U.S. companies that have repurchased at least 5% or more of it's shar
UNITED STATES
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
US
US
US
US
BM
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC Charles
4/15/09
Manager's Country
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Manager's City Name
New York
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
Charles Schwab Investment United States Management Inc
San Francisco
Growth & Income
1-800-435-4000
Schwab US www.schwabetfs. Broad Market com ETF
Schwab U.S. Broad Market ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as UNITED STATES possible, before fees and expenses, the total return of the Dow Jones U.S. Broad Stock Market Index.
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Asset Backed Securities
1-415-670-2000
www.ishares.com
iShares MBS ETF
iShares MBS ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of investment-grade mortgage-backed pass-through securities issued and/or guaranteed by U.S. government UNITED STATES agencies.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock PARRY seCoopers and Trust Co Fund Advisors WANG LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Sector FundEnergy
1-630-765-8000
www.ftportfolios.c First Trust ISEom Revere Natural
First Trust ISE-Revere Natural Gas Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the ISE-Revere Natural Gas Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
9/13/07
SSGA Funds SSGA Funds Management Management
United States
Valley Forge
12/15/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Asian Pacific Ex Japan
1-415-670-2000
UNITED STATES
AGNES HONG
Bank of New York First Trust Mellon Corp/The Advisors LP
www.ishares.com
iShares MSCI All iShares MSCI All Country Asia ex-Japan ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment UNITED STATES Country Asia results that correspond to the price and yield performance of the MSCI All Country Asia ex-Japan Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
SPDR Nuveen Barclays Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield performance of the Barclays Municipal Managed Money Index, which tracks municipal bond securities issued by UNITED STATES state and l
US
US
State Street Bank and Trust Co
Ernst & Young
SPDR Dow Jones International Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to track as closely as possible, before fees and expenses, the total performance of the Dow Jones Global ex-U.S. Select Real Estate Se
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Municipal
1-866-787-2257
www.spdrs.com
SPDR Nuveen Barclays Municipal
Sector Fund-Real Estate
1-866-787-2257
www.spdrs.com
SPDR Dow Jones International R
Sector FundEnergy
1-877-437-9363
www.direxionshar Direxion Daily es.com Energy Bear 3X
Direxion Daily Energy Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the inverse (opposite) of the performance of the Energy Select Sector UNITED STATES Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Sector Fund-Real Estate
1-877-437-9363
www.direxionshar Direxion Daily es.com Real Estate Bul
Direxion Daily Real Estate Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the MSCI US REIT Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
UNITED STATES
State Street Bank SSGA Funds TIM RYAN and Trust Co Management
Govt/Corp High Yield
1-888-400-4383
www.pimcoetfs.c PIMCO 0-5 Year PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund is an exchange-traded fund incorporated in the om High Yield Corp USA. The Fund seeks to track the perfor mance of the BofA ML 0-5 Year US High Yield Constrained Index.
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Country FundRussia
1-415-670-2000
iShares MSCI www.ishares.com Russia Capped ETF
UNITED STATES
US
US
State Street Bank and Trust Co
Commodity
1-877-369-4617
PowerShares DB Crude Oil Double Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Crude Oil Doubl inverse (opposite) perf
UNITED STATES
US
DE
Deutsche Bank AG
Internet & Telecom 1-415-670-2000
iShares US iShares U.S. Telecommunications ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.ishares.com Telecommunicati results that correspond to the performance of the Dow Jones U.S. Select Telecommunications Index. The Fund will ons concentrate its investments
UNITED STATES
US
US
Growth & Income
iShares www.ishares.com International Select D
UNITED STATES
US
iShares MSCI iShares MSCI ACWI ex U.S. ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that UNITED STATES ACWI ex US ETF correspond to the performance of the MSCI ACWX Index.
1-415-670-2000
iShares MSCI Russia Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the MSCI Russia 25/50 Index.
iShares International Select Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dow Jones EPAC Select Dividend Index.
AMOS J ROGERS III
Deutsche Bank AG
Schwab Investment Management Inc
First Trust Advisors LP
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Pacific Investment Management Co LLC
VINEER BHANSALI
Pacific Investment Management Co LLC
BlackRock BlackRock Fund Fund Advisors Advisors
MARTIN KREMENSTE IN
Deutsche Bank AG
Deutsche Bank AG
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Rydex Investments
Rydex Investments
United States
Rockville
Barclays Capital Inc
Barclays Capital Inc
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
First Trust Advisors LP
United States
Lisle
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
US
State Street Bank and Trust Co
US
US
www.ishares.com
Global Debt
1-866-499-8473
www.vanguard.co Vanguard Total m International B
Vanguard Total International Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Barclays Global Aggregate ex-USD Float Adjusted RIC Capped Inde
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Currency
1-301-296-5100
www.rydexfunds. CurrencyShares com/etf Euro Trust
Euro Currency Trust is a grantor trust formed under the laws of the State of New York. The objective of the Trust is to reflect the price of the Euro. The Sponsor believes that, for many investors, the Shares represent a cost-effective investment in euro.
UNITED STATES
US
US
Bank of New York Mellon/The
Pricewaterhou Bank of New York Rydex seCoopers Mellon/The Investments LLP
Undefined Equity
1-212-528-7990
iPATH S&P 500 www.ipathetn.co VIX Mid-Term m Fut
iPATH S&P 500 VIX Mid-Term Futures ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of its underlying index, the S&P UNITED STATES 500 Mid-Term V
US
GB
Barclays Capital Inc
Vanguard Group Inc/The
MICHAEL P BYRUM
Geo Focus-Equity 1-415-670-2000
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Sector Fund-Utility 1-630-765-8000
First Trust www.ftportfolios.c Utilities om AlphaDEX
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Growth&IncomeSmall Cap
1-866-499-8473
Vanguard Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of www.vanguard.co Vanguard Smallthe CRSP U.S. Small Cap Index. The Fund invests all of its assets in the stocks that make up the Index, holding each stock UNITED STATES m Cap ETF in the sam
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard MICHAEL H seCoopers Bank Group Inc/The BUEK LLP
Sector FundTechnology
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Undefined Equity
1-855-353-9383
FlexShares www.flexshares.c FlexShares Morningstar Global Upstream Natural Resources Index Fund is an exchange-traded fund incorporated in the USA. Global Upstream om The Fund seeks to track the performance of the Morningstar Global Upstream Natural Resources Index. Nat
UNITED STATES
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
12/12/05
Barclays Capital Inc
iShares MSCI South Africa ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide iShares MSCI www.ishares.com investment results that correspond to the price and yield performance of publicly traded securities in the South African market, UNITED STATES South Africa ETF as measure
iShares U.S. Technology ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment iShares US results that correspond to the performance of the Dow Jones U.S. Technology Sector Index. The Fund will concentrate its Technology ETF investments in th
7/16/09
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
International Equity 1-415-670-2000
First Trust Utilities AlphaDEX is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the StrataQuant Utilities AlphaDEX Index.
11/03/09
Bank of New York First Trust Mellon Corp/The Advisors LP
Northern Trust JPMorgan Chase Investments Bank NA Inc
2004
First Trust Advisors LP
Northern Trust Northern Trust Investments Investments Inc Inc
Company Telephone Number
Region FundEuropean
Emerging MarketEquity
Company's Web Security's Name Address
iShares Europe ETF
1-415-670-2000
www.ishares.com
1-240-497-6400
ProShares www.proshares.c UltraShort MSCI om Emer
Fund's Description
Country
iShares Europe ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P Europe 350 Index. The Index measures the performance of the stocks of leading companies in UNITED STATES countries s
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
UltraShort MSCI Emerging Markets ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI Emerging Markets Index.
UNITED STATES
US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
Manager's City Name
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Geo Focus-Equity 1-415-670-2000
www.ishares.com
iShares MSCI Turkey ETF
iShares MSCI Turkey ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI Turkey Investable Market Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Financial Services 1-415-670-2000
www.ishares.com
iShares US Financials ETF
iShares U.S. Financials ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Financial Sector Index. The Fund will concentrate its investments in th
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Short ProShares Short Dow30 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that om Dow30 correspond to the inverse (opposite) of the daily performance of the Dow Jones Industrial Average.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Sector FundEnergy
1-415-670-2000
www.ishares.com
iShares North iShares North American Natural Resources ETF is an exchange-traded fund incorporated in the USA. The ETF's objective American Natural seeks investment results that correspond to the performance of the S&P North American Natural Resources Sector Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Undefined Equity
1-212-293-2000
www.vaneck.com
Market Vectors Agribusiness ET
Market Vectors Agribusiness ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond to the price and yield of the Market Vectors Global Agribusiness Index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
9/05/07
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
11/03/09
Charles Schwab Investment Management Inc
Charles Schwab Investment United States Management Inc
San Francisco
12/06/07
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Growth&IncomeLarge Cap
1-800-435-4000
www.schwabetfs. Schwab US com Large-Cap ETF
Schwab U.S. Large-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as possible, before fees and expenses, the total return of the Dow Jones U.S. Large-Cap Total Stock Market Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
HAO-HUNG LIAO "PETER" AGNES HONG
Municipal
1-212-293-2000
www.vaneck.com
Market Vectors Intermediate Mu
Market Vectors Intermediate Municipal ETF is an exchange-tradedfund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Capital AMT-Free Intermediate Continuous Municipals Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Bank of New York Ernst & Young Associates Mellon/The Corp
Country FundIndonesia
1-415-670-2000
www.ishares.com
iShares MSCI Indonesia ETF
iShares MSCI Indonesia ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI Indonesia Investable Market Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares MSCI Poland Capped Investable Market Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the MSCI Poland IMI 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC Invesco
Geo Focus-Equity 1-415-670-2000
Financial Services 1-800-983-0903
iShares MSCI www.ishares.com Poland Capped ETF
www.powershare PowerShares PowerShares Global Listed Private Equity Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks s.com Global Listed Priv investment results that correspond generally to the price and yield of the Global Listed Private Equity Index.
UNITED STATES
US
BM
Bank of New York Mellon/The
JAMES T COLBY III
Emerging MarketEquity
1-800-983-0903
PowerShares www.powershare DWA Emerging s.com Marke
PowerShares DWA Emerging Markets Technical Leaders Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dorsey Wright Emerging Markets Technical Leaders Index.
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Region Fnd-Asian Pacific
1-866-499-8473
www.vanguard.co Vanguard FTSE m Pacific ETF
Vanguard FTSE Pacific ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the FTSE Developed Asia Pacific Index. The Fund invests all of its assets in the stocks that make up the Index, holding each UNITED STATES stock in
US
US
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Pricewaterhou Bank of New York Vanguard PAUL M seCoopers Mellon Group Inc/The MALLOY LLP
Corporate/Preferre 1-866-499-8473 d
Vanguard www.vanguard.co Intermediatem Term Cor
Municipal
1-415-670-2000
www.ishares.com
iShares National AMT-Free Muni
Growth-Large Cap 1-415-670-2000
www.ishares.com
iShares S&P 500 iShares S&P 500 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that Growth ETF correspond generally to the price and yield performance of the S&P 500 Growth Index Fund.
Currency
1-301-296-5100
Vanguard Intermediate-Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital US 5-10 Year Corporate Bond Index.
UNITED STATES
US
US
Vanguard Group Inc/The
iShares National AMT-Free Muni Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of investment-grade U.S. municipal bonds.
UNITED STATES
US
US
State Street Bank and Trust Co
UNITED STATES
US
US
State Street Bank and Trust Co
www.rydexfunds. CurrencyShares CurrencyShares Japanese Yen Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the UNITED STATES com/etf Japanese Yen Tr price in USD of the Japanese Yen.
US
US
State Street Bank and Trust Co
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
2013
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Rydex Investments
Rydex Investments
United States
Rockville
Invesco PowerShares United States Capital Management LLC
Wheaton
State Street Bank BlackRock JOEL SILVA and Trust Co Fund Advisors Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP Rydex Investments
MICHAEL P BYRUM
2/13/07
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Charles Schwab Investment Management Inc
Powershares Wilderhill Clean Energy Portfolio is an exchange-traded fund incorporated in the USA. The Fund's investment objective seeks to correspond to the price and yield of the Wilderhill Clean Energy Index, a modified equal-weighted index.
UNITED STATES
US
Growth & Income
1-240-497-6400
ProShares www.proshares.c UltraPro Short om Dow30
ProShares UltraPro Short Dow30 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the inverse of the daily performance of the Dow Jones 30 Index.
UNITED STATES
US
iShares MSCI iShares MSCI EAFE Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results www.ishares.com EAFE Small-Cap UNITED STATES that correspond to the price and yield of the MSCI EAFE Small Cap Index. ET
US
BM
US
Financial Services 1-240-497-6400
www.proshares.c ProShares Ultra om Financials
International Equity 1-800-435-4000
Schwab www.schwabetfs. International com Equity ET
Schwab International Equity ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as UNITED STATES possible, before fees and expenses, the total return of the FTSE Developed ex-U.S. Index.
US
US
Charles Schwab Investment Management Inc
Sector FundTechnology
1-877-437-9363
www.direxionshar Direxion Daily es.com Semiconductors
Direxion Daily Semiconductors Bear 3x Shares is an exhange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% the inverse (opposite) of the performance of the Philadelphia Semiconductor
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Emerging MarketEquity
1-888-800-4347
EGShares www.egshares.co Emerging m Markets Cons
EGShares Emerging Markets Consumer ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Dow Jones Emerging Markets Consumer Titans Index.
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
iShares Cohen & iShares Cohen & Steers REIT ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks Steers REIT ET investment results that correspond to the performance of the Cohen & Steers Realty Majors Index.
2005
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Powershares www.powershare WilderHill Clean s.com E
UNITED STATES
Wheaton
Bank of New York Mellon/The
1-800-983-0903
Ultra Financials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Financials Index.
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
12/09
Invesco PowerShares Capital Management LLC
Environmentally Friendly
International Equity 1-415-670-2000
Vanguard MICHAEL H Group Inc/The BUEK
Invesco PowerShares United States Capital Management LLC
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
AGNES HONG
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
11/03/09
Charles Schwab Investment United States Management Inc
San Francisco
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
United States
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Govt/Agency-Short 1-888-400-4383 Term
PIMCO www.pimcoetfs.c Enhanced Short om Maturity
Health & Biotechnology
www.ftportfolios.c First Trust Health First Trust Health Care AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment om Care AlphaD results that correspond to the StrataQuant Health Care AlphaDEX Index.
1-630-765-8000
PIMCO Enhanced Short Maturity Exchange-Traded Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is to provide maximum current income, consistent with preservation of capital. The Fund is an actively managed ETF
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
JEROME SCHNEIDER
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
DANIEL J LINDQUIST
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
US
US
Bank of New York Mellon Corp/The
Commodity
1-877-369-4617
PowerShares DB Gold Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will provide www.DBXUS.co PowerShares DB investors with a cash payment at the scheduled maturity or early redemption, based on the inverse (opposite) performance of UNITED STATES m Gold Short ETN its underly
US
DE
Deutsche Bank AG
Country FundIndonesia
1-212-293-2000
www.vaneck.com
Market Vectors Indonesia Index ETF is an exchange traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the price and yield performance of the Market Vectors Indonesia Index. The Fund invests in at least 80% UNITED STATES of i
US
US
Van Eck Associates Corp
Commodity
1-877-369-4617
PowerShares DB Gold Double Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the performance of UNITED STATES m Gold Double Lon its underlying
US
DE
Deutsche Bank AG
Currency
1-240-497-6400
www.proshares.c ProShares om UltraShort Yen
ProShares UltraShort Yen is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance, whether positive or negative, of the U.S. Dollar UNITED STATES pric
US
1-415-670-2000
iShares www.ishares.com Transportation Average
iShares Transportation Average ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Transportation Average Index. T
Brown Brothers Harriman & Co
1/20/09
MARTIN KREMENSTE IN
ProShare TODD Advisors LLC JOHNSON
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
United States
Newport Beach
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Deutsche Bank AG
Deutsche Bank AG
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Charles Schwab Investment Management Inc
Charles Schwab Investment United States Management Inc
San Francisco
US
iShares MSCI Philippines ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the MSCI Philippines Investable Market Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
PowerShares Build America Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of an index called The BofA Merrill Lynch Build America Bond Index. The Fund i
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
11/17/09
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
SPDR S&P Biotech ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate the performance of the S&P Biotechnology Select Industry Index, an equal-weighed index. The Index tracks all the US common stocks listed on UNITED STATES the NYSE, Ame
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
2/06/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
iShares MSCI Spain Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of the MSCI Spain 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
www.ishares.com
Municipal
1-800-983-0903
PowerShares www.powershare Build America s.com Bond
Health & Biotechnology
1-866-787-2257
www.spdrs.com
Country FundSpain
1-415-670-2000
iShares MSCI www.ishares.com Spain Capped ETF
Health & Biotechnology
1-630-765-8000
www.ftportfolios.c First Trust NYSE First Trust NYSE Arca Biotechnology Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks om Arca Biotechn investment results that correspond to the price and yield of an equity index called the Amex Biotechnology Index.
iShares U.S. Regional Banks ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Regional Banks Index. iShares Russell 3000 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell 3000 Index. The Index measures the performance of the broad U.S. equity market.
Growth & Income
1-415-670-2000
www.ishares.com
Country FundThailand
1-415-670-2000
iShares MSCI iShares MSCI Thailand Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results www.ishares.com Thailand Capped that correspond to the performance of the MSCI Thailand IMI 25/50 Index. E Guggenheim Multi-Asset Income
SEI Investments Distribution Co
Pacific Investment Management Co LLC
US
Country FundPhilippines
iShares Russell 3000 ETF
Deutsche Bank AG
05/07
MARTIN KREMENSTE IN HAO-HUNG LIAO "PETER"
Pacific Investment Management Co LLC
UNITED STATES
US
US
SSgA Funds State Street Bank Management and Trust Co Inc
AGNES HONG
JOHN A TUCKER
11/03/09
BlackRock BlackRock Fund Fund Advisors Advisors
Bank of New York First Trust Mellon Corp/The Advisors LP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
US
Global X SuperDividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of UNITED STATES the Solactive Global SuperDividend Index.
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
ProShares www.proshares.c UltraShort FTSE/Xinhua China 25 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment UltraShort FTSE UNITED STATES om results that correspond to the performance of 200% the inverse (opposite) of the FTSE/Xinhua China 25 Index. Chin
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
1-888-949-3837
www.guggenhei mfunds.com
Global Equity
1-212-644-6622
Global X www.globalxfund SuperDividend s.com ETF
Country FundChina
1-240-497-6400
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
First Trust Advisors LP
Guggenheim Multi-Asset Income Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Zacks Multi-Asset Income Index, which is comprised of 125 to 150 securities with superior risk- UNITED STATES return pote
Global Equity
Manager's City Name
UNITED STATES
www.schwabetfs. Schwab US com Small-Cap ETF
Financial Services 1-415-670-2000
US
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Manager's Country
Schwab U.S. Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as possible, before fees and expenses, the total return of the Dow Jones U.S. Small-Cap Total Stock Market Index.
1-800-435-4000
iShares US www.ishares.com Regional Banks ETF
UNITED STATES
Deutsche Bank AG
Fund's Management Company
Fund's Manager Start Date
Charles Schwab Investment Management Inc
Growth&IncomeSmall Cap
SPDR S&P Biotech ETF
Fund's Manager
DE
First Trust Financial AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the StrataQuant Financial AlphaDEX Index.
iShares MSCI Philippines ETF
Fund's Investment Advisor
US
First Trust www.ftportfolios.c Financial om AlphaDEX
Undefined Equity
Fund's Custodian
UNITED STATES
Financial Services 1-630-765-8000
Market Vectors Indonesia Index
Fund's Auditor
Global X Management Co LLC
BRUNO DEL AMA
1/17/12
Global X Management Co LLC
Lisle
Global X Management Co LLC
United States
Bethesda
Aggressive Growth 1-415-670-2000
www.ishares.com
iShares High Dividend ETF
iShares High Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Morningstar Dividend Yield Focus Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Growth-Mid Cap
1-415-670-2000
www.ishares.com
iShares Russell Mid-Cap Growth
iShares Russell Midcap Growth ETF is an exchange traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses of the Russell Midcap Growth Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
Fort Worth
1-415-670-2000
iShares www.ishares.com Intermediate Credit Bo
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Charles Schwab Investment Management Inc Charles
Charles Schwab Investment United States Management Inc
San Francisco
Corp/Pref-Inv Grade
iShares Intermediate Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated, investment-grade corporate, sovereign, supranational, local authority a
UNITED STATES
US
US
Growth&IncomeLarge Cap
1-800-435-4000
Schwab US www.schwabetfs. Dividend Equity com ETF
Schwab US Dividend Equity ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Dow Jones Dividend 100 Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
FERIAN JUWONO
Emerging MarketEquity
1-800-435-4000
Schwab www.schwabetfs. Emerging com Markets Equity
Schwab Emerging Markets Equity ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as possible, before fees and expenses, the total return of the FTSE Emerging Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
AGNES HONG
Undefined Equity
1-415-670-2000
www.ishares.com
iShares U.S. Industrials ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Industrial Sector Index. The Fund will concentrate its investments in
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
iShares U.S. Industrials ETF
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Schwab Investment Management Inc
Charles Schwab Investment Management Inc
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
1-877-843-3831
www.advisorshar Ranger Equity es.com Bear ETF
AdvisorShares Ranger Equity Bear ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective UNITED STATES is capital appreciation through short sales of domestically traded equity securities.
Sector Fund-Real Estate
1-240-497-6400
ProShares www.proshares.c UltraShort Real om Esta
ProShares UltraShort Real Estate is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Real Estate Index.
UNITED STATES
US
Health & Biotechnology
1-415-670-2000
www.ishares.com
iShares U.S. Healthcare ETF
iShares U.S. Healthcare ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Healthcare Sector Index. The Fund will concentrate its investments in t
UNITED STATES
US
Contrarian
US
US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Manager's City Name
Advisorshares Advisorshares Investments United States Investments LLC LLC
Bethesda
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Bank of New York Mellon
Tait Weller & Baker LLP
Advisorshares Bank of New York JOHN DEL Investments Mellon VECCHIO LLC
Manager's Country
Commodity
1-212-528-7990
iPATH Dow Jones-UBS Commodity Index Total Return ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its m UBS Commodity underlying index, the Do
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Undefined Equity
1-630-765-8000
First Trust www.ftportfolios.c Consumer om Discretio
First Trust Consumer Discretionary AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the StrataQuant Consumer Discretionary AlphaDEX Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Undefined Equity
1-630-765-8000
First Trust www.ftportfolios.c Consumer om Staples A
First Trust Consumer Staples AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the StrataQuant Consumer Staples AlphaDEX Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Growth & Income1-866-499-8473 Mid Cap
www.vanguard.co Vanguard Midm Cap ETF
Vanguard Mid-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the CRSP U.S. Mid Cap Index. The Fund invests all of its assets in the stocks that make up the Index, holding each stock in the UNITED STATES same prop
US
US
Vanguard Group
Pricewaterhou DONALD M JPMorgan Chase Vanguard seCoopers BUTLER Bank Group Inc/The LLP "DON"
United States
Valley Forge
Emerging MarketEquity
WisdomTree www.wisdomtree. Emerging com Markets Sm
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Sector Fund-Real Estate
Global Equity
1-212-896-1249
1-877-437-9363
1-800-983-0903
www.direxionshar Direxion Daily es.com Real Estate Bea
WisdomTree Emerging Markets SmallCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree Emerging Markets SmallCap Dividend Index.
Direxion Daily Real Estate Bear 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% the inverse (opposite) of the performance of the MSCI US REIT Index.
PowerShares PowerShares DWA Developed Markets Technical Leaders Portfolio is an exchange-traded fund incorporated in the USA. The www.powershare DWA Developed Fund seeks investment results that correspond to the price and yield of the Dorsey Wright Developed Markets Technical s.com Mark Leaders Index.
UNITED STATES
UNITED STATES
US
US
US
US
2004
WisdomTree Asset Management Inc
KAREN Q. WONG
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Vanguard Vanguard Group Group Inc/The Inc/The
7/16/09
WisdomTree Asset United States Management Inc
New York
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Invesco PowerShares Capital Management LLC
Wheaton
Invesco PowerShares United States Capital Management LLC
Financial Services 1-866-499-8473
www.vanguard.co Vanguard m Financials ETF
Vanguard Financials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI US Investable Market Financials Index. The Fund invests all of its assets in the stocks that make up the Index, holding UNITED STATES each s
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard JEFFREY D Group Inc/The MILLER
2010
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Global Equity
www.vanguard.co Vanguard Total Vanguard Total World Stock ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES m World Stock ETF correspond to the price and yield performance of the FTSE Global All Cap Index.
US
US
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard CHRISTINE D 2013 Group Inc/The FRANQUIN
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
SPDR S&P International Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the price and yield performance of the S&P International Dividend Opportunities UNITED STATES Inde
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds United States Management Inc
Valley Forge
ProShares Ultra Dow30 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones Industrial Average.
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & BlackRock GREG seCoopers Trust Co/Boston Fund Advisors SAVAGE LLP MA
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2013 Mellon Group Inc/The LLP N "JOSH"
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Invesco PowerShares Capital Management LLC
1-866-499-8473
SPDR S&P International Dividen
International Equity 1-866-787-2257
www.spdrs.com
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Ultra om Dow30
1-415-670-2000
iShares S&P iShares S&P GSCI Commodity-Indexed Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is www.ishares.com GSCI Commodity that it's performance will correspond generally to the performance of the S&P GSCI Total Return Index. The Fund invests in a Ind diversified g
Commodity
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com Chile Capped ETF
Govt/AgencyST/Inter
1-888-400-4383
www.pimcoetfs.c PIMCO 1-5 Year PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund is an exchanged-traded fund incorporated in the USA. The Fund's om U.S. TIPS Index objective is provide total return that closely corresponds to the total return of its index.
Asset Backed Securities
1-866-499-8473
Growth&IncomeSmall Cap
1-800-983-0903
UNITED STATES
UNITED STATES
US
US
US
State Street Bank and Trust Co
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Vanguard www.vanguard.co Vanguard Mortgage-Backed Securities ETF is an exchange-traded funds incorporated in the USA. The Fund seeks to track the Mortgage-Backed UNITED STATES m performance of the Barclays Capital US MBS Float Adjusted Index. Secur
US
US
Vanguard Group Inc/The
PowerShares www.powershare DWA SmallCap s.com Techn
iShares MSCI Chile Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that UNITED STATES correspond to the MSCI Chile IMI 25/50 Index.
US
PowerShares DWA SmallCap Technical Leaders Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the Dorsey Wright SmallCap Technical
JOHN A TUCKER
VINEER BHANSALI
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
2/19/08
8/21/09
7/19/12
SSgA Funds Management Inc
Invesco PowerShares United States Capital Management LLC
Growth & Income1-415-670-2000 Mid Cap
www.ishares.com
iShares Russell Mid-Cap ETF
iShares Russell Midcap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell Midcap Index. The Index is a capitalization-weighted index consisting of the 800 UNITED STATES smallest c
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Government/Agenc 1-866-787-2257 y
www.spdrs.com
SPDR Barclays International Tr
SPDR Barclays International Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Global Treasury ex-US Capped Index.
US
US
State Street Bank and Trust Co
Ernst & Young
Sector FundTechnology
Vanguard www.vanguard.co Information m Technolog
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard JEFFREY D Group Inc/The MILLER
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard Group Inc/The
Vanguard Vanguard Group Group Inc/The Inc/The
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
1-866-499-8473
Vanguard Information Technology Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI US Investable Market Information Technology Index. The Fund invests all of its assets in the stocks that ma
UNITED STATES
UNITED STATES
US
US
International Equity 1-866-499-8473
www.vanguard.co Vanguard Total m International S
Vanguard Total International Stock Index Fund ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the FTSE Global All Cap ex US Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Commodity
1-877-583-5624
VelocityShares 3x Long Gold ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash www.velocityshar VelocityShares 3x payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P GSCI速 es.com Long Gold ET Gold Index Exce
UNITED STATES
US
CH
Credit Suisse Securities LLC
Growth&IncomeSmall Cap
1-240-497-6400
www.proshares.c ProShares Short ProShares Short S&P SmallCap600 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment om SmallCap600 results that correspond to the inverse (opposite) of the daily performance of the S&P SmallCap 600 Index.
UNITED STATES
US
Undefined Equity
1-630-765-8000
First Trust www.ftportfolios.c First Trust Industrials/Producer Durables AlphaDEXTM Fund is an exchange-traded fund incorporated in the USA. The Fund Industrials/Produ om seeks investment results that correspond to the StrataQuantIndustrials AlphaDEX. c
UNITED STATES
US
US
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
Wheaton
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
10/05/07
SSGA Funds SSGA Funds Management Management
United States
Boston
2010
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
Company Telephone Number
Sector FundEnergy
1-888-949-3837
Company's Web Security's Name Address
www.guggenhei mfunds.com
Guggenheim Solar ETF
UNITED STATES
US
Credit Suisse The Credit Suisse Cushing 30 MLP Index ETN is an exchange-traded note issued in the USA. The ETN is designed to provide Cushing 30 MLP investors with exposure to the MLP equity sector via an equal-weighted index methodology as represented by the Cushing 30 UNITED STATES I MLP Index. T
US
CH
Credit Suisse Securities USA LLC
1-212-538-7333
www.creditsuisse.com/etn
Aggressive Growth 1-630-765-8000
First Trust www.ftportfolios.c Morningstar om Divide
Geo Focus-Equity 1-212-293-2000
www.vaneck.com
Internet & Telecom 1-630-765-8000
www.ftportfolios.c First Trust Dow om Jones Internet
Market Vectors Vietnam ETF
Guggenheim BulletShares 2015 C
Fund's Custodian
Fund's Investment Advisor
SEI Investments Distribution Co
Brown Brothers Harriman & Co
United States
Bethesda
Credit Suisse AG
Credit Suisse Credit Suisse AG United States AG
New York
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
First Trust Advisors LP
First Trust Advisors LP
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Market Vectors Vietnam ETF is an exchange traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the price and yield performance of the Market Vectors Vietnam Index. The Fund invests at least 80% of its total asse
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
First Trust Dow Jones Internet Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of an equity index called Dow Jones Internet Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
US
State Street Bank and Trust Co
SSgA Funds State Street Bank Management and Trust Co Inc
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Sector Fund-Real Estate
1-866-787-2257
www.spdrs.com
UNITED STATES
US
Sector Fund-Real Estate
1-866-787-2257
www.spdrs.com
SPDR Dow Jones Global Real Est
UNITED STATES
Govt/Agency-Short 1-855-353-9383 Term
www.flexshares.c FlexShares iBoxx FlexShares iBoxx 3-Year Target Duration TIPS Index Fund is an exchange-traded fund incorporated in the USA. The Fund om 3-Year Target seeks to track the performance of the iBoxx 3-Year Target Duration TIPS Index.
UNITED STATES
US
Growth&IncomeSmall Cap
1-240-497-6400
ProShares www.proshares.c UltraPro om Russell2000
UNITED STATES
US
Sector FundEnergy
1-877-ETRACS5
ETRACS Alerian MLP Infrastructure Index ETN is an exchange-traded note issued in the USA. The Notes will provide www.ubs.com/e- ETRACS Alerian investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES tracs MLP Infrastruct the Alerian MLP
US
ProShares UltraPro Russell2000 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the daily performance of the Russell 2000 Index.
Powershares DWA Technical Leaders Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to an equity index called the Dorsey Wright Technical Leaders Index, which is constructed pursuant
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Bingham McCutchen LLP
DE
CH
8/14/09
Bank of New York First Trust Mellon Corp/The Advisors LP
KPMG
SPDR Dow Jones Reit ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks to replicate as SPDR Dow closely as possible, before expenses, the performance of the Wilshire REIT Index. The Fund will generally invest in all of the Jones REIT ETF REITs co SPDR Dow Jones Global Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dow Jones Global Select Real Estate Securities Index.
HAO-HUNG LIAO "PETER"
Bank of New York Mellon/The
US
1/17/12
Bank of New York First Trust Mellon Corp/The Advisors LP
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
www.dbfunds.db. PowerShares DB PowerShares DB Base Metals Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the com Base Metals Fun DBIQ Optimum Yield Industrial Metals Index Excess Return.
UNITED STATES
US
1/17/12
United States
Lisle
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
Deutsche Bank AG
Deutsche Bank AG
New York
SSgA Funds United States Management Inc
Boston
SSgA Funds United States Management Inc
Boston
AMOS J ROGERS III
4/27/01
SSgA Funds Management Inc
SOPHIA BANAR
10/31/11
SSgA Funds Management Inc
Northern Trust JPMorgan Chase Investments Bank NA Inc
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
UBS UBS Securities Securities LLC LLC
United States
Stamford
Invesco PowerShares United States Capital Management LLC
Wheaton
Invesco PowerShares Capital Management LLC
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
UNITED STATES
US
BM
Bank of New York Mellon/The
ETRACS Monthly Pay 2xLeveraged Mortgage REIT ETN is an exchange-traded note issued in the USA. The ETN will provide www.ubs.com/e- ETRACS Monthly Closed-end Funds 1-877-ETRACS5 investors with a cash payment at the scheduled maturity or early redemption based on the performance of the Market Vectors UNITED STATES tracs Pay 2xLeveraged Global Mortgage
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Euroclear
Swedish Export Credit Corp - S
Swedish Export Credit Corp - SEK
Growth & Income
1-800-983-0903
ELEMENTS Linked to the Rogers
ELEMENTS Linked to the Rogers International Commodity Index - Agriculture Total Return is an exchange-traded note issued in the USA by Swedish Credit Corp. The Notes will provide investors with a cash payment at the scheduled maturity or early UNITED STATES redemption
US
Commodity
1-877-ETNADVICE
www.ELEMENT Setn.com
Sector Fund-Real Estate
1-240-497-6400
www.proshares.c ProShares Ultra om Real Estate
Ultra Real Estate ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that UNITED STATES correspond to twice (200%) the daily performance of the Dow Jones U.S. Real Estate Index.
US
Balanced
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ US om Multi-As
First Trust NASDAQ Multi-Asset Diversified Income Index Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is invesment results that correspond to the price and yield of the NASDAQ US Multi-Asset Diversified Income UNITED STATES Index.
US
Country FundSweden
1-415-670-2000
www.ishares.com
iShares MSCI Sweden ETF
iShares MSCI Sweden ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide investment results that correspond to the performance of publicly traded securities in the Swedish market, as measured by the UNITED STATES MSCI Sweden Inde
US
Swedish Export United States Credit Corp - SEK
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares Capital Management LLC
Brown Brothers Harriman & Co
First Trust Advisors LP
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Growth & Income
1-866-499-8473
Vanguard Vanguard Extended Market ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to match the www.vanguard.co Extended Market performance of the benchmark index that measures the investment return of small- and mid-cap stocks. The Fund employs a UNITED STATES m ETF passive manageme
US
US
Vanguard Group
Pricewaterhou DONALD M JPMorgan Chase Vanguard seCoopers BUTLER Bank Group Inc/The LLP "DON"
International Equity 1-800-983-0903
PowerShares International Dividend Achievers Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare PowerShares investment results that correspond to the International Dividend Achievers Index, which tracks ADRs that have increased their UNITED STATES s.com International Divi annual
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Currency
www.rydexfunds. CurrencyShares com/etf Australian Doll
US
US
UNITED STATES
Stamford
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
PowerShares www.powershare KBW Bank s.com Portfolio
CurrencyShares Australian Dollar Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the price in USD of the Australian Dollar.
United States
JPMorgan Investor Services Co
Financial Services 1-800-983-0903
1-301-296-5100
PowerShares KBW Bank Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the KBW Bank Index (the "Underlying Index"). The Fund will
US
United States
Northern Trust Northern Trust Investments Investments Inc Inc
UBS Securities LLC
UBS Securities LLC
Manager's City Name
ProShare ProShare Advisors LLC Advisors LLC
US
US
Manager's Country
ProShare TODD Advisors LLC JOHNSON
US
UNITED STATES
Fund's Management Company
Fund's Manager Start Date
Lisle
UNITED STATES
Guggenheim BulletShares 2015 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
Fund's Manager
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
First Trust Morningstar Dividend Leaders Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of an equity index called the Morningstar Dividend Leaders Index.
1-877-369-4617
Powershares www.powershare DWA Technical s.com Lead
US
Fund's Auditor
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
ProShares UltraShort Silver is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of its corresponding benchmark. The Fund tracks the
Sector FundEnergy
Commodity
Fund's Administrator
US
www.proshares.c ProShares om UltraShort Silver
www.guggenhei mfunds.com
Ultimate Country of Country of Incorporation Incorporation of Parent Company
UNITED STATES
1-240-497-6400
1-888-949-3837
Country
Guggenheim Solar Energy Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the MAC Global Solar Energy Index.
Commodity
Corp/Pref-Inv Grade
Fund's Description
Rydex Investments
MICHAEL P BYRUM
Growth & Income1-800-435-4000 Mid Cap
www.schwabetfs. Schwab U.S. Mid- Schwab US Mid-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of com Cap ETF the Dow Jones US Mid-Cap Total Stock Market Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Sector FundTechnology
1-877-437-9363
www.direxionshar Direxion Daily es.com Semiconductors
Direxion Daily Semiconductors Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the Philadelphia Semiconductors Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Commodity
1-240-497-6400
www.proshares.c ProShares om UltraShort Gold
ProShares UltraShort Gold is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of its corresponding benchmark. The Fund tracks the d
UNITED STATES
US
SEI Investments Distribution Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Brown Brothers Harriman & Co
AGNES HONG
ProShare TODD Advisors LLC JOHNSON
1997
First Trust Advisors LP
Invesco PowerShares United States Capital Management LLC
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Wheaton
Valley Forge
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
6/20/06
Rydex Investments
Rydex Investments
Rockville
1/13/11
Charles Schwab Investment Management Inc
Charles Schwab Investment Management Inc
United States
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
ProShare ProShare Advisors LLC Advisors LLC
Bethesda
United States
Company Telephone Number
Govt/Corp High Yield
Commodity
1-866-787-2257
1-240-497-6400
Company's Web Security's Name Address
www.spdrs.com
Fund's Description
Country
SPDR Blackstone SPDR Blackstone/GSO Senior Loan ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund / GSO Senior L seeks to provide current income consistent with the preservation of capital.
www.proshares.c ProShares Ultra om DJ-UBS Natural
ProShares Ultra DJ-UBS Natural Gas is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the performance of the Dow Jones-UBS Natural Gas Sub-Index.
UNITED STATES
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
State Street Corp
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
LEE M SHAIMAN
Fund's Management Company
Fund's Manager Start Date
04/13
SSgA Funds Management Inc
10/04/11
ProShare ProShare Advisors LLC Advisors LLC
Manager's Country
SSgA Funds United States Management Inc
Manager's City Name
Boston
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
Internet & Telecom 1-800-983-0903
Powershares www.powershare Dynamic Media s.com Port
PowerShares Dynamic Media Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Media Intellidex Index, a fundamentally-weighted index. Securities UNITED STATES shown to po
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Growth-Small Cap 1-415-670-2000
iShares S&P www.ishares.com Small-Cap 600 Grow
iShares S&P SmallCap 600 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P SmallCap 600/BARRA Growth Index. The Fund uses a Replication Strategy to track the In
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Precious Metals
1-212-644-6622
www.globalxfund Global X Silver s.com Miners ETF
The Global X Silvers Miners ETF is an exchange-traded fund incorporated in the USA. The seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Global Silver Miners Inde
UNITED STATES
US
4/20/10
Global X Management Co LLC
Global X Management Co LLC
United States
New York
Growth&IncomeLarge Cap
1-866-499-8473
Vanguard Large-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of www.vanguard.co Vanguard Largethe CRSP U.S. Large Cap Index. The Fund invests all of its assets in the stocks that make up the Index, holding each stock in UNITED STATES m Cap ETF the same p
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard RYAN E seCoopers Bank Group Inc/The LUDT LLP
2004
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Health & Biotechnology
1-866-499-8473
Vanguard Health Care ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of www.vanguard.co Vanguard Health the MSCI US Investable Market Health Care Index. The Fund invests all of its assets in the stocks that make up the Index, m Care ETF holding each
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
2004
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
United States
New York
Geo Focus-Equity 1-212-644-6622
Global X FTSE Colombia 20 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment www.globalxfund Global X FTSE results that correspond generally to the price and yield performance, before fees and expenses, of the FTSE Colombia 20 UNITED STATES s.com Colombia 20 ETF Index.
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BulletShares 2015 H
Corp/Pref-Inv Grade
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BulletShares 2016 C
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares om UltraPro Dow30
Country FundNetherlands
1-415-670-2000
www.ishares.com
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
2/06/09
Global X Management Co LLC
1/17/12
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
BRUNO DEL AMA
Guggenheim BulletShares 2016 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
ProShares UltraPro Dow30 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the daily performance of the Dow Jones 30 Index.
UNITED STATES
US
iShares MSCI Netherlands ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide iShares MSCI investment results that correspond to the performance of publicly traded securities in the Dutch market as measured by the Netherlands ETF MSCI Netherlan
UNITED STATES
US
1-866-787-2257
www.spdrs.com
1-415-670-2000
iShares PHLX www.ishares.com Semiconductor ETF
Govt/Agency-Short 1-800-435-4000 Term
Schwab Shortwww.schwabetfs. Term U.S. com Treasur
Growth-Mid Cap
www.ishares.com
SPDR S&P China ETF
US
Global X Management Co LLC
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares United States Capital Management LLC
Wheaton
SSgA Funds United States Management Inc
Boston
PowerShares FTSE RAFI US 1000 Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the FTSE RAFI US 1000 Index, which tracks stocks based on four UNITED STATES fundamental measures of
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
Invesco PowerShares Capital Management LLC
SPDR S&P China ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P China BMI Index. The Index measures publicly traded companies domiciled in China, but legally available to foreign inves
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
3/19/07
SSgA Funds Management Inc
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Charles Schwab Investment Management Inc
UNITED STATES
iShares PHLX Semiconductor ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks investment UNITED STATES results that correspond to the performance of the PHLX Semiconductor Sector Index.
Schwab Short-Term U.S. Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track investment results of the Barclays U.S. 1-3 Year Treasury Bond Index.
iShares S&P MidCap 400 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks iShares S&P Midinvestment results that correspond to the performance of the S&P MidCap 400 Growth Index. The Fund uses a replication Cap 400 Growth strategy to track the In
US
JOHN A TUCKER
United States
San Francisco
Charles Schwab Investment United States Management Inc
San Francisco
UNITED STATES
US
US
Charles Schwab Investment Management Inc
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors WisdomTree Asset Management Inc
MATTHEW HASTINGS
United States
San Francisco
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
iShares S&P MidCap 400 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results iShares S&P Midthat correspond to the performance of the S&P MidCap 400/Citigroup Value Index. The Fund uses a Replication strategy to UNITED STATES Cap 400 Value track the Inde
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
ProShare TODD Advisors LLC JOHNSON
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Market NeutralEquity
1-212-896-1249
WisdomTree www.wisdomtree. Europe Hedged com Equit
Value-Mid Cap
1-415-670-2000
www.ishares.com
Sector FundTechnology
1-630-765-8000
First Trust www.ftportfolios.c Technology om AlphaDE
Value-Large Cap
1-630-765-8000
www.ftportfolios.c First Trust Value First Trust Value Line Dividend Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the om Line Dividen performance of the Value Line Dividend Index.
WisdomTree Europe Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree Europe Hedged Equity Index. The Fund seeks to provide exposure to European stoc
First Trust Technology AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the StrataQuant Technology AlphaDEX Index.
International Equity 1-415-670-2000
iShares MSCI EAFE Value ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that iShares MSCI www.ishares.com correspond to the performance of the 20 countries within Europe, Australia and the Far East, as measured by the Morgan EAFE Value ETF Stanley Capital I
Health & Biotechnology
Powershares www.powershare Dynamic s.com Pharmaceut
PowerShares Dynamic Pharmaceuticals Portfolio is an exchange-traded funds incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Pharamaceuticals Intellidex Index, which thoroughly evaluates based
UNITED STATES
US
Govt/Agency-Inter 1-240-497-6400 Term
ProShares www.proshares.c UltraShort om Lehman 7-
ProShares UltraShort Lehman 7-10 Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Barclays Capital US Treasury: 7-10
UNITED STATES
US
JPMorgan Investor Services Co
Commodity
www.proshares.c ProShares Ultra om Gold
ProShares Ultra Gold is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the daily performance, whether positive or negative, of its corresponding benchmark. The Fund tracks the d
UNITED STATES
US
SEI Investments Distribution Co
www.proshares.c ProShares Short Short MSCI EAFE ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that om MSCI EAFE correspond to the inverse (opposite) of the daily performance of the MSCI EAFE Index.
UNITED STATES
US
JPMorgan Investor Services Co
International Equity 1-240-497-6400
Global X Management Co LLC
US
Country FundChina
1-240-497-6400
Vanguard RYAN E Group Inc/The LUDT
US
Powershares www.powershare FTSE RAFI US s.com 1000
1-800-983-0903
BRUNO DEL AMA
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
1-800-983-0903
1-415-670-2000
Global X Management Co LLC
Guggenheim BulletShares 2015 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2015 Index.
Growth&IncomeLarge Cap
Sector FundTechnology
UNITED STATES
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
UNITED STATES
US
US
BM
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Brown Brothers Harriman & Co
THOMAS J DURANTE
WisdomTree Asset United States Management Inc
Invesco PowerShares United States Capital Management LLC
New York
Wheaton
Company Telephone Number
Company's Web Security's Name Address
iShares India 50 ETF
Country Fund-India 1-415-670-2000
www.ishares.com
Growth & Income
iShares Core www.ishares.com S&P Total US Stoc
Balanced
1-415-670-2000
1-800-983-0903
PowerShares www.powershare CEF Income s.com Composi
Fund's Description
Country
iShares India 50 ETF is an exchange-traded fund incorporated in the USA. The fund seeks investment results that correspond UNITED STATES to the price and yield performance of the CNX Nifty Index. iShares Core S&P Total US Stock Market ETF is an exchange-traded fund incorporated in the USA. The Fund is designed to track the S&P 1500 Index, which combines the S&P 500, S&P MidCap 400 and the S&P SmallCap 600 Indices, and represents approximately 90%
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
Manager's City Name
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
PowerShares CEF Income Composite Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the index UNITED STATES called
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York JEFF seCoopers PowerShares Mellon/The KERNAGIS LLP Capital Ma
Financial Services 1-866-787-2257
www.spdrs.com
SPDR S&P Insurance ETF
SPDR S&P Insurance ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks to replicate the performance of the S&P Insurance Select Industry Index. The Index itself is a float adjusted modified-market capitalization weighted ind
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
11/15/05
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Emerging MarketEquity
www.spdrs.com
SPDR S&P Emerging Markets Divi
SPDR S&P Emerging Markets Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Emerging Markets Dividend Opportunities Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
2/24/11
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Corp/Pref-Inv Grade
1-866-787-2257
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BulletShares 2014 C
Guggenheim BulletShares 2014 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Govt/Agency-Short 1-866-499-8473 Term
www.vanguard.co Vanguard Shortm Term Inflation-
Vanguard Short-Term Inflation-Protected Securities Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Barclays U.S. Treasury Inflation- UNITED STATES Protec
US
US
Vanguard Group Inc/The
Emerging MarketEquity
1-630-765-8000
First Trust www.ftportfolios.c Emerging om Markets A
First Trust Emerging Markets AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Emerging Markets Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Sector Fund-Real Estate
1-415-670-2000
iShares www.ishares.com International Develope
iShares International Developed Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the FTSE EPRA/NAREIT Global Real Estate ex-US Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
JPMorgan Chase Vanguard Bank Group Inc/The
Vanguard Vanguard Group Group Inc/The Inc/The
Brown Brothers Harriman & Co
First Trust Advisors LP
First Trust Advisors LP
Lisle
First Trust Advisors LP
United States
San Francisco
Closed-end Funds 1-800-983-0903
PowerShares High Yield Equity Dividend Achievers Portfolio is an exchange-traded fund incorporated in the USA. The Fund www.powershare PowerShares seeks investment results that correspond generally to the price and yield of the Dividend Achievers 50 Index, which is s.com High Yield Equity composed of the
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Value-Small Cap
iShares S&P www.ishares.com Small-Cap 600 Valu
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Sector Fund-Utility 1-866-499-8473
Vanguard Utilities ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the www.vanguard.co Vanguard Utilities MSCI US Investable Market Utilities Index. The Fund invests all of its assets in the stocks that make up the Index, holding each UNITED STATES m ETF stoc
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
2010
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Undefined Equity
1-866-787-2257
www.spdrs.com
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
9/13/10
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Oil Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the DBIQ com Oil Fund Optimum Yield Crude Oil Index Excess Return.
US
DE
Bank of New York Mellon/The
KPMG
Deutsche Bank AG
Deutsche Bank AG
United States
New York
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
SSGA Funds SSGA Funds Management Management
United States
Boston
United States
San Francisco
1-415-670-2000
SPDR S&P Global Natural Resour
iShares S&P SmallCap 600 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P SmallCap 600 Value Index. The Fund uses a Representative sampling strategy to track the
SPDR S&P Global Natural Resources ETF is an exchanged-traded fund incorporated in the United States. The Fund seeks to track the performance of the S&P Global Natural Resources Index which tracks the global natural resources and commodities UNITED STATES businesses.
iShares MSCI iShares MSCI Europe Financials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that Europe Financials correspond generally to the price and yield performance of the MSCI Europe Financial Sector Index.
Financial Services 1-415-670-2000
www.ishares.com
Growth-Small Cap 1-866-499-8473
Vanguard Small-Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.vanguard.co Vanguard Smallperformance of the CRSP U.S. Small Cap Growth Index. The Fund invests all of its assets in the stocks that make up the m Cap Growth ETF Index holding each stock
Sector FundEnergy
www.ftportfolios.c First Trust North om American Ene
1-630-765-8000
UNITED STATES
UNITED STATES
US
US
Vanguard MICHAEL D Group Inc/The EYRE
JOHN A TUCKER
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
Invesco PowerShares United States Capital Management LLC
UNITED STATES
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
First Trust North American Energy Infrastructure Fund is an exchange-traded fund incorporated in the USA. The fund will invest in publicly-traded master limited partnerships ("MLPs"), MLP affiliates, Canadian income trusts, pipeline companies, utilities,
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
SPDR DB International Government Inflation-Protected Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the DB Global Government ex-US Inflation-Linked Bond Capped Index
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds MAX and Trust Co Management DESANTIS
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock JENNIFER seCoopers and Trust Co Fund Advisors HSUI LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares PHILIP FANG 12/09 Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Government/Agenc 1-866-787-2257 y
www.spdrs.com
SPDR DB International Governme
International Equity 1-415-670-2000
www.ishares.com
iShares MSCI iShares MSCI Frontier 100 ETF is an exchange traded fund incorporated in the USA. The ETF tracks the MSCI Frontier Frontier 100 ETF Markets 100 Index.
2004
JAMES MURCHIE "JIM"
First Trust Advisors LP
8/08/11
First Trust Advisors LP
Invesco PowerShares United States Capital Management LLC
Municipal
1-800-983-0903
PowerShares www.powershare VRDO Tax Free s.com Week
PowerShares VRDO Tax-Free Weekly Portfolio is an exchange-traded fund incorporated in the USA. It invests at least 80% of its total assets in variable rate demand obligation (VRDO) bonds that are exempt from federal income tax with interest rates UNITED STATES that are
US
Sector FundEnergy
1-240-497-6400
ProShares www.proshares.c UltraShort Oil & om Gas
UltraShort Oil & Gas ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Oil & Gas Index.
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Charles Schwab Investment Management Inc
Schwab US REIT ETF is an exchange-traded fund incorporated in the USA. The Fund seeks performance results that correspond to the price and yield performance of the Dow Jones US Select REIT Index.
BM
Wheaton
United States
Bethesda
Charles Schwab Investment Management Inc
Sector Fund-Real Estate
1-800-435-4000
www.schwabetfs. Schwab U.S. com REIT ETF
Currency
1-877-369-4617
PowerShares DB G10 Currency Harvest Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track www.dbfunds.db. PowerShares DB over time the performance of the Deutsche Bank G10 Currency Future Harvest Index, which invests long in futures of com G10 Currency Ha currencies with relativ
UNITED STATES
US
DE
Bank of New York Mellon/The
KPMG LLP
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
DB DB Commodity Commodity Services LLC Services LLC
United States
New York
Sector FundEnergy
1-630-765-8000
www.ftportfolios.c First Trust Energy First Trust Energy AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results om AlphaDEX Fu that correspond generally to the StrataQuant Energy AlphaDEX Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
United States
Lisle
Value-Small Cap
1-866-499-8473
Vanguard Small-Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.vanguard.co Vanguard Smallperformance of the CRSP U.S. Small Cap Value Index. The Fund invests all of its assets in the stocks that make up the Index, UNITED STATES m Cap Value ETF holding each stock in
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard MICHAEL H seCoopers Bank Group Inc/The BUEK LLP
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Undefined Equity
1-630-765-8000
First Trust www.ftportfolios.c Materials om AlphaDEX
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
First Trust Materials AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the StrataQuant Materials AlphaDEX Index.
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Bank of New York First Trust Mellon Corp/The Advisors LP
AGNES HONG
Wheaton
2004
First Trust Advisors LP
First Trust Advisors LP
Company Telephone Number
Undefined Equity
1-866-499-8473
Company's Web Security's Name Address
www.vanguard.co Vanguard m Industrials ETF
Fund's Description
Country
Vanguard Industrials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI US Investable Market Industrials Index. The Index consists of large, medium-size and small US companies whose UNITED STATES businesses are
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Fund's Investment Advisor
Fund's Manager
Vanguard JEFFREY D Group Inc/The MILLER
Fund's Management Company
Manager's Country
Manager's City Name
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Fund's Manager Start Date
2010
Country FundChina
1-877-437-9363
www.direxionshar Direxion Daily es.com China 3X Bull S
Direxion Daily China 3x Bull is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the BONY/Mellon China Select ADR Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Value-Mid Cap
1-866-499-8473
www.vanguard.co Vanguard Midm Cap Value ETF
Vanguard Mid-Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the CRSP U.S. Mid Cap Value Index. The Fund invests in all of its assets in stocks that make up the Index, holding each stock in the
UNITED STATES
US
US
Vanguard Group
Pricewaterhou DONALD M JPMorgan Chase Vanguard seCoopers BUTLER Bank Group Inc/The LLP "DON"
2006
Vanguard Vanguard Group Group Inc/The Inc/The
Sector FundEnergy
1-212-293-2000
www.vaneck.com
Market Vectors Coal ETF
Market Vectors-Coal ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Market Vectors Global Coal Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
1/14/08
Van Eck Associates Corp
Government/Corpo 1-415-670-2000 rate
www.ishares.com
iShares Credit Bond ETF
iShares Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated, investment-grade corporate, sovereign, supranational, local authority and non-U.S. a
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
Government/Agenc 1-877-437-9363 y-LT
Direxion Daily 20-Year Treasury Bull 3X is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment www.direxionshar Direxion Daily 20 results of 300% of the performance of the NYSE Current 20-Year U.S. Treasury Index. The Fund invests in Financial UNITED STATES es.com Year Plus Tr Instruments that
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
International Equity 1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Undefined Equity
Vanguard www.vanguard.co Consumer m Discretionar
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
1-866-499-8473
International Equity 1-866-787-2257
www.spdrs.com
iShares Core iShares Core MSCI EAFE ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance MSCI EAFE ETF of the MSCI EAFE Investable Market Index. Vanguard Consumer Discretionary ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Morgan Stanley Capital International US Investable Market Consumer Discretionary Index. The Fund invests all of its as
SPDR S&P World (ex-US) ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the SPDR S&P S&P Developed Ex-U.S. BMI Index. The Index measures the investable universe of publicly traded companies domiciled in World ex-US ETF developed countri
UNITED STATES
US
US
HAO-HUNG LIAO "PETER"
State Street Bank BlackRock GREG and Trust Co Fund Advisors SAVAGE
Vanguard MICHAEL A Group Inc/The JOHNSON
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
JOHN A TUCKER
Growth-Large Cap 1-800-435-4000
Schwab U.S. www.schwabetfs. Large-Cap com Growth E
Schwab U.S. Large-Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely as possible, before fees and expenses, the total return of the Dow Jones U.S. Large-Cap Growth Total Stock Market Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Growth & Income
www.guggenhei mfunds.com
Guggenheim Spin-Off ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Clear Spin-Off Index, which is comprised of approximately 40 U.S. stocks of companies that are spin-off
UNITED STATES
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
1-888-949-3837
Guggenheim Spin-Off ETF
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Van Eck Associates Corp
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
4/15/09
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
10/22/12
BlackRock BlackRock Fund Fund Advisors Advisors
2010
Vanguard Vanguard Group Group Inc/The Inc/The
4/20/07
SSgA Funds Management Inc
AGNES HONG
1/17/12
United States
Charles Schwab Investment United States Management Inc
San Francisco
Guggenheim Funds Investment United States Advisors LLC
Lisle
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
ETF Securities USA LLC
ETF Securities USA LLC
United States
San Francisco
Global X Management Co LLC
Global X Management Co LLC
United States
New York
ALPS Advisors Inc
ALPS Advisors Inc
United States
San Francisco
WisdomTree LargeCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree LargeCap Dividend Index. The Fund invests in largecapitalization companies that p
UNITED STATES
US
US
WisdomTree Asset Management Inc
Commodity
1-212-918-4954
www.etfsecurities ETFS Physical .com/us/welcome Silver Shares .asp
ETFS Physical Silver Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the performance of the price of silver bullion, less the expenses of the Trust's operations. The Shares are designed for investors who want
UNITED STATES
US
JE
Bank of New York Mellon/The
Growth&IncomeLarge Cap
1-212-644-6622
Global X Top www.globalxfund Guru Holdings s.com Ind
Global X Top Guru Holdings Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally corresponds to the price and performance, before fees and expenses, of the Top Guru Holdings Index.
UNITED STATES
US
Undefined Equity
1-877-398-8461
www.alpsetfs.co m
ALPS Sector Dividend Dogs ETF
ALPS Sector Dividend Dogs ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES replicate as closely as possible, before fees and expenses, the performance of the S-Network Sector Dividend Dogs Index.
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
Emerging MarketEquity
1-415-670-2000
www.ishares.com
iShares MSCI BRIC ETF
iShares MSCI BRIC ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI BRIC Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Undefined Equity
1-877-437-9363
www.direxionshar Direxion Daily es.com Natural Gas Rel
Direxion Daily Natural Gas Related Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the performance of the ISE Revere Natural Gas Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Ernst & Young
Brown Brothers Harriman & Co
Global X Management Co LLC
BRUNO DEL AMA
Bank of New York ALPS Mellon/The Advisors Inc
New York
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
1/17/12
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
iShares MSCI Kokusai ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield of the M SCI Kokusai Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares Microcap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the Russell Microcap Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Invesco PowerShares Capital Management LLC Charles
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
www.direxionshar Direxion Daily es.com Natural Gas Rel
Direxion Daily Natural Gas Related Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective UNITED STATES is daily investment results of 300% the inverse (opposite) of the performance of the ISE Revere Natural Gas Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
www.globalxfund Global X China s.com Consumer ETF
The Global X China Consumer ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive China Consumer Index.
US
Global X Management Co LLC
New York
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BulletShares 2014 H
Country FundChina
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Guggenheim China Small Cap Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment China Small Cap results that correspond to the price and yield performance of the AlphaShares China Small Cap Index. ETF
Global Equity
1-415-670-2000
www.ishares.com
iShares MSCI Kokusai ETF
Growth&IncomeSmall Cap
1-415-670-2000
www.ishares.com
iShares MicroCap ETF
1-800-983-0903
PowerShares www.powershare Dynamic Large s.com Cap
Value-Large Cap
1-800-435-4000
Schwab U.S. www.schwabetfs. Schwab U.S. Large-Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund's goal is to track as closely Large-Cap Value UNITED STATES com as possible, before fees and expenses, the total return of the Dow Jones U.S. Large-Cap Value Total Stock Market Index. ET
Sector FundEnergy
1-415-670-2000
www.ishares.com
Undefined Equity
1-877-437-9363
Country FundChina
1-212-644-6622
Value-Large Cap
Global X Management Co LLC/ETF
Valley Forge
Boston
WisdomTree www.wisdomtree. LargeCap com Dividend F
ETF Securities USA LLC
New York
SSgA Funds United States Management Inc
Charles Schwab Investment Management Inc Guggenheim Funds Investment Advisors LLC
Aggressive Growth 1-212-896-1249
KAREN Q. WONG
New York
iShares Global Energy ETF
Guggenheim BulletShares 2014 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2014 Index.
Powershares Dynamic Large Cap Value Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the Dynamic Large Cap Value Intellidex Index.
iShares Global Energy ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to seek investment results that correspond to the performance of the S&P Global Energy Index.
UNITED STATES
UNITED STATES
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Global X Management Co LLC
AGNES HONG
BRUNO DEL AMA
12/09
Schwab Investment Management Inc
Invesco PowerShares United States Capital Management LLC
Wheaton
Charles Schwab Investment United States Management Inc
San Francisco
Global X Management Co LLC
United States
United States
San Francisco
Company Telephone Number
Undefined Equity
1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
Fund's Description
Country
iShares U.S. Basic Materials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results iShares U.S. that correspond to the performance of the Dow Jones U.S. Basic Materials Sector Index. The Fund will concentrate its Basic Materials E investments in th
Health & Biotechnology
1-212-293-2000
www.vaneck.com
Market Vectors Pharmaceutical
Market Vectors Pharmaceutical ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the US Listed Pharmaceutical 25 Index.
Corp/Pref-High Yield
1-240-497-6400
www.proshares.c ProShares Short ProShares Short High Yield is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that are om High Yield the inverse (opposite) return of the Markit iBoxx $ Liquid High Yield Index.
Sector Fund-Real Estate
1-212-293-2000
www.vaneck.com
Commodity
1-877-583-5624
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
United States
New York
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare seCoopers Bank Advisors LLC LLP
Ernst & Young
United States
New York
United States
New York
HAO-HUNG LIAO "PETER"
UNITED STATES
US
Market Vectors Mortgage REIT Income ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate, as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Mortgage REIT Index.
UNITED STATES
US
US
Van Eck Associates Corp
VelocityShares 3x Inverse Gold ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.velocityshar VelocityShares 3x cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P es.com Inverse Gold GSCI速 Gold Index
UNITED STATES
US
CH
Credit Suisse Securities LLC
Country Fund-India 1-212-528-7990
iPath MSCI India Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash www.ipathetn.co iPath MSCI India payment at the scheduled maturity or early redemption based on the performance of the underlying index, the MSCI India Total UNITED STATES m Index ETN Return Index
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
International Equity 1-415-670-2000
iShares MSCI www.ishares.com EAFE Minimum Vola
iShares MSCI EAFE Minimum Volatility ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of developed market equities that, in the aggregate, have lower volatility UNITED STATES characteristics rela
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock DIANE seCoopers and Trust Co Fund Advisors HSIUNG LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Geo Focus-Debt
1-866-499-8473
www.vanguard.co Vanguard Longm Term Bond ETF
Vanguard Long-Term Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital Long Government/Credit Index, which includes all medium and larger issues of U.S. government, investment-grade
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard seCoopers Bank Group LLP
JOSHUA C BARRICKMA 2013 N "JOSH"
Vanguard Group
Vanguard Group
Emerging MarketDebt
1-866-787-2257
www.spdrs.com
SPDR Barclays Emerging Markets
SPDR Barclays Emerging Markets Local Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective UNITED STATES is to replicate as closely as possible the performance of the Barclays EM Local Currency Government Diversified Index.
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
ABHISHEK KUMAR
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Undefined Equity
1-240-497-6400
www.proshares.c ProShares VIX ProShares VIX Mid-Term Futures ETF is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment UNITED STATES om Mid-Term Futures results that correspond to the performance of the S&P VIX Mid-Term Index before fees and expensese.
US
Country FundBrazil
1-212-293-2000
www.vaneck.com
Market Vectors Brazil Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is replicate as closely as possible the price and yield performance of the Market Vectors Brazil Small-Cap Index. The Fund invests in in UNITED STATES securitie
US
US
Van Eck Associates Corp
Commodity
1-877-583-5624
VelocityShares 3x Inverse Silver ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.velocityshar VelocityShares 3x cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P es.com Inverse Silv GSCI速 Silver In
UNITED STATES
US
CH
Credit Suisse Securities LLC
iShares MSCI All Peru Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks to provide iShares MSCI All investment results that correspond to the performance of the Peruvian market, as measured by the MSCI All Peru Capped UNITED STATES Peru Capped E Index. The ETF
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
US
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
Geo Focus-Equity 1-415-670-2000
Growth&IncomeSmall Cap
1-212-896-1249
www.ishares.com
Market Vectors Brazil Small-Ca
WisdomTree www.wisdomtree. SmallCap com Dividend F
WisdomTree SmallCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree SmallCap Dividend Index. The Fund invests in small-capitalization companies that UNITED STATES pay regular cash div
US
US
Van Eck Bank of New York Associates Mellon/The Corp
12/21/11
Van Eck Associates Corp
US
UNITED STATES
Manager's City Name
State Street Bank and Trust Co
UNITED STATES
Market Vectors Mortgage REIT I
US
Fund's Administrator
ProShare ProShare Advisors LLC Advisors LLC HAO-HUNG LIAO "PETER"
08/11
VLS Securities LLC
SEI Investments Distribution Co
Van Eck Associates Corp
VelocityShare VelocityShares s LLC LLC
04/11
JPMorgan Chase ProShare HOWARD S Bank NA Advisors LLC RUBIN Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
HAO-HUNG LIAO "PETER"
5/14/09
VLS Securities LLC
Barclays Capital Inc
Valley Forge
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Van Eck Associates Corp
United States
New York
United States
San Francisco
Van Eck Associates Corp
VelocityShare VelocityShares s LLC LLC
BlackRock BlackRock Fund Fund Advisors Advisors WisdomTree Asset Management Inc Charles Schwab Investment Management Inc
THOMAS J DURANTE
WisdomTree Asset United States Management Inc
New York
Charles Schwab Investment United States Management Inc
San Francisco
Government/Agenc 1-800-435-4000 y
www.schwabetfs. Schwab U.S. com TIPs ETF
Schwab U.S. TIPs ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the investment results of UNITED STATES the Barclays U.S. Treasury Inflation Protected Securities (TIPS) Index.
US
US
Charles Schwab Investment Management Inc
Income Equity
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ om Technology
First Trust NASDAQ Technology Dividend Index Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is invesment results that correspond to the price and yield of the NASDAQ Technology Dividend Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Sector FundEnergy
1-240-497-6400
www.proshares.c ProShares Ultra om Oil & Gas
Ultra Oil & Gas Proshares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Oil & Gas Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Corp/Pref-Inv Grade
1-866-787-2257
www.spdrs.com
SPDR Barclays International Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Barcla
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds STEPHEN and Trust Co Management YEATS
SSGA Funds SSGA Funds Management Management
United States
Valley Forge
SPDR Barclays International Co
Brown Brothers Harriman & Co
MATTHEW HASTINGS
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Financial Services 1-415-670-2000
iShares U.S. www.ishares.com Broker-Dealers ET
iShares US Broker-Dealers ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Investment Services Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth & Income
1-630-765-8000
www.ftportfolios.c First Trust DJ om Global Select D
First Trust Dow Jones Global Select Dividend Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dow Jones Global Select Dividend Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
Health & Biotechnology
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SEI Investments Global Funds Services
Cohen Fund JPMorgan Chase Yorkville ETF DARREN 3/13/12 Audit Services Bank NA Advisors LLC SCHURINGA
Yorkville ETF Yorkville ETF Advisors LLC Advisors LLC
United States
Oklahoma City
Van Eck Bank of New York Ernst & Young Associates Mellon/The Corp
2/26/08
Van Eck Associates Corp
United States
New York
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
Sector FundEnergy
405-778-8377
iShares U.S. iShares U.S. Healthcare Providers ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment Healthcare Provid results that correspond generally to the price and yield performance of the Dow Jones US Select Healthcare Providers Index.
www.exchangetra Yorkville High dedconcepts.com Income MLP
Yorkville High Income MLP is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Solactive High Income MLP Index.
UNITED STATES
US
Bank of New York First Trust Mellon Corp/The Advisors LP
Municipal
1-212-293-2000
www.vaneck.com
Market Vectors Short Municipal
Market Vectors-Short Municipal ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Capital AMT-Free Short Continuous Municipal Index.
UNITED STATES
US
US
Van Eck Associates Corp
Corp/Pref-Inv Grade
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BulletShares 2017 C
Guggenheim BulletShares 2017 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Corporate/Preferre 1-866-499-8473 d
www.vanguard.co Vanguard Long- Vanguard Long-Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the m Term Corporate B performance of the Barclays US Long Corporate Bond Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2009 Mellon Group Inc/The LLP N "JOSH"
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Govt/Corp Intermediate
iShares www.ishares.com Intermediate Governmen
iShares Intermediate Government/Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated government, government-related and investment- UNITED STATES grade U.S. corp
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JAMES T COLBY III
First Trust Advisors LP
Van Eck Associates Corp
Company Telephone Number
Currency
1-212-896-1249
Company's Web Security's Name Address
WisdomTree www.wisdomtree. Emerging com Currency F
Fund's Description
Country
WisdomTree Emerging Currency Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to achieve total returns reflective of money market rates in selected emerging market countries available to foreign investors and change
UNITED STATES
US
Fund's Auditor
Bank of New York Mellon Corp/The
Ernst & Young
Fund's Custodian
Fund's Investment Advisor
WisdomTree Bank of New York Asset Mellon Corp/The Management In
US
US
Vanguard Group Inc/The
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
UNITED STATES
US
US
State Street Bank and Trust Co
SSgA Funds Ernst & Young State Street Bank Management LLP and Trust Co Inc
www.vanguard.co Vanguard Mega Vanguard Mega Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES m Cap Growth ETF correspond to the price and yield of the CRSP U.S. Mega Cap Growth Index.
Government/Corpo 1-866-787-2257 rate
www.spdrs.com
SPDR Barclays Aggregate Bond E
Global Equity
www.spdrs.com
SPDR SSgA SPDR SSgA Income Allocation ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide total Income Allocation return by focusing on investments in income and yield-generating assets. ET
1-866-787-2257
US
Fund's Administrator
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Growth-Large Cap 1-866-499-8473
SPDR Barclays Aggregate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the price and yield performance of the Barclays U.S. Aggregate Index.
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Manager
WisdomTree Asset Management Inc
DAVID KWAN
Vanguard MICHAEL Group Inc/The PERRE
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
DANIEL C PEIRCE
Fund's Management Company
Fund's Manager Start Date
WisdomTree Asset United States Management Inc
Valley Forge
5/23/07
SSGA Funds SSGA Funds Management Management
United States
Valley Forge
04/12
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Invesco PowerShares United States Capital Management LLC
Wheaton
First Trust Advisors LP
United States
Lisle
United States
San Francisco
PowerShares www.powershare Chinese Yuan s.com Dim S
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon/The LLP Capital Ma
Sector FundEnergy
1-630-765-8000
First Trust Global Wind Energy Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.ftportfolios.c First Trust Global that correspond generally to the price and yield (before fees & expenses) of the ISE Global Wind Energy Index. The index is a UNITED STATES om Wind Energy modifie
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
Country FundBelgium
1-415-670-2000
iShares MSCI iShares MSCI Belgium Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide www.ishares.com Belgium Capped investment results that correspond to th performance of publicly traded securities in the Belgian market, as measured by the ET MSCI Belgium
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC Invesco
Sector Fund-Utility 1-800-983-0903
PowerShares PowerShares Water Resources Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.powershare Water Resources results that correspond to the price and yield of the Nasdaq OMX US Water Index, a modified equal-weighted index that tracks UNITED STATES s.com Po companies tha
Emerging MarketEquity
PowerShares www.powershare S&P Emerging s.com Marke
1-800-983-0903
Financial Services 1-415-670-2000
www.ishares.com
PowerShares S&P Emerging Markets Low Volatility Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the S&P BMI Emerging UNITED STATES Markets Low
iShares U.S. Financial Services ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks iShares U.S. investment results that correspond to the performance of the Dow Jones U.S. Financial Services Index. The Fund will Financial Service concentrate its invest
BM
Bank of New York First Trust Mellon Corp/The Advisors LP
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Govt/Corp Short Term
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Enhanced Short Duration Bond ETF is an actively managed exchanged traded fund incorporated in the USA. The UNITED STATES Fund seeks maximum current income, consistent with preservation of capital and daily liquidity.
US
US
Guggenheim Funds Guggenheim BYRON Bank of New York Investment Advisors Ernst & Young Funds SCOTT Mellon LLC Investment Ad MINERD
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Energy Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the DBIQ UNITED STATES com Energy Fund Optimum Yield Energy Index Excess Return.
US
DE
Bank of New York Mellon/The
KPMG
Sector Fund-Real Estate
1-866-499-8473
www.vanguard.co Vanguard Global Vanguard Global ex-U.S. Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the m ex-U.S. Real E S&P Global ex-US Property Index, which includes real estate companies in both developed and emerging markets.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Currency
1-301-296-5100
www.rydexfunds. CurrencyShares com/etf Canadian Dollar
UNITED STATES
US
US
1-404-239-7938
GreenHaven www.greenhavenf Continuous unds.com Commodit
GreenHaven Continuous Commodity Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Continuous Commodity Total Return Index.
International Equity 1-800-983-0903
PowerShares www.powershare FTSE RAFI s.com Develope
PowerShares FTSE RAFI Developed Markets ex-US Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the FTSE RAFI Developed Markets ex-US Index, which tracks equities based on the following four
UNITED STATES
US
Undefined Equity
www.proshares.c ProShares Ultra om Basic Material
ProShares Ultra Basic Materials is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES that correspond to twice (200%) the daily performance of the Dow Jones U.S. Basic Materials Index.
US
Commodity
1-240-497-6400
Guggenheim Enhanced Short Dura
UNITED STATES
US
CurrencyShares Canadian Dollar Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the price in USD of the Canadian Dollar.
UNITED STATES
US
US
BM
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
2010
Vanguard Vanguard Group Group Inc/The Inc/The
Valley Forge
12/09
Invesco PowerShares Capital Management LLC
UNITED STATES
US
BM
Bank of New York Mellon/The
UNITED STATES
US
CH
UBS Securities LLC
International Equity 1-866-787-2257
www.spdrs.com
SPDR MSCI ACWI (ex-US) ETF is an exchange-traded fund incorporated in the USA. The Fund tracks the Morgan Stanley All SPDR MSCI Country World Index (ex-US) Index. The Index measures the combined equity market performance of developed and emerging UNITED STATES ACWI ex-US ETF market countries e
US
Corp/Pref-Inv Grade
www.spdrs.com
SPDR Barclays SPDR Barclays Investment Grade Floating Rate ETF is an exchange-traded fund incorporated in the USA. The Fund's UNITED STATES Investment Grade objective is to replicate as closely as possible the performance of the Barclays U.S. Dollar Floating Rate Note < 5 Years Index.
US
1-866-787-2257
Growth & Income
1-800-983-0903
PowerShares www.powershare S&P 500 High s.com Beta
PowerShares S&P 500 High Beta Portolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the S&P 500 High Beta Index (the "Underlying Index"
UNITED STATES
US
Region FundEuropean
1-240-497-6400
ProShares UltraShort Europe is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, www.proshares.c ProShares before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the FTSE om UltraShort Europe Developed Europe
UNITED STATES
US
Vanguard JEFFREY D Group Inc/The MILLER
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
UBS Securities LLC
State Street Bank and Trust Co
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
TOM 12/01/11 CONNELLEY
JOHN A TUCKER
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
United States
Invesco PowerShares United States Capital Management LLC
UBS UBS Securities Securities LLC LLC
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
BM
Atlanta
Bank of New York Mellon/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
US
United States
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Vanguard Group Inc/The
US
Rockville
Rydex Investments
GreenHaven GreenHaven Commodity Commodity Services LLC Services LLC
THOMAS FERNANDES
US
www.spdrs.com
United States
Grant Thornton LLP
US
1-866-787-2257
New York
Bank of New York Mellon/The
UNITED STATES
Emerging MarketEquity
United States
Deutsche Bank AG
GreenHaven Commodity Services
Vanguard Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the www.vanguard.co Vanguard Energy MSCI US Investable Market Energy Index. The Index consists of large, medium-size and small US companies within the m ETF energy sector that
SPDR S&P Emerging Markets SmallCap ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Emerging Markets Under UNITED STATES USD2 Billion Index
Deutsche Bank AG
Rydex Investments
Sector FundEnergy
SPDR S&P Emerging Markets Smal
Lisle
6/20/06
MICHAEL P BYRUM
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
FI Enhanced Big Cap Growth ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash FI Enhanced Big payment at the scheduled maturity or early redemption based on twice (200%) the performance of the underlying index, the Cap Growth ETN Russell 1000
San Francisco
United States
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Rydex Investments
US Bancorp Fund Services LLC
Growth-Large Cap 800-587-5512
BlackRock BlackRock Fund Fund Advisors Advisors
State Street Bank and Trust Co
US
PowerShares FTSE RAFI Emerging Markets Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the FTSE RAFI Emerging Markets Index.
Wheaton
Vanguard Vanguard Group Group Inc/The Inc/The
US
PowerShares www.powershare FTSE RAFI s.com Emerging
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
2013
UNITED STATES
1-800-983-0903
05/12
Invesco PowerShares United States Capital Management LLC
Vanguard MICHAEL D Group Inc/The EYRE
www.direxionshar Direxion Daily Mid Direxion Daily Mid Cap Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment es.com Cap Bull 3X results of 300% of the performance of the S&P Mid Cap 400 Index.
Emerging MarketEquity
1/13/12
DB Bank of New York ALEXIS Commodity Mellon/The DEPETRIS Services LLC
Growth & Income1-877-437-9363 Mid Cap
1-866-499-8473
New York
United States
Government/Corpo 1-800-983-0903 rate
UNITED STATES
Manager's City Name
Vanguard Vanguard Group Group Inc/The Inc/The
Invesco PowerShares Capital Management LLC
PowerShares Chinese Yuan Dim Sum Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield performance of the Citigroup Dim Sum (Offshor
Manager's Country
United States
Wheaton
Wheaton
Stamford
5/16/08
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
1/10/07
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
5/05/11
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Company Telephone Number
Sector FundEnergy
1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
iShares U.S. Oil & Gas Explora
Fund's Description
Country
iShares U.S. Oil & Gas Exploration & Production ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Oil Exploration & Production
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
Manager's City Name
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
12/21/11
Van Eck Associates Corp
United States
New York
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Rye
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Barclays Capital Inc
Barclays Capital Inc
United States
New York
05/13
Cambria Investment Management
Cambria Investment Management
United States
El Segundo
2/06/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
HAO-HUNG LIAO "PETER"
Health & Biotechnology
1-212-293-2000
www.vaneck.com
Market Vectors Biotech ETF
Market Vectors Biotech ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of UNITED STATES the US Listed Biotech 25 Index.
US
US
Van Eck Associates Corp
Emerging MarketEquity
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim BRIC ETF
Guggenheim BRIC ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance of the Bank of New York BRIC Select ADR Index, which is comprised of American depository receipts and g
UNITED STATES
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Blue Chip
1-888-934-0777
IndexIQ ETF The IQ Hedge Multi-Strategy Tracker ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.indexiq.com Trust - IQ Hedge results that correspond generally to the price and yield performance of the IQ Hedge Multi-Strategy Index. The Index objective M is to repl
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
Municipal
1-866-787-2257
www.spdrs.com
SPDR Nuveen S&P High Yield Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective UNITED STATES is to replicate as closely as possible the performance of the S&P Municipal Yield Index.
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
SEI Investments Global Funds Services
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
State Street Bank and Trust Co
Bingham McCutchen LLP
BlackRock BlackRock Fund Fund Advisors Advisors Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Van Eck Associates Corp
SPDR Nuveen S&P High Yield Mun
Govt/AgencyInter/LT
1-212-528-7990
iPath US iPath US Treasury 10-year Bear ETN is inversely linked to the performance of the underlying Index, and seeks to capture www.ipathetn.co Treasury 10-year returns from an increase in the yields of 10-year U.S. Treasury notes through a notional rolling 'short' investment in 10-year m Bear U.S. Tre
UNITED STATES
US
Growth&IncomeLarge Cap
(855) ETF-INFO (383-4636)
Cambria Cambria Shareholder Yield ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund employs a www.cambriafun Shareholder Yield quantitative algorithm to select U.S. listed companies that show strong characteristics in returning free cash flow to their ds.com ETF shareholders
UNITED STATES
US
Sector FundTechnology
SPDR S&P Semiconductor ETF
SPDR S&P Semiconductor ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate the performance of the S&P Semiconductor Select Industry Index, an equal-weighted index. The Index tracks all the US common UNITED STATES stocks listed on the NY
SSgA Funds State Street Bank Management and Trust Co Inc
MEBANE T FABER
JOHN A TUCKER
www.spdrs.com
Global Equity
1-415-670-2000
iShares MSCI All Country World Minimum Volatility ETF is an exchange-traded fund incorporated in the USA. The ETF seeks iShares MSCI All www.ishares.com to track the investment results of an index composed of developed and emerging market equities that, in the aggregate, have UNITED STATES Country World lower volat
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
Sector FundTechnology
1-877-437-9363
www.direxionshar Direxion Daily es.com Technology Bull
Growth & Income
1-212-293-2000
www.vaneck.com
Sector FundEnergy
1-415-670-2000
www.ishares.com
Direxion Daily Technology Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results of 300% of the performance of the Technology Select Sector Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Market Vectors Wide Moat ETF
Market Vectors Wide Moat ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Morningstar Wide Moat Focus Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
iShares U.S. Oil Equipment & S
iShares U.S. Oil Equipment & Services ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance to the Dow Jones US Select Oil Equipment & Services UNITED STATES Index.
US
US
State Street Bank and Trust Co
www.ishares.com
iShares Russell Top 200 Value
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
WisdomTree Asset Management Inc
US
Bank of New York Mellon Corp/The
SPDR Barclays TIPS ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment UNITED STATES results that correspond generally to the price and yield of the Barclays U.S. Government Inflation-linked Bond Index.
US
US
State Street Bank and Trust Co
Ernst & Young
www.spdrs.com
SPDR Barclays TIPS ETF
New York
US
Government/Agenc 1-866-787-2257 y
iShares Russell Top 200 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond generally to the price and yield performance of the Russell Top 200 Growth Index.
US
US
State Street Bank SSGA Funds MAX and Trust Co Management DESANTIS
United States
Boston
State Street Bank and Trust Co
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Security Security Investors United States Investors LLC LLC
Rockville
New York
iShares Global Infrastructure
iShares Global Infrastructure ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond to the price and yield of the S&P Global Infrastructure Index.
US
US
State Street Bank and Trust Co
Growth-Large Cap 1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P 500 Pure Growth
Guggenheim S&P 500 Pure Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible, before expenses, the performance of the S&P 500/Citigroup Pure Growth Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Government/Agenc 1-877-369-4617 y-LT
PowerShares DB 3x Short 25+ Year Treasury Bond ETN is an exchange traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Notes will provide the investors with a cash payment at the scheduled maturity or early redemption, based on triple the UNITED STATES m 3X Short 25+ Ye performance of
US
DE
Deutsche Bank AG
Country FundJapan
www.spdrs.com
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Commodity
Food & Beverage
Commodity
Govt/Corp Intermediate
1-212-528-7990
iPath Dow Jones-UBS Coffee Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Coffee Sub underlying index, the
1-800-983-0903
Powershares PowerShares Dynamic Food & Beverage Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare Dynamic Food & investment results that correspond to the price and yield of the Dynamic Food & Beverage Intellidex Index, a fundamentallys.com Bev weighted index. Se
1-212-918-4954
www.etfsecurities ETFS Physical Palladium Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the ETFS Physical .com/us/welcome performance of the price of palladium bullion, less the expenses of the Trust's operations. The Shares are designed for Palladium Shares .asp investors who
1-866-787-2257
www.spdrs.com
SPDR Barclays Intermediate Ter
UNITED STATES
UNITED STATES
US
US
GB
BM
UNITED STATES
US
JE
SPDR Barclays Intermediate Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA, The Fund's objective is to provide investment results that correspond generally to the total return performance of the Barclays Intermediate UNITED STATES U.S. Corpor
US
US
Bank of New York Mellon/The
Deutsche Bank AG
8/08/11
LUKE OLIVER
7/01/10
Deutsche Bank AG
Deutsche Bank AG
JOHN A TUCKER
11/14/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
ETF Securities USA LLC
ETF Securities USA LLC
United States
San Francisco
United States
Boston
United States
San Francisco
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma ETF Securities USA LLC
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds PATRICK 02/12 and Trust Co Management BRESNEHAN
SSGA Funds SSGA Funds Management Management Charles Schwab Investment Management Inc
United States
Schwab U.S. Aggregate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays U.S. Aggregate Bond Index.
UNITED STATES
US
US
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
iShares Global Healthcare ETF
iShares Global Healthcare ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P Global Healthcare Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Guggenheim S&P 500 Pure Value
Guggenheim S&P 500 Pure Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible, before expenses, the performance of the S&P 500/Citigroup Pure Value Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Government/Corpo 1-800-435-4000 rate
Schwab U.S. www.schwabetfs. Aggregate Bond com ETF
Health & Biotechnology
1-415-670-2000
www.ishares.com
Value-Large Cap
1-888-949-3837
www.guggenhei mfunds.com
New York
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.ishares.com
SPDR Russell/Nomura PRIME Japan ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to track as closely as possible, before fees and expenses, the total performance of the Russell/Nomura PRIME Index. The Index is UNITED STATES comprised of s
WisdomTree Asset United States Management Inc
SSGA Funds SSGA Funds Management Management
Sector Fund-Utility 1-415-670-2000
SPDR Russell/Nomura PRIME Japa
04/12
KAREN Q. WONG
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
1-866-787-2257
Boston
United States
UNITED STATES
WisdomTree WisdomTree MidCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.wisdomtree. MidCap Dividend that correspond to the performance of the WisdomTree MidCap Dividend Index. The Fund invests mid-capitalization com Fun companies that pay regula
HAO-HUNG LIAO "PETER"
4/14/11
Van Eck Associates Corp
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
Aggressive Growth 1-212-896-1249
1-415-670-2000
US
Cambria Investment Management
TIM RYAN
1-866-787-2257
Value-Large Cap
US
GB
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
Van Eck Associates Corp
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
MATTHEW HASTINGS
Charles Schwab Investment Management Inc
Rockville
Company Telephone Number
Company's Web Security's Name Address
1-800-983-0903
PowerShares www.powershare S&P 500 High s.com Quali
Health & Biotechnology
1-415-670-2000
iShares U.S. www.ishares.com Medical Devices E
Growth&IncomeLarge Cap
1-630-765-8000
Value-Large Cap
1-630-765-8000
Growth&IncomeLarge Cap
Fund's Description
Country
PowerShares S&P 500 High Quality Portfolio is an exchange-traded fund incorporated in the USA. It normally invests at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to provide exposure to the constituents of
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares United States Capital Management LLC
Wheaton
US
State Street Bank and Trust Co
www.ftportfolios.c First Trust Large First Trust Large Cap Core AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment om Cap Core Alp results that correspond to the Defined Large Cap Core Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
www.ftportfolios.c First Trust Large First Trust Large Cap Value Opportunities AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund om Cap Value Al seeks investment results that correspond to the Defined Large Cap Value Opportunities Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
JOSEPH P 07/11 DEANE "JOE"
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
US
Municipal
PIMCO www.pimcoetfs.c Intermediate om Municipal B
Pimco Intermediate Municipal Bond Exchange-Traded Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks tax-exempt income consistent with a preservation of capital. The Fund invests at least 80% of its assets UNITED STATES in a divers
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
US
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
BlackRock BlackRock Fund Fund Advisors Advisors
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Aggressive Growth 1-212-896-1249
WisdomTree www.wisdomtree. Dividend Excom Financi
Undefined Equity
iShares MSCI Global Gold Miners ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results iShares MSCI www.ishares.com that correspond generally to the price and yield performance, before fees and expenses, of the MSCI ACWI Select Gold UNITED STATES Global Gold Miner Miners Investabl
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Growth & Income1-630-765-8000 Mid Cap
www.ftportfolios.c First Trust Mid om Cap Core Alpha
Corp/Pref-High Yield
1-212-293-2000
www.vaneck.com
Growth-Mid Cap
1-866-499-8473
WisdomTree Dividend ex-Financials Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WT Dividend ex-Financial Index.
UNITED STATES
US
First Trust Mid Cap Core AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Mid Cap Core Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
Market Vectors International High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the The BofA Merrill Lynch Global ex-US
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
Van Eck Bank of New York Associates Mellon/The Corp
Vanguard Mid-Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance www.vanguard.co Vanguard Midof the CRSP U.S. Mid Cap Growth Index. The Fund invests in all of its assets in stocks that make up the Index, holding each UNITED STATES m Cap Growth ETF stock in th
US
US
Vanguard Group
Pricewaterhou JPMorgan Chase Vanguard GERARD C seCoopers Bank Group Inc/The O'REILLY LLP
Country Fund-India 1-877-437-9363
www.direxionshar Direxion Daily es.com India Bull 3x S
Global Equity
1-415-670-2000
www.ishares.com
Commodity
1-800-920-0259
1-888-949-3837
Manager's City Name
US
Global X FTSE Greece 20 ETF is an exchange traded fund incorporated in USA. The Fund seeks to provide investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses, of the FTSE/ATHEX 20 Capped Index.
Corp/Pref-High Yield
Manager's Country
Invesco PowerShares Capital Management LLC
UNITED STATES
iShares U.S. Medical Devices ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Medical Equipment Index.
www.globalxfund Global X FTSE s.com Greece 20 ETF
1-415-670-2000
Fund's Management Company
Fund's Manager Start Date
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Geo Focus-Equity 1-212-644-6622
1-888-400-4383
BM
Fund's Administrator
Market Vectors International H
FRANCIS RODILOSSO 04/12 "FRAN"
2006
New York
Vanguard Vanguard Group Group Inc/The Inc/The
Direxion Daily India Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the performance of the Indus India Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
iShares Global 100 ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the S&P Global 100 Index. The Index is designed to measure the performance of large trans-nati
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
www.unitedstates United States Short Oil Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to have changes United States commodityfunds. in percentage terms of its unit's net asset value inversely reflect the changes of the price of WTI Crude Oil delivered to UNITED STATES Short Oil Fund L com Cushing,
US
Brown Brothers Harriman & Co
Spicer Jeffries Brown Brothers LLP Harriman & Co
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2016 Index.
US
US
Guggenheim Funds Guggenheim Bank of New York Investment Advisors Ernst & Young Funds Mellon LLC Investment Ad
iShares MSCI EAFE Growth ETF is an exchange-traded fund incorporated in the USA The ETF seeks investment results that correspond to the performance of the 20 countries within Europe, Australia, Asia and the Far East, as measured by the Morgan UNITED STATES Stanley Capi
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
United States
San Francisco
www.guggenhei mfunds.com
iShares Global 100 ETF
Guggenheim BulletShares 2016 H
United States Commodities RAY ALLEN Fund
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
International Equity 1-415-670-2000
iShares MSCI www.ishares.com EAFE Growth ETF
Health & Biotechnology
1-866-787-2257
www.spdrs.com
SPDR S&P SPDR Pharmaceuticals ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as Pharmaceuticals closely as possible the performance of the S&P Pharmaceuticals Select Industry Index, an equal-weighted index. ETF
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
6/22/06
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Emerging MarketEquity
1-866-787-2257
www.spdrs.com
SPDR S&P BRIC 40 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely as SPDR S&P BRIC possible the total return performance of the Standard & Poor's BRIC 40 Index, which tracks companies domiciled in the 40 ETF emerging markets of Br
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
6/22/07
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
www.guggenhei mfunds.com
Guggenheim BulletShares 2013 C
Guggenheim BulletShares 2013 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Internet & Telecom 1-415-670-2000
www.ishares.com
iShares Global Telecom ETF
iShares Global Telecomm ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P Global Telecommunications Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Municipal
1-212-293-2000
www.vaneck.com
Market Vectors Long Municipal
Market Vectors-Long Municipal Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Capital AMT-Free Long Municipal Index.
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
1-415-670-2000
iShares Shortwww.ishares.com Term National AM
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Invesco PowerShares United States Capital Management LLC
Wheaton
Corp/Pref-Inv Grade
Municipal
Sector FundEnergy
1-888-949-3837
1-866-787-2257
www.spdrs.com
iShares Short Term National AMT-Free Muni Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of investment-grade U.S. municipal bonds with remaining maturities between one month
SPDR Oil & Gas Equipment & Services ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to SPDR S&P Oil & replicate as closely as possible the performance of the S&P Oil & Gas Equipment & Services Select Industry Index, an equalGas Equipment & weighted inde
UNITED STATES
UNITED STATES
US
US
US
US
Van Eck Bank of New York Associates Mellon/The Corp
SSgA Funds State Street Bank Management and Trust Co Inc
JAMES T COLBY III
JOHN A TUCKER
1/07/08
6/22/06
Leisure Industry
1-800-983-0903
Powershares PowerShares Dynamic Leisure and Entertainment Portfolio is an exchange-traded fund incorporated in the USA. The Fund www.powershare Dynamic Leisure seeks investment results that correspond to the Dynamic Leisure and Entertainment Intellidex Index, which evaluates s.com & companies based on a
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Growth & Income
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ-100 om Equal W
First Trust NASDAQ-100 Equal Weighted Index is an exchange-traded fund incorporated in the USA. The Fund's objective is investment results that correspond to the price and yield of the NASDAQ-100 Equal Weighted Index. The Fund invests in the 100 largest n
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Market Vectors India Small-Cap Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Market Vectors India Small-Cap Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Country Fund-India 1-212-293-2000
www.vaneck.com
Market Vectors India Small-Cap
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Bank of New York First Trust Mellon Corp/The Advisors LP HAO-HUNG LIAO "PETER"
8/25/10
Company Telephone Number
Growth&IncomeSmall Cap
1-630-765-8000
Company's Web Security's Name Address
Fund's Description
Country
www.ftportfolios.c First Trust Small First Trust Small Cap Core AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES om Cap Core Alp results that correspond generally to the Defined Small Cap Core Index.
Sector FundEnergy
1-212-644-6622
www.globalxfund Global X Uranium Global X Uranium ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of s.com ETF Solactive Uranium Index.
Growth&IncomeLarge Cap
1-800-983-0903
Undefined Equity
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Bank of New York Mellon Corp/The
Fund's Auditor
Deloitte & Touche LLP
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Bank of New York First Trust Mellon Corp/The Advisors LP
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
BRUNO DEL AMA
UNITED STATES
US
PowerShares www.powershare S&P 500 s.com BuyWrite P
The Powershares S&P 500 BuyWrite Portfolio is an exchange traded Fund ('ETF') that purchases the S&P 500 stock portfolio UNITED STATES and sells near term S&P 500 calls monthly. It is a passive investment that tracks the BXM <Index>.
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
1-866-499-8473
Vanguard www.vanguard.co Consumer m Staples ETF
Vanguard Consumer Staples ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI US Investable Market Consumer Staples Index. The Fund invests all of its assets in the stocks that make up the Index, h
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Commodity
1-802-257-1617
www.teucriumcor Teucrium Corn nfund.com Fund
Teucrium Corn Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to have the daily changes in percentage terms of the Shares' NAV reflect the daily changes in percentage terms of a weighted average of UNITED STATES the clos
US
US
Corp/Pref-High Yield
1-877-843-3831
www.advisorshar Peritus High Yield AdvisorShares Peritus High Yield ETF is an actively-managed ETF incorporated in the USA. The Fund invests in a focused es.com ETF portfolio of high-yield debt securities.
UNITED STATES
US
US
Bank of New York Mellon
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Asia ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets UNITED STATES Asia Index.
US
US
State Street Bank and Trust Co
Country FundJapan
1-877-369-4617
db X-trackers www.DBXUS.co MSCI Japan m Hedge
db X-trackers MSCI Japan Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before fees and expenses, of the MSCI Japan US Dollar Hedged Net Index (the "Un
US
DE
Bank of New York Mellon/The
Ernst & Young Bank of New York Deutsche LLP Mellon/The Bank AG
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
International Equity 1-866-787-2257
www.spdrs.com
SPDR S&P International Small C
UNITED STATES
SPDR S&P International Small Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the S&P Developed Ex-U.S. Under USD2 Billion Index. The Index measures the investable universe of publicly traded UNITED STATES companies domic
US
US
Vanguard MICHAEL A Group Inc/The JOHNSON
Teucrium Trading LLC
Tait Weller & Baker LLP
SSgA Funds United States Management Inc
Boston
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
US
CH
UBS Securities LLC
International Equity 1-877-369-4617
db X-trackers www.DBXUS.co MSCI EAFE m Hedged
db X-trackers MSCI EAFE Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before fees and expenses, of the MSCI EAFE US Dollar Hedged Net Index (the "Unde
UNITED STATES
US
DE
Bank of New York Mellon/The
Undefined Equity
1-212-528-7990
iPath S&P 500 www.ipathetn.co Dynamic VIX m ETN
The iPath S&P 500 Dynamic VIX ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of its underlying index, the S&P 500 Dynamic VIX Fut
UNITED STATES
US
GB
Barclays Capital Inc
Country FundJapan
1-212-896-1249
WisdomTree WisdomTree Japan SmallCap Dividend Fund is an exchange-trade fund incorporated in the USA. The Fund seeks investment www.wisdomtree. Japan SmallCap results that correspond to the WisdomTree Japan SmallCap Dividend Index. The Fund invests in small-capitalization UNITED STATES com Divi companies incorporated i
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
1-800-983-0903
PowerShares PowerShares Dynamic Energy Exploration & Production Portfolio is an exchange-traded fund incorporated in the USA. The www.powershare Dynamic Energy Fund seeks investment results that correspond to the price and yield of the Dynamic Energy Exploration & Production Intellidex UNITED STATES s.com Exp Index, wh
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Emerging MarketDebt
1-212-293-2000
Market Vectors Emerging Markets High Yield Bond ETF is an exchange traded fund incorporated in the USA. The Fund seeks Market Vectors www.vaneck.com to replicate as closely as possible, before fees and expenses, the price and yield performance of The BofA Merrill Lynch High UNITED STATES Emerging High Y Yield US
Corp/Pref-Inv Grade
1-415-670-2000
www.ishares.com
iShares 10+ Year Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the iShares 10+ Year investment results of an index composed of long-term, investment-grade U.S. corporate bonds and U.S. dollar-denominated Credit Bond E bonds, including those
www.spdrs.com
SPDR Wells Fargo Preferred Sto
1-212-896-1249
Financial Services 1-800-983-0903
Value-Large Cap
Commodity
1-866-499-8473
1-877-ETNADVICE
Financial Services 1-415-670-2000
Corp/Pref-Inv Grade
Currency
1-800-983-0903
1-212-896-1249
WisdomTree www.wisdomtree. Equity Income com Fund PowerShares www.powershare KBW High s.com Dividend www.vanguard.co Vanguard Mega m Cap Value ETF
PowerShares KBW High Dividend Yield Financial Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the index called KBW Financial Sec Vanguard Mega Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the CRSP U.S. Mega Cap Value Index.
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma UBS Securities LLC
Ernst & Young Bank of New York Deutsche LLP Mellon/The Bank AG
US
US
Van Eck Associates Corp
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
UNITED STATES
UNITED STATES
US
US
US
US
BM
US
Bank of New York Mellon Corp/The
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
UNITED STATES
US
US
Clearstream Ernst & Young Banking/Luxembourg
www.ishares.com
iShares Global Financials ETF
iShares S&P Global Financials Sector ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P Global Financials Index.
UNITED STATES
US
US
State Street Bank and Trust Co
WisdomTree www.wisdomtree. Chinese Yuan com Fund
WisdomTree Chinese Yuan Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to earn current income reflective of money market rates in China available to foreign investors. The Fund also seeks to provide exposure chang
UNITED STATES
US
US
DONALD M Vanguard BUTLER Group Inc/The "DON" Swedish Export Credit Corp - S
Samford
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc WisdomTree Asset United States Management Inc
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
Van Eck Associates Corp
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
WisdomTree Asset Management Inc Invesco PowerShares Capital Management LLC Van Eck Associates Corp
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP Pricewaterhou Invesco Bank of New York JEFF seCoopers PowerShares Mellon/The KERNAGIS LLP Capital Ma
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
DAVID KWAN
SSgA Funds United States Management Inc
Boston
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
Vanguard Vanguard Group Group Inc/The Inc/The Swedish Export Credit Corp - SEK
Bank of New York Mellon/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
2010
New York
United States
Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc Invesco PowerShares Capital Management LLC
THOMAS J DURANTE
United States
UBS UBS Securities Securities LLC LLC
SSgA Funds Management Inc
MICHAEL FEEHILY
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
www.ELEMENT Setn.com
BM
SSgA Funds State Street Bank Management and Trust Co Inc
12/09
FRANCIS RODILOSSO 05/12 "FRAN"
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
ELEMENTS Linked to the Rogers International Commodity Index - Energy Total Return is an exchange-traded note issued in the USA by Swedish Credit Corp. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based
US
6/09/11
KAREN Q. WONG
Bank of New York Mellon/The
ELEMENTS Linked to the Rogers
PowerShares International Corporate Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund's objective www.powershare PowerShares is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the UNITED STATES s.com International Corp inde
DINO BOURDOS
Barclays Capital Inc
Van Eck Bank of New York Ernst & Young Associates Mellon/The Corp
WisdomTree Equity Income Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree Equity Income Index. The Fund invests in the highest yielding stocks of UNITED STATES the WisdomTree
Battleboro
4/20/07
JOHN A TUCKER
UNITED STATES
Growth&IncomeLarge Cap
Teucrium Trading United States LLC
Valley Forge
SSgA Funds Management Inc
ETRACS 2xLeveraged Long Wells Fargo Business Development Company Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on twice (200%) the performanc
BM
United States
Deutsche Bank AG
ETRACS www.ubs.com/e2xLeveraged tracs Long Wells
US
Vanguard Vanguard Group Group Inc/The Inc/The
Wheaton
Deutsche Bank AG
1-877-ETRACS5
Powershares Golden Dragon Halter USX China Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the USX China Index. The Fund will normally invest at least 80% of UNITED STATES its to
Invesco PowerShares United States Capital Management LLC
Lisle
6/09/11
DINO BOURDOS
Growth & Income
Powershares www.powershare Golden Dragon s.com Chin
Invesco PowerShares Capital Management LLC
United States
BlackRock Funds/USA
Bank of New York Mellon/The
1-800-983-0903
Global X Management Co LLC
BlackRock Funds/USA
BM
Country FundChina
Global X Management Co LLC
Teucrium Trading LLC
DIANE HSIUNG
US
SPDR Wells Fargo Preferred Stock ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the Wells Fargo Hybrid and Preferred Securities Agg
First Trust Advisors LP
State Street Bank BlackRock and Trust Co Funds/USA
PowerShares Dividend Achievers Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to then Broad Dividend Achievers Index, which tracks stocks that have increased their annual dividend UNITED STATES for 10 or
Corporate/Preferre 1-866-787-2257 d
First Trust Advisors LP
Manager's City Name
Advisorshares Advisorshares Investments Investments LLC LLC
PowerShares www.powershare Dividend s.com Achievers
BM
Manager's Country
Advisorshares Bank of New York Investments RON HELLER Mellon LLC
1-800-983-0903
US
2010
SAL GILBERTIE
Growth&IncomeLarge Cap
Sector FundEnergy
Fund's Management Company
Fund's Manager Start Date
Swedish Export United States Credit Corp - SEK
BlackRock BlackRock Fund Fund Advisors Advisors Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
United States
United States
Valley Forge
New York
San Francisco
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
Company Telephone Number
Sector FundTechnology
Balanced
Company's Web Security's Name Address
Guggenheim S&P 500 Equal Weigh
Fund's Description
Country
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P Equal Weight Technology ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is UNITED STATES to replicate the S&P Equal Weight Technology Index.
1-877-277-6933
Arrow Dow Jones Global Yield ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.arrowshares Arrow Dow Jones that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Global Composite .com Global Yield E Yield Index.
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
2013
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
ALPS Advisors Inc
ALPS Advisors Inc
United States
Denver
Global X Management Co LLC
Global X Management Co LLC
United States
San Francisco
Vanguard Group
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard MICHAEL D Group Inc/The EYRE
Brown Brothers Harriman & Co
EisnerAmper LLP
Brown Brothers Harriman & Co
United States ANDREW F Commodities NGIM Fund
ALPS Advisors Inc
Deloitte & Touche LLP
Bank of New York ALPS Mellon/The Advisors Inc
1-877-398-8461
www.alpsetfs.co m
UNITED STATES
US
Region FundASEAN
1-212-644-6622
www.globalxfund Global X Asean s.com 40 ETF
Global X FTSE ASEAN 40 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES of the FTSE ASEAN 40 Index.
US
Govt/AgencyST/Inter
1-415-670-2000
www.ishares.com
iShares 0-5 Year TIPS Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that iShares 0-5 Year correspond generally to the price and yield, before fees and expenses, of the Barclays Capital U.S. Treasury Inflation -Protected UNITED STATES TIPS Bond ETF Secu
US
Barron's 400 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barron's 400 Index.
Guggenheim Timber Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Beacon Global Timber Index, which is comprised of global timber companies.
UNITED STATES
US
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Rockville
5/08/12
US
Growth&IncomeLarge Cap
Security Security Investors United States Investors LLC LLC
Manager's City Name
Arrow Arrow Investment Investment Advisors LLC Advisors LLC
US
US
Manager's Country
Arrow ADRIAN Investment BACHMAN Advisors LLC
Vanguard FTSE All World ex-US Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of a benchmark index that measures the investment return of both developed and emerging international UNITED STATES small cap compani
UNITED STATES
Brown Brothers Harriman & Co
Fund's Management Company
Fund's Manager Start Date
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
BBD LLP
www.unitedstates United States United States Commodity Index Fund is an exchange traded fund and a Delaware statutory trust, incorporated in the USA. commodityindexf Commodity Index The Fund seeks to track the investment performance of the SummerHaven Dynamic Commodity Index-Total Return. und.com
Guggenheim Timber ETF
Fund's Manager
Gemini Fund Services
1-800-920-0259
www.guggenhei mfunds.com
Fund's Investment Advisor
US
Commodity
1-888-949-3837
Fund's Custodian
US
www.vanguard.co Vanguard FTSE m All World ex-US
Undefined Equity
State Street Bank and Trust Co
Fund's Auditor
UNITED STATES
International Equity 1-866-499-8473
Barron's 400 ETF
US
Fund's Administrator
Global X Management Co LLC
BRUNO DEL AMA
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
US
State Street Bank and Trust Co
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
BlackRock BlackRock Fund Fund Advisors Advisors
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
United States
New York
Govt/Agency-Short 1-866-499-8473 Term
Vanguard Shortwww.vanguard.co Term m Government
Vanguard Short-Term Government Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays Capital US 1-3 Year Government Float Adjusted Bond Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2013 Mellon Group Inc/The LLP N "JOSH"
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com New Zealand Cappe
iShares MSCI New Zealand Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the MSCI New Zealand IMI 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Govt/Agency-Inter 1-855-353-9383 Term
www.flexshares.c FlexShares iBoxx FlexShares 5-Year Target Duration TIPS Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to om 5-Year Target track the performance of the iBoxx 5-Year Target Duration TIPS Index.
UNITED STATES
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
Emerging MarketDebt
1-415-670-2000
www.ishares.com
iShares Emerging iShares Emerging Markets Local Currency Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to Markets Local track the Barclays Capital Emerging Markets Broad Local Currency Bond Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GABRIEL seCoopers and Trust Co Fund Advisors SHIPLEY LLP
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Precious Metals Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track com Precious Metals the DBIQ Optimum Yield Precious Metals Index Excess Return.
UNITED STATES
US
DE
Bank of New York Mellon/The
KPMG
Country FundAustria
1-415-670-2000
iShares MSCI www.ishares.com Austria Capped ET
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
iShares www.ishares.com Residential Real Estat
iShares Residential Real Estate Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment UNITED STATES results that correspond to the FTSE NAREIT Residential Capped Index.
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
PowerShares S&P 500 Downside Hedged Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve positive total returns in rising or falling markets that are not directly correlated to broad equity or fixed income market returns
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Guggenheim Guggenheim Defensive Equity Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment Defensive Equity results that correspond to the performance of the Sabrient Defensive Equity Index, which is comprised of 100 U.S. stocks of ET companies with
UNITED STATES
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Sector Fund-Real Estate
Growth&IncomeLarge Cap
1-800-983-0903
www.powershare PS S&P s.com Downside Hdgd
Growth&IncomeLarge Cap
1-888-949-3837
www.guggenhei mfunds.com
US
US
Northern Trust Northern Trust Investments Investments Inc Inc BlackRock BlackRock Fund Fund Advisors Advisors
DB Bank of New York ALEXIS Commodity Mellon/The DEPETRIS Services LLC
Deutsche Bank AG
12/06/12
1/17/12
Invesco PowerShares Capital Management LLC Guggenheim Funds Investment Advisors LLC
Deutsche Bank AG
Invesco PowerShares United States Capital Management LLC
Wheaton
Guggenheim Funds Investment United States Advisors LLC
Lisle
Guggenheim BulletShares 2018 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York Investment Advisors Ernst & Young Funds Mellon LLC Investment Ad
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
www.velocityshar VelocityShares es.com Daily Inverse V
VelocityShares Daily Inverse VIX Medium Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the inverse performance of the underlying index, the
UNITED STATES
US
CH
Credit Suisse Securities LLC
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
1-877-ETRACS5
ETRACS www.ubs.com/e2xMonthly tracs Leveraged Lon
ETRACS 2xMonthly Leveraged Long Alerian MLP Infrastructure Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on twice (200%) the UNITED STATES performanceof th
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
1-415-670-2000
www.ishares.com
iShares Moderate Allocation ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that iShares Moderate correspond generally to the price and yield performance of the S&P Target Risk Moderate Index. The ETF invests Allocation ET approximately 49% of i
US
US
State Street Bank and Trust Co
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
www.guggenhei mfunds.com
Guggenheim BulletShares 2018 H
US
US
Guggenheim Funds Guggenheim Bank of New York Investment Advisors Ernst & Young Funds Mellon LLC Investment Ad
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
1/13/12
SPDR S&P Emerging Markets ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Emerging BMI Index. The Index measures the investable universe of publicly traded companies domiciled in emer
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
3/19/07
iShares North American Tech-Software ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks investment results that correspond to the performance of the S&P North American Technology-Software Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Market Vectors LatAm Aggregate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate Market Vectors as closely as possible, before fees and expenses, the price and yield performance of the BofA Merrill Lynch Broad Latin UNITED STATES LatAm Aggregate America Bond In
US
US
Van Eck Associates Corp
Ernst & Young
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
Undefined Equity
1-877-583-5624
Sector FundEnergy
Balanced
Corp/Pref-High Yield
iShares MSCI Austria Capped ETF is an exchange-traded fund incorporated in the USA. The ETF's objective is to provide investment results that correspond to th performance of the MSCI Austria IMI 25/50 Index.
Northern Trust JPMorgan Chase Investments Bank NA Inc
1-888-949-3837
Guggenheim BulletShares 2018 C
Guggenheim BulletShares 2018 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2018 Index.
International Equity 1-800-983-0903
PowerShares S&P International Developed Low Volatility Portfolio is an exchange-traded fund incorporated in the USA. The www.powershare PowerShares Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the S&P BMI s.com S&P International International
Emerging MarketEquity
1-866-787-2257
www.spdrs.com
Sector FundTechnology
1-415-670-2000
iShares North www.ishares.com American TechSo
Geo Focus-Debt
1-212-293-2000
www.vaneck.com
SPDR S&P Emerging Markets ETF
UNITED STATES
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Depository Trust Co/The
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Van Eck Bank of New York Associates Mellon/The Corp
JOHN A TUCKER
MICHAEL F MAZIER
5/12/11
Guggenheim Funds Investment Advisors LLC Invesco PowerShares Capital Management LLC SSgA Funds Management Inc
Guggenheim Funds Investment Advisors LLC Invesco PowerShares United States Capital Management LLC
Wheaton
SSgA Funds United States Management Inc
Boston
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
United States
New York
Van Eck Associates Corp
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Manager
WisdomTree Asset Management Inc
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
THOMAS J DURANTE
Fund's Auditor
Fund's Custodian
Fund's Management Company
Fund's Manager Start Date
Manager's City Name
WisdomTree Asset United States Management Inc
New York
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
Barclays Capital Inc
United States
New York
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
UNITED STATES
US
US
State Street Bank and Trust Co
Rydex Investments
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
iShares Russell 3000 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Russell 3000 Value Index. The Index measures the performance of the value sector of UNITED STATES the broad
US
US
State Street Bank and Trust Co
WisdomTree www.wisdomtree. SmallCap com Earnings F
Commodity
1-212-528-7990
iPath Dow Jones-UBS Copper Total Return Sub-Index ETN is an exchange-traded note incorporated in the USA. The Notes www.ipathetn.co iPath Dow Joneswill provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Copper Sub underlying index,
UNITED STATES
US
GB
Commodity
1-212-528-7990
iPath Dow Jones-UBS Natural Gas Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES m UBS Natural Ga underlying index, t
US
Commodity
1-877-ETRACS5
ETRACS CMCI Silver Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e- ETRACS CMCI cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS UNITED STATES tracs Silver Total Retur Bloomberg CMCI Si
Currency
1-301-296-5100
www.rydexfunds. CurrencyShares com/etf British Pound S
Corp/Pref-Inv Grade
1-212-293-2000
www.vaneck.com
Market Vectors Market Vectors Investment Grade Floating Rate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund Investment Grad seeks to track the performance of the Market Vectors Investment Grade Floating Rate Bond Index.
Value
1-415-670-2000
www.ishares.com
iShares Russell 3000 Value ETF
WisdomTree SmallCap Earnings is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield performance of the WisdomTree SmallCap Earnings Index, which tracks earnings-generating companies within the small- UNITED STATES capitalization
CurrencyShares British Pound Sterling Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the price in USD of the British Pound Sterling.
US
US
MICHAEL P BYRUM
6/20/06
Rydex Investments
Rydex Investments
United States
Rockville
MICHAEL F MAZIER
4/26/11
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
Vanguard Vanguard Group Group Inc/The Inc/The
Van Eck Bank of New York Associates Mellon/The Corp
Growth&IncomeSmall Cap
1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 2000 is an exchange-traded fund in the USA. The Fund seeks to track the performance of the Russell 2000 m 2000 Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Growth&IncomeLarge Cap
1-855-RBS-ETPS
usmarkets.rbs.co RBS US Large RBS US Large Cap Trendpilot ETN is an exchange-traded note issued in the USA. The ETN will track the RBS US Large Cap UNITED STATES m/etnUS Cap Trendpilot Ex Trendpilot Index.
US
GB
Royal Bank Of Scotland
Country FundRussia
1-877-437-9363
www.direxionshar Direxion Daily es.com Russia Bull 3x
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Gold Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the DBIQ com Gold Fund Optimum Yield Gold Index Excess Return.
UNITED STATES
US
DE
Bank of New York Mellon/The
KPMG
Emerging MarketEquity
1-888-800-4347
www.egshares.co EGShares Low m Volatility Emergi
EGShares Low Volatility Emerging Markets Dividend ETF is an exchange traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of UNITED STATES the Indxx Low
US
US
Bank of New York Mellon/The
BBD LLP
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
DAVID KWAN
WisdomTree Asset Management Inc
WisdomTree Asset Management Inc
HAO-HUNG LIAO "PETER"
Van Eck Associates Corp
Direxion Daily Russia Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the performance of the Market Vectors Russia Index.
Aggressive Growth 1-212-896-1249
WisdomTree U.S. Dividend Growth Fund is an exchange-traded fund incorporated in the USA. The fund seeks to track the www.wisdomtree. WisdomTree US price and yield performance of the WisdomTree U.S. Dividend Growth Index. The fund invest in U.S. companies that pay com Dividend Growth regular cash dividend
Sector Fund-Utility 1-415-670-2000
www.ishares.com
iShares Global Utilities ETF
Manager's Country
WisdomTree Asset Management Inc
1-212-896-1249
Growth&IncomeSmall Cap
Fund's Investment Advisor
Fund's Administrator
iShares Global Utilities ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the S&P Global Utilities Index.
RBS ETNs/USA
RBS ETNs/USA
RBS ETNs/USA
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
Deutsche Bank AG
United States
New York
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global Advisors LLC Advisors LLC WisdomTree Asset United States Management Inc
New York
KAREN Q. WONG
5/25/11
5/22/13
WisdomTree Asset Management Inc
Deutsche Bank AG
United States
San Francisco
Van Eck Associates Corp
United States
New York
1-212-896-1249
www.wisdomtree. WisdomTree Asia WisdomTree Asia Local Debt Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund invests com Local Debt Fun in local debt denominated in the currencies of Asia ex-Japan countries.
Geo Focus-Equity 1-212-293-2000
Market Vectors Egypt Index ETF is an exchange traded fund incorporated in the USA. The Fund's objective is to replicate as Market Vectors www.vaneck.com closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Egypt Index (the "Egypt Egypt Index ETF Index")
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Sector FundTechnology
1-415-670-2000
iShares North www.ishares.com American Tech ET
iShares North American Tech ETF is an exchanged-traded fund incorporated in the USA. The ETF's objective is to achieve investment results that correspond to the performance of the S&P North American Technology Sector Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Environmentally Friendly
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ Clean om Edge
First Trust NASDAQ Clean Edge Green Energy Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the NASDAQ Clean Edge U.S. Liquid Series Index, UNITED STATES which tracks cl
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
Undefined Equity
1-415-670-2000
www.ishares.com
iShares Global Industrials ETF
iShares S&P Global Industrials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the S&P Global Industrials Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Asset Backed Securities
1-866-787-2257
www.spdrs.com
SPDR Barclays SPDR Barclays Mortgage Backed Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to Mortgage Backed provide investment results that correspond generally to the total return performance of the Barclays U.S. MBS Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds KAREN and Trust Co Management TSANG
SSGA Funds SSGA Funds Management Management
United States
Boston
Commodity
1-212-918-4954
www.etfsecurities ETFS Gold Trust is an exchange traded fund incorporated in the USA. The trust issues ETFS Physical Swiss Gold Shares to .com/us/welcome ETFS Gold Trust track the performance of the gold bullion spot price, less the expenses of the Trust's operations. The shares are backed by the .asp physica
UNITED STATES
US
JE
Bank of New York Mellon/The
ETF JPMorgan Chase Securities & Co USA LLC
ETF Securities USA LLC
United States
San Francisco
Geo Focus-Debt
Undefined Equity
1-866-499-8473
www.vanguard.co Vanguard m Materials ETF
UNITED STATES
Vanguard Materials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI US Investable Market Materials Index. The Fund invests all of its assets in the stocks that make up the Index, holding UNITED STATES each sto
US
US
US
US
Bank of New York First Trust Mellon Corp/The Advisors LP
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard MICHAEL D Group Inc/The EYRE
Undefined Equity
1-212-293-2000
www.vaneck.com
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Corp/Pref-Inv Grade
1-630-765-8000
First Trust Preferred Securities and Income Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is www.ftportfolios.c First Trust to provide income and total return. The Fund will invest at least 80% of its net assets in preferred securities and incomeUNITED STATES om Preferred Securiti produci
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
ProShares www.proshares.c UltraPro Short om 20+ Y
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Government/Agenc 1-240-497-6400 y-LT
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
Market Vectors Retail ETF
Guggenheim BulletShares 2013 H
Market Vectors Retail ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the U.S. Listed Retail 25 Index.
ProShares UltraPro Short 20+ Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to three times (300&) the inverse (opposite) of the daily performance of the Barclays Capital U.S. 20+ UNITED STATES Year Tr Guggenheim BulletShares 2013 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2013 Index.
US
US
Brown Brothers Harriman & Co
HAO-HUNG LIAO "PETER"
First Trust Advisors LP
ETF Securities USA LLC
2010
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
12/21/11
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
First Trust Advisors LP
First Trust Advisors LP
United States
Wheaton
United States
Bethesda
First Trust Advisors LP
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
2/18/10
3/27/12
ProShare ProShare Advisors LLC Advisors LLC
1/17/12
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
Company Telephone Number
Financial Services 1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
iShares U.S. Insurance ETF
Precious Metals
1-212-644-6622
www.globalxfund Global X Gold s.com Explorers ETF
Growth&IncomeLarge Cap
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P Global Dividend
Fund's Description
Country
iShares U.S. Insurance ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Insurance Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
Global X Gold Explorers ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of UNITED STATES the Solactive Global Gold Explorers Index.
US
Guggenheim Global Dividend Opportunities Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the S&P Global Dividend Opportunities Index, which is comprised of 100 stocks, MLPs and A
US
UNITED STATES
US
Fund's Administrator
State Street Bank and Trust Co
Fund's Auditor
Fund's Custodian
Fund's Manager
Global X Management Co LLC
International Equity 1-800-983-0903
BLDRS Emerging Markets 50 ADR Index Fund is an investment trust incorporated in the USA. The Fund seeks results that www.powershare BLDRS Emerging correspond to the price and yield performance of The Bank of New York Emerging Markets 50 ADR Index, which is a s.com Markets 50 ADR capitalization-weighted i
UNITED STATES
US
BM
Bank of New York Mellon
Undefined Equity
1-877-ETRACS5
ETRACS Alerian MLP Index ETN is an exchange-traded note issued in the USA. The ETN will provide investors with a cash www.ubs.com/e- ETRACS Alerian payment at the scheduled maturity or early redemption based on the performance of the Alerian MLP Index and may pay a tracs MLP Index ETN quarterly coupon du
UNITED STATES
US
CH
UBS Securities LLC
Undefined Equity
1-415-670-2000
www.ishares.com
iShares Global iShares Global Consumer Staples ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that Consumer Staple correspond generally to the price and yield performance of the S&P Global Consumer Staples Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Undefined Equity
1-212-293-2000
www.vaneck.com
Market Vectors Steel Index Fun
Market Vectors Steel Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond to the price and yield of the Amex Steel Index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
1-212-918-4954
www.etfsecurities ETFS Platinum .com/us/welcome Trust .asp
ETFS Platinum Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the performance of the price of platinum bullion, less the expenses of the Trust's operations. The Shares are designed for investors who want a UNITED STATES cost
Commodity
Growth&IncomeLarge Cap
1-800-983-0903
PowerShares www.powershare S&P 500 High s.com Divid
Undefined Equity
1-415-670-2000
Region Fnd-Asian Pacific
1-866-787-2257
Emerging MarketEquity
1-888-949-3837
Internet & Telecom 1-866-499-8473
Undefined Equity
Country FundRussia
1-800-983-0903
1-877-437-9363
HAO-HUNG LIAO "PETER"
JE
US
BM
Bank of New York Mellon/The
www.ishares.com
iShares Global iShares Global Consumer Discretionary ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that UNITED STATES Consumer Discre correspond generally to the price and yield performance of the S&P Global Consumer Discretionary Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.spdrs.com
SPDR S&P Emerging Asia Pacific
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
UNITED STATES
JOHN A TUCKER
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Vanguard Vanguard Telecommunication Services ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.vanguard.co Telecommunicati performance of the MSCI Investable Market Telecommunication Services Index. This Index consists of large, medium-size and UNITED STATES m on Ser small US co
US
US
Vanguard Group Inc/The
www.guggenhei mfunds.com
Guggenheim Frontier Markets ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the Bank of New York Mellon New Frontier DR Index.
PowerShares PowerShares Dynamic Building & Construction is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare Dynamic Building investment results that correspond to the price and yield of the Dynamic Building & Construction Intellidex Index, which s.com & evaluates companies ba www.direxionshar Direxion Daily es.com Russia Bear 3x
Direxion Daily Russia Bear 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the inverse (opposite) of the performance of the Market Vectors Russia Index.
UNITED STATES
UNITED STATES
US
US
BM
US
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Vanguard RYAN E Group Inc/The LUDT
United States
Stamford
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
ETF Securities USA LLC
ETF Securities USA LLC
United States
San Francisco
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
BlackRock BlackRock Fund Fund Advisors Advisors
United States
Wheaton
San Francisco
3/19/07
SSgA Funds Management Inc
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
2005
Vanguard Vanguard Group Group Inc/The Inc/The
Valley Forge
SSgA Funds United States Management Inc
United States
Boston
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
US
US
State Street Bank and Trust Co
Global Equity
1-866-787-2257
www.spdrs.com
SPDR SSgA Multi-Asset Real Ret
SPDR SSgA Multi-Asset Real Return ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve real return consisting of capital appreciation and current income.
UNITED STATES
US
US
State Street Bank and Trust Co
SSgA Funds Ernst & Young State Street Bank Management LLP and Trust Co Inc
Global X Management Co LLC/ETF
Ernst & Young
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
Global X www.globalxfund SuperIncome s.com Preferred
Global X SuperIncome Preferred ETF an exchange-traded fund incorporated in the USA. The Underlying Index tracks the performance of the highest yielding preferred securities in the United States, as determined by Standard & Poor's The Underlying Index is c
UNITED STATES
US
Government/Agenc 1-415-670-2000 y
iShares U.S. www.ishares.com Treasury Bond ETF
iShares U.S. Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Treasury Bond UNITED STATES Index.
US
US
State Street Bank and Trust Co
International Equity 1-415-670-2000
www.ishares.com
iShares Core iShares Core MSCI Total International Stock ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track UNITED STATES MSCI Total Intern the MSCI ACWI ex USA Investable Market Index.
US
US
State Street Bank and Trust Co
Government/Agenc 1-415-670-2000 y
iShares www.ishares.com International Treasury
US
US
State Street Bank and Trust Co
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
MATTHEW HASTINGS
KAREN Q. WONG
Brown Brothers Harriman & Co
Global X Management Co LLC
ROB GUILIANO
Corporate/Preferre 1-212-644-6622 d
State Street Bank BlackRock GREG and Trust Co Fund Advisors SAVAGE
04/12
Govt/Agency-Inter 1-800-435-4000 Term
Schwab Intermediate-Term U.S. Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the investment results of the Barclays U.S. 3-10 Year Treasury Bond Index.
UNITED STATES
US
US
International Equity 1-212-896-1249
WisdomTree www.wisdomtree. International com Small
WisdomTree International SmallCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree International SmallCap Dividend Index. The Fund invests in small-cap
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Region Fnd-Asian Pacific
1-415-670-2000
www.ishares.com
iShares S&P Asia ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the S&P Asia 50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Currency
1-301-296-5100
www.rydexfunds. CurrencyShares com/etf Swiss Franc Tru
CurrencyShares Swiss Franc Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the price in USD of the Swiss Franc.
UNITED STATES
US
US
State Street Bank and Trust Co
Rydex Investments
MICHAEL P BYRUM
Invesco PowerShares United States Capital Management LLC
Wheaton
United States
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Global X Management Co LLC
Global X Management Co LLC
United States
New York
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
10/22/12
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
Charles Schwab Investment Management Inc
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
5/25/11
BRUNO DEL AMA
Schwab www.schwabetfs. Intermediatecom Term U.S.
iShares Asia 50 ETF
UBS UBS Securities Securities LLC LLC
New York
UNITED STATES
US
Rockville
US Bancorp Fund Services LLC
iShares Global Tech ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P Global Information Technology Sector Index.
www.guggenhei mfunds.com
Lisle
PowerShares PowerShares Capital Capital United States Management Management LLC LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
iShares Global Tech ETF
1-888-949-3837
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
www.ishares.com
Growth & Income
10/18/12
San Francisco
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
1-415-670-2000
Guggenheim Guggenheim Raymond James SB-1 Equity ETF is an exchange-traded Fund incorporated in the USA. The Fund's objective is Raymond James to track the performance of the Raymond James SB-1 Equity Index, which tracks all equity securities rated Strong Buy by UNITED STATES SB-1 Raymond James & As
United States
Global X Management Co LLC
Bank of New York Mellon/The
Sector FundTechnology
UNITED STATES
BlackRock BlackRock Fund Fund Advisors Advisors
Manager's City Name
Invesco PowerShares Capital Management LLC
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
iShares International Treasury Bond ETF is an exchange traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the S&P/Citigroup International Treasur
10/16/07
ETF Securities USA LLC
UNITED STATES
SPDR S&P Emerging Asia Pacific ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Asia Pacific Emerging BMI Index, which includes companies in an emerging market in the Asia Pacific Emer
1/17/12
PowerShares Bank of New York Capital Mellon Management
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Guggenheim Frontier Markets ET
PowerShares S&P 500 High Dividend Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the S&P 500速 Low Volatility High Dividend Inde
US
Ernst & Young
Manager's Country
Global X Management Co LLC
BRUNO DEL AMA
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Fund's Management Company
Fund's Manager Start Date
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
Fund's Investment Advisor
BlackRock BlackRock Fund Fund Advisors Advisors
BlackRock BlackRock Fund Fund Advisors Advisors
1/17/12
6/20/06
Guggenheim Funds Investment Advisors LLC Charles Schwab Investment Management Inc WisdomTree Asset Management Inc
Guggenheim Funds Investment United States Advisors LLC
Lisle
Charles Schwab Investment United States Management Inc
San Francisco
WisdomTree Asset United States Management Inc
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Rydex Investments
United States
Rockville
Rydex Investments
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Growth & Income1-240-497-6400 Mid Cap
www.proshares.c ProShares Short ProShares Short MidCap400 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that om MidCap 400 correspond to the inverse (opposite) of the daily performance of the S&P MidCap 400 Index.
Sector Fund-Real Estate
1-800-983-0903
PowerShares www.powershare KBW Premium s.com Yield
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
Growth&IncomeLarge Cap
1-415-670-2000
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
PowerShares KBW Premium Yield Equity REIT Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the index called the KBW UNITED STATES Premium Yield
US
BM
Bank of New York Mellon/The
Guggenheim BulletShares 2017 H
Guggenheim BulletShares 2017 High Yield Corporate Bond ETF is an exchange-traded fund in the USA. The Fund seeks investment results that correspond, before the Fund's fees and expenses, to the BulletShares USD High Yield Corporate Bond UNITED STATES 2017 Index.
US
US
Guggenheim Funds Guggenheim Bank of New York Investment Advisors Ernst & Young Funds Mellon LLC Investment Ad
www.ishares.com
iShares Dow Jones U.S. ETF
iShares Dow Jones U.S. ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Total Market Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Corporate/Preferre 1-212-293-2000 d
www.vaneck.com
Market Vectors Preferred Secur
Market Vectors Preferred Securities ex Financials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Wells Fargo速 Hybrid and Preferr
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
Growth & Income
1-212-528-7990
www.etnplus.com
The Barclays ETN+ S&P VEQTOR ETN is an exchange-traded note issued in the USA. The Note will provide investors with a Barclays ETN+ cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P 500 UNITED STATES ETNs Linked to t Dynamic VEQTOR T
US
GB
Investors Bank & Trust Co
Pricewaterhou Investors Bank & Barclays seCoopers Trust Co Capital Inc LLP
Region FundAfrican
1-212-293-2000
www.vaneck.com
Market Vectors Africa Index ET
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
1-877-369-4617
PowerShares DB US Dollar Index Bearish Fund is an exchange-traded fund incorporated in the USA. The Fund is designed to www.dbfunds.db. PowerShares DB replicate being short the US Dollar against the following currencies: Euro, Japanese Yen, British Pound, Canadian Dollar, UNITED STATES com US Dollar Index Swedish Krona
Corp/Pref-High Yield
855-498-1580
Highland/iBoxx Senior Loan ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to www.highlandfun Highland/iBoxx provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the ds.com Senior Loan ETF Markit iBoxx
Balanced
1-415-670-2000
www.ishares.com
Currency
iShares Growth Allocation ETF
Market Vectors Africa Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond to the price and yield performance of the Market Vectors GDP Africa Index.
US
Van Eck Bank of New York Associates Mellon/The Corp
HAO-HUNG LIAO "PETER"
ProShare ProShare Advisors LLC Advisors LLC Invesco PowerShares Capital Management LLC Guggenheim Funds Investment Advisors LLC
06/12
7/14/08
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
DE
Bank of New York Mellon/The
Pricewaterhou State Street Bank Pyxis Capital seCoopers and Trust Co LP LLP
Bethesda
Wheaton
Guggenheim Funds Investment Advisors LLC
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
DB DB Commodity Commodity Services LLC Services LLC
United States
New York
Pyxis Capital LP
Pyxis Capital LP
United States
Dallas
United States
San Francisco
US
US
iShares Growth Allocation ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Risk Growth Index. The ETF invests approximately UNITED STATES 70% of its a
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
iShares www.ishares.com International Preferre
iShares International Preferred Stock ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the S&P International Preferred Stock Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Municipal
1-888-400-4383
PIMCO Build www.pimcoetfs.c America Bond om Excha
Pimco Build America Bond Exchange-Traded Fund is an actively managed exchangetraded fund incorporated in the USA. The UNITED STATES Fund seeks to track the performance of the Barclays Capital Build America Bond Index.
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Growth & Income
1-800-983-0903
PowerShares www.powershare FTSE RAFI US s.com 1500
PowerShares FTSE RAFI US 1500 Small-Mid Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the FTSE Research Affiliates Fundamentals US 1500 Small-Mid Index,
UNITED STATES
US
BM
Bank of New York Mellon/The
Precious Metals
1-212-644-6622
The Global X Copper Miners ETF is an exchange-traded fund incorporated in the USA. The seeks to provide investment www.globalxfund Global X Copper results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Global Copper UNITED STATES s.com Miners ETF Miners Index
US
Commodity
ETRACS CMCI Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash www.ubs.com/e- ETRACS CMCI 1-877-ETRACS5 payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS Bloomberg UNITED STATES tracs Total Return ETN CMCI Index.
US
CH
JOSEPH P 07/11 DEANE "JOE"
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
UBS Securities LLC
UBS Securities LLC
11/12
BRUNO DEL AMA
12/09
4/20/10
Pacific Investment Management Co LLC Invesco PowerShares Capital Management LLC
Pacific Investment Management Co LLC Invesco PowerShares United States Capital Management LLC
Wheaton
Global X Management Co LLC
Global X Management Co LLC
United States
New York
UBS UBS Securities Securities LLC LLC Invesco PowerShares Capital Management LLC Pacific Investment Management Co LLC
United States
Stamford
Invesco PowerShares United States Capital Management LLC
Wheaton
Pacific Investment Management Co LLC
United States
Newport Beach
United States
San Francisco
PowerShares Aerospace & Defense Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the SPADE(TM) Defense Index, which tracks stocks of companies involved in UNITED STATES the develop
US
BM
Bank of New York Mellon/The
Government/Agenc 1-888-400-4383 y-LT
PIMCO 25+ Year Zero Coupon US Treasury Index Exchange-Traded Fund is an exchange-traded fund incorporated in the www.pimcoetfs.c PIMCO 25+ Year USA. The Fund's objective is provide total return that closely corresponds to the total return of the BofA Merrill Lynch Long US UNITED STATES om Zero Coupon U.S Treasury Prin
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Emerging MarketEquity
1-855-353-9383
FlexShares www.flexshares.c Morningstar om Emergin
UNITED STATES
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
Emerging MarketEquity
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Global X Management Co LLC
Global X Management Co LLC
Undefined Equity
Sector FundTechnology
1-800-983-0903
1-800-983-0903
FlexShares Morningstar Emerging Markets Factor Tilt Index Fund is an exchanged-traded fund incorporated in the USA. The Fund seeks to track the performance of the Morningstar Emerging Markets Factor Tilt Index.
iShares Emerging iShares Emerging Markets Infrastructure ETF is an exchange-traded fund incorporated in the USA. The Fund seeks Markets Infra investment results that correspond to the price and yield performance of the S&P Emerging Markets Infrastructure Index.
PowerShares www.powershare S&P SmallCap s.com Infor
PowerShares S&P SmallCap Information Technology Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of th
UNITED STATES
US
Geo Focus-Equity 1-212-644-6622
www.globalxfund Global X Norway Global X Norway 30 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the UNITED STATES s.com 30 ETF FTSE Norway 30 Index.
US
Government/Agenc 1-415-670-2000 y-LT
www.ishares.com
iShares 10-20 iShares 10-20 Year Treasury Bond ETF is an exchange-traded fund incorporated inthe USA. The ETF seeks to track the Year Treasury Bo investment results of an index composed of U.S. Treasury bonds with remaining maturities between ten and twenty years.
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
10/15/09
Northern Trust JPMorgan Chase Investments Bank NA Inc
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
VINEER BHANSALI
12/09
Global X Management Co LLC
Northern Trust Northern Trust Investments Investments Inc Inc
BRUNO DEL AMA
12/09
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Sector Fund-Asset 1-877-437-9363 Alloc
www.direxionshar Direxion Daily Direxion Daily Technology Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks investment es.com Technology Bear results of 300% of the inverse (opposite) of the performance of the Technology Select Sector Index.
UNITED STATES
US
Sector FundEnergy
1-212-644-6622
www.globalxfund Global X MLP s.com ETF
Global X MLP ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Solactive MLP Composite Index.
UNITED STATES
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Country FundJapan
1-240-497-6400
ProShares www.proshares.c UltraShort MSCI om Japa
UltraShort MSCI Japan ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI Japan Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
Sector Fund-Real Estate
1-212-896-1249
WisdomTree www.wisdomtree. Global ex-US com Real E
WisdomTree Global ex-US Real Estate Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the UNITED STATES price and yield of the WisdomTree Global ex-US Real Estate Index.
US
US
US
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Global X Management Co LLC
Manager's City Name
United States
UNITED STATES
ETHAN POWELL
Manager's Country
Invesco PowerShares United States Capital Management LLC
SEI Investments Global Funds Services
Corporate/Preferre 1-415-670-2000 d
PowerShares www.powershare Aerospace & s.com Defens
HAO-HUNG LIAO "PETER"
Fund's Management Company
Fund's Manager Start Date
BRUNO DEL AMA
KAREN Q. WONG
Global X Management Co LLC
United States
Wheaton
San Francisco
New York
Global X Management Co LLC
United States
Bethesda
WisdomTree Asset United States Management Inc
New York
Company Telephone Number
Company's Web Security's Name Address
International Equity 1-855-353-9383
FlexShares www.flexshares.c Morningstar om Develop
International Equity 1-212-896-1249
Govt/Agency-Inter 1-240-497-6400 Term
Fund's Description
Country
FlexShares Morningstar Developed Markets ex-US Factor Tilt Index Fund is an exchanged-traded fund incorporated in the USA. The Fund seeks to track the performance of the Morningstar Developed Markets ex-US Factor Tilt Index.
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Northern Trust JPMorgan Chase Investments Bank NA Inc
Manager's Country
Manager's City Name
Northern Trust Northern Trust Investments Investments Inc Inc
UNITED STATES
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
www.wisdomtree. WisdomTree WisdomTree International Dividend ex-Financials Fund is an exchange-traded fund incorporated in the USA. The Fund seeks com International Divid investment results that correspond to the performance of the WisdomTree International Dividend ex-Financials Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
ProShares Short 7-10 Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment www.proshares.c ProShares Short results, before fees and expenses, that correspond to the inverse (opposite) of the daily performance of the Barclays Capital 7om 7-10 Treasury 10 Year
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
WisdomTree Asset Management Inc
KAREN Q. WONG
WisdomTree Asset United States Management Inc
ProShare ProShare Advisors LLC Advisors LLC
New York
Bethesda
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
www.guggenhei mfunds.com
Guggenheim BulletShares 2019 C
Guggenheim BulletShares 2019 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Government/Agenc 1-415-670-2000 y
www.ishares.com
iShares Agency Bond ETF
iShares Agency Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the investment results of an index composed of agency securities that are publicly issued by U.S. government agencies, and corporate and non-U.S. UNITED STATES debt guara
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Govt/Corp Intermediate
1-415-670-2000
iSharesBond www.ishares.com 2018 Corporate ex-
iSharesBond 2018 Corporate ex-Financials Term ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond to the price and yield performance of the Barclays 2018 Maturity High Quality Corporate Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Balanced
1-415-670-2000
iShares iShares Morningstar Multi-Asset Income Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to www.ishares.com Morningstar Multitrack the performance of the Morningstar Multi-Asset High Income Index. Asse
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Undefined Equity
1-240-497-6400
ProShares www.proshares.c UltraShort Basic om Mat
UltraShort Basic Materials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Basic Materials Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Growth-Large Cap 1-800-983-0903
PowerShares www.powershare Dynamic Large s.com Cap
Powershares Dynamic Large Cap Growth Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Large Cap Growth Intellidex Index, which seeks to provide capital a
UNITED STATES
US
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Health & Biotechnology
1-240-497-6400
www.proshares.c ProShares Ultra om Nasdaq Biotech
ProShares Ultra Nasdaq Biotechnology is an an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the return of the Nasdaq Biotechnology Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
Country FundRussia
1-866-787-2257
www.spdrs.com
SPDR S&P Russia ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that, before fees and expenses, correspond generally to the Russia Capped BMI Index.
UNITED STATES
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds Management Inc
Charles Schwab Investment Management Inc
Charles Pricewaterhou State Street Bank Schwab seCoopers and Trust Co Investment LLP Mana
AGNES HONG
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
KAREN Q. WONG
Corp/Pref-High Yield
1-888-949-3837
International Equity 1-800-435-4000
Growth & Income1-212-896-1249 Mid Cap
SPDR S&P Russia ETF
Schwab www.schwabetfs. International com Small-Cap
Schwab International Small-Cap Equity ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to track as closely as possible, before fees and expenses, the total return of the FTSE Developed Small Cap ex-US Liquid Index.
UNITED STATES
WisdomTree WisdomTree MidCap Earnings Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price www.wisdomtree. MidCap Earnings and yield performance of the WisdomTree MidCap Earnings Index, which tracks earnings-generating companies within the mid- UNITED STATES com Fun capitalization s
Sector Fund-Utility 1-800-983-0903
PowerShares www.powershare Global Water s.com Portf
Muni-California
1-866-787-2257
www.spdrs.com
Growth & Income
1-630-765-8000
www.ftportfolios.c First Trust US om IPO Index Fund
Sector Fund-Real Estate
1-888-949-3837
www.guggenhei mfunds.com
PowerShares Global Water Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Nasdaq OMX US Global Water Index, a modified equal-weighted index that tracks UNITED STATES global com
US
US
BM
US
US
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds TIM RYAN and Trust Co Management
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
Guggenheim Guggenheim China Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results China Real Estate UNITED STATES that correspond to the price and yield of the AlphaShares China Real Estate Index. E
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Government/Agenc 1-877-369-4617 y
PowerShares DB 3x Inverse Japanese Government Bond Futures Exchange Traded Notes is an exchange-traded note issued www.DBXUS.co PowerShares DB in the USA by Deutsche Bank AG. The Notes will offer investors three times leveraged exposure to the monthly performance of UNITED STATES m 3x Inverse Japa the short JGB fu
US
DE
Deutsche Bank AG
Undefined Equity
1-630-765-8000
www.ftportfolios.c First Trust ISE om Cloud Computin
First Trust ISE Cloud Computing Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the ISE Cloud Computing Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Country FundCanada
1-630-765-8000
First Trust www.ftportfolios.c Canada om AlphaDEX Fu
First Trust Canada AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Canada Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Emerging MarketEquity
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
Undefined Equity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
UNITED STATES
US
US
State Street Bank and Trust Co
First Trust US IPO Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of an equity index called the U.S. IPOX-100 Index.
iShares Emerging Markets Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the iShares Emerging investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Markets Divid Emerging Mark The iShares MSCI Emerging Markets Energy Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets E
12/09
JOHN A TUCKER
US
SPDR Nuveen SPDR Nuveen Barclays California Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks Barclays Californi investment results that correspond to the price and yield of the Barclays Managed Money Municipal California Index.
3/28/12
Charles Schwab Investment Management Inc WisdomTree Asset Management Inc Invesco PowerShares Capital Management LLC
United States
Bethesda
SSgA Funds United States Management Inc
Boston
Charles Schwab Investment United States Management Inc
San Francisco
WisdomTree Asset United States Management Inc
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
SSGA Funds SSGA Funds Management Management
United States
Boston
First Trust Advisors LP
United States
Lisle
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Brown Brothers Harriman & Co
First Trust Advisors LP
First Trust Advisors LP
Deutsche Bank AG
First Trust Advisors LP
State Street Bank BlackRock and Trust Co Funds/USA
10/15/07
1/17/12
First Trust Advisors LP
BlackRock BlackRock Fund Fund Advisors Advisors
GREG SAVAGE
BlackRock Funds/USA
BlackRock Funds/USA Invesco PowerShares United States Capital Management LLC
PowerShares KBW Regional Banking Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the KBW Regional Banking Index (the "Underlying
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
iShares Russell Top 200 Growth
iShares Russell Top 200 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Russell Top 200 Growth Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
www.ishares.com
iShares Global Materials ETF
iShares Global Materials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield performance of the S&P Global Materials Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
www.ishares.com
iShares Global Timber & Forest
iShares Global Timber & Forestry ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the S&P Global Timber & Forestry Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Financial Services 1-800-983-0903
PowerShares www.powershare KBW Regional s.com Banki
Growth-Large Cap 1-415-670-2000
www.ishares.com
Undefined Equity
1-415-670-2000
Undefined Equity
1-415-670-2000
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Wheaton
Company Telephone Number
Company's Web Security's Name Address
Country
SPDR Barclays Intermediate Term Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the price and yield performance of the Barclays Intermediate U.S. UNITED STATES Treasury
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
www.spdrs.com
Geo Focus-Debt
1-212-896-1249
WisdomTree www.wisdomtree. Australia & New com Zea
UNITED STATES
US
Undefined Equity
1-212-644-6622
Global X www.globalxfund Global X Fertilizers/Potash ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance Fertilizers/Potash UNITED STATES s.com of the Solactive Global Fertilizers/Potash Index. ET
US
Health & Biotechnology
1-800-983-0903
Powershares www.powershare Dynamic s.com Biotechnol
PowerShares Dynamic Biotechnology & Genome Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Biotechnology & Genome Intellidex Index, a fundamentally-weig
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Growth&IncomeLarge Cap
1-866-499-8473
www.vanguard.co Vanguard Mega m Cap ETF
Vanguard Mega Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the CRSP U.S. Mega Cap Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
www.guggenhei mfunds.com
Blue Chip
1-240-497-6400
Sector Fund-Real Estate
Guggenheim S&P Global Water In
WisdomTree Australia & New Zealand Local Debt Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks a high level of total returns consisting of both income and capital appreciation. The Fund attempts to achieve its inve
US
Guggenheim S&P Global Water ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond generally to the performance of the S&P Global Water Index.
US
www.proshares.c ProShares RAFI om Long/Short
ProShares RAFI Long/Short is an exchange-traded fund incorporated in the USA. The Fund seeks investment results, before fees and expenses, that track the performance of the RAFI US Equity Long/Short Index.
UNITED STATES
US
1-415-670-2000
iShares www.ishares.com International Develope
iShares International Property ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment performance that corresponds with the price and yield of the S&P Developed Ex-US Property Index.
UNITED STATES
US
1-800-920-0259
United States Brent Oil Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to have changes www.unitedstates United States in percentage terms of its unit's net asset value reflect the changes of the price of Brent Crude Oil, as measured by changes in UNITED STATES oilfund.com Brent Oil Fund L pe
US
Government/Corpo 1-415-670-2000 rate
iShares iShares Governement/Credit Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the www.ishares.com Government/Cred investment results of an index composed of U.S. dollar-denominated government, government-related and investment-grade it Bond U.S. corporate bonds.
UNITED STATES
US
Undefined Equity
First Trust www.ftportfolios.c First Trust NASDAQ Global Auto Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment NASDAQ Global UNITED STATES om results that correspond to the NASDAQ OMX Global Auto Index. Auto
US
Commodity
Growth&IncomeLarge Cap
1-630-765-8000
1-212-896-1249
www.wisdomtree. WisdomTree com DEFA Fund
WisdomTree DEFA Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree DEFA Index. The Fund invests in companies in developed markets outside UNITED STATES the US that pay regular
Guggenheim International Multi-Asset Income Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks Guggenheim investment results that correspond to the Zacks International Multi-Asset Income Index, which is comprised of 150 stocks UNITED STATES International Multi selected from
US
US
US
State Street Bank and Trust Co
Ernst & Young
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
Fund's Manager
Govt/Agency-Inter 1-866-787-2257 Term
Sector Fund-Utility 1-888-949-3837
SPDR Barclays Intermediate Ter
Fund's Description
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
US
Global X Management Co LLC
Global X Management Co LLC
Global X Management Co LLC
12/01/09
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
2007
Vanguard Vanguard Group Group Inc/The Inc/The
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
12/02/10
ProShare ProShare Advisors LLC Advisors LLC
Vanguard RYAN E Group Inc/The LUDT
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP United States Commodities RAY ALLEN Fund
First Trust Advisors LP
First Trust Advisors LP
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
US
Guggenheim Funds Guggenheim Bank of New York Investment Advisors Ernst & Young Funds Mellon LLC Investment Ad
US
US
State Street Bank and Trust Co
Bank of New York Mellon
Tait Weller & Baker LLP
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
UNITED STATES
US
GB
SPDR Barclays Long Term Corporate Bond ETF is an exchange-traded fund incorporated in the USA, The Fund's objective is to provide investment results that correspond generally to the total return performance of the Barclays Long U.S. Corporate UNITED STATES Index.
US
US
State Street Bank and Trust Co
First Trust Dow Jones STOXX Select Dividend 30 Index Fund is an exchange-traded fund incorporated in the USA. The Fund UNITED STATES seeks to track the performance of the Dow Jones STOXX Select Dividend 30 Index.
US
US
Bank of New York Mellon Corp/The
PowerShares www.powershare Dynamic Oil & s.com Gas
PowerShares Dynamic Oil & Gas Services Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Oil Services Intellidex Index, which evaluates companies based on
Closed-end Funds 1-212-528-7990
www.etnplus.com
Barclays ETN+ Select MLP ETNs is an exchange-traded note incorporated in the USA. The Note will provide investors with a Barclays ETN+ cash payment at the scheduled maturity or early redemption based on the performance of the underlying index Atlantic Trust Select MLP ETNs Select MLP
Govt/Corp Long Term
1-866-787-2257
www.spdrs.com
SPDR Barclays Long Term Corpor
Growth & Income
1-630-765-8000
First Trust www.ftportfolios.c STOXX om European Sel
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP Advisorshares Bank of New York CHARLES Investments Mellon BIDERMAN LLC
Lisle
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
United States
Advisorshares Advisorshares Investments Investments LLC LLC Invesco PowerShares United States Capital Management LLC
Wheaton
Bank of New York Barclays Mellon Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Ernst & Young
State Street Bank SSGA Funds PATRICK 02/12 and Trust Co Management BRESNEHAN
SSGA Funds SSGA Funds Management Management
United States
Boston
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
www.pimcoetfs.c PIMCO 15+ Year PIMCO 15+ Year US TIPS Index Exchange-Traded Fund is an exchanged-traded fund incorporated in the USA. The Fund's om U.S. TIPS Index objective is provide total return that closely corresponds to the total return of its index.
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Aggressive Growth 1-855-353-9383
FlexShares www.flexshares.c Quality Dividend om In
UNITED STATES
US
US
JPMorgan Chase Bank NA
Closed-end Funds 1-240-497-6400
ProShares Short Real Estate is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results www.proshares.c ProShares Short that correspond to the inverse (opposite) of the daily performance of the Dow Jones United States Real Estate Industry Group om Real Estate Index.
UNITED STATES
US
Health & Biotechnology
1-415-670-2000
iShares US iShares U.S. Pharmaceuticals ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.ishares.com Pharmaceuticals that correspond to the price and yield of the Dow Jones US Select Pharmaceuticals Index. ETF
Growth-Mid Cap
1-888-949-3837
www.guggenhei mfunds.com
12/09
VINEER BHANSALI
Northern Trust JPMorgan Chase Investments Bank NA Inc
Northern Trust Northern Trust Investments Investments Inc Inc
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Guggenheim Guggenheim S&P Midcap 400 Pure Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is S&P Midcap 400 UNITED STATES to replicate as closely as possible, before expenses, the performance of the S&P Midcap 400/Citigroup Pure Growth Index. Pure
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Rockville
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
State Street Bank and Trust Co
Ernst & Young
SSGA Funds SSGA Funds Management Management
United States
Valley Forge
Financial Services 1-240-497-6400
www.proshares.c ProShares Short Short Financials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that om Financials correspond to the inverse (opposite) of the daily performance of the underlying index.
Municipal
www.spdrs.com
1-866-787-2257
New York
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Invesco PowerShares Capital Management LLC
Government/Agenc 1-888-400-4383 y-LT
FlexShares Quality Dividend Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Northern Trust Quality Dividend Index.
San Francisco
Deloitte & Touche LLP
US
1-800-983-0903
United States
Bank of New York Mellon Corp/The
US
Sector FundEnergy
Alameda
US
UNITED STATES
www.advisorshar TrimTabs Float es.com Shrink ETF
United States
BlackRock BlackRock Fund Fund Advisors Advisors
US
Lisle
San Francisco
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
KAREN Q. WONG
Valley Forge
United States
State Street Bank and Trust Co
US
Wheaton
United States United States Commodities Commodities Fund LLC Fund LLC
US
Bank of New York First Trust Mellon Corp/The Advisors LP
New York
BlackRock BlackRock Fund Fund Advisors Advisors
EisnerAmper LLP
iShares US Consumer Services ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks investment results that correspond to the performance of the Dow Jones U.S. Consumer Cyclical Sector Index.
1-877-843-3831
United States
Brown Brothers Harriman & Co
iShares U.S. www.ishares.com Consumer Services
Growth & Income
Valley Forge
BRUNO DEL AMA
Undefined Equity
TrimTabs Float Shrink ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to generate long-term returns by investing in stocks with liquidity and fundamental characteristics that are historically associated with superio
United States
ZANDRA ZELAYA
www.guggenhei mfunds.com
UNITED STATES
SSGA Funds SSGA Funds Management Management
Manager's City Name
WisdomTree Asset United States Management Inc
International Equity 1-888-949-3837
1-415-670-2000
5/23/07
Manager's Country
WisdomTree Asset Management Inc
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Brown Brothers Harriman & Co
Fund's Management Company
Fund's Manager Start Date
SPDR Nuveen Barclays Build Ame
SPDR Nuveen Barclays Build America Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Barclays Build Amer
UNITED STATES
US
UNITED STATES
US
US
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
State Street Bank SSGA Funds DANIEL J and Trust Co Management CLOSE
2010
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
International Equity 1-212-896-1249
WisdomTree www.wisdomtree. International com Large
Commodity
United States Gasoline Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to have changes www.unitedstates United States in percentage terms of its unit's net asset value reflect the changes of the price of Unleaded Gasoline delivered to New York UNITED STATES gasolinefund.com Gasoline Fund LP Harbor
US
www.direxionshar Direxion Daily Mid Direxion Daily Mid Cap Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily results of es.com Cap Bear 3x 300% of the inverse (opposite) of the performance of the S&P Mid Cap 400 Index.
US
1-800-920-0259
Growth & Income1-877-437-9363 Mid Cap
WisdomTree International LargeCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree International LargeCap Dividend Index. The Fund invests in large-cap
Ultimate Country of Country of Incorporation Incorporation of Parent Company
UNITED STATES
UNITED STATES
US
US
US
Fund's Administrator
Bank of New York Mellon Corp/The
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In Brown Brothers Harriman & Co
Fund's Manager
Fund's Management Company
Fund's Manager Start Date WisdomTree Asset Management Inc
KAREN Q. WONG
United States Commodities JOHN LOVE Fund
Manager's Country
WisdomTree Asset United States Management Inc
United States United States Commodities Commodities Fund LLC Fund LLC
Manager's City Name
New York
Brown Brothers Harriman & Co
EisnerAmper LLP
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
WisdomTree Asset Management Inc
New York
United States
Alameda
Aggressive Growth 1-212-896-1249
WisdomTree www.wisdomtree. Total Dividend com Fund
WisdomTree Total Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the Wisdom Tree Dividend Index. The Fund invests in U.S. companies that pay regular cash dividends o
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com Ireland Capped ET
iShares MSCI Ireland Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks performance results that correspondto the performance of the MSCI Ireland Investable Market 25/50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Country FundChina
www.proshares.c ProShares Ultra om FTSE China 25
ProShares Ultra FTSE China 25 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the FTSE/Xinhua China 25 Index. The Fund invests in equity UNITED STATES securities that s
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
SPDR Barclays Short Term International Treasury Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's SPDR Barclays objective is to provide investment results that correspond generally to the price and yield performance of the Barclays 1-3 Year UNITED STATES Short Term Inter Global
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
SSGA Funds SSGA Funds Management Management
United States
Boston
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
Investors Bank & Barclays Trust Co/Boston Capital Inc MA
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Fidelity JPMorgan Chase Management Bank & Research
Fidelity Management & Research Co
Fidelity Management & Research Co
United States
Boston
1-240-497-6400
Govt/Agency-Short 1-866-787-2257 Term
www.spdrs.com
Growth & Income1-240-497-6400 Mid Cap
ProShares www.proshares.c UltraPro om MidCap400
ProShares UltraPro MidCap400 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which UNITED STATES correspond to three times (300%) the daily performance of the S&P 400 MidCap Index.
US
Asian Pacific Ex Japan
1-630-765-8000
www.ftportfolios.c First Trust Asia om Pacific ex-Ja
First Trust Asia Pacific ex-Japan AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Asia Pacific ex-Japan Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Commodity
1-212-528-7990
iPath Dow Jones-UBS Livestock Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Livestock underlying index, the
UNITED STATES
US
GB
Barclays Capital Inc
Growth&IncomeLarge Cap
1-800-544-6666
www.fidelity.com
Fidelity NASDAQ Fidelity NASDAQ Composite Index Tracking Stock ETF is an exchange traded fund incorporated in the USA. The Fund seeks UNITED STATES Composite Inde to provide investment returns that closely correspond to the price and yield performance of the NASDAQ Composite Index.
US
US
US
Fidelity Management Deloitte & & Research Co Touche LLP
Brown Brothers Harriman & Co
KAREN Q. WONG
First Trust Advisors LP
BOBE SIMON
WisdomTree Asset United States Management Inc
Govt/Agency-Inter 1-866-499-8473 Term
Vanguard www.vanguard.co Intermediatem Term Gov
Vanguard Intermediate-Term Government Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays US 3-10 Year Government Float Adjusted Bond Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2013 Mellon Group Inc/The LLP N "JOSH"
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Balanced
1-415-670-2000
iShares www.ishares.com Aggressive Allocation
iShares Aggressive Allocation ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Risk Aggressive Index. The Fund invests approximately 92
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Emerging MarketDebt
1-415-670-2000
www.ishares.com
iShares Emerging iShares Emerging Markets High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track UNITED STATES Markets High the performance of the Morningstar Emerging Markets High Yield Bond Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GABRIEL seCoopers and Trust Co Fund Advisors SHIPLEY LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Growth & Income
1-212-644-6622
Global www.globalxfund SuperDividend s.com US ETF
Global X Management Co LLC
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
First Trust Advisors LP
United States
Lisle
The Global X SuperDividend U.S. ETF seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the INDXX SuperDividend U.S. Low Volatility Index.
UNITED STATES
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
Global X Management Co LLC
Global X Management Co LLC
BRUNO DEL AMA
iShares MSCI USA ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI USA Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
iShares U.S. Aerospace & Defense ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Dow Jones US Select Aerospace & Defense Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
United States 12 Month Oil Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to have www.unitedstates United States 12 changes in percentage terms of its unit's net asset value reflect changes of the price of WTI Crude Oil delivered to Cushing, oilfund.com Month Oil Fun Oklahoma,
UNITED STATES
US
Brown Brothers Harriman & Co
EisnerAmper LLP
Brown Brothers Harriman & Co
Growth-Large Cap 1-630-765-8000
www.ftportfolios.c First Trust Large First Trust Large Cap Growth Opportunities AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund om Cap Growth A seeks investment results that correspond to the Defined Large Cap Growth Opportunities.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
International Debt
1-415-670-2000
iShares www.ishares.com International Inflatio
iShares International Inflation-Linked Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the BofA Merrill Lynch Global ex-US Diversified Inflation-Linked Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GABRIEL seCoopers and Trust Co Fund Advisors SHIPLEY LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Sector FundTechnology
1-415-670-2000
iShares North www.ishares.com American TechMu
iShares North American Tech-Multimedia Networking ETF is an exchange-traded fund incorporated in the USA. The ETF's objective seeks investment results that correspond to the performance of the S&P North American Technology-Multimedia Networking Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Financial Services 1-630-765-8000
First Trust www.ftportfolios.c NASDAQ ABA om Communi
First Trust NASDAQ ABA Community Bank Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks UNITED STATES investment results that correspond generally to the price and yield of the ABA Community Bank Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Sector Fund-Real Estate
1-630-765-8000
www.ftportfolios.c First Trust FTSE First Trust EPRA/NAREIT Global Real Estate Index Fund is an exchange-traded fund incorporated in the USA. The Fund om EPRA/NAREIT D seeks to track the performance of the FTSE EPRA/NAREIT Global Real Estate Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Growth&IncomeSmall Cap
1-877-738-8870
www.revenueshar RevenueShares esetfs.com Small Cap ETF
RevenueShares Small Cap Fund is an exchange-traded fund incorporated in the USA. RevenueShares Small Cap Fund seeks to track the performance of the RevenueShares Small Cap Index, which is comprised of the same constituent securities as the UNITED STATES S&P Smallcap 60
US
US
Bank of New York Mellon/The
BBD LLP
VTL Bank of New York Associates Mellon/The LLC
VTL Associates LLC
VTL Associates LLC
United States
Philadelphia
Growth&IncomeLarge Cap
1-415-670-2000
iShares MSCI The iShares MSCI USA Momentum Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track www.ishares.com USA Momentum the performance of an index that measures the performance of U.S. large- and mid-capitalization stocks exhibiting relatively UNITED STATES Fact higher moment
US
US
iShares/USA
iShares/USA
Undefined Equity
1-415-670-2000
iShares MSCI www.ishares.com Global Metals & M
US
US
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
iShares MSCI USA ETF
Undefined Equity
1-415-670-2000
iShares U.S. www.ishares.com Aerospace & Defen
Commodity
1-800-920-0259
iShares MSCI Global Select Metals & Mining Producers ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI ACWI Select M
UNITED STATES
United States Commodities RAY ALLEN Fund
VINCENT THOMAS LOWRY "VINCE"
iShares/USA
State Street Bank and Trust Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
2/22/08
First Trust Advisors LP
BlackRock BlackRock Fund Fund Advisors Advisors
Company Telephone Number
Company's Web Security's Name Address
Guggenheim S&P 500 Equal Weigh
Fund's Description
Country
Financial Services 1-888-949-3837
www.guggenhei mfunds.com
Environmentally Friendly
1-800-983-0903
Powershares www.powershare Global Clean s.com Energ
PowerShares Global Clean Energy Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks to track the investment performance of the WilderHill New Energy Global Innovation Index, a modified equal-weighted index.
UNITED STATES
US
Emerging MarketDebt
1-212-896-1249
WisdomTree www.wisdomtree. Emerging com Markets Co
WisdomTree Emerging Markets Corporate Bond Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to provide a high level of total return consisting of both income and capital appreciation through investments in the debt of UNITED STATES emerging marke
First Trust Senior Loan ETF is an exchange-traded fund incorporated in the USA. The Fund's primary investment objective is www.ftportfolios.c First Trust Senior to provide high current income. The Fund's secondary investment objective is the preservation of capital. Under normal market UNITED STATES om Loan ETF condi
Corporate/Preferre 1-630-765-8000 d
Guggenheim S&P Equal Weight Financial ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to UNITED STATES replicate the performance of the S&P Equal Weight Financial Index.
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
MATTHEW C 3/08/12 DUDA
US
US
Bank of New York Mellon/The
Deloitte & Touche LLP
WILLIAM A HOUSEY JR
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
US
US
Bank of New York First Trust Mellon/The Advisors LP
Fund's Management Company
Fund's Manager Start Date
Manager's Country
Security Security Investors United States Investors LLC LLC
12/01/09
4/26/13
Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
Invesco PowerShares United States Capital Management LLC
Manager's City Name
Rockville
Wheaton
WisdomTree Asset Management Inc
First Trust Advisors LP
First Trust Advisors LP
United States
Wheaton
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Morgan Stanley
United States
New York
Commodity
1-212-528-7990
iPath Dow Jones-UBS Grains Total Return Sub-Index ETN is an exchange-traded note incorporated in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES m UBS Grains Sub underlying index,
US
GB
Investors Bank & Trust Co/Boston MA
Sector FundEnergy
1-855-227-2994
The Morgan Stanley Cushing MLP High Income Index ETN is an exchange-traded note issued by Morgan Stanley. The Notes www.morganstan Morgan Stanley will provide investors with a cash payment at the scheduled maturity or early repurchase and variable coupon payments each ley.com/etns Cushing MLP Hig quarter, in each
UNITED STATES
US
US
Morgan Stanley
Morgan Stanley
Morgan Stanley
Sector FundEnergy
1-877-ETRACS5
ETRACS Natural Gas Futures Contango ETN is an exchange-traded note issued in the USA. The Note will provide investors www.ubs.com/e- ETRACS Natural with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the ISE UNITED STATES tracs Gas Futures Con Natural Gas F
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Country FundBrazil
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Value
1-630-765-8000
www.ftportfolios.c First Trust Multi om Cap Value Al
First Trust Multi Cap Value AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES results that correspond to the Defined Multi Cap Value Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Commodity
1-877-369-4617
PowerShares DB Agriculture Double Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Agriculture Dou performance of its und
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Blue Chip
1-240-497-6400
ProShares Large Cap Core Plus is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results www.proshares.c ProShares Large that correspond to the Credit Suisse 130/30 Index, whose constituents are chosen from the largest 500 US market cap equities UNITED STATES om Cap Core Plus and thei
US
United States
Bethesda
Region FundEuropean
1-866-787-2257
www.spdrs.com
Growth & Income
1-855-353-9383
FlexShares www.flexshares.c Morningstar US om Mark
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
1-212-896-1249
WisdomTree WisdomTree Europe SmallCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.wisdomtree. Europe SmallCap investment results that correspond to the performance of the WisdomTree Europe SmallCap Dividend Index. The Fund invests UNITED STATES com Div in small-capitalization co
US
Sector Fund-Real Estate
1-888-934-0777
IQ US Real IQ US Real Estate Small Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.indexiq.com Estate Small Cap performance of the IQ US Real Estate Small Cap Index. ET
UNITED STATES
Country FundBrazil
1-888-800-4347
www.egshares.co EGShares Brazil EGShares Brazil Infrastructure Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment m Infrastructure results that correspond to the price and yield performance of the INDXX Brazil Infrastructure Index.
UNITED STATES
Region FundEuropean
Corp/Pref-High Yield
1-888-949-3837
www.guggenhei mfunds.com
iShares MSCI iShares MSCI Brazil Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the Brazil Small-Cap performance of the MSCI Brazil Small Cap Index Fund.
SPDR STOXX Europe 50 ETF
iShares Real Estate 50 ETF
Guggenheim BulletShares 2020 C
Bank of New York First Trust Mellon Corp/The Advisors LP
Deutsche Bank AG
MARTIN KREMENSTE IN
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
12/08
ProShare ProShare Advisors LLC Advisors LLC
10/15/02
SSgA Funds Management Inc
SPDR STOXX Europe 50 Fund is an exchange -traded fund which represents a passive management strategy designed to track the performance of the STOXX Europe 50 Index. The STOXX Europe 50 Index represents the performance of the 50 largest companies, across a
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
FlexShares Morningstar US Market Factor Tilt Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Morningstar US Market Factor Tilt Index.
UNITED STATES
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
iShares Real Estate 50 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the FTSE NAREIT Real Estate 50 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
US
US
Bank of New York Mellon/The
Ernst & Young
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
IndexIQ IndexIQ Advisors Advisors LLC LLC
US
US
Bank of New York Mellon/The
BBD LLP
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
Guggenheim BulletShares 2020 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses of an investment grade corporate bond
UNITED STATES
US
US
JOHN A TUCKER
Northern Trust JPMorgan Chase Investments Bank NA Inc
SSgA Funds United States Management Inc
Northern Trust Northern Trust Investments Investments Inc Inc
KAREN Q. WONG
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad VINCENT THOMAS LOWRY "VINCE"
United States
WisdomTree Asset United States Management Inc
VTL Associates LLC
VTL Associates LLC
United States
Philadelphia
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
United States
Valley Forge
RevenueShares Large Cap Fund is an exchange-traded fund incorporated in the USA. RevenueShares Large Cap Fund seeks to track the performance of the RevenueShares Large Cap Index, which is comprised of the same constituent securities as the UNITED STATES S&P 500 but wei
US
US
Bank of New York Mellon/The
BBD LLP
VTL Bank of New York Associates Mellon/The LLC
Sector FundTechnology
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ-100 om Technol
First Trust NASDAQ-100-Technology Sector Index is an exchange-traded fund incorporated in the USA. The Fund's objective is investment results that correspond to the price and yield of the NASDAQ-100 Technology Index. The Fund invests in the technology and
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors
Emerging MarketDebt
1-866-499-8473
Vanguard www.vanguard.co Emerging m Markets Gove
Vanguard Emerging Markets Government Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Barclays USD Emerging Markets Government RIC Capped Ind
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC Vanguard Vanguard Group Group Inc/The Inc/The
UNITED STATES
US
US
New York
2/22/08
www.revenueshar RevenueShares esetfs.com Large Cap ETF
Direxion Daily Latin America 3x Bull is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results, before fees and expenses, of 300% of the performance of the S&P Latin America 40 Index.
New York
3/28/12
1-877-738-8870
www.direxionshar Direxion Daily es.com Latin America B
San Francisco
Guggenheim Guggenheim Funds Funds Investment Investment Advisors LLC Advisors LLC
Growth&IncomeLarge Cap
Region Fund-Latin 1-877-437-9363 Amer
Boston
Vanguard Group Inc/The
Vanguard Vanguard Group Group Inc/The Inc/The
New York
Value-Large Cap
1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 1000 Value is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance m 1000 Value of the Russell 1000 Value Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
Muni-California
1-800-983-0903
PowerShares Insured California Municipal Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare PowerShares investment results that correspond to the price and yield of the Merrill Lynch California Insured Long-Term Core Plus Municipal UNITED STATES s.com Insured California Secu
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares PHILIP FANG 12/09 Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Growth & Income1-240-497-6400 Mid Cap
ProShares www.proshares.c UltraPro Short om MidCa
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Undefined Equity
www.alpsetfs.co m
ALPS Advisors Inc
United States
Denver
1-877-398-8461
ALPS Equal Sector Weight ETF
ProShares UltraPro Short Mid400 is an exchange-traded fund incorporated in the USA. The Fund seeks investment results which correspond to three times (300%) the inverse of the daily performance of the S&P 400 Mid Cap Index.
UNITED STATES
US
Alps Equal Sector Weight ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the Banc of America Securities Merrill Lynch Equal Secto
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Bank of New York ALPS Mellon/The Advisors Inc
Invesco PowerShares United States Capital Management LLC
ALPS Advisors Inc
Wheaton
Company Telephone Number
Undefined Equity
1-415-670-2000
Company's Web Security's Name Address
Fund's Description
Country
iShares US iShares U.S. Consumer Goods ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.ishares.com Consumer Goods that correspond to the performance of the Dow Jones U.S. Non-Cyclical Sector Index. The Fund will concentrate its UNITED STATES ETF investments in this s
US
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
United States
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors SSgA Funds Management Inc
SSgA Funds United States Management Inc WisdomTree Asset Management Inc
San Francisco
www.spdrs.com
UNITED STATES
US
US
State Street Bank and Trust Co
Various Assets
1-212-896-1249
WisdomTree WisdomTree Managed Futures Strategy Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve www.wisdomtree. Managed Futures positive total returns in rising or falling markets that are not directly correlated to broad market equity or fixed income returns. UNITED STATES com Str The
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
Growth&IncomeLarge Cap
1-415-670-2000
iShares iShares Morningstar Large-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results www.ishares.com Morningstar Large-that correspond to the price and yield performance of the Morningstar Large Core Index. The Index measures the performance UNITED STATES Cap of compani
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth & Income
1-630-765-8000
First Trust First Trust NASDAQ-100 Ex-Technology Sector Index Fund is an exchange-traded fund incorporated in the USA. The Fund www.ftportfolios.c NASDAQ-100 Ex- seeks investment results that correspond to the price and yield of the NASDAQ-100 Ex-Tech Sector Index, which tracks om Tech securities that are no
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
United States
Lisle
Growth&IncomeLarge Cap
1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 1000 is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the m 1000 Russell 1000 Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
Region FundMiddle East
1-212-896-1249
WisdomTree www.wisdomtree. Middle East com Dividen
WisdomTree Middle East Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the WisdomTree Middle East Dividend Total Return Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
1-800-983-0903
PowerShares www.powershare Dynamic s.com Industrial
PowerShares Dynamic Industrials Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Industrials Sector Intellidex Index, which evaluates companies bas
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Balanced
1-415-670-2000
iShares www.ishares.com Conservative Allocatio
iShares Conservative Allocation ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Risk Conservative Index. The ETF invests approximately
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Municipal
1-888-400-4383
PIMCO Short www.pimcoetfs.c Term Municipal om Bon
Pimco Short Term Municipal Bond Exchange-Traded Fund is an actively managed exchange-traded fundincorporated in the USA. The Fund seeks tax-exempt income. The Fund invests at least 80% of its assets in a diversified portfolio of municipal bonds.
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Healt
PowerShares S&P SmallCap Health Care Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P Small
UNITED STATES
UNITED STATES
US
US
BM
BM
SSgA Funds State Street Bank Management and Trust Co Inc
Manager's City Name
Financial Services 1-866-787-2257
Health & Biotechnology
SPDR S&P Capital Markets ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Capital Markets Select Industry Index. The Index itself is a float adjusted modified-market capitalization wei
US
Fund's Administrator
Bingham McCutchen LLP
Undefined Equity
SPDR S&P Capital Markets ETF
Ultimate Country of Country of Incorporation Incorporation of Parent Company
JOHN A TUCKER
11/15/05
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
Boston
Vanguard Vanguard Group Group Inc/The Inc/The
KAREN Q. WONG
12/09
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
WisdomTree Asset United States Management Inc
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
BlackRock BlackRock Fund Fund Advisors Advisors
JOSEPH P 07/11 DEANE "JOE"
Bank of New York Mellon/The
WisdomTree Asset Management Inc Invesco PowerShares Capital Management LLC
12/09
Pacific Investment Management Co LLC Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
Pacific Investment Management Co LLC
United States
San Francisco
United States
Newport Beach
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
WisdomTree www.wisdomtree. DEFA Equity com Income
WisdomTree DEFA Equity Income Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree DEFA Equity Income Index. The Fund invests in the highest yielding stocks selecte
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
International Equity 1-855-353-9383
FlexShares www.flexshares.c International om Quali
FlexShares International Quality Dividend Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to UNITED STATES track the performance of the Northern Trust International Quality Dividend Index.
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
Region Fund-G8 Countries
Direxion Daily Developed Markets Bear 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks www.direxionshar Direxion Daily investment results of 300% of the inverse of the performance of the Developed Market Index. The Fund does not invest in es.com Developed Marke equity securities. T
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Security Security Investors United States Investors LLC LLC
Rockville
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Wheaton
Growth&IncomeLarge Cap
1-212-896-1249
1-877-437-9363
Internet & Telecom 1-800-983-0903
Value-Small Cap
1-888-949-3837
Govt/Agency-Inter 1-877-437-9363 Term
PowerShares www.powershare PowerShares NASDAQ Internet Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment NASDAQ Internet s.com results that correspond generally to the price and yield of the NASDAQ Internet Index. Po www.guggenhei mfunds.com
Guggenheim S&P Smallcap 600 Pu
www.direxionshar Direxion Daily 7es.com 10 Year Treas
US
BM
Bank of New York Mellon/The
Guggenheim S&P Smallcap 600 Pure Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is UNITED STATES to replicate as closely as possible, before expenses, the performance of the S&P Smallcap 600/Citigroup Pure Value Index.
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Direxion Daily 7-10 Year Treasury Bear 3X is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results of 300% of the inverse of the performance of the NYSE Current 7-10-Year U.S. Treasury Index. The Fund invests in Financia
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
UNITED STATES
12/09
4/15/09
United States
Chicago
UNITED STATES
US
BM
Bank of New York Mellon
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon LLP Capital Ma
Invesco PowerShares Capital Management LLC
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
PowerShares PowerShares Insured New York Municipal Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare Insured New York investment results that correspond to the price and yield of the Merrill Lynch New York Insured Long-Term Core Plus Municipal UNITED STATES s.com M Securiti
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares PHILIP FANG 12/09 Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
www.ftportfolios.c First Trust ISE om Water Index Fu
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
United States
New York
Corp/Pref-Inv Grade
1-415-670-2000
www.ishares.com
Muni-New York
1-800-983-0903
1-415-670-2000
Northern Trust Northern Trust Investments Investments Inc Inc
UNITED STATES
PowerShares www.powershare PowerShares S&P MidCap Low Volatility Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks S&P MidCap Low s.com investment results that correspond to the performance of the S&P MidCap 400 Low Volatility Index. Vol
Muni-California
Northern Trust JPMorgan Chase Investments Bank NA Inc
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Growth & Income1-800-983-0903 Mid Cap
Sector Fund-Utility 1-630-765-8000
UNITED STATES
THOMAS J DURANTE
www.ishares.com
iShares Aaa - A Rated Corporat
iShares Aaa - A Rated Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Corporate A
First Trust ISE Water Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES correspond to the ISE Water Index.
iShares California iShares California AMT-Free Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the AMT-Free Mu investment results of an index composed of investment-grade municipal bonds issued in the State of California.
UNITED STATES
US
US
Growth & Income1-240-497-6400 Mid Cap
ProShares www.proshares.c UltraShort om MidCap400
UltraShort MidCap400 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P MidCap 400 Index.
UNITED STATES
US
Growth & Income
1-855-RBS-ETPS
usmarkets.rbs.co RBS China m/etnUS Trendpilot ETN
RBS China Trendpilot ETN is an exchange-traded note issued in the USA. The ETN utilizes a systematic trend-following strategy to provide exposure to either the BNY Mellon China Select ADR Total Return Index or the yield on a hypothetical notional investme
UNITED STATES
US
GB
Royal Bank Of Scotland
Country FundIndonesia
1-212-293-2000
www.vaneck.com
Market Vectors Indonesia Small-Cap ETF seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of Market Vectors Indonesia Small-Cap Index.
UNITED STATES
US
US
Van Eck Associates Corp
Commodity
1-212-918-4954
www.etfsecurities ETFS Physical ETFS Physical Precious Metals Basket Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to .com/us/welcome UNITED STATES Precious Metal B reflect the performance of the price of gold, silver, platinum, and palladium bullion, less the expenses of the Trust's operations. .asp
US
JE
Bank of New York Mellon/The
Market Vectors Indonesia Small
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Bank of New York First Trust Mellon Corp/The Advisors LP
RBS ETNs/USA Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp ETF Securities USA LLC
HAO-HUNG LIAO "PETER"
03/12
Invesco PowerShares United States Capital Management LLC
RBS ETNs/USA
RBS ETNs/USA
Van Eck Associates Corp
Van Eck Associates Corp
ETF Securities USA LLC
ETF Securities USA LLC
Company Telephone Number
Closed-end Funds 1-240-497-6400
Company's Web Security's Name Address
www.proshares.c ProShares Ultra om Technology
Fund's Description
Country
Ultra Technology ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that UNITED STATES correspond to twice (200%) the daily performance of the Dow Jones U.S. Technology Index.
Commodity
ETRACS CMCI Food Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e- ETRACS CMCI 1-877-ETRACS5 cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS tracs Food Total Return Bloomberg CMCI Food
Undefined Equity
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Shipping ETF
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
JPMorgan Investor Services Co
US
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP UBS Securities LLC
UNITED STATES
US
CH
UBS Securities LLC
Guggenheim Shipping ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the performance (before the Fund's fees and expenses) of the Dow Jones Global Shipping UNITED STATES Index.
US
US
Guggenheim Funds Guggenheim Bank of New York SAROJ Investment Advisors Ernst & Young Funds Mellon KANURI LLC Investment Ad
Fund's Management Company
Fund's Manager Start Date
1/17/12
United States
Bethesda
UBS UBS Securities Securities LLC LLC
United States
Stamford
Guggenheim Funds Investment Advisors LLC Invesco PowerShares Capital Management LLC
Guggenheim Funds Investment United States Advisors LLC
Lisle
Invesco PowerShares United States Capital Management LLC
Wheaton
1-800-983-0903
Powershares PowerShares Zacks Micro Cap Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.powershare Zacks Micro Cap results that correspond to the price and yield of the Zacks Micro Cap Index. The Fund invests at least 80% of its total assets in UNITED STATES s.com Po common st
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Balanced
1-855-329-3837
www.DBXUS.co db X-trackers db X-trackers 2030 Target Date Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES m 2030 Target Date that correspond to the Zacks 2030 Lifecycle Index.
US
DE
Bank of New York Mellon
Ernst & Young
Undefined Equity
1-877-ETRACS5
ETRACS Daily www.ubs.com/eLong-Short VIX tracs ET
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Commodity
1-877-583-5624
VelocityShares Daily 3x Inverse Crude ETN is an exchange-traded note issued in the USA. The Note will provide investors www.velocityshar VelocityShares 3x with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, S&P es.com Inverse Crud GSCI速 Crude Oi
UNITED STATES
US
CH
Credit Suisse Securities LLC
VLS Securities LLC
Growth & Income
ETRACS Linked to the Wells Fargo Business Development Company Index ETN is an exchange-traded note issued in the www.ubs.com/e- ETRACS Linked 1-877-ETRACS5 USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the tracs to the Wells Far performance of the underly
UNITED STATES
US
CH
UBS Securities LLC
UNITED STATES
US
DE
Deutsche Bank AG
Government/Agenc 1-877-369-4617 y
Undefined Equity
1-800-983-0903
ETRACS Daily Long-Short VIX ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P 500 Index UNITED STATES VIX Term-St
PowerShares DB Inverse Japanese Government Bond Futures Exchange Traded Notes is an exchange-traded note issued in www.DBXUS.co PowerShares DB the USA by Deutsche Bank AG. The Notes will offer investors exposure to the monthly performance of the short JGB future m Inverse Japanes index plus the month PowerShares www.powershare Dynamic Retail s.com Por
PowerShares Dynamic Retail Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Retail Intellidex Index, which thoroughly evaluates companies on a variety of
UNITED STATES
US
BM
US
Currency
1-240-497-6400
ProShares www.proshares.c UltraShort om Australia
ProShares UltraShort Australian Dollar is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to two times the inverse (-2x) the daily performance of the US Dollar price of UNITED STATES th
US
Undefined Equity
1-877-583-5624
www.velocityshar VelocityShares es.com Daily 2x VIX Me
VelocityShares Daily 2x VIX Medium Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on 2X the performance of the underlying index, the S&P 500 V
UNITED STATES
US
CH
Credit Suisse Securities LLC
Vanguard www.vanguard.co Extended m Duration Tre
Vanguard Extended Duration Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Barclays Capital Treasury STRIPS 20-30 Year Equal Par Bond Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Global Equity
1-866-787-2257
www.spdrs.com
Global X Brazil Consumer ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that track the performance of the Solactive Brazil Consumer Index.
SPDR SSgA SPDR SSgA Global Allocation ETF is an exchanged-traded fund incorporated in the USA. The Fund seeks to provide capital Global Allocation appreciation. ET
UNITED STATES
Depository Trust Co/The Pricewaterhou Brown Brothers seCoopers Harriman & Co LLP
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Samford
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
WisdomTree Asset United States Management Inc
New York
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
UNITED STATES
www.globalxfund Global X Brazil s.com Consumer ETF
Darien
JP Morgan Investor Services Co
WisdomTree Brazilian Real Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to earn current income reflective of money market rates in Brazil available to foreign investors. The Fund also seeks to provide exposure ch
1-212-644-6622
United States
Bank of New York Mellon Corp/The
WisdomTree www.wisdomtree. Brazilian Real com Fund
Undefined Equity
VelocityShare VelocityShares s LLC LLC
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
1-212-896-1249
Government/Agenc 1-866-499-8473 y-LT
New York
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
08/09
DBX Strategic DBX Strategic Advisors LLC Advisors LLC
United States
Bank of New York Mellon/The
Currency
US
Bank of New York DBX Strategic GLENN Mellon Advisors LLC DAVIS
Manager's City Name
ProShare ProShare Advisors LLC Advisors LLC
Growth&IncomeSmall Cap
12/09
Manager's Country
12/09
DAVID KWAN
7/17/12
UNITED STATES
US
US
State Street Bank and Trust Co
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
ProShare ProShare Advisors LLC Advisors LLC
Bethesda
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
United States
New York
OLA FOLARIN
04/12
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
VINEER BHANSALI
6/01/09
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
VelocityShare VelocityShares s LLC LLC
Vanguard WILLIAM D Group Inc/The BAIRD
SSgA Funds Ernst & Young State Street Bank Management LLP and Trust Co Inc
Deutsche Bank AG
United States
VLS Securities LLC
Global X Management Co LLC
Invesco PowerShares Capital Management LLC WisdomTree Asset Management Inc
2013
Govt/Agency-Short 1-888-400-4383 Term
PIMCO 1-3 Year U.S. Treasury Index Exchange-Traded Fund is an exchanged-traded fund incorporated in the USA. The www.pimcoetfs.c PIMCO 1-3 Year Fund's objective is provide total return that closely corresponds to the total return of the Merrill Lynch 1-3 Year U.S. Treasury om U.S. Treasury I Index.
UNITED STATES
US
Sector FundTechnology
1-240-497-6400
ProShares www.proshares.c UltraShort om Semicondu
UltraShort Semiconductor ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Semiconductor Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Country FundJapan
1-240-497-6400
www.proshares.c ProShares Ultra om MSCI Japan
ProShares Ultra MSCI Japan is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the MSCI Japan Index. The Fund invests in equity securities and/or financial in
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Undefined Equity
1-877-583-5624
VelocityShares www.velocityshar VIX Medium es.com Term
VelocityShares VIX Medium Term ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P 500 VIX Mid-Term
UNITED STATES
US
CH
Credit Suisse Securities LLC
Value-Large Cap
1-415-670-2000
iShares iShares Morningstar Large-Cap Value Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.ishares.com Morningstar Large-investment results that correspond to the price and yield performance of the Morningstar Large Value Index. The Index Cap measures the performan
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-212-896-1249
WisdomTree www.wisdomtree. Indian Rupee com Fund
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
WisdomTree Asset Management Inc
Municipal
1-415-670-2000
iShares 2018 www.ishares.com AMT-Free Muni Ter
BlackRock BlackRock Fund Fund Advisors Advisors
Commodity
1-212-528-7990
Barclays Capital Inc
Undefined Equity
1-877-437-9363
Currency
Sector FundEnergy
1-888-949-3837
WisdomTree Dreyfus Indian Rupee Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to earn current income reflective of money market rates in India available to foreign investors. The Fund also seeks to provide exposu
UNITED STATES
US
US
Depository Trust Co/The
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
DAVID KWAN
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
iPath Dow Jones-UBS Cotton Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Cotton Sub underlying index, the
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
www.direxionshar Direxion Daily es.com Healthcare Bull
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
www.guggenhei mfunds.com
iShares 2018 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield performance of the S&P AMT-Free Municipal Series 2018 Index.
Direxion Daily Healthcare Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the price performance of the Health Care Select Sector Index.
Guggenheim Guggenheim Canadian Energy Income ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment Canadian Energy UNITED STATES results that correspond to the S&P/TSX Canadian High Income Energy Index. Inc
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
WisdomTree Asset United States Management Inc
Barclays Capital Inc
New York
San Francisco
United States
New York
6/15/11
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
Company Telephone Number
Company's Web Security's Name Address
www.ishares.com
Fund's Description
Country
iShares Russell 3000 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results iShares Russell that correspond to the performance of the Russell 3000 Growth Index. The Index measures the performance of the growth 3000 Growth ET sector of the U.S
Growth
1-415-670-2000
Commodity
ETRACS CMCI Gold Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e- ETRACS CMCI 1-877-ETRACS5 cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS tracs Gold Total Return Bloomberg CMCI Gold
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
UNITED STATES
US
US
State Street Bank and Trust Co
UNITED STATES
US
CH
UBS Securities LLC
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Manager's Country
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UBS UBS Securities Securities LLC LLC
Fund's Manager Start Date
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP UBS Securities LLC
Manager's City Name
United States
Stamford
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Growth-Large Cap 1-800-983-0903
PowerShares www.powershare Fundamental s.com Pure L
PowerShares Fundamental Pure Large Growth Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the RAFI速 Fundamental UNITED STATES Large Growth Ind
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Region FundEuropean
1-630-765-8000
First Trust www.ftportfolios.c Europe om AlphaDEX Fu
First Trust Europe AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Europe Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
First Trust Advisors LP
Govt/Corp High Yield
1-630-765-8000
www.ftportfolios.c First Trust High om Yield Long/Sh
First Trust High Yield Long/Short ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide current income and capital appreciation. Under normal market conditions, the Fund may invest in high yield and senior loan debt se
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
First Trust Advisors LP
Municipal
1-415-670-2000
iShares 2016 www.ishares.com AMT-Free Muni Ter
iShares 2016 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P AMT-Free Municipal Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
United States
New York
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Rockville
Sector FundEnergy
1-800-983-0903
Government/Agenc 1-240-497-6400 y-LT
PowerShares PowerShares Dynamic Energy Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare Dynamic Energy investment results that correspond to the price and yield of the Dynamic Energy Sector Intellidex, which evaluates companies s.com Sec based on a variety www.proshares.c ProShares Ultra om 20+ Year Treas
Market Vectors Poland ETF
ProShares Ultra 20+ Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Barclays Capital 20+ Year U.S. Treasury Bond Index.
UNITED STATES
UNITED STATES
Market Vectors Poland ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to UNITED STATES replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Poland Index.
Geo Focus-Equity 1-212-293-2000
www.vaneck.com
Closed-end Funds 1-240-497-6400
www.proshares.c ProShares Ultra ProShares Ultra KBW Regional Banking is an exchange-traded fund incorporated in the USA. The Fund seeks investment om KBW Regional B results that correspond to twice (200%) the return of the KBW Regional Banking Index.
Growth&IncomeLarge Cap
1-888-949-3837
www.guggenhei mfunds.com
Value-Small Cap
US
BM
US
US
US
WILLIAM A HOUSEY JR
6/16/11
2/27/13
12/09
HAO-HUNG LIAO "PETER"
United States
Wheaton
United States
San Francisco
Invesco PowerShares United States Capital Management LLC
Van Eck Associates Corp
UNITED STATES
US
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
1-630-765-8000
www.ftportfolios.c First Trust Small First Trust Small Cap Value AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES om Cap Value Al results that correspond to the Defined Small Cap Value Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
Growth-Large Cap 1-415-670-2000
iShares iShares Morningstar Large-Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.ishares.com Morningstar Large-results that correspond to the price and yield performance of the Morningstar Large Growth Index. The Index measures the UNITED STATES Cap performace of
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Country FundChina
1-877-437-9363
www.direxionshar Direxion Daily Direxion Daily China 3x Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment es.com China 3X Bear S results, before fees and expenses, of 300% of the inverse of the performance of the BONY/Mellon China Select ADR Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Commodity
1-240-497-6400
ProShares www.proshares.c UltraShort DJom UBS Na
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
Growth & Income
1-888-949-3837
www.guggenhei mfunds.com
Undefined Equity
405-778-8377
www.exchangetra Yorkville High dedconcepts.com Income Infrastr
Commodity
Precious Metals
1-212-528-7990
1-800-983-0903
Guggenheim Russell Top 50 Mega
Guggenheim Russell Top 50 Mega Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible, before expenses, the performance of the Russell Top 50 Index. The Index consists of the common stocks o
ProShares UltraShort DJ-UBS Natural Gas is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice the inverse (-200%) the performance of the Dow Jones-UBS Natural Gas SubIndex.
UNITED STATES
US
Guggenheim Guggenheim Insider Sentiment ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results Insider Sentiment UNITED STATES that correspond to the performance of the Sabrient Insider Sentiment Index. E
US
The Yorkville High Income Infrastructure MLP ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Solactive High Infrastructure MLP Index.
iPath Dow Jones-UBS Cocoa Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Cocoa Subi underlying index, the PowerShares www.powershare Global Gold and s.com Pr
PowerShares Global Gold and Precious Metals Portfolio is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the NASDAQ OMX Gold and Precious Metals Index.
Government/Agenc 1-800-983-0903 y
www.powershare PowerShares 1- PowerShares 1-30 Laddered Treasury Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks s.com 30 Laddered Trea investment results that correspond to the price and yield of the Ryan/Mergent 1-30 Year Treasury Laddered Index.
Emerging MarketEquity
www.proshares.c ProShares Ultra om MSCI Emerging
Health & Biotechnology
1-240-497-6400
UNITED STATES
ProShares Ultra MSCI Emerging Markets is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results correspond to twice (200%) the daily performance of the MSCI Emerging Markets Index. The Fund invests in equity securities an
UNITED STATES
UNITED STATES
UNITED STATES
UNITED STATES
US
Growth & Income1-877-738-8870 Mid Cap
www.revenueshar RevenueShares esetfs.com Mid Cap ETF
RevenueShares Mid Cap Fund is an exchange-traded fund incorporated in the USA. RevenueShares Mid Cap Fund seeks to track the performance of the RevenueShares Mid Cap Index, which is comprised of the same constituent securities as the S&P UNITED STATES Midcap 400 but we
Environmentally Friendly
www.ishares.com
GB
BM
BM
US
Investors Bank & Trust Co/Boston MA
Bank of New York Mellon/The
Lisle
Yorkville ETF Yorkville ETF Advisors LLC Advisors LLC
United States
Oklahoma City
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Invesco PowerShares Capital Management LLC Invesco
Invesco PowerShares United States Capital Management LLC
Wheaton
Wheaton
12/09
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
VTL Bank of New York Associates Mellon/The LLC
VTL Associates LLC
United States
Philadelphia
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Global X Management Co LLC
Global X Management Co LLC
United States
New York
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
VINCENT THOMAS LOWRY "VINCE"
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
US
First Trust Dow Jones Select MicroCap Index Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to seek investment results that correspond to the price and yield of The Dow Jones Select MicroCap Index. The Fund will UNITED STATES invest 80
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
JPMorgan Investor Services Co
UNITED STATES
www.ftportfolios.c First Trust Dow om Jones Select M
1/17/12
Pricewaterhou Invesco Bank of New York JEFF seCoopers PowerShares Mellon/The KERNAGIS LLP Capital Ma
BBD LLP
Growth&IncomeSmall Cap
New York
Bank of New York Mellon/The
Bank of New York Mellon/The
Global X Canada Preferred ETF is an exchange-traded fund incorporated in the USA. The fund seeks investment results that www.globalxfund Global X Canada correspond generally to the price and yield performance, before fees and expenses, of the Solactive Canada Preferred Stock s.com Preferred ETF Index.
San Francisco
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
US
iShares Global iShares Global Clean Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results Clean Energy ET that correspond to the price and yield performance of the S&P Global Clean Energy Index.
United States
ProShare ProShare Advisors LLC Advisors LLC
JPMorgan Chase Yorkville ETF DARREN Bank NA Advisors LLC SCHURINGA
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
First Trust Advisors LP
10/04/11
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
US
Corporate/Preferre 1-212-644-6622 d
1-630-765-8000
US
US
Ultra Health Care ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that UNITED STATES correspond to twice (200%) the daily performance of the Dow Jones U.S. Health Care Index.
1-415-670-2000
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad SEI Investments Global Funds Services
US
UNITED STATES
www.proshares.c ProShares Ultra om Health Care
1-240-497-6400
US
Bank of New York First Trust Mellon Corp/The Advisors LP
Wheaton
Bank of New York Mellon Corp/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Deloitte & Touche LLP
Global X Management Co LLC
Bank of New York First Trust Mellon Corp/The Advisors LP
BRUNO DEL AMA
2/22/08
VTL Associates LLC
Company Telephone Number
Growth&IncomeSmall Cap
Company's Web Security's Name Address
Fund's Description
Country
www.spdrs.com
SPDR S&P 600 Small CapETF
Corporate/Preferre 1-866-787-2257 d
www.spdrs.com
SPDR BofA Merrill Lynch Crosso
Country FundJapan
1-415-670-2000
iShares MSCI iShares MSCI Japan Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results www.ishares.com Japan Small-Cap that correspond to the price and yield of the MSCI Japan Small Cap Index. E
Commodity
1-877-ETRACS5
www.ubs.com/e- ETRACS CMCI tracs Agriculture Total
1-866-787-2257
SPDR S&P 500 Growth ETF
SPDR S&P 600 Small Cap ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P SmallCap 600 Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
ETRACS CMCI Agriculture Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS UNITED STATES Bloomberg CM
US
CH
UBS Securities LLC
SPDR S&P 500 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P 500 Growth Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
First Trust Latin America AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Latin America Index.
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
US
Sector FundEnergy
1-212-644-6622
www.globalxfund Global X Lithium Global X Lithium ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond UNITED STATES s.com ETF to the price and yield performance of the Solactive Global Lithium Index.
US
1-240-497-6400
ProShares www.proshares.c UltraShort MSCI om Braz
ProShares UltraShort MSCI Brazil Capped is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI Braz
iShares Global High Yield Corp
Global X Management Co LLC
BRUNO DEL AMA
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UBS UBS Securities Securities LLC LLC
United States
Stamford
SSgA Funds Management Inc
SSgA Funds United States Management Inc
First Trust Advisors LP
First Trust Advisors LP
Global X Management Co LLC
Global X Management Co LLC
United States
New York
United States
Bethesda
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
ProShare ProShare Advisors LLC Advisors LLC
GB
Royal Bank Of Scotland
EGShares India Infrastructure Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond with the INDXX India Infrastructure Index.
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
The iShares Global High Yield Corporate Bond ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses of the Markit iBoxx Global Developed Markets High Yield Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
First Trust Developed Markets ex-US AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Developed Markets ex-US Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Van Eck Associates Corp
Van Eck Associates Corp
C-Tracks ETN on Citi Volatility Index Total Return is an exchange-traded note issued in the USA. The Notes will provide UNITED STATES investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index.
US
US
Citigroup Funding Inc
Citigroup Funding Inc
Citigroup Funding Inc
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
CHRISTINE D 2013 FRANQUIN
Vanguard Vanguard Group Group Inc/The Inc/The
SPDR S&P International Health Care Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI UNITED STATES Health Care
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
7/16/08
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Invesco PowerShares United States Capital Management LLC
Wheaton
www.vaneck.com
Market Vectors Market Vectors RVE Hard Assets Producers ETF is an exchange-traded fund incorporated in the USA. The Fund seeks RVE Hard Assets investment results that correspond to the price and yield of the Rogers - Van Eck Hard Assets Producers Index.
Undefined Equity
www.ctracksetns.com
C-Tracks ETN Volatility Index
Growth & Income1-866-499-8473 Mid Cap
www.vanguard.co Vanguard S&P Vanguard S&P Mid-Cap 400 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the m Mid-Cap 400 ETF performance of the S&P Mid-Cap 400 Index.
Health & Biotechnology
www.spdrs.com
RBS ETNs/USA
RBS ETNs/USA
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Brown Brothers Harriman & Co
First Trust Advisors LP HAO-HUNG LIAO "PETER"
9/03/08
Citigroup Funding Inc
RBS ETNs/USA
Government/Corpo 1-800-983-0903 rate
PowerShares www.powershare Fundamental s.com Invest
PowerShares Fundamental Investment Grade Corporate Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the RAFI速 Investment Gra
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares PHILIP FANG 9/15/11 Mellon/The LLP Capital Ma
Invesco PowerShares Capital Management LLC
Growth-Mid Cap
1-866-499-8473
Vanguard S&P www.vanguard.co Mid-Cap 400 m Growt
Vanguard S&P Mid-Cap 400 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the S&P Mid-Cap 400 Growth Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
Vanguard Vanguard Group Group Inc/The Inc/The
Commodity
1-855-RBS-ETPS
usmarkets.rbs.co RBS Gold m/etnUS Trendpilot ETNs
RBS Gold Trendpilot ETN is an exchange-traded note issued in the USA. The ETN utilizes a systematic trend-following strategy to provide exposure to either the price of gold bullion or the yield on a hypothetical notional investment in 3-month U.S. UNITED STATES Treasu
US
GB
Royal Bank Of Scotland
Government/Agenc 1-212-528-7990 y-LT
iPath US www.ipathetn.co Treasury Long m Bond Be
Undefined Equity
1-212-293-2000
www.vaneck.com
1-877-369-4617
db X-trackers www.DBXUS.co MSCI Emerging m Ma
Emerging MarketEquity
Market Vectors Rare Earth/Stra
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com Israel Capped ETF
Value-Mid Cap
1-888-949-3837
Country FundJapan
Commodity
Boston
US
Sector FundEnergy
SPDR S&P International Health
First Trust Advisors LP
Manager's City Name
UNITED STATES
First Trust www.ftportfolios.c Developed om Markets
1-866-787-2257
9/29/00
Manager's Country
US
International Equity 1-630-765-8000
1-212-293-2000
UBS Securities LLC
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
JPMorgan Investor Services Co
11/15/05
PATRICK 06/12 BRESNEHAN
JOHN A TUCKER
Fund's Management Company
Fund's Manager Start Date
UNITED STATES
Growth & Incomeusmarkets.rbs.co RBS US Mid Cap RBS US Mid Cap Trendpilot ETN is an exchange-traded note issued in the USA. The ETN will track the RBS US Mid Cap 1-855-RBS-ETPS Mid Cap m/etnUS Trendpilot Exch Trendpilot Index.
www.ishares.com
JOHN A TUCKER
State Street Bank and Trust Co
UNITED STATES
1-415-670-2000
SSgA Funds State Street Bank Management and Trust Co Inc
Fund's Manager
US
www.ftportfolios.c First Trust Latin om America Alph
Global Debt
Bingham McCutchen LLP
Fund's Investment Advisor
US
Region Fund-Latin 1-630-765-8000 Amer
www.egshares.co EGShares India m Infrastructure
State Street Bank and Trust Co
Fund's Custodian
UNITED STATES
SPDR BofA Merrill Lynch Crossover Corporate Bond ETF seeks to provide investment results that, before expenses, correspond generally to the price and yield performance of the BofA Merrill Lynch US Diversified Crossover Corporate Index.
www.spdrs.com
Country Fund-India 1-888-800-4347
Fund's Auditor
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Growth-Large Cap 1-866-787-2257
Country FundBrazil
US
Fund's Administrator
CHRISTINE D 2013 FRANQUIN
United States
New York
RBS ETNs/USA
RBS ETNs/USA
RBS ETNs/USA
Barclays Capital Inc
Barclays Capital Inc
United States
New York
iPath US TSY Long Bond Bear ETN is inversely linked to the performance of the underlying Index, and seeks to capture returns from an increase in the yields of long-dated U.S. Treasury bonds (which are U.S. Treasury bonds with a remaining term UNITED STATES to maturity
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Market Vectors Rare Earth/Strategic Metals ETF is an exchange-traded fund in the USA. The Fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Rare Earth/Strategic Metals Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
10/28/10
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
db X-trackers MSCI Emerging Markets Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before fees and expenses, of the MSCI EM US Dollar Hedged Net Index
UNITED STATES
US
DE
Bank of New York Mellon/The
Ernst & Young Bank of New York Deutsche LLP Mellon/The Bank AG
DINO BOURDOS
6/09/11
Deutsche Bank AG
Deutsche Bank AG
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Security Security Investors United States Investors LLC LLC
Rockville
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Swedish Export Credit Corp - SEK
Swedish Export United States Credit Corp - SEK
New York
iShares MSCI Israel Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that UNITED STATES correspond to the performance of the MSCI Israel Capped Investable Market Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.guggenhei mfunds.com
Guggenheim Guggenheim S&P Midcap 400 Pure Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to S&P Midcap 400 UNITED STATES replicate as closely as possible, before expenses, the performance of the S&P 400 Midcap 400/Citigroup Pure Value Index. Pure
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
1-866-787-2257
www.spdrs.com
SPDR Russell/Nomura Small Cap
SPDR Russell/Nomura Small Cap Japan ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to track as closely as possible, before fees and expenses, the total return performance of the Russell/Nomura Japan Small Cap Index. The In
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
1-877-ETNADVICE
www.ELEMENT Setn.com
ELEMENTS Linked to the Rogers
ELEMENTS Linked to the Rogers International Commodity Index - Metals Total Return is an exchange-traded note issued in the USA by Swedish Credit Corp. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based
UNITED STATES
SE
US
HSBC USA Inc
Ernst & Young
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Swedish Export Credit Corp - S
JOHN A TUCKER
11/14/06
Company Telephone Number
Value-Small Cap
1-866-787-2257
Company's Web Security's Name Address
www.spdrs.com
SPDR S&P 600 Small CapValue ET
Fund's Description
Country
SPDR S&P 600 Small Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P SmallCap 600 Value Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
Fund's Administrator
Fund's Auditor
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Fund's Custodian
Fund's Investment Advisor
SSgA Funds State Street Bank Management and Trust Co Inc
Government/Agenc 1-888-400-4383 y
PIMCO Broad www.pimcoetfs.c U.S. TIPS Index om Ex
PIMCO Broad U.S. TIPS Index Exchange-Traded Fund is an exchanged-traded fund incorporated in theUSA. The Fund's objective is provide total return that closely corresponds to the total return of its index.
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Undefined Equity
PowerShares www.powershare S&P SmallCap s.com Consu
PowerShares S&P SmallCap Consumer Staples Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance UNITED STATES of the S&P
US
BM
Bank of New York Mellon/The
1-800-983-0903
Fund's Manager
JOHN A TUCKER
9/29/00
VINEER BHANSALI
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Fund's Management Company
Fund's Manager Start Date
12/09
Pacific Investment Management Co LLC Invesco PowerShares Capital Management LLC Invesco
Manager's City Name
SSgA Funds United States Management Inc
Boston
Pacific Investment Management Co LLC
Newport Beach
United States
Invesco PowerShares United States Capital Management LLC
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Wheaton
Growth&IncomeSmall Cap
1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Low V
PowerShares S&P SmallCap Low Volatility Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P SmallCap 400 Low Volatility Index.
UNITED STATES
US
BM
Bank of New York Mellon
Commodity
1-877-ETRACS5
ETRACS CMCI www.ubs.com/eEnergy Total tracs Retur
ETRACS CMCI Energy Total Return is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS Bloomberg CMCI Energ
UNITED STATES
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
Commodity
1-877-ETRACS5
ETRACS CMCI www.ubs.com/eLong Platinum tracs Tota
ETRACS CMCI Long Platinum Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES the UBS Bloomberg
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Undefined Equity
Growth&IncomeLarge Cap
1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Consu
PowerShares S&P SmallCap Consumer Discretionary Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of th
UNITED STATES
www.direxionshar Direxion Daily es.com Brazil Bull 3X
Direxion Daily Brazil Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, of 300% of the performance of the MSCI Brazil 25-50 Index.
International Equity 1-212-896-1249
WisdomTree www.wisdomtree. Global ex-U.S. com Grow
WisdomTree Global ex-U.S. Growth Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree Global ex-U.S. Growth Index. The Fund invests in growth companies selected from UNITED STATES developed and eme
Govt/Agency-Short 1-415-670-2000 Term
www.ishares.com
iShares 1-3 Year International Treasury Bond ETF is an exchange traded fund incorporated in the USA. The ETF seeks iShares 1-3 Year investment results that correspond to the price and yield performance, before fees and expenses, of the S&P/Citigroup International International Treasury
Undefined Equity
www.vaneck.com
1-877-437-9363
1-212-293-2000
UNITED STATES
US Bancorp Fund Services LLC
New York
WisdomTree Asset Management Inc
New York
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers MARK BUELL and Trust Co Fund Advisors LLP
Market Vectors BDC Income ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely Market Vectors as possible, before fees and expenses, the price and yield performance of the Market Vectors US Business Development UNITED STATES BDC Income ETF Companies Index.
US
US
www.vaneck.com
Market Vectors Gaming ETF Guggenheim China All-Cap ETF
Market Vectors-Gaming ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the Market Vectors Global Gaming Index.
UNITED STATES
Guggenheim China All-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses, of an equity index called the AlphaShares UNITED STATES China Index.
Wheaton
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
UNITED STATES
1-212-293-2000
Stamford
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Bank of New York Mellon Corp/The
Gaming & Entertainment
United States
Invesco PowerShares United States Capital Management LLC
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
US
www.powershare PowerShares Lux PowerShares Lux Nanotech Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES s.com Nanotech Portf that correspond to the price and yield of the Lux Nanotech Index, which is a modified market-cap weighted index.
www.guggenhei mfunds.com
US
Invesco PowerShares Capital Management LLC
Bank of New York Mellon/The
US
1-800-983-0903
1-888-949-3837
US
BM
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Sector FundTechnology
Country FundChina
US
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon LLP Capital Ma
SSgA Funds Management Inc
Manager's Country
Ernst & Young
Van Eck Bank of New York Associates Mellon Corp
12/09
KAREN Q. WONG
HAO-HUNG LIAO "PETER"
WisdomTree Asset United States Management Inc
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
02/13
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
Van Eck Associates Corp
New York
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
Invesco PowerShares Capital Management LLC
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
1/24/08
Van Eck Associates Corp
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
New York
US
HAO-HUNG LIAO "PETER"
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
United States
Growth & Income1-888-949-3837 Mid Cap
www.guggenhei mfunds.com
Guggenheim Mid- Guggenheim Mid-Cap Core ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES Cap Core ETF correspond to the performance of the Zacks Mid-Cap Core Index.
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Value-Large Cap
www.ftportfolios.c First Trust Capital First Trust Capital Strength ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES om Strength E correspond to the price and yield of an equity index called The Capital Strength Index.
US
US
Bank of New York Mellon Corp/The
Government/Corpo 1-888-400-4383 rate
PIMCO www.pimcoetfs.c Pimco Investment Grade Corporate Bond Index Exchange-Traded Fund is an exchangetraded fund incorporated in the USA. Investment Grade om The Fund seeks to track the performance of the BofA Merrill Lynch US Corporate Index. Corpora
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Undefined Equity
1-415-670-2000
www.ishares.com
iShares MSCI Global Agriculture Producers ETF is an exchange-traded fund incorporated in the USA. The ETF seeks iShares MSCI investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI ACWI UNITED STATES Global Agricultur Select Agriculture
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Country FundChina
1-212-293-2000
www.vaneck.com
Market Vectors China ETF
Market Vectors China ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to replicate as closely as possible, before fees and expenses, the price and yield performance of the CSI 300 Index. The CSI 300 is a UNITED STATES diversifi
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Growth&IncomeSmall Cap
1-240-497-6400
ProShares www.proshares.c UltraShort om SmallCap6
UltraShort SmallCap 600 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P SmallCap 600 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Municipal
1-415-670-2000
iShares 2017 www.ishares.com AMT-Free Muni Ter
iShares 2017 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P AMT-Free Municipal Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
12/01/11
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Invesco PowerShares United States Capital Management LLC
Wheaton
1-630-765-8000
Closed-end Funds 1-212-528-7990
Govt/Agency-Short 1-866-787-2257 Term
FI Enhanced Global High Yield ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash FI Enhanced www.etnplus.com payment at the scheduled maturity or optional redemption based on a leveraged participation in MSCI World High Dividend Global High Yield Yield USD Gross
www.spdrs.com
SPDR Barclays SPDR Barclays Short Term Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to Short Term Treas replicate as closely as possible the performance of the Barclays 1-5 Year U.S. Treasury Index.
US
US
State Street Bank and Trust Co
Bank of New York First Trust Mellon Corp/The Advisors LP
VINEER BHANSALI
HAO-HUNG LIAO "PETER"
BlackRock BlackRock Fund Fund Advisors Advisors
10/14/10
Barclays Capital Inc Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
MIKE BRUNELL
Van Eck Associates Corp
Van Eck Associates Corp
PowerShares S&P SmallCap Financials Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P UNITED STATES SmallC
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
Invesco PowerShares Capital Management LLC
SPDR S&P Emerging Latin Americ
SPDR S&P Emerging Latin America ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the S&P Latin America BMI Index. The Index measures the investable universe of publicly traded companies domiciled in countries su
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
3/19/07
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Market Vectors Global Alternat
Market Vectors Global Alternative Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Ardour Global Index, which tracks companies primarily engaged UNITED STATES in the business
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
4/26/07
Van Eck Associates Corp
Van Eck Associates Corp
New York
Financial Services 1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Finan
Region Fund-Latin 1-866-787-2257 Amer
www.spdrs.com
Sector FundEnergy
www.vaneck.com
1-212-293-2000
UNITED STATES
Deloitte & Touche LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
United States
Company Telephone Number
Value-Small Cap
1-415-670-2000
Company's Web Security's Name Address
iShares www.ishares.com Morningstar Small-Cap SPDR Barclays Long Term Treasu
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
IShares MSCI USA ESG Select ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield performance of the Morningstar Small Value Index. The Index measures the performance UNITED STATES of companies
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
SPDR Barclays Long Term Treasury ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the price and yield performance of the Barclays Long U.S. Treasury Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
Manager's Country
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SSGA Funds SSGA Funds Management Management
United States
Boston
Global X Management Co LLC
Global X Management Co LLC
United States
New York
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Manager's City Name
Government/Agenc 1-866-787-2257 y-LT
www.spdrs.com
Country FundChina
1-212-644-6622
www.globalxfund Global X China s.com Financials ETF
The Global X China Financials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive China Financials In
UNITED STATES
US
Asian Pacific Ex Japan
1-630-765-8000
www.ftportfolios.c First Trust ISE om Chindia Index
First Trust ISE Chindia Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the ISE Chindia Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Value-Mid Cap
1-415-670-2000
iShares iShares Morningstar Mid-Cap Value ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment www.ishares.com Morningstar Mid- results that correspond to the price and yield performance of the Morningstar Mid Value Index.The Index measures the Cap Va performance of compani
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Vanguard Longwww.vanguard.co Term m Government
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou JOSHUA C Bank of New York Vanguard seCoopers BARRICKMA 2013 Mellon Group Inc/The LLP N "JOSH"
Vanguard Vanguard Group Group Inc/The Inc/The
United States
Valley Forge
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
Barclays Capital Inc
United States
New York
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Government/Agenc 1-866-499-8473 y-LT
Vanguard Long-Term Government Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays US Long Government Float Adjusted Bond Index.
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
1-212-528-7990
iPath S&P GSCI Total Return Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with www.ipathetn.co iPath GSCI Total a cash payment at the scheduled maturity or early redemption, based on the performance of the underlying index, the S&P UNITED STATES m Return Index GSCI Total Re
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Eastern Europe ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield performance of the MSCI Emerging Markets Eastern Europe Index.
UNITED STATES
US
US
Government/Corpo 1-877-843-3831 rate
www.advisorshar AdvisorShares es.com Newfleet Multi-S
AdvisorShares Newfleet Multi-Sector Income ETF is an actively managed ETF incorporated in the USA. The fund employs a short duration multi-sector fixed income strategy, which seeks to provide current income consistent with preservation of capital, UNITED STATES while l
US
US
Govt/AgencyTarget Term
1-212-528-7990
iPath US www.ipathetn.co Treasury m Steepener ET
iPath US Treasury Steepener ETN is linked to the performance of the underlying Index, and seeks to capture returns from a "steepening" of the U.S. Treasury yield curve through a notional rolling investment in 2-year and 10-year U.S. Treasury note futures
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Sector Fund-Real Estate
1-877-398-8461
www.cohenandst Cohen & Steers eers.com Global Realty M
Cohen & Steers Global Realty Majors ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance of the Cohen & Steers Global Realty Majors Index.
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
Undefined Equity
1-240-497-6400
ProShares www.proshares.c UltraShort om Consumer
UltraShort Consumer Services ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Consumer Services Inde
UNITED STATES
US
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com Finland Capped ET
iShares MSCI Finland Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Finland IMI 25/50 Index.
US
Commodity
ETRACS CMCI www.ubs.com/eLivestock Total tracs Re
ETRACS CMCI Livestock Total Return ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UBS UNITED STATES Bloomberg CMC
US
www.advisorshar Accuvest Global es.com Long Short ETF
Accuvest Global Long Short ETF is an actively managed exchange-traded fund incorporated in the USA. The fund seeks to generate alpha through a country specific long/short portfolio construction. The fund invests primarily in single country ETFs, both long
Commodity
Eastern European
Blue Chip
1-877-ETRACS5
1-877-843-3831
UNITED STATES
US
US
GB
Bank of New York First Trust Mellon Corp/The Advisors LP
AdvisorShares AdvisorShares Trust Trust
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY Bank of New York ALPS Mellon/The Advisors Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
ALPS Advisors Inc
ALPS Advisors Inc
United States
Denver
United States
Bethesda
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
CH
UBS Securities LLC
US
UBS Securities LLC
Bank of New York Mellon
Tait Weller & Baker LLP
1-212-293-2000
www.vaneck.com
Market Vectors Unconventional
Asset Backed Securities
1-415-670-2000
www.ishares.com
iShares CMBS ETF
iShares CMBS ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. CMBS (ERISA Only) Index.
Govt/Corp Short Term
1-415-670-2000
iShares Core iShares Core Short-Term U.S. Bond ETF is an exchange-traded fund incorporated in the USA. The ETf seeks to track the www.ishares.com Short-Term U.S. performance of the Barclays U.S. Government/Credit 1-5 Year Bond Index. B
Global Equity
1-877-843-3831
www.advisorshar Cambria Global es.com Tactical ETF
Growth&IncomeLarge Cap
1-877-ETNADVICE
www.ELEMENT Setn.com
ELEMENTS Linked to the Morning
ELEMENTS Linked to the Morningstar Wide Moat Focus Total Return Index, developed by Morningstar, is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will provide investors with a cash payment at the scheduled UNITED STATES maturity or upon repu
US
US
HSBC USA Inc
Municipal
1-212-293-2000
www.vaneck.com
Market Vectors CEF Municipal I
Market Vectors CEF Municipal Income ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the UNITED STATES performance of the S-Network Municipal Bond Closed-End Fund Index.
US
US
Van Eck Associates Corp
1-800-983-0903
BRUNO DEL AMA
JPMorgan Investor Services Co
Sector FundEnergy
Health & Biotechnology
Global X Management Co LLC
5/23/07
AdvisorShares Trust
Market Vectors Unconventional Oil & Gas ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Unconventional Oil & Gas I
PowerShares www.powershare Dynamic s.com Healthcare
State Street Bank SSGA Funds MIKE and Trust Co Management BRUNELL
Fund's Management Company
Fund's Manager Start Date
UBS UBS Securities Securities LLC LLC
Advisorshares Bank of New York BRAD Investments Mellon JENSEN LLC
Stamford
Bethesda
Van Eck Associates Corp
United States
New York
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CLAY seCoopers and Trust Co Fund Advisors ARMISTEAD LLP
BlackRock BlackRock Fund Fund Advisors Advisors
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
AdvisorShares Cambria Global Tactical ETF is an actively managed exchange-traded fund incorporated in USA. The Fund seeks absolute return. The Fund invests in underlying ETFs spanning all major world asset classes, including equities, bonds, UNITED STATES real estate,
US
US
Bank of New York Mellon
Tait Weller & Baker LLP
PowerShares Dynamic Healthcare Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Dynamic Healthcare Sector Intellidex Index, which is based on a variety of investment merit criter
UNITED STATES
US
BM
HAO-HUNG LIAO "PETER"
United States
Advisorshares Advisorshares Investments United States Investments LLC LLC
02/12
Advisorshares Bank of New York MEBANE T Investments Mellon FABER LLC
Advisorshares Advisorshares Investments Investments LLC LLC
Deutsche Bank AG
Ernst & Young
Van Eck Bank of New York Associates Mellon/The Corp
HAO-HUNG LIAO "PETER"
Van Eck Associates Corp
Deutsche Bank AG
Deutsche Bank AG
United States
New York
7/13/11
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
12/09
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Vanguard Vanguard Group Group Inc/The Inc/The
Growth-Large Cap 1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 1000 Growth is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES m 1000 Growth E of the Russell 1000 Growth Index.
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
Environmentally Friendly
1-415-670-2000
iShares MSCI www.ishares.com KLD 400 Social ET
iShares MSCI KLD 400 Social ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the MSCI KLD 400 Social Index, which tracks common stocks of companies that are within the MSCI USA IMI Inde
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Municipal
1-415-670-2000
iShares 2015 www.ishares.com AMT-Free Muni Ter
iShares 2015 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P AMT-Free Municipal Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SPDR S&P 600 Small Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P SmallCap 600 Growth Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Growth-Small Cap 1-866-787-2257
www.spdrs.com
SPDR S&P 600 Small Cap Growth
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
SSgA Funds State Street Bank Management and Trust Co Inc
MICHAEL FEEHILY
10/31/11
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Company Telephone Number
Asian Pacific Ex Japan
1-212-896-1249
Company's Web Security's Name Address
Fund's Description
Country
www.wisdomtree. WisdomTree Asia- WisdomTree Asia-Pacific ex-Japan Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment com Pacific ex-Jap results that correspond to the WisdomTree Asia-Pacific ex-Japan Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Manager's Country
Manager's City Name
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
Sector Fund-Utility 1-212-896-1249
WisdomTree www.wisdomtree. Global ex-US com Utilit
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Growth & Income1-415-670-2000 Mid Cap
iShares iShares Morningstar Mid-Cap ETF is an exchange-traded fund incorporated in the U SA. The Fund seeks investment results www.ishares.com Morningstar Mid- that correspond to the price and yield performance of the Morningstar Mid Core Index. The Index measures the performance of UNITED STATES Cap ET companies
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Undefined Equity
www.guggenhei mfunds.com
Security Security Investors United States Investors LLC LLC
Rockville
1-888-949-3837
Guggenheim S&P 500 Equal Weigh
WisdomTree Global ex-US Utilities Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree Global ex-US Utilities Index.
San Francisco
Guggenheim S&P Equal Weight Consumer Discretionary ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Equal Weight Consumer Discretionary Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
EGShares India Small Cap Fund is an exchange-traded fund incorporated in the USA. The Fund seesk to track the performance of the INDXX India Small Cap Index.
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Rye
Security Security Investors United States Investors LLC LLC
Rockville
Security Security Investors United States Investors LLC LLC
Rockville
Alameda
Country Fund-India 1-888-800-4347
www.egshares.co EGShares India m Small Cap ETF
Blue Chip
1-888-934-0777
www.indexiq.com
IQ Global Resources ETF
IQ ARB Global Resources ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the IQ ARB Global Reseources Index
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
Undefined Equity
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P 500 Equal Weigh
Guggenheim S&P Equal Weight Consumer Staples ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Equal Weight Consumer Staples Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Russell 1000 Equal
Guggenheim Russell 1000 Equal Weight ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to correspond as closely as possible, before fees and expenses, to the price and yield performance of the Russell 1000 Equal UNITED STATES Weight Index.
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Commodity
1-800-920-0259
United States 12 Month Natural Gas Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to www.unitedstates United States 12 have changes in percentage terms of its unit's net asset value reflect changes of the price of Natural Gas delivered to Henry oilfund.com Month Natural Hub, Lo
Undefined Equity
1-866-787-2257
www.spdrs.com
SPDR S&P Transportation ETF
Municipal
1-212-293-2000
www.vaneck.com
Market Vectors Pre-Refunded Municipal Index ETF is an exchange traded fund incorporated in the USA. The Fund's objective Market Vectors is to replicate the price and yield performance of the Barclays Capital Municipal Pre-Refunded Treasury-Escrowed Index. The Pre-Refunded Mu Fund will
Country FundSingapore
1-415-670-2000
Undefined Equity
Growth&IncomeLarge Cap
United States
12/08/10
Brown Brothers Harriman & Co
EisnerAmper LLP
Brown Brothers Harriman & Co
JOHN LOVE
United States United States Commodities Commodities Fund LLC Fund LLC
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
US
US
Van Eck Associates Corp
Ernst & Young
Van Eck Bank of New York Associates Mellon/The Corp
JAMES T COLBY III
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Global X Social Media Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Solactive Social Media Index.
UNITED STATES
US
iShares Asia/Pacific Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Asia/Pacific Select Dividend 3
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
1-800-983-0903
PowerShares PowerShares FTSE RAFI Asia Pacific ex-Japan Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks www.powershare FTSE RAFI Asia investment results that correspond to the FTSE RAFI Asia Pacific ex-Japan Index, is a fundamental-weighted index based on UNITED STATES s.com Pac the followin
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares United States Capital Management LLC
Wheaton
Environmentally Friendly
1-415-670-2000
iShares MSCI iShares MSCI USA ESG Select Social Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.ishares.com USA ESG Select investment results that correspond to the price and yield performance of approximately 250 companies within the MSCI USA ET Index that are deter
Muni-New York
1-866-787-2257
www.spdrs.com
UNITED STATES
US
UNITED STATES
US
UNITED STATES
iShares MSCI iShares MSCI Singapore Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the www.ishares.com Singapore Smallperformance results of the MSCI Singapore Small Cap Index. C
1-212-644-6622
www.globalxfund Global X Social s.com Media Index ET
Region Fnd-Asian Pacific
1-415-670-2000
iShares www.ishares.com Asia/Pacific Dividend
Asian Pacific Ex Japan
Value-Small Cap
Undefined Equity
1-800-983-0903
1-800-983-0903
SPDR Nuveen Barclays New York
PowerShares www.powershare Fundamental s.com Pure S PowerShares www.powershare S&P SmallCap s.com Indus
SPDR S&P Transportation ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Transportation Select Industry Index.
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
US
US
State Street Bank and Trust Co
SPDR Nuveen Barclays New York Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks UNITED STATES investment results that correspond to the price and yield of the Barclays Managed Money Municipal New York Index.
US
US
State Street Bank and Trust Co
Ernst & Young
PowerShares S&P SmallCap Industrials Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P UNITED STATES Small
US
US
BM
BM
Bank of New York Mellon/The
Global X Management Co LLC
Global X Management Co LLC
BlackRock BlackRock Fund Fund Advisors Advisors
UNITED STATES
UNITED STATES
BlackRock BlackRock Fund Fund Advisors Advisors
BRUNO DEL AMA
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
PowerShares Fundamental Pure Small Value Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the RAFI Fundamental Small Value Index.
United States
State Street Bank SSGA Funds TIM RYAN and Trust Co Management
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/01/09
Invesco PowerShares Capital Management LLC
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
10/15/07
SSGA Funds SSGA Funds Management Management
United States
Boston
12/09
Invesco PowerShares Capital Management LLC Invesco
12/09
Invesco PowerShares United States Capital Management LLC
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Wheaton
Barclays Capital Inc
United States
New York
Commodity
1-212-528-7990
iPath Dow Jones-UBS Agriculture Total Return Sub-Index ETN is an exchange-traded note incorporated in the USA. The www.ipathetn.co iPath Dow JonesNotes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of m UBS Agricultur the underlying in
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Emerging MarketEquity
1-877-437-9363
Direxion Daily Developed Markets Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.direxionshar Direxion Daily investment results of 300% of the performance of the MSCI EAFE Index. The Fund invests at least 80% of its net assets in the UNITED STATES es.com Developed Marke equity se
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
1-800-983-0903
PowerShares www.powershare Dynamic Basic s.com Mate
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Swedish Export Credit Corp - SEK
Swedish Export United States Credit Corp - SEK
New York
Global X Management Co LLC
Global X Management Co LLC
United States
New York
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Undefined Equity
ELEMENTS Linked to the MLCX Gr
PowerShares Dynamic Basic Materials Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Basic Materials Sector Intellidex Index, which evaluates compa
UNITED STATES
ELEMENTS Linked to the MLCX Grains Index Total Return is an exchange-traded note issued by Swedish Credit Corporation (SEK) in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early repurchase, based UNITED STATES on the perfor
US
US
Commodity
1-877-ETNADVICE
www.ELEMENT Setn.com
Region FundNordic
1-212-644-6622
Global X FTSE Nordic Region ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide www.globalxfund Global X FTSE investment results that correspond generally to the price and yield performance, before fees and expenses, of the FTSE Nordic UNITED STATES s.com Nordic Region ET 30 Index.
Country FundAustralia
1-212-896-1249
Closed-end Funds 1-866-787-2257
WisdomTree www.wisdomtree. Australia com Dividend
www.spdrs.com
SPDR Russell Small Cap Complet
US
BM
US
Euroclear
Swedish Export Credit Corp - S
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
WisdomTree Australia Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the performance of the WisdomTree Australia Dividend Index.
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
SPDR Small Cap Completeness ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate UNITED STATES as closely as possible the performance of the Russell Small Cap Completeness Index.
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
SSgA Funds State Street Bank Management and Trust Co Inc
BRUNO DEL AMA
KAREN Q. WONG
JOHN A TUCKER
12/09
8/12/09
11/15/05
Barclays Capital Inc
Company Telephone Number
Eastern European
1-866-787-2257
Company's Web Security's Name Address
www.spdrs.com
Fund's Description
Country
SPDR S&P SPDR S&P Emerging Europe ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as Emerging Europe closely as possible the S&P European Emerging BMI Capped Index. The Index measures the investable universe of publicly UNITED STATES ETF traded companie
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Fund's Manager
JOHN A TUCKER
International Equity 1-630-765-8000
First Trust www.ftportfolios.c Emerging om Markets S
Country FundJapan
1-415-670-2000
www.ishares.com
iShares Japan Large-Cap ETF
iShares Japan Large-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P/Tokyo Stock Price Index. The Fund uses a Representative Sampling strategy to try UNITED STATES to track the
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Value-Mid Cap
1-866-787-2257
www.spdrs.com
SPDR S&P 400 Mid Cap Value ETF
SPDR S&P 400 Mid Cap Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P MidCap 400 Value Index.
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Financial Services 1-877-738-8870
First Trust Emerging Markets Small Cap AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Emerging Markets Small Cap Index.
RevenueShares Financials Sector Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve its www.revenueshar RevenueShares investment objective of outperforming the total return performance of the S&P 500 Financials Index by investing in the esetfs.com Financials Secto constituent secur
Commodity
1-212-528-7990
iPath Dow Jones-UBS Sugar Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Sugar Subi underlying index, the
Country FundBrazil
1-212-644-6622
www.globalxfund Global X Brazil s.com Mid Cap ETF
Growth&IncomeSmall Cap
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Russell 2000 Equal
UNITED STATES
UNITED STATES
US
UNITED STATES
US
Global X Brazil Mid Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of UNITED STATES the Solactive Brazil Mid Cap Index.
US
Guggenheim Russell 2000 Equal Weight ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to correspond as closely as possible, before fees and expenses, to the price and yield performance of the Russell 2000 Equal We
US
UNITED STATES
US
GB
Brown Brothers Harriman & Co
3/19/07
First Trust Advisors LP
Manager's Country
Manager's City Name
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
First Trust Advisors LP
First Trust Advisors LP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
11/15/05
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
VTL Bank of New York Associates Mellon/The LLC
VINCENT THOMAS LOWRY "VINCE"
11/12/08
VTL Associates LLC
VTL Associates LLC
United States
Philadelphia
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Global X Management Co LLC
Global X Management Co LLC
United States
New York
Bank of New York Mellon/The
BBD LLP
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
Fund's Management Company
Fund's Manager Start Date
Global X Management Co LLC
BRUNO DEL AMA
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
12/08/10
Security Security Investors United States Investors LLC LLC
MICHAEL A JOHNSON
2013
Vanguard Vanguard Group Group Inc/The Inc/The
JOHN A TUCKER
9/29/00
SSgA Funds Management Inc
Rockville
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
SPDR S&P 500 Value ETF
SPDR S&P 500 Value ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely UNITED STATES as possible the performance of the S&P 500 Value Index.
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
1-877-ETRACS5
www.ubs.com/e- ETRACS CMCI tracs Industrial Metals
ETRACS CMCI Industrial Metals Total Return ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES the UBS Bloomb
US
CH
UBS Securities LLC
Value-Large Cap
1-866-499-8473
www.vanguard.co Vanguard S&P m 500 Value ETF
Vanguard S&P 500 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES of the S&P 500 Value ETF.
US
US
Vanguard Group Inc/The
Sector FundTechnology
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim Guggenheim China Technology Exchange-Traded Fund Trust 2 is an exchange-traded fund incorporatedin the USA. The Fund China Technology seeks investment results that correspond generally to the performance, before the Fund's fees and expenses, of an equity index UNITED STATES ET called the
US
US
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Precious Metals
1-630-765-8000
www.ftportfolios.c First Trust ISE om Global Copper
First Trust ISE Global Copper Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the ISE Global Copper Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Govt/Agency-Short 1-240-497-6400 Term
www.proshares.c ProShares om UltraShort TIPS
ProShares UltraShort TIPS is an exchange traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) daily performance of the Barclays Capital US Treasury Inflation Protected UNITED STATES Securiti
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Sector Fund-Utility 1-240-497-6400
ProShares www.proshares.c UltraShort om Utilities
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares United States Capital Management LLC
Wheaton
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Invesco PowerShares Capital Management LLC Barclays Capital Inc
Barclays Capital Inc
United States
New York
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
Growth-Large Cap 1-866-499-8473
www.vanguard.co Vanguard S&P Vanguard S&P 500 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the m 500 Growth ETF performance of the S&P 500 Growth Index.
Value-Large Cap
1-866-787-2257
www.spdrs.com
Commodity
Emerging MarketEquity
Govt/AgencyInter/LT
1-800-983-0903
1-212-528-7990
PowerShares www.powershare MENA Frontier s.com Coun
PowerShares MENA Frontier Countries Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the NASDAQ OMX Middle East North Africa Index.
UNITED STATES
UNITED STATES
iPath US www.ipathetn.co iPath US Treasury 10-year Bull ETN is linked to the performance of the underlying Index, and seeks to capture returns from a Treasury 10-year UNITED STATES m decrease in the yields available to investors purchasing 10-year U.S. Treasury notes through a notional rolling 'long' investment Bull
Global Equity
1-212-896-1249
WisdomTree www.wisdomtree. Global Equity com Incom
Commodity
1-212-538-7333
www.creditsuisse.com/etn
International Equity 1-212-896-1249
UltraShort Utilities ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Utilities Index.
UNITED STATES
WisdomTree Global Equity Income Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree Global Equity Income Index. The Fund invests in high dividend- UNITED STATES yielding companie
The Gold Shares Covered Call ETN is an exchange-traded note incorporated in the USA. The ETN tracks the return of a Gold Shares covered call strategy on the GLD ETF. The ETN pays a monthly variable coupon based on the notional option premiums Covered Call ETN received from the notion
WisdomTree www.wisdomtree. International com MidCa
WisdomTree International MidCap Dividend Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree International MidCap Dividend Index. The Fund invests in companies tha
US
US
US
US
BM
GB
US
US
UNITED STATES
US
CH
UNITED STATES
US
US
UBS Securities LLC Pricewaterhou Bank of New York seCoopers Mellon LLP
Bank of New York Mellon Corp/The
MICHAEL A JOHNSON
www.globalxfund Global X Junior s.com Miners ETF
Global X Junior Miners ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Solactive Junior Miners Index.
UNITED STATES
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
1-877-398-8461
www.alpsetfs.co m
US Equity High Volatility Put
Alps US Equity High Volatility Put Write Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance, before the Fund's fees and expenses, of an index called the NYSE Arca U
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
Internet & Telecom 1-866-787-2257
www.spdrs.com
SPDR S&P International Telecom
SPDR速 S&P International Telecommunications Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed ExU.S. BMI Tele
UNITED STATES
US
US
State Street Bank and Trust Co
Global X Management Co LLC
Bank of New York ALPS Mellon Advisors Inc
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
1/17/12
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
First Trust Advisors LP
Wheaton
12/09
First Trust Advisors LP
Credit Suisse Credit Suisse ETNs/USA ETNs/USA
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
KEVIN RICH
ALPS Advisors Inc
ALPS Advisors Inc
7/16/08
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
10/16/08
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
JOHN A TUCKER
PowerShares www.powershare Emerging s.com Markets I
PowerShares Emerging Markets Infrastructure Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the index called the S-N
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York BRIAN seCoopers PowerShares Mellon/The MCGREAL LLP Capital Ma
Closed-end Funds 1-877-437-9363
www.direxionshar Direxion Daily es.com Retail Bull 3X
Direxion Daily Retail Bull 3X Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the performance of the Russell R1 Retail SubSec Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Stamford
Vanguard Vanguard Group Group Inc/The Inc/The
KAREN Q. WONG
1-800-983-0903
Emerging MarketEquity
United States
Boston
2013
Bank of New York First Trust Mellon Corp/The Advisors LP
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
SSgA Funds United States Management Inc
UBS UBS Securities Securities LLC LLC
Credit Suisse ETNs/USA
1-212-644-6622
Growth & Income
SSgA Funds State Street Bank Management and Trust Co Inc
New York
Company Telephone Number
Sector FundTechnology
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Custodian
Fund's Investment Advisor
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
Invesco PowerShares Capital Management LLC Invesco
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
4/03/08
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Value-Mid Cap
1-800-983-0903
PowerShares www.powershare Fundamental s.com Pure M
PowerShares Fundamental Pure Mid Value Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield of the RAFI Fundamental Mid Value Index, which seeks to provide capital appreciat
UNITED STATES
US
Undefined Equity
1-800-983-0903
www.powershare PowerShares PowerShares Global Agriculture Portfolio is an exchange-traded fund incorporated in the USA. The Fund's objective is to track UNITED STATES s.com Global Agriculture the NASDAQ OMX Global Agriculture Index.
Sector Fund-Real Estate
1-415-670-2000
iShares Asia www.ishares.com Developed Real Es
US
Global Debt
1-888-400-4383
PIMCO Global Inflation-Linked Bond ETF is an actively-managed exchange-traded fund incorporated in the USA. The Fund www.pimcoetfs.c PIMCO Global invests in high-quality inflation-linked bonds that span developed and emerging markets. The Fund is benchmarked to both the UNITED STATES om Advantage Inflati GDP-weighted
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Commodity
1-866-734-0425
GS Connect S&P Goldman Sachs Connect S&P GSCI Enhanced Commodity Total Return Strategy Index ETN is an exchange-traded note www.goldmansac GSCI Enhanced issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based UNITED STATES hs.com C on the performance of
US
US
Goldman Sachs & Co
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
Blue Chip
www.vaneck.com
Market Vectors Market Vectors Bank and Brokerage ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the Bank and Broker performance of the US Listed Regional Bank 25 Index.
IQ Merger Arbitrage ETF
IQ Merger Arbitrage ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the IQ Merger Arbitrage Index developed by IndexIQ, which in turn seeks to identi
MIHIR P WORAH
HAO-HUNG LIAO "PETER"
1-800-983-0903
PowerShares www.powershare Fundamental s.com Pure L
PowerShares Fundamental Pure Large Value Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the RAFI速 Fundamental Large Value Index
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Growth & Income1-301-296-5100 Mid Cap
Guggenheim www.rydexfunds. Russell MidCap com/etf Equa
Guggenheim Russell MidCap Equal Weight ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to correspond as closely as possible, before fees and expenses, to the price and yield performance of the Russell UNITED STATES MidCap Equa
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Various Assets
405-778-8377
AlphaClone www.exchangetra AlphaClone Alternative Alpha ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the Alternative Alpha dedconcepts.com performance of the AlphaClone Hedge Fund Long/Short Index. E
Exchange Traded Concepts LLC
Cohen Fund Exchange US Bank National Audit Services Traded Association/US Ltd Concepts LLC
Commodity
1-877-ETNADVICE
www.ELEMENT Setn.com
ELEMENTS Linked to the S&P Com
ELEMENTS Linked to the S&P Commodity Trends Indicator - Total Return is an exchange-traded note issued by HSBC USA Inc. The Notes will provide investors with a cash payment at the scheduled maturity or early repurchase, based on the performance of its und
US
UNITED STATES
US
US
12/21/11
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
www.indexiq.com
UNITED STATES
4/30/12
Goldman Sachs & Co
1-888-934-0777
Value-Large Cap
Fund's Management Company
Fund's Manager Start Date
ProShare ProShare Advisors LLC Advisors LLC
Ultra Semiconductor ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES that correspond to twice (200%) the daily performance of the Dow Jones U.S. Semiconductor Index.
Financial Services 1-212-293-2000
Fund's Manager
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
www.proshares.c ProShares Ultra om Semiconductors
UNITED STATES
Fund's Auditor
JPMorgan Investor Services Co
1-240-497-6400
iShares Asia Developed Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the investment results of the FTSE EPRA/NAREIT Asia Index Fund.
Fund's Administrator
Manager's City Name
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Wheaton
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
Goldman Sachs & Co
Goldman Sachs & Co
United States
New York
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Rye
6/16/11
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
12/08/10
Security Security Investors United States Investors LLC LLC
Rockville
Exchange Exchange Traded Traded Concepts LLC Concepts LLC
HSBC USA Inc
HSBC USA Inc
Manager's Country
Undefined Equity
1-800-983-0903
PowerShares PowerShares KBW Property & Casualty Insurance Portfolio is an exchange-traded fund incorporated in the USA. The Fund www.powershare KBW Property & seeks investment results that correspond (before fees and expenses) generally to the price and yield of the index called the s.com Cas KBW Property
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Undefined Equity
1-888-800-4347
www.egshares.co EGShares Basic EGShares Basic Materials GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the m Material GEMS E performance of the Dow Jones Emerging Markets Titans Basic Materials 30 Index.
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
HSBC USA Inc
HSBC USA Inc
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global Advisors LLC Advisors LLC
Bank of New York Barclays Mellon Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
UBS UBS Securities Securities LLC LLC
United States
Stamford
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Credit Suisse Credit Suisse AG United States AG
New York
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
Closed-end Funds 1-212-528-7990
www.ipathetn.co iPath S&P MLP m ETN
iPath S&P MLP ETN is an exchange-traded note incorporated in the USA. The Note will provide investors with a cash payment UNITED STATES at the scheduled maturity or early redemption based on the performance of the underlying index S&P MLP Index.
US
GB
Commodity
1-212-528-7990
iPath Dow Jones-UBS Industrial Metals Total Return Sub-Index ETN is an exchangetraded note issued in the USA. The Notes www.ipathetn.co iPath Dow Joneswill provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES m UBS Industrial underlying ind
US
GB
Barclays Capital Inc
Undefined Equity
1-877-ETRACS5
ETRACS Monthly Pay 2xLeveraged Dow Jones International Real Estate ETN is an exchange-traded note issued in the USA. www.ubs.com/e- ETRACS Monthly The ETN will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance tracs Pay 2xLeveraged of the Dow Jones
UNITED STATES
US
CH
UBS Securities LLC
Country FundChina
1-240-497-6400
www.proshares.c ProShares Short ProShares Short FTSE/Xinhua China 25 is an exchange-traded fund incorporated in the USA. The Fund seeks daily om FTSE China 25 investment results that correspond to the inverse (opposite) of the daily performance of the FTSE/Xinhua China 25 Index.
UNITED STATES
US
Aggressive Growth 1-855-353-9383
FlexShares www.flexshares.c Quality Dividend om De
UNITED STATES
US
US
Commodity
1-212-538-7333
www.creditsuisse.com/etn
The Credit Suisse Silver Shares Covered Call ETN is an exchange-traded note issued in the USA. The ETN tracks the return Credit Suisse of a covered call strategy on the iShares Silver Trust ETF (SLV US). The ETN pays a monthly variable coupon based on the Silver Shares Co notional opti
UNITED STATES
US
CH
Muni-New York
1-415-670-2000
www.ishares.com
iShares New York iShares New York AMT-Free Muni Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the UNITED STATES AMT-Free Muni investment results of an index composed of investment-grade municipal bonds issued in the State of New York.
US
US
405-778-8377
YieldShares High Income ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance www.exchangetra Yield Shares High of the ISE High Income Index. The Fund was previously called The Sustainable North American Oil ETF (SNDS) until a ticker, UNITED STATES dedconcepts.com Income ETF name and str
US
1-802-257-1617
Tecrium Wheat Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to have the www.teucriumwe Teucrium Wheat daily changes in percentage terms of the Shares' NAV reflect the daily changes in percentage terms of a weighted average of UNITED STATES atfund.com Fund the clos
US
US
Growth-Small Cap 1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 2000 Growth is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES m 2000 Growth of the Russell 2000 Growth Index.
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
Vanguard Vanguard Group Group Inc/The Inc/The
Sector FundEnergy
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P 500 Equal Weigh
Guggenheim S&P Equal Weight Energy ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P Equal Weight Energy Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Rockville
Growth-Mid Cap
1-866-787-2257
www.spdrs.com
SPDR S&P 400 Mid CapGrowth ETF
SPDR S&P 400 Mid Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate UNITED STATES as closely as possible the performance of the S&P MidCap 400 Growth Index.
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds Management Inc
Boston
Balanced
Commodity
FlexShares Quality Dividend Defensive Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Northern Trust Quality Dividend Defensive Index.
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP Northern Trust JPMorgan Chase Investments Bank NA Inc
JPMorgan Chase Bank NA
Northern Trust Northern Trust Investments Investments Inc Inc
Credit Suisse AG
State Street Bank and Trust Co SEI Investments Global Funds Services
State Street Bank BlackRock JOEL SILVA and Trust Co Fund Advisors Cohen Fund Brown Brothers Audit Services Harriman & Co Ltd
Exchange DENISE M Traded KRISKO Concepts LLC Teucrium Trading LLC
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
SSgA Funds State Street Bank Management and Trust Co Inc
SAL GILBERTIE
JOHN A TUCKER
United States
Exchange Exchange Traded Traded Concepts LLC Concepts LLC
9/19/11
11/15/05
Teucrium Trading LLC
Teucrium Trading LLC
SSgA Funds United States Management Inc
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Manager's Country
Manager's City Name
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
iShares www.ishares.com Morningstar Small-Cap
iShares Morningstar Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield performance of the Morningstar Small Core Index. The Index measures the performance UNITED STATES of companie
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Coffee ETN
The iPath Pure Beta Coffee ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Coffee P
US
GB
Barclays Capital Inc
Country FundChina
1-415-670-2000
iShares MSCI iShares MSCI China Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the www.ishares.com China Small-Cap performance of the MSCI China Small Cap Index Fund. E
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Undefined Equity
1-888-949-3837
www.guggenhei mfunds.com
Guggenheim S&P Equal Weight Industrial ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to UNITED STATES replicate the performance of the S&P Equal Weight Industrial Index.
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Rockville
BlackRock BlackRock Fund Fund Advisors Advisors
San Francisco
Undefined Equity
1-415-670-2000
www.ishares.com
Growth&IncomeSmall Cap
1-415-670-2000
Commodity
iShares MSCI Global Silver Miners ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment iShares MSCI results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI ACWI Select Global Silver Min Silver Miners Invest
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Guggenheim S&P 500 Equal Weigh
Barclays Capital Inc
Barclays Capital Inc
United States
San Francisco
Barclays Capital Inc
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou seCoopers State Street Bank BlackRock GREG LLP/Albany and Trust Co Fund Advisors SAVAGE NY
Guggenheim S&P Equal Weight Healthcare ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is UNITED STATES to replicate the performance of the S&P Equal Weight Health Care Index.
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Rockville
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
Bethesda
1-212-786-7481
PureFunds ISE PureFunds ISE Diamond/Gemstone ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide www.pureetfs.co Diamond/Gemsto investment results that, before fees and expenses, correspond generally to the price and yield performance of the ISE Diamond UNITED STATES m ne /Gemstone Index.
US
Factor Advisors LLC
WithumSmith US Bank NA +Brown
Commodity
1-855-RBS-ETPS
RBS Rogers usmarkets.rbs.co Enhanced m/etnUS Commodity
RBS Rogers Enhanced Commodity ETN is an exchange-traded note issued in the USA. The ETN will track the RICI Enhanced Commodity Total Return Index which provides exposure to 36 commodities. The Index attempts to track prices changes for individual commodit
UNITED STATES
US
GB
Royal Bank Of Scotland
Municipal
1-415-670-2000
iShares 2014 www.ishares.com AMT-Free Muni Ter
iShares 2014 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P AMT-Free Municipal Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
Region FundMiddle East
1-212-293-2000
www.vaneck.com
Market Vectors Gulf States Ind
Market Vectors Gulf States Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the price and yield performance of the Market Vectors GDP GCC index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
Growth&IncomeSmall Cap
1-866-499-8473
Vanguard S&P www.vanguard.co Small-Cap 600 m ETF
Vanguard S&P Small-Cap 600 ETF is an exchange-traded incorporated in the USA. The Fund seeks to track the performance UNITED STATES of the S&P Small-Cap 600 Index.
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
ANDREW MAACK
Country FundGermany
1-415-670-2000
iShares MSCI www.ishares.com Germany SmallCap
iShares MSCI Germany Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Germany Small Cap Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Growth&IncomeLarge Cap
1-800-983-0903
PowerShares www.powershare Dynamic Market s.com Por
Powershares Dynamic Market Portfolio is an exchange-traded fund incorporated in the USA. The Fund's objective is to correspond to the price and yield of an equity index called the Dynamic Market Intellidex (SM) Index, which evaluates companies based on a
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
International Equity 1-800-983-0903
PowerShares www.powershare FTSE RAFI s.com Develope
PowerShares FTSE RAFI Developed Markets ex-U.S. Small-Mid Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the FTSE RAFI Developed Markets ex-U.S. Small- UNITED STATES Mid Index
Commodity
1-877-369-4617
www.dbfunds.db. PowerShares DB PowerShares DB Silver Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to track the DBIQ com Silver Fund Optimum Yield Silver Index Excess Return.
Growth-Mid Cap
1-630-765-8000
www.ftportfolios.c First Trust Mid om Cap Growth Alp
Undefined Equity
Country FundGermany
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
Health & Biotechnology
1-888-949-3837
www.guggenhei mfunds.com
1-240-497-6400
ProShares www.proshares.c UltraShort om Nasdaq Bi
UNITED STATES
Undefined Equity
Health & Biotechnology
Guggenheim S&P 500 Equal Weigh
iShares MSCI Emerging Markets Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the MSCI Emerging Markets Small Cap Index.
ProShares Ultrashort Nasdaq Biotechnology is an an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the return of the Nasdaq Biotechnology Index.
Factor WILL Advisors LLC MARTIN
11/29/12
RBS ETNs/USA
United States
United States
Factor Factor Advisors Advisors LLC LLC
RBS ETNs/USA
Madison
RBS ETNs/USA
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
7/24/08
Van Eck Associates Corp
United States
New York
2013
Vanguard Vanguard Group Group Inc/The Inc/The
Invesco PowerShares United States Capital Management LLC
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Wheaton
New York
Van Eck Associates Corp
BlackRock BlackRock Fund Fund Advisors Advisors
12/09
Invesco PowerShares Capital Management LLC Invesco
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
UNITED STATES
US
DE
Bank of New York Mellon/The
KPMG
DB MARTIN Bank of New York Commodity KREMENSTE Mellon/The Services LLC IN
Deutsche Bank AG
Deutsche Bank AG
First Trust Mid Cap Growth AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES results that correspond to the Defined Mid Cap Growth Index.
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
1-888-729-3863
Pax MSCI EAFE ESG Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks returns that closely www.esgshares.c Pax MSCI EAFE correspond to the price and yield of the MSCI EAFE ESG Index. The Index consists of equity securities operating in developed UNITED STATES om ESG Index ETF market countri
US
US
State Street Bank and Trust Co
Pax World Ernst & Young State Street Bank Management LLP and Trust Co LLC
Pax World Management LLC
Pax World Management LLC
1-630-765-8000
First Trust www.ftportfolios.c Germany om AlphaDEX F
First Trust Germany AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the Defined Germany Index.
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
Guggenheim S&P Smallcap 600 Pure Growth ETF is an exchange-traded fund incorporated in the USA. The Fund's objective UNITED STATES is to replicate as closely as possible, before expenses, the performance of the S&P Smallcap 600/Citigroup Pure Growth Index.
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
Rockville
Invesco PowerShares Capital Management LLC
Wheaton
Guggenheim S&P Smallcap 600 Pu
Growth-Small Cap 1-888-949-3837
www.guggenhei mfunds.com
Sector Fund-Utility 1-800-983-0903
PowerShares Dynamic Utilities Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.powershare PowerShares results that correspond to the price and yield of the Dynamic Utilities Intellidex Index, which evaluates companies based on a s.com Dynamic Utilities variety o
Blue Chip
1-888-934-0777
www.indexiq.com
Country FundChina
1-212-896-1249
Brown Brothers Harriman & Co
First Trust Advisors LP
United States
Invesco PowerShares United States Capital Management LLC
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
The IQ Hedge Macro Tracker ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the IQ Hedge Macro Tracker Index.
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
WisdomTree www.wisdomtree. China Dividend com Ex-F
WisdomTree China Dividend Ex-Financials Fund is an exchange-traded fund incorporated in the USA. The Fund employs a "passive management" - or indexing investment approach designed to track the performance of the WisdomTree China Dividend ex-Financials Ind
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
International Equity 1-240-497-6400
ProShares www.proshares.c UltraShort MSCI om EAFE
UltraShort MSCI EAFE ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI EAFE Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Growth&IncomeLarge Cap
www.ishares.com
iShares NYSE Composite ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the NYSE Composite Index. The Index is a float-weighted index that includes common stocks, ADRs, trackings UNITED STATES tocks and REITs t
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
IQ Hedge Macro Tracker ETF
iShares NYSE Composite ETF
US
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
12/09
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
KINGSLEY WILLIAMS
9/01/12
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Rye
WisdomTree Asset Management Inc
New York
WisdomTree Asset United States Management Inc
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
Barclays Capital Inc
United States
Manager's City Name
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
db X-trackers MSCI Germany Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the MSCI Germany USD Hedged Index. The Fund was previously called the db X-trackers MSCI Canada Hedged ETF until a
UNITED STATES
US
DE
Bank of New York Mellon/The
Ernst & Young Bank of New York Deutsche LLP Mellon/The Bank AG
www.ftportfolios.c First Trust Mega om Cap AlphaDEX
First Trust Mega Cap AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Mega Cap Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
1-212-644-6622
www.globalxfund Global X Junior s.com MLP ETF
The Global X Junior MLP ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Junior MLP Index.
UNITED STATES
US
1-212-293-2000
www.vaneck.com
Market Vectors Uranium+Nuclear Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks Market Vectors investment results that correspond to the price and yield of the DAX global Nuclear Energy Index, a modified marketUranium+Nuclear capitalization index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
Sector Fund-Utility 1-866-787-2257
www.spdrs.com
SPDR S&P International Utilities Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to SPDR S&P provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI International Utiliti Utilities Sect
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
Growth & Income
www.ftportfolios.c First Trust Value First Trust Value Line 100 Exchange-Traded Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to om Line 100 Exc track the performance of the Value Line 100 Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Guggenheim S&P Equal Weight Utilities ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the performance of the S&P 500 Equal Weighted Telecommunication Services and Utilities Sector.
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Security Security Investors United States Investors LLC LLC
First Trust Switzerland AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Switzerland Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Country Fund-U.K. 1-630-765-8000
www.ftportfolios.c First Trust United First Trust United Kingdom AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES om Kingdom Alp results that correspond to the Defined United Kingdom Index.
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Growth
First Trust www.ftportfolios.c First Trust Multi Cap Growth AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks MultiCap Growth om investment results that correspond to the Defined Multi Cap Growth Index. Al
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Deutsche Bank AG
Deutsche Bank AG
New York
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Morgan Stanley
Morgan Stanley
United States
New York
Commodity
1-212-528-7990
iPath Dow Jones-UBS Precious Metals Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The www.ipathetn.co iPath Dow JonesNotes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of m UBS Precious M the underlying in
Country FundCanada
1-888-934-0777
www.indexiq.com
Country FundGermany
1-877-369-4617
db X-trackers www.DBXUS.co MSCI Germany m Hed
Growth&IncomeLarge Cap
1-630-765-8000
Sector FundEnergy
Sector FundEnergy
1-630-765-8000
IQ Canada Small IQ Canada Small Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that Cap ETF correspond to the price and yield return of the IQ Canada Small Cap Index.
Guggenheim S&P 500 Equal Weigh
Sector Fund-Utility 1-888-949-3837
www.guggenhei mfunds.com
Country FundSwitzerland
First Trust www.ftportfolios.c Switzerland om AlphaD
1-630-765-8000
1-630-765-8000
Financial Services 1-800-983-0903
PowerShares www.powershare Dynamic s.com Financial
Region FundAfrican
www.spdrs.com
1-866-787-2257
PowerShares Dynamic Financial Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Financial Sector Intellidex Index, which picks stocks based on a var
Global X Brown Brothers Ernst & Young Management Co LLC Harriman & Co
Global X Management Co LLC
SPDR S&P SPDR S&P Emerging Middle East & Africa ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is Emerging Middle to replicate the S&P Mid-East and Africa BMI Index. The Index measures the investable universe of publicly traded companies UNITED STATES East in countries
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Commodity
1-877-369-4617
Health & Biotechnology
1-866-787-2257
www.spdrs.com
SPDR S&P Health Care Services
US
Bank of New York Mellon/The
UNITED STATES
US
DE
Deutsche Bank AG
SPDR S&P Health Care Services ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Health Care Services Select Industry Index.
UNITED STATES
US
US
State Street Bank and Trust Co
US
Morgan Stanley
Currency
Market Vectors www.marketvecto Renminbi/USD rsetns.com ET
Market Vectors-Renminbi/USD ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of the S&P Chinese Renminbi Total Return Index.
UNITED STATES
US
Sector Fund-Asset 1-240-497-6400 Alloc
ProShares www.proshares.c UltraPro om Financials
ProShares UltraPro 3x Financials is an exchange-traded fund incorporated in the USA. The Fund seeks investment results, before fees and expenses, that correspond to three times (3x) the daily performance of the Dow Jones Financial index Index.
UNITED STATES
US
Government/Agenc 1-877-369-4617 y
PowerShares DB Italian Treasury Bond Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance UNITED STATES m Italian Treasur of its underlyi
US
Sector Fund-Utility 1-240-497-6400
www.proshares.c ProShares Ultra om Utilities
US
Ultra Utilities ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Utilities Index.
UNITED STATES
Region Fund-Latin 1-212-644-6622 Amer
www.globalxfund Global X FTSE s.com Andean 40 ETF
Global X FTSE Andean 40 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment UNITED STATES results that correspond generally to the price and yield performance, before fees and expenses, of the FTSE Andean 40 Index.
Government/Agenc 1-415-670-2000 y-LT
iShares Core www.ishares.com Long-Term US Bond
iShares Core Long-Term US Bond ETF is an exchange-traded fund incorporated the USA. The ETF seeks to track the investment results of an index composed of U.S. dollar-denominated government, government-related and investment-grade U.S. corporate bonds with
UNITED STATES
US
Undefined Equity
PureFunds ISE Mining Service ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide www.pureetfs.co PureFunds ISE investment results that, before fees and expenses, correspond generally to the price and yield performance of the ISE Mining m Mining Service E Service Index.
UNITED STATES
US
Growth-Small Cap 1-630-765-8000
www.ftportfolios.c First Trust Small First Trust Small Cap Growth AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks om Cap Growth A investment results that correspond to the Defined Small Cap Growth Index.
UNITED STATES
US
Blue Chip
www.indexiq.com
UNITED STATES
US
IQ Real Return ETF
BM
IQ Real Return ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the IQ Real Return Index.
JPMorgan Investor Services Co
DE
Deutsche Bank AG Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
United States
New York
First Trust Advisors LP
First Trust Advisors LP
Global X Management Co LLC
Global X Management Co LLC
United States
New York
8/15/07
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
7/16/08
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
First Trust Advisors LP
First Trust Advisors LP
Lisle
JOHN A TUCKER
3/19/07
MARTIN KREMENSTE IN JOHN A TUCKER
09/11
Morgan Stanley Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP Deutsche Bank AG
LUKE OLIVER
Global X Management Co LLC
United States
United States
United States
United States
Bethesda
3/23/11
Deutsche Bank AG
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Global X Management Co LLC
Global X Management Co LLC
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BRUNO DEL AMA
Deutsche Bank AG
State Street Bank and Trust Co
Factor Advisors LLC
WithumSmith US Bank NA +Brown
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
US
Bank of New York Mellon/The
Ernst & Young
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Factor WILL Advisors LLC MARTIN
Lisle
ProShare ProShare Advisors LLC Advisors LLC
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
US
Rockville
7/10/12
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
US
Deutsche Bank AG
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon/The LLP Capital Ma
Deutsche Bank AG
JPMorgan Investor Services Co
Deutsche Bank AG
6/09/11
Bank of New York First Trust Mellon Corp/The Advisors LP
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
PowerShares S&P Emerging Markets High Beta Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the S&P BMI Emerging UNITED STATES Markets High Be
Rye
BRUNO DEL AMA
Bank of New York Mellon/The
New York
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Bank of New York First Trust Mellon Corp/The Advisors LP
BM
PowerShares DB Crude Oil Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the inverse (opposite) m Crude Oil Short performance of its und
1-888-934-0777
DINO BOURDOS
US
1-800-983-0903
1-212-786-7481
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
UNITED STATES
PowerShares www.powershare S&P Emerging s.com Marke
Emerging MarketEquity
UNITED STATES
Barclays Capital Inc
11/29/12
Factor Factor Advisors Advisors LLC LLC
Madison
First Trust Advisors LP
Rye
Company Telephone Number
Commodity
1-877-369-4617
Company's Web Security's Name Address
Fund's Description
Country
PowerShares DB Crude Oil Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its m Crude Oil Long underlying index plus t
Undefined Equity
1-240-497-6400
www.proshares.c ProShares Ultra om Consumer Servi
Ultra Consumer Services ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Consumer Services Index.
Growth-Mid Cap
1-415-670-2000
iShares iShares Morningstar Mid-Cap Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.ishares.com Morningstar Mid- results that correspond to the price and yield performance of the Morningstar Mid Growth Index. The Index measures the Cap Gr performance of co
Commodity
1-855-RBS-ETPS
RBS Rogers usmarkets.rbs.co Enhanced m/etnUS Industrial
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
DE
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Deutsche Bank AG
Deutsche Bank AG
Fund's Manager
MARTIN KREMENSTE IN
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
US
UNITED STATES
US
US
State Street Bank and Trust Co
RBS Rogers Enhanced Industrial Metals ETNs is an exchange-traded note issued in the USA. The ETN will track the RICI Enhanced Industrial Metals Total Return Index. which provides exposure to 6 commodities. The Index attempts to track prices UNITED STATES changes for in
US
GB
Royal Bank Of Scotland
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock JENNIFER seCoopers and Trust Co Fund Advisors HSUI LLP
Fund's Management Company
Fund's Manager Start Date
Deutsche Bank AG
RBS ETNs/USA
Deutsche Bank AG
Manager's Country
Manager's City Name
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
RBS ETNs/USA
RBS ETNs/USA
Geo Focus-Equity 1-415-670-2000
iShares MSCI iShares MSCI Colombia Capped ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the www.ishares.com Colombia Capped performance of the MSCI ALL Colombia Capped Index. E
Sector Fund-Utility 1-866-787-2257
www.spdrs.com
SPDR S&P Global Infrastructure
SPDR S&P Global Infrastructure ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate the S&P Global Infrastructure Index. The Index measures the stock performance of companies within the infrastructure UNITED STATES industry, prin
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
1/31/07
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Undefined Equity
1-866-787-2257
www.spdrs.com
SPDR S&P International Consume
SPDR S&P International Consumer Staples Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed ExU.S. BMI Consume
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
JOHN A TUCKER
7/16/08
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
1-240-497-6400
ProShares UltraShort Health Care ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment www.proshares.c UltraShort Health results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Health Care om Ca Index.
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds United States Management Inc
Boston
Health & Biotechnology
SPDR S&P SPDR S&P International Mid Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment International Mid results that correspond to the price and yield of the S&P Developed Ex-U.S. Between USD2 Billion and USD5 Billion Index. Cap
UNITED STATES
UNITED STATES
US
Growth & Income1-866-787-2257 Mid Cap
www.spdrs.com
UNITED STATES
US
US
State Street Bank and Trust Co
Government/Agenc 1-877-369-4617 y
PowerShares DB Japanese Government Bond Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank www.DBXUS.co PowerShares DB AG. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the UNITED STATES m Japanese Govern performance of its under
US
DE
Deutsche Bank AG
Currency
Growth&IncomeSmall Cap
1-212-528-7990
1-888-949-3837
www.ipathetn.co iPath Optimized m Currency Carry
www.guggenhei mfunds.com
Wilshire MicroCap ETF
iPath Optimized Currency Carry ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Intelligent Wilshire Micro-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the performance of the Wilshire Micro-Cap Index.
UNITED STATES
UNITED STATES
US
US
WisdomTree www.wisdomtree. Global Natural com Reso
WisdomTree Global Natural Resources Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES results that correspond to the performance of the WisdomTree Global Natural Resources Index.
US
Geo Focus-Equity 1-212-644-6622
www.globalxfund Global X Nigeria s.com Index ETF
Global X Nigeria Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Nigeria Index.
US
Sector Fund-Real Estate
www.guggenhei mfunds.com
Sector FundEnergy
1-212-896-1249
1-888-949-3837
Wilshire US REIT ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that Wilshire US REIT correspond generally to the performance, before the Fund's fees and expenses, of an equity index called the Wilshire US Real ETF Estate Investment
UNITED STATES
US
GB
US
US
Investors Bank & Trust Co/Boston MA
Deutsche Bank AG
Bank of New York Mellon Corp/The
5/12/98
LUKE OLIVER
3/23/11
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
Guggenheim Funds Guggenheim Ernst & Young Bank of New York SAROJ Investment Advisors Funds LLP Mellon/The KANURI LLC Investment Ad
Corp/Pref-Inv Grade
1-866-787-2257
www.spdrs.com
SPDR Barclays SPDR Barclays Issuer Scored Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective UNITED STATES Issuer Scored Co is to replicate as closely as possible the performance of the Barclays Issuer Scored Corporate Index.
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Country FundDenmark
1-415-670-2000
iShares MSCI iShares MSCI Denmark Capped ETF is an exchange-traded fund incorporated in the U SA. The ETF seeks investment results www.ishares.com Denmark Capped that correspond generally to the price andy ield performance, before fees and expenses, of the MSCI Denmark IMI 25/50 UNITED STATES ET Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
Growth&IncomeLarge Cap
WisdomTree www.wisdomtree. Earnings 500 com Fund
WisdomTree Earnings 500 Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the yield and performance of the WisdomTree Earnings 500 Index, which tracks earnings-generating companies within the largecapitalization segment of t
UNITED STATES
US
US
WisdomTree Asset Management Inc
Closed-end Funds 1-877-ETRACS5
ETRACS Monthly Pay 2xLeveraged S&P Dividend ETN is an exchange-traded note issued in the USA. The ETN will provide www.ubs.com/e- ETRACS Monthly investors with a cash payment at the scheduled maturity or early redemption based on the performance of the S&P High Yield UNITED STATES tracs Pay 2xLeveraged Dividend Aristocr
US
CH
UBS Securities LLC
UBS Securities LLC
Commodity
1-877-369-4617
PowerShares DB Base Metals Double Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Base Metals Dou performance of its und
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Growth&IncomeLarge Cap
1-866-787-2257
www.spdrs.com
SPDR Russell 1000 Low Volatility ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide SPDR Russell investment results that, before fees and expenses, correspond generally to the price and yield performance of the Russell 1000 UNITED STATES 1000 Low Volatili Low Volatili
US
US
State Street Corp
Sector FundTechnology
Sector FundEnergy
1-212-896-1249
1-800-983-0903
1-877-398-8461
Powershares www.powershare Dynamic s.com Software P www.alpsetfs.co m
Jefferies TR/J CRB Global Comm
US
BM
Bank of New York Mellon/The
Jefferies TR/J CRB Global Commodity Equity Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the price and yield performance of the UNITED STATES Thomson Reu
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
9/25/07
Lisle
SSgA Funds Management Inc
Valley Forge
BlackRock BlackRock Fund Fund Advisors Advisors WisdomTree Asset Management Inc
KAREN Q. WONG
SSgA Funds United States Management Inc
WisdomTree Asset United States Management Inc
New York
United States
Stamford
Deutsche Bank AG
Deutsche Bank AG
United States
New York
02/13
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
12/09
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Bank of New York ALPS Mellon/The Advisors Inc
ALPS Advisors Inc
ALPS Advisors Inc
Denver
MARTIN KREMENSTE IN MICHAEL FEEHILY
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
United States
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
12/09
Invesco PowerShares United States Capital Management LLC
Wheaton
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
3/23/11
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
SPDR S&P International Consumer Discretionary Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed ExUNITED STATES U.S. BMI C
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
7/16/08
SSgA Funds Management Inc
Boston
PowerShares www.powershare Fundamental s.com Pure M
Government/Agenc 1-877-437-9363 y-LT
Direxion Daily 20+ Year Treasury Bear 1x Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.direxionshar Direxion Daily investment results, before fees and expenses, that correspond to the inverse (opposite) of the daily performance of the NYSE es.com 20+ Year Treasu 20 Year P
Undefined Equity
www.spdrs.com
SPDR S&P International Consume
MAHESH 02/12 JAYAKUMAR
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Invesco PowerShares Capital Management LLC
Aggressive Growth 1-800-983-0903
1-866-787-2257
1/17/12
UBS UBS Securities Securities LLC LLC
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
PowerShares Dynamic Software Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Software Intellidex Index, which evaluates companies based on a UNITED STATES variety of
Bethesda
JOHN A TUCKER
Guggenheim Funds Guggenheim Ernst & Young Bank of New York Investment Advisors Funds LLP Mellon/The LLC Investment Ad WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
United States
SSgA Funds Management Inc
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Global X Management Co LLC
US
BlackRock BlackRock Fund Fund Advisors Advisors
PowerShares Fundamental Pure Mid Growth Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the RAFI Fundamental Mid Growth Index, which seeks to UNITED STATES provide capi
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JOHN A TUCKER
SSgA Funds United States Management Inc
Company Telephone Number
Global Equity
1-866-787-2257
Company's Web Security's Name Address
www.spdrs.com
SPDR Global Dow ETF
iShares Russell Top 200 ETF
Fund's Description
Country
SPDR Global Dow ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as UNITED STATES possible the performance of The Global Dow.
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Auditor
State Street Bank and Trust Co
Bingham McCutchen LLP
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
iShares Russell Top 200 ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the Russell Top 200 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Commodity
1-877-369-4617
PowerShares DB Agriculture Double Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the double the m Agriculture Dou inverse (opposite) per
UNITED STATES
US
DE
Deutsche Bank AG
Sector FundTechnology
1-240-497-6400
ProShares www.proshares.c UltraShort om Technolog
UltraShort Technology ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Technology Index.
UNITED STATES
US
Undefined Equity
1-888-800-4347
www.egshares.co EGShares India m Consumer ETF
EGShares India Consumer ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Indxx India Consumer Index.
UNITED STATES
US
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
iShares Retail Real Estate Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the FTSE NAREIT Retail Capped Index.
UNITED STATES
US
iShares Retail Real Estate Cap
Fund's Custodian
Fund's Investment Advisor
Fund's Administrator
SSgA Funds State Street Bank Management and Trust Co Inc
Deutsche Bank AG
Fund's Manager
JOHN A TUCKER
9/29/00
MARTIN KREMENSTE IN
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
US
Bank of New York Mellon/The
BBD LLP
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Fund's Management Company
Fund's Manager Start Date
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Manager's City Name
Boston
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Deutsche Bank AG
United States
New York
United States
Bethesda
United States
San Francisco
Deutsche Bank AG
ProShare ProShare Advisors LLC Advisors LLC
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Manager's Country
Emerging Emerging Global Global Advisors LLC Advisors LLC BlackRock BlackRock Fund Fund Advisors Advisors
1-212-896-1249
WisdomTree www.wisdomtree. Commodity com Currency
WisdomTree Commodity Currency Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to achieve total returns reflective of money market rates in selected commodity-producing countries and changes to value of such countri
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Internet & Telecom 1-800-983-0903
Powershares www.powershare Dynamic s.com Networking
PowerShares Dynamic Networking Portfolio is an exchange-traded incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Networking Intellidex Index, which evaluates companies based on UNITED STATES a variety of i
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Currency
Closed-end Funds 1-240-497-6400
www.proshares.c ProShares Ultra om MSCI Brazil Ca
Corp/Pref-High Yield
1-415-670-2000
www.ishares.com
iShares Global ex iShares Global ex USD High Yield Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks USD High Yie to track the Markit iBoxx Global Developed Markets ex-US High Yield Index.
Geo Focus-Debt
1-212-528-7990
www.etnplus.com
FI Enhanced Europe 50 ETN
Undefined Equity
1-800-983-0903
PowerShares www.powershare Dynamic s.com Consumer D
ProShares Ultra MSCI Brazil Capped is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the MSCI Brazil 25/50 Index.
UNITED STATES
US
UNITED STATES
US
US
State Street Bank and Trust Co
FI Enhanced Europe 50 ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash payment at the scheduled maturity or optional redemption based on a leveraged participation in STOXX Europe 50 USD Gross Total UNITED STATES Return Index.
US
GB
Barclays Capital Inc
ZANDRA ZELAYA
Barclays Capital Inc
PowerShares Dynamic Consumer Discretionary Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Consumer Discretionary Sector Intellidex, UNITED STATES which picks s
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Financial Services 1-866-787-2257
www.spdrs.com
SPDR S&P International Financi
SPDR S&P International Financial Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI UNITED STATES Financials Se
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Global Debt
1-415-670-2000
www.ishares.com
iShares Global Inflation-Linke
iShares Global Inflation-Linked Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the Bank of America Merrill Lynch Global Diversified Inflation-Linked Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GABRIEL seCoopers and Trust Co Fund Advisors SHIPLEY LLP
Undefined Equity
1-866-787-2257
www.spdrs.com
SPDR S&P International Industr
SPDR S&P International Industrials Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI Industrial S
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Commodity
1-212-528-7990
The iPath Pure Beta Broad Commodity ETN is an exchange-traded note issued in the USA. The Notes will provide investors www.ipathetn.co iPath Pure Beta with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the m Broad Commodit Barclays Capital
UNITED STATES
US
GB
Barclays Capital Inc
Value-Mid Cap
1-630-765-8000
www.ftportfolios.c First Trust Mid om Cap Value Alph
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Country FundJapan
1-630-765-8000
www.ftportfolios.c First Trust Japan First Trust Japan AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results om AlphaDEX Fun that correspond to the Defined Japan Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Value-Mid Cap
1-866-499-8473
Vanguard S&P www.vanguard.co Mid-Cap 400 m Value
Vanguard S&P Mid-Cap 400 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the S&P Mid-Cap 400 Value Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
Corp/Pref-Inv Grade
1-415-670-2000
iShares www.ishares.com Industrials Bond ETF
iShares Industrials Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Industrial Bond Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
Value-Small Cap
1-866-499-8473
Vanguard S&P www.vanguard.co Small-Cap 600 m Val
Vanguard S&P Small-Cap 600 Value ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the S&P Small-Cap 600 Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Pricewaterhou Bank of New York seCoopers Mellon LLP
Municipal
1-866-787-2257
www.spdrs.com
SPDR Nuveen S&P VRDO Municipal Bond ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the price and yield performance of the S&P National AMT-Free Municipal VRDO Inde
UNITED STATES
US
US
State Street Bank and Trust Co
Ernst & Young
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
SPDR Nuveen S&P VRDO Municipal
First Trust Mid Cap Value AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Mid Cap Value Index.
Geo Focus-Equity 1-415-670-2000
iShares MSCI www.ishares.com Norway Capped ET
iShares MSCI Norway Capped ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Norway IMI 25/50 Index.
US
Currency
1-240-497-6400
www.proshares.c ProShares Ultra om Euro
ProShares Ultra Euro is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the daily performance, whether positive or negative, of its corresponding benchmark. The Fund tracks a mul
UNITED STATES
US
Sector FundEnergy
1-877-ETRACS5
ETRACS www.ubs.com/e1xMonthly Short tracs Alerian
ETRACS 1xMonthly Short Alerian MLP Infrastructure Total Return Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the inverse monthly performan
UNITED STATES
US
CH
UBS Securities LLC
Asset Backed Securities
1-415-670-2000
www.ishares.com
iShares GNMA Bond ETF is an exchange-trading fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. GNMA Bond Index.
UNITED STATES
US
US
State Street Bank and Trust Co
iShares GNMA Bond ETF
US
SEI Investments Distribution Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
12/09
JOHN A TUCKER
7/16/08
WisdomTree Asset Management Inc Invesco PowerShares Capital Management LLC
WisdomTree Asset Management Inc Invesco PowerShares United States Capital Management LLC
BlackRock BlackRock Fund Fund Advisors Advisors SSgA Funds Management Inc
SSgA Funds United States Management Inc
Barclays Capital Inc
Barclays Capital Inc
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Brown Brothers Harriman & Co
First Trust Advisors LP
First Trust Advisors LP
JOHN A TUCKER
7/16/08
Barclays Capital Inc
First Trust Advisors LP
CHRISTINE D 2013 FRANQUIN
Boston
Vanguard Vanguard Group Group Inc/The Inc/The
BlackRock BlackRock Fund Fund Advisors Advisors
ANDREW MAACK
State Street Bank SSGA Funds STEVE and Trust Co Management HLAVIN
Brown Brothers Harriman & Co
Wheaton
2013
Vanguard Vanguard Group Group Inc/The Inc/The
4/01/10
SSGA Funds SSGA Funds Management Management
United States
Boston
BlackRock BlackRock Fund Fund Advisors Advisors
ProShare TODD Advisors LLC JOHNSON
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
Pricewaterhou State Street Bank BlackRock seCoopers JAY MAURO and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Company Telephone Number
International Equity 1-855-353-9383
Company's Web Security's Name Address
FlexShares www.flexshares.c International om Quali
Fund's Description
Country
FlexShares International Quality Dividend Defensive Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Northern Trust International Quality Dividend Defensive Index.
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
United States
Northern Trust JPMorgan Chase Investments Bank NA Inc
Northern Trust Northern Trust Investments Investments Inc Inc Vanguard Vanguard Group Group Inc/The Inc/The
1-866-499-8473
www.vanguard.co Vanguard Russell Vanguard Russell 2000 Value is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance m 2000 Value of the Russell 2000 Value Index.
UNITED STATES
US
US
Vanguard Group Inc/The
Precious Metals
1-888-800-4347
EGShares www.egshares.co Emerging m Markets Meta
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Undefined Equity
1-240-497-6400
www.proshares.c ProShares Short ProShares Short Basic Materials is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES om Basic Material that correspond to the inverse (opposite) of the daily performance of The Dow Jones US Basic Materials Index.
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Currency
1-240-497-6400
www.proshares.c ProShares Short ProShares Short Euro is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before om Euro ETF fees and expenses, that correspond to the inverse (-1x) of the daily performance of the US Dollar price of the Euro.
UNITED STATES
US
JPMorgan Chase Bank NA
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
Market NeutralEquity
617-292-9801
www.quantshares.com
QuantShares US Market Neutral Anti-Beta Fund is an exchange-traded fund incorporated in the USA. The Fund will seek daily QuantShares US investment results that closely correspond to the Dow Jones US Thematic Market Neutral Anti-Beta Total Return Index. The UNITED STATES Market Neutral Index holds
US
JPMorgan Chase Bank NA
Pricewaterhou JPMorgan Chase seCoopers FFCM LLC Bank NA LLP
Balanced
1-212-644-6622
www.globalxfund Global X s.com Permanent ETF
US
Global X Management Co LLC/ETF
Ernst & Young Brown Brothers LLP Harriman & Co
UNITED STATES
Manager's Country
Deloitte & Touche LLP
Value-Small Cap
Global X Permanent ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Solactive Permanent Index.
Fund's Management Company
JPMorgan Chase Bank NA
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
EGShares Emerging Markets Metals & Mining ETF is an exchange traded fund incorpo rated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Emerging Markets
Fund's Manager Start Date
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Global X Management Co LLC/ETF
Manager's City Name
Chicago
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
KISHORE KARUNAKAR 9/09/11 AN
FFCM LLC
FFCM LLC
United States
Boston
BRUNO DEL AMA
Global X Management Co LLC/ETF
Global X Management Co LLC/ETF
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
1-800-983-0903
PowerShares www.powershare Dynamic s.com Technology
PowerShares Dynamic Technology Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Technology Sector Intellidex Index, which is based on UNITED STATES a variety of
US
BM
Bank of New York Mellon/The
Currency
1-877-369-4617
PowerShares DB 3x Long US Dollar Index Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Note is designed to replicate being long the US Dollar against the following currencies: Euro, Japanese Yen, British UNITED STATES m 3x Long US Doll Pound, Canadian D
US
DE
Deutsche Bank AG
Deutsche Bank AG
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Commodity
1-877-583-5624
VelocityShares Daily 3x Long Crude ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.velocityshar VelocityShares 3x cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, S&P GSCI速 UNITED STATES es.com Long Crude E Crude Oil I
US
CH
Credit Suisse Securities LLC
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
United States
Darien
Commodity
1-802-257-1617
www.teucriumsoy Teucrium bfund.com Soybean Fund
Teucrium Soybean Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to have the daily changes in percentage terms of the Shares' NAV reflect the daily changes in percentage terms of a weighted average UNITED STATES of the c
US
US
Foreside Fund Services LLC
Teucrium Trading LLC
Balanced
1-855-329-3837
www.DBXUS.co db X-trackers db X-trackers 2040 Target Date Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES m 2040 Target Date that correspond to the price and yield of the Zacks 2040 Lifecycle Index.
US
DE
Bank of New York Mellon
Ernst & Young
Various Assets
1-240-497-6400
www.proshares.c ProShares Hedge ProShares Hedge Replication is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment om Replication ET results, before fees and expenses, that track the performance of the Merrill Lynch Factor Model - Exchange Series Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Government/Corpo 1-855-353-9383 rate
FlexShares www.flexshares.c Ready Access om Variab
FlexShares Ready Access Variable Income Fund is an exchange-traded fund incorporated in the USA. The Fund invests in global, liquid investment grade debt securities, including public and private sector securities.
UNITED STATES
US
US
JPMorgan Chase Bank NA
Undefined Equity
1-888-934-0777
IQ Global www.indexiq.com Agribusiness Small C
IQ Global Agribusiness Small Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the IQ Agribusiness Small Cap Index.
UNITED STATES
US
US
Bank of New York Mellon/The
Ernst & Young
Environmentally Friendly
1-800-983-0903
PowerShares Cleantech Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that www.powershare PowerShares correspond to the price and yield of the Cleantech Index, which is comprised of 75 public companies engaged in the Cleantech UNITED STATES s.com Cleantech Portfoli industr
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Growth&IncomeLarge Cap
1-877-843-3831
AdvisorShares STAR Global Buy-Write ETF is an exchange-traded fund incorporated in the USA. The Fund simultaneously www.advisorshar AdvisorShares writes (sells) a call option against each position in order to seek cumulative price appreciation from the portfolio's global es.com STAR Global Buyexposure, whi
UNITED STATES
US
US
Commodity
1-877-ETRACS5
ETRACS Alerian Natural Gas MLP Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors www.ubs.com/e- ETRACS Alerian with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the UNITED STATES tracs Natural Gas MLP Alerian Natural
US
CH
Derivative-Asset Alloc
1-212-786-7481
FactorShares 2X: Gold Bull/S&P500 Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is to track www.factorshares FactorShares 2X: approximately +200% of the daily return of the S&P Gold - Equity Spread Total Return Index by primarily establishing a UNITED STATES .com Gold Bull/S&P leveraged lo
US
State Street Bank and Trust Co
Closed-end Funds 1-800-920-0259
www.unitedstates United States United States Diesel-Heating Oil Fund LP is an exchange traded fund incorporated in the USA. The Fund's objective is to have dieselheatingoilfu UNITED STATES Diesel-Heating O changes in percentage terms of its unit's net asset value reflect changes of the price of heating oil delivered at the New York ha nd.com
US
Brown Brothers Harriman & Co
EisnerAmper LLP
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2025 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2025 Index. The ETF invests approximately 76% of its ass
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Undefined Equity
ETRACS Fisher-Gartman Risk Off ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e- ETRACS Fisher1-877-ETRACS5 cash payment at the scheduled maturity or upon early redemption based on the daily short (inverse) performance of the tracs Gartman Risk Off underlying index,
UNITED STATES
US
CH
UBS Securities LLC
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Sector FundTechnology
Precious Metals
1-212-644-6622
iShares Target Date 2025 ETF
www.globalxfund Global X Pure Global X Pure Gold Miners ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES s.com Gold Miners ETF of the Solactive Global Pure Gold Miners Index. Direxion Daily 7-10 Year Treasury Bull 3X is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results of 300% of the performance of the NYSE Current 10-Year U.S. Treasury Index. The Fund invests in Financial Instruments tha
US
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
6/25/12
SAL GILBERTIE
Bank of New York DBX Strategic GLENN Mellon Advisors LLC DAVIS
12/09
9/19/11
Teucrium Trading LLC
Teucrium Trading LLC
08/09
DBX Strategic DBX Strategic Advisors LLC Advisors LLC
United States
New York
7/11/11
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Invesco PowerShares United States Capital Management LLC
Wheaton
Northern Trust JPMorgan Chase Investments Bank NA Inc
Northern Trust Northern Trust Investments Investments Inc Inc
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
IndexIQ IndexIQ Advisors Advisors LLC LLC
12/09
Bank of New York AdvisorShares Mellon Trust
AdvisorShares AdvisorShares Trust Trust
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
United States
Stamford
Global X Management Co LLC
Global X Management Co LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Factor Capital State Street Bank STUART Management 2/24/11 and Trust Co ROSENTHAL LLC Brown Brothers Harriman & Co
Invesco PowerShares Capital Management LLC
United States Commodities JOHN LOVE Fund
BRUNO DEL AMA
Factor Capital Factor Capital Management Management LLC LLC
Global X Management Co LLC
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
UltraShort Russell2000 Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 2000 Growth UNITED STATES Index.
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Govt/Agency-Inter 1-877-437-9363 Term
www.direxionshar Direxion Daily 7es.com 10 Year Treas
International Equity 1-415-670-2000
iShares iShares Developed Small-Cap ex North America ETF is an exchange-traded fund incorporated in the USA. The ETF seeks www.ishares.com Developed Smallinvestment results that correspond to the FTSE Developed Small Cap ex-North America Index. Cap ex
Closed-end Funds 1-240-497-6400
ProShares www.proshares.c UltraShort om Russell20
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
4/15/09
Company Telephone Number
Balanced
1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
iShares Target Date 2020 ETF
Fund's Description
Country
iShares Target Date 2020 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2020 Index. The ETF invests approximately 69% of its asse
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
United States
Manager's City Name
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
PowerShares Bank of New York Ernst & Young Capital Mellon Management
PowerShares PowerShares Capital Capital United States Management Management LLC LLC
Rockville
Deutsche Bank AG
United States
New York
San Francisco
International Equity 1-800-983-0903
BLDRS www.powershare Developed s.com Markets 100 AD
PowerShares BLDRS Developed Markets 100 ADR Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond to the price and yield performance of The Bank of New York Developed Markets 100 ADR Index, UNITED STATES which is a capita
US
BM
Bank of New York Mellon
Government/Agenc 1-877-369-4617 y
PowerShares DB 3x Italian Treasury Bond Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on triple the UNITED STATES m 3x Italian Trea performance of it
US
DE
Deutsche Bank AG
Emerging MarketEquity
1-888-800-4347
EGShares www.egshares.co Emerging m Markets Core
EGShares Emerging Markets Core ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond, before fees and expenses, to the price and yield performance of the S&P Emerging Markets Core Index UNITED STATES .
US
US
Bank of New York Mellon/The
BBD LLP
Emerging HABIB Bank of New York Global MOUDACHIR 10/16/12 Mellon/The Advisors LLC OU
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
Precious Metals
1-630-765-8000
www.ftportfolios.c First Trust ISE om Global Platinu
First Trust ISE Global Platinum Index Fund is an exchange-traded fund incorpated in the USA. The Fund seeks investment results that correspond to the price and yield of the ISE Global Platinum Index.
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
First Trust Advisors LP
United States
Lisle
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
iShares Europe Developed Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the FTSE EPRA/NAREIT Europe Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Growth & Income
1-855-RBS-ETPS
RBS NASDAQ usmarkets.rbs.co 100 Trendpilot m/etnUS Exch
RBS Nasdaq-100 Trendpilot ETN is an exchange-traded note issued in the USA. The ETN utilizes a systematic trend-following strategy to provide exposure to either the Nasdaq-100 Total Return Index or the yield on a hypothetical notional investment in 3- UNITED STATES mont
US
GB
Royal Bank Of Scotland
Royal Bank of Royal Bank of Scotland Scotland Group Group PLC PLC
United States
Stamford
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
VINEER BHANSALI
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
FRANCIS RODILOSSO 04/12 "FRAN"
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
DBX Strategic DBX Strategic Advisors LLC Advisors LLC
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Rydex Investments
Rydex Investments
United States
Rockville
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
Financial Services 1-415-670-2000
Balanced
1-415-670-2000
iShares Europe Developed Real
iShares MSCI www.ishares.com ACWI ex US Financ
www.ishares.com
iShares Target Date 2040 ETF
iShares MSCI ACWI ex U.S. Financials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that UNITED STATES correspond generally to the price and yield performance of the MSCI ACWI EX-US Financials Index. iShares Target Date 2040 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2040 Index. The ETF invests approximately 91% of its ass
US
US
Deutsche Bank AG
LUKE OLIVER
Royal Bank of Scotland Group P
UNITED STATES
US
US
State Street Bank and Trust Co
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Govt/Agency-Inter 1-888-400-4383 Term
PIMCO 3-7 Year US Treasury Index Exchange-Traded Fund is an exchanged-traded fund incorporated in the USA. The www.pimcoetfs.c PIMCO 3-7 Year Fund's objective is provide total return that closely corresponds to the total return of the Merrill Lynch 3-7 Year US Treasury om U.S. Treasury I Index.
Corp/Pref-High Yield
1-212-293-2000
www.vaneck.com
Market Vectors Fallen Angel High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of The BofA Merrill Lynch US Fallen UNITED STATES Angel Hi
US
US
Van Eck Associates Corp
Ernst & Young
Van Eck Bank of New York Associates Mellon/The Corp
Balanced
1-855-329-3837
www.DBXUS.co db X-trackers db X-trackers 2020 Target Date Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES m 2020 Target Date that correspond to the price and yield of the Zacks 2020 Lifecycle Index.
US
DE
Bank of New York Mellon
Ernst & Young
Bank of New York DBX Strategic GLENN Mellon Advisors LLC DAVIS
Growth&IncomeSmall Cap
1-240-497-6400
www.proshares.c ProShares Ultra om SmallCap600
Ultra S&P SmallCap600 ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the performance of the S&P SmallCap 600 Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Currency
1-301-296-5100
www.rydexfunds. CurrencyShares CurrencyShares Swedish Krona Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect com/etf Swedish Krona T the price in USD of the Swedish Krona.
UNITED STATES
US
US
Emerging MarketEquity
1-630-765-8000
www.ftportfolios.c First Trust BICK om Index Fund
UNITED STATES
US
US
Market Vectors Fallen Angel Hi
Growth & Income
1-877-437-9363
www.direxionshar Direxion Daily es.com Brazil Bear 3X
Sector FundEnergy
1-212-293-2000
www.vaneck.com
Market Vectors Solar Energy ET
First Trust BICK Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the ISE BICK Index.
3/23/11
Rydex Investments
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
MICHAEL P BYRUM
08/09
6/20/06
Bank of New York First Trust Mellon Corp/The Advisors LP
Deutsche Bank AG
First Trust Advisors LP
Direxion Daily Brazil 3x Bear Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, of the inverse of 300% (-3x) of the performance of the MSCI Brazil 25-50 Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Market Vectors Solar Energy ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the price and yield performance of the Market Vectors Global Solar Energy Index.
UNITED STATES
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Barclays Capital Inc
Barclays Capital Inc
United States
New York
United States
San Francisco
HAO-HUNG LIAO "PETER"
4/22/08
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Commodity
1-212-528-7990
www.ipathetn.co iPath Global m Carbon ETN
iPath Global Carbon ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital Global UNITED STATES Carbon I
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Govt/Corp Short Term
1-415-670-2000
iSharesBond www.ishares.com 2016 Corporate ex-
iSharesBond 2016 Corporate ex-Financials Term ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond to the price and yield performance of the Barclays 2016 Maturity High Quality Corporate Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Country FundBrazil
1-630-765-8000
www.ftportfolios.c First Trust Brazil First Trust Brazil AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that UNITED STATES om AlphaDEX Fu correspond to the Defined Brazil Index.
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
First Trust Advisors LP
Geo Focus-Equity 1-415-670-2000
iShares MSCI The iShares MSCI Hong Kong Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track www.ishares.com Hong Kong Smallthe performance results of the MSCI Hong Kong Small Cap Index. C
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Financial Services 1-800-983-0903
PowerShares www.powershare KBW Insurance s.com Port
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
Invesco PowerShares Capital Management LLC
Wheaton
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
SPDR S&P International Energy
PowerShares KBW Insurance Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the KBW Insurance Index (the "Underlying Index"). The
SPDR S&P International Energy Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI Energy UNITED STATES Sector Ind
Sector FundEnergy
1-866-787-2257
www.spdrs.com
Commodity
1-212-528-7990
iPath Dow Jones-UBS Energy Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Energy Sub underlying index, the Do
US
US
State Street Bank and Trust Co
UNITED STATES
US
GB
Barclays Capital Inc
Brown Brothers Harriman & Co
First Trust Advisors LP
JOHN A TUCKER
Investors Bank & Barclays Trust Co/Boston Capital Inc MA
Government/Corpo 1-877-437-9363 rate
www.direxionshar Direxion Daily es.com Total Bond Mark
Direxion Daily Total Bond Market Bear 1x Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to the inverse (opposite) of the daily performance of the BarCap UNITED STATES US Agg
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Emerging MarketEquity
EGShares www.egshares.co Beyond BRICs m ETF
EGShares Beyond BRICs ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES of the INDXX Beyond BRICs Index.
US
US
Bank of New York Mellon/The
BBD LLP
1-888-800-4347
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
7/16/08
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
3/23/11
First Trust Advisors LP
Emerging Emerging Global Global Advisors LLC Advisors LLC
Company Telephone Number
Growth-Small Cap 1-415-670-2000
Company's Web Security's Name Address
iShares www.ishares.com Morningstar Small-Cap
Country
iShares Morningstar Small-Cap Growth ETF is an exchange-traded fund incorporate in the USA. The ETF seeks investment results that correspond to the price and yield performance of the Morningstar Small Growth Index. The Index measures the performance of c
Country FundChina
1-415-670-2000
www.ishares.com
Country FundMexico
1-240-497-6400
ProShares Ultra MSCI Mexico Capped IMI is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.proshares.c ProShares Ultra investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the MSCI Mexico IMI om MSCI Mexico Ca 25/50 Index.
Market NeutralEquity
617-292-9801
www.quantshares.com
www.vaneck.com
Region Fund-Latin 1-212-293-2000 Amer
iShares FTSE China ETF
Fund's Description
iShares FTSE China ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the price and yield performance of the FTSE China (HK Listed) Index.
UNITED STATES
US
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Manager Start Date
Fund's Management Company
Manager's Country
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
QuantShares U.S. Market Neutra
QuantShares US Market Neutral Value Fund is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that closely correspond to the Dow Jones US Thematic Market Neutral Value Total Return Index. The Index UNITED STATES tracks the spr
US
JPMorgan Chase Bank NA
Pricewaterhou JPMorgan Chase seCoopers FFCM LLC Bank NA LLP
KISHORE KARUNAKAR 9/09/11 AN
FFCM LLC
FFCM LLC
United States
Boston
Market Vectors Latin America S
Market Vectors Latin America Small-Cap Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield return of the Market Vectors Latin America Small-Cap Index.
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
VINEER BHANSALI
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
Balanced
1-415-670-2000
www.ishares.com
1-415-670-2000
iShares www.ishares.com Industrial/Office Real
1-888-400-4383
PIMCO Foreign Currency Strategy ETF is an actively managed ETF incorporated in the USA. The Fund is an actively www.pimcoetfs.c PIMCO Foreign managed portfolio providing exposure to foreign currencies and is likely to benefit if the U.S. dollar depreciates. The Fund om Currency Strateg invests under nor
iShares Target Date 2015 ETF
iShares S&P Target Date 2015 Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2015 Index. The Fund invests approximately 61 iShares Industrial/Office Real Estate Capped ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the FTSE NAREIT Industrial/Office Capped Index.
UNITED STATES
UNITED STATES
US
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
United States
Newport Beach
United States
San Francisco
US
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
SCOTT A MATHER
9/10/09
02/13
Financial Services 1-415-670-2000
www.ishares.com
iShares MSCI Far iShares MSCI Far East Financials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that East Financia correspond generally to the price and yield performance of the MSCI Far East Financial Sector Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Global Equity
1-415-670-2000
www.ishares.com
iShares MSCI World ETF
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Commodity
1-877-ETRACS5
ETRACS DJETRACS DJ-UBS Commodity Index Total Return ETN is an exchange-traded note issued in the USA. The notes will provide www.ubs.com/eUBS Commodity investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES tracs Index DJ-UBS Commod
US
CH
UBS Securities LLC
Govt/Corp High Yield
Growth & Income
1-800-983-0903
1-800-983-0903
PowerShares www.powershare Global Short s.com Term PowerShares www.powershare Dynamic s.com MagniQuant
iShares MSCI World ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance results of the MSCI World Index.
Powershares Global Short Term High Yield Bond Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond, before fees and expenses, to the price and yield of the DB Global Short Maturity High
US
US
BM
BM
Bank of New York Mellon/The
UBS Securities LLC
UBS UBS Securities Securities LLC LLC Invesco PowerShares Capital Management LLC Invesco
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon/The LLP Capital Ma
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Vanguard Group Inc/The
iShares Emerging Markets Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF will operate a a iShares Emerging 40 Act US RIC and hold investment grade and high yield USD-denominated fixed income securities of corporations domiciled UNITED STATES Markets Corpo in emerging m
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
www.ishares.com
Govt/Corp High Yield
1-240-497-6400
www.proshares.c ProShares High om Yield-Interest
Various Assets
1-212-538-7333
www.creditsuisse.com/etn
ProShares High Yield-Interest Rate Hedged ETF is an exchange-traded fund incorporated in the USA. The Fund seeks UNITED STATES investment results, before fees and expenses, that track the performance of the Citi High Yield (Treasury Rate-Hedged) Index.
US
The Credit Suisse Merger Arbitrage Index ETN is an exchange-traded note issued in the USA. The ETN is designed to provide Credit Suisse investors with exposure to a merger arbitrage strategy as represented by long and short positions in announced deals within UNITED STATES Merger Arbitrage North Am
US
www.wisdomtree. WisdomTree com Euro Debt Fund
WisdomTree Euro Debt Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks a high level of total returns consisting of both income and capital appreciation. The Fund attempts to achieve its investment objective UNITED STATES in debt
US
CH
US
Credit Suisse Securities USA LLC
Bank of New York Mellon Corp/The
WisdomTree Bank of New York Asset Ernst & Young Mellon Corp/The Management In
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
KAREN Q. WONG
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
JOHN A TUCKER
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
First Trust Advisors LP
First Trust Advisors LP
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
US
US
WisdomTree Asset Management Inc
SPDR Russell 3000 ETF is an exchange-traded fund incorporated in the USA. The Fund's objective seeks to replicate as closely as possible, before expenses, the total return performance of the Russell 3000 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
www.ftportfolios.c First Trust South First Trust South Korea AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment om Korea AlphaD results that correspond to the Defined South Korea Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
1-212-528-7990
The iPath Seasonal Natural Gas ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a www.ipathetn.co iPath Seasonal cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays m Natural Gas ETN Capital Natu
UNITED STATES
US
GB
Barclays Capital Inc
1-630-765-8000
First Trust CBOE S&P 500 VIX Tail Hedge Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.ftportfolios.c First Trust CBOE investment results that correspond generally to the price and yield, before the Fund's fees and expenses, of an equity index om S&P 500 VIX T called the CBOE VI
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Growth & Income
1-866-787-2257
www.spdrs.com
Country FundKorea
1-630-765-8000
Commodity
Undefined Equity
SPDR Russell 3000 ETF
Geo Focus-Debt
1-888-400-4383
www.pimcoetfs.c PIMCO Australia PIMCO Australia Bond Index Exchange-Traded Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to UNITED STATES om Bond Index Exc track the performance of the BofA Merrill Lynch Diversified Australia Bond Index.
Blue Chip
1-888-934-0777
www.indexiq.com
IQ Hedge Market IQ Hedge Market Neutral Tracker ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track, before Neutral Tracke fees and expenses, the performance of the IQ Hedge Market Neutral Index.
UNITED STATES
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
US
US
Bank of New York Mellon/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Ernst & Young
Credit Suisse Credit Suisse AG AG
ZANDRA ZELAYA
WisdomTree Total Earnings Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield information of the WisdomTree Earnings Index, which tracks earnings-generating companies within the broad U.S. stock UNITED STATES market.
WisdomTree www.wisdomtree. Total Earnings com Fund
5/15/13
Credit Suisse AG
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
Closed-end Funds 1-212-896-1249
Wheaton
Vanguard Vanguard Group Group Inc/The Inc/The
US
1-415-670-2000
Wheaton
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
US
Global Debt
Stamford
Bank of New York Mellon/The
UNITED STATES
www.vanguard.co Vanguard Russell Vanguard Russell 3000 is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the m 3000 Russell 3000 Index.
United States
Invesco PowerShares United States Capital Management LLC
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Pricewaterhou Bank of New York Vanguard seCoopers Mellon Group Inc/The LLP
1-866-499-8473
1-212-896-1249
UNITED STATES
PowerShares Dynamic MagniQuant Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the Dynamic MagniQuant Intellidex Index, which picks stocks using UNITED STATES numerous f
Growth&IncomeLarge Cap
Geo Focus-Debt
Manager's City Name
UNITED STATES
UNITED STATES
US
Fund's Auditor
US
www.pimcoetfs.c PIMCO 7-15 Year Pimco 7-15 Year U.S. Treasury Index Exchange-Traded Fund is an exchange-traded fund incorporated in the USA. The Fund's UNITED STATES om U.S. Treasury objective is to provide total return that closely corresponds to the total return of the Merrill Lynch 7-15 Year US Treasury Index.
Currency
US
Fund's Administrator
UNITED STATES
Government/Agenc 1-888-400-4383 y
Sector Fund-Real Estate
Ultimate Country of Country of Incorporation Incorporation of Parent Company
JOHN W GAMBLA
ROBERT MEAD
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
10/10/00
8/26/12
United States
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Lisle
Newport Beach
Rye
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Country FundChina
1-630-765-8000
www.ftportfolios.c First Trust China First Trust China AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results om AlphaDEX Fun that correspond to the Defined China Index.
Region FundEuropean
1-240-497-6400
Undefined Equity
1-240-497-6400
Growth&IncomeLarge Cap
Undefined Equity
Commodity
1-800-983-0903
1-800-983-0903
1-212-528-7990
International Equity 1-800-983-0903
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Bethesda
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC Invesco
PowerShares Dynamic Consumer Staples Sector Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Consumer Staples Sector Index, which evaluates companies base
UNITED STATES
iPath Dow Jones-UBS Platinum Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES m UBS Platinum S underlying index, th PowerShares S&P International Developed High Quality Portfolio is an exchange-traded fund incorporated in the USA. The www.powershare PowerShares Fund seeks investment results that correspond to the price and yield of the S&P International Developed High Quality Ranking UNITED STATES s.com S&P International Index, whic
US
US
US
BM
BM
GB
BM
Bank of New York Mellon/The
First Trust Advisors LP
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Bank of New York Mellon/The
www.advisorshar Accuvest Global es.com Opportunities
Accuvest Global Opportunities ETF is an exchange-traded fund incorporated in the USA. The Fund is a fund of funds that invests primarily in ETFs using a proprietary country ranking model.
UNITED STATES
US
US
Bank of New York Mellon
Geo Focus-Debt
1-888-400-4383
PIMCO Canada www.pimcoetfs.c Bond Index om Exchan
PIMCO Canada Bond Index Exchange-Traded Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the BofAMerrill Lynch Diversified Canada Government Bond Index.
UNITED STATES
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Sector FundEnergy
1-800-983-0903
PowerShares www.powershare WilderHill s.com Progres
PowerShares WilderHill Progressive Energy Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the WilderHill Progressive Energy Index, which is composed of com
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Corp/Pref-Inv Grade
1-240-497-6400
ProShares Short Investment Grade Corporate is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.proshares.c ProShares Short investment results that correspond to the inverse (opposite) of the daily performance of the Markit iBoxx $ Liquid Investment om Investment Gra Grade Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Commodity
1-877-369-4617
PowerShares DB Base Metals Double Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Base Metals Dou inverse (opposite) pe
UNITED STATES
US
DE
Deutsche Bank AG
Growth&IncomeLarge Cap
1-415-670-2000
www.ishares.com
UNITED STATES
US
US
State Street Bank and Trust Co
Undefined Equity
Corp/Pref-High Yield
Country FundChina
1-800-983-0903
1-240-497-6400
PowerShares www.powershare S&P SmallCap s.com Mater www.proshares.c ProShares Ultra om High Yield
PowerShares S&P SmallCap Materials Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P UNITED STATES SmallCa ProShares Ultra High Yield is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the iBoxx $ Liquid High Yield Index.
BM
US
Deutsche Bank AG
Wheaton
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Advisorshares Advisorshares Investments Investments LLC LLC
EDWARD J DEVLIN "ED"
12/09
Pacific Investment Management Co LLC Invesco PowerShares Capital Management LLC
Pacific Investment Management Co LLC Invesco PowerShares United States Capital Management LLC
MARTIN KREMENSTE IN
Deutsche Bank AG
Deutsche Bank AG
12/09
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
4/13/11
ProShare ProShare Advisors LLC Advisors LLC
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
PowerShares DB 3x Long 25+ Year Treasury Bond ETN is an exchange traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Notes will provide the investors with a cash payment at the scheduled maturity or early redemption, based on triple the UNITED STATES m 3X Long 25+ Tre performance of
US
DE
Deutsche Bank AG
Deutsche Bank AG
Undefined Equity
1-877-ETRACS5
ETRACS Fisher-Gartman Risk On ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e- ETRACS Fishercash payment at the scheduled maturity or upon early redemption based on the performance of the underlying index, The tracs Gartman Risk On Fisher-Gartman Ris
UNITED STATES
US
CH
UBS Securities LLC
UBS Securities LLC
Commodity
1-877-369-4617
PowerShares DB Commodity Double Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Commodity Doubl performance of its under
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Growth & Income
1-866-787-2257
www.spdrs.com
UNITED STATES
US
US
State Street Corp
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
Global Debt
1-877-843-3831
www.advisorshar Madrona Global es.com Bond ETF
Madrona Forward Global Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve the Fund's investment objective by selecting a portfolio of fixed income (bond) exchange-traded funds (the "Underlying ETFs") and UNITED STATES other exchange-
US
US
Bank of New York Mellon
Tait Weller & Baker LLP
Currency
1-240-497-6400
www.proshares.c ProShares Ultra om Yen
ProShares Ultra Yen is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the daily performance, whether positive or negative, of its corresponding benchmark. The Fund tracks a mult
US
Sector FundEnergy
1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Energ
PowerShares S&P SmallCap Energy Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P SmallCap 6
UNITED STATES
US
BM
Commodity
1-212-918-4954
www.etfsecurities ETFS White .com/us/welcome Metals Basket .asp Trust
ETFS White Metals Basket Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the performance of the prices of silver, platinum, and palladium bullion, less the expenses of the Trust's operations. The shares are UNITED STATES d
US
JE
Growth&IncomeLarge Cap
1-415-670-2000
iShares www.ishares.com Enhanced U.S. Large-Ca
iShares Enhanced U.S. Large-Cap ETF is an exchange-traded fund incorporated in the USA. The iShares Enhanced U.S. Large-Cap ETF (the "Fund") seeks long-term capital appreciation.
UNITED STATES
US
US
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2035 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2035 Index. The Fund invests approximately 87% of its as
UNITED STATES
US
US
SEI Investments Distribution Co
Bank of New York Mellon/The
State Street Bank and Trust Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
BBD LLP
LUKE OLIVER
6/15/10
MARTIN KREMENSTE IN MICHAEL FEEHILY
Wheaton
ProShare ProShare Advisors LLC Advisors LLC
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Government/Agenc 1-877-369-4617 y-LT
iShares Target Date 2035 ETF
Wheaton
Invesco PowerShares PowerShares Capital United States Capital Management Management LLC LLC
Bank of New York Mellon/The
Bank of New York Mellon/The
UNITED STATES
Bethesda
Invesco PowerShares Capital Management LLC
US
The SPDR S&P Global Dividend ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that before fees and expenses, correspond generally to the price and yield performance of the S&P Global Dividend Aristocrats
United States
Invesco PowerShares United States Capital Management LLC
BlackRock BlackRock Fund Fund Advisors Advisors
US
SPDR S&P Global Dividend ETF
First Trust Advisors LP
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
1-888-800-4347
www.egshares.co EGShares China EGShares China Infrastructure Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment m Infrastructure results that correspond to the price and yield performance of the INDXX China Infrastructure Index.
UNITED STATES
US
Tait Weller & Baker LLP
Advisorshares Bank of New York BRAD Investments Mellon JENSEN LLC
1-877-843-3831
iShares NYSE 100 ETF is an exchange-traded fund incorporated in the USA. The ETF will seek investment results that correspond generally to the price and yield performance of the NYSE US 100 Index. The ETF will appeal to investors seeking blue-chip exposur
12/09
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Global Equity
iShares NYSE 100 ETF
Manager's City Name
United States
US
First Trust Advisors LP
Manager's Country
ProShare ProShare Advisors LLC Advisors LLC
Ultra Industrials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Industrials Index.
PowerShares www.powershare Dynamic s.com Consumer S
Fund's Management Company
Fund's Manager Start Date
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
www.proshares.c ProShares Ultra om Industrials
UNITED STATES
Fund's Manager
JPMorgan Investor Services Co
ProShares Ultra Europe is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before UNITED STATES fees and expenses, that correspond to twice (200%) the daily performance of the FTSE Developed Europe Index.
US
Brown Brothers Harriman & Co
Fund's Investment Advisor
US
www.proshares.c ProShares Ultra om Europe
PowerShares Fundamental Pure Large Core Portfolio is an open-end fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the RAFI Fundamental Large Core Index.
Fund's Custodian
Deloitte & Touche LLP
US
PowerShares www.powershare Fundamental s.com Pure L
Fund's Auditor
Brown Brothers Harriman & Co
UNITED STATES
UNITED STATES
Fund's Administrator
05/13
New York
United States
San Francisco
Invesco PowerShares United States Capital Management LLC
Wheaton
United States
Bethesda
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
Deutsche Bank AG
Deutsche Bank AG
United States
New York
UBS UBS Securities Securities LLC LLC
United States
Stamford
Deutsche Bank AG
Deutsche Bank AG
United States
New York
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Advisorshares Bank of New York Investments Mellon LLC
Advisorshares Advisorshares Investments Investments LLC LLC
Brown Brothers Harriman & Co
ProShare ProShare Advisors LLC Advisors LLC
ProShare TODD Advisors LLC JOHNSON
United States
Boston
United States
Bethesda
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
ETF Securities USA LLC
ETF Securities USA LLC
ETF Securities USA LLC
iShares/USA
iShares/USA
iShares/USA
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
12/09
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
1-802-257-1617
Teucrium Natural Gas Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to www.teucriumna Teucrium Natural have the daily changes in percentage terms of the Fund's NAV per Share reflect the daily changes in percentage terms of a gsfund.com Gas Fund weighted ave
Govt/Corp Intermediate
1-415-670-2000
iSharesBond www.ishares.com 2023 Corporate ex-
iSharesBond 2023 Corporate ex-Financials Term ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond to the price and yield performance of the Barclays 2023 Maturity High Quality Corporate Index.
UNITED STATES
US
US
Govt/Corp Intermediate
1-415-670-2000
iSharesBond www.ishares.com 2020 Corporate ex-
iSharesBond 2020 Corporate ex-Financials Term ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond to the price and yield performance of the Barclays 2020 Maturity High Quality Corporate Index.
UNITED STATES
US
US
Commodity
UNITED STATES
US
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Teucrium Trading LLC
US
Fund's Manager
SAL GILBERTIE
United States
San Francisco
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Invesco PowerShares Capital Management LLC
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Region Fund-Latin 1-415-670-2000 Amer
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Latin America ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets Latin
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Closed-end Funds 1-877-437-9363
www.direxionshar Direxion Daily es.com Basic Materials
Direxion Daily Basic Materials Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily UNITED STATES investment results of 300% of the performance of the Basic Industries Select Sector Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Undefined Equity
www.guggenhei mfunds.com
Guggenheim S&P 500 Equal Weigh
Guggenheim S&P Equal Weight Materials ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to UNITED STATES replicate as closely as possible the performance of the S&P Equal Weight Materials Index.
US
US
State Street Bank and Trust Co
Security Security Investors United States Investors LLC LLC
Rockville
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
First Trust Advisors LP
First Trust Advisors LP
UBS UBS Securities Securities LLC LLC
United States
Stamford
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
US
Van Eck Associates Corp
First Trust NASDAQ CEA Smartphone Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the NASDAQ OMX CEA Smartphone Index. The index is designed to track the UNITED STATES performance of compani
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
ETRACS S&P ETRACS S&P 500 Gold Hedged Index ETN is exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/e500 Gold Hedged cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P 500 UNITED STATES tracs Ind Gold Hedged
US
CH
UBS Securities LLC
Government/Agenc 1-240-497-6400 y
ProShares ProShares UltraPro 10 Year TIPS/TSY Spread ETF is an exchange-traded fund incorporated in the USA. The Fund seeks www.proshares.c UltraPro 10 Year daily investment results, before fees and expenses, that correspond to three times (3x) the daily performance of the Dow Jones UNITED STATES om TIP Credit Suisse
US
Health & Biotechnology
iShares MSCI www.ishares.com ACWI ex US Health
iShares MSCI ACWI ex U.S. Healthcare ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment UNITED STATES results that correspond to the performance of the MSCI All Country World ex USA Health Care Index.
US
www.pureetfs.co PureFunds ISE m Junior Silver Sm
PureFunds ISE Junior Silver Small Cap Miners/Explorers ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of UNITED STATES the ISE
US
iShares Target Date Retirement
iShares Target Date Retirement Income ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date Retirement Income Index. The UNITED STATES ETF invests 42%
International Equity 1-877-738-8870
www.revenueshar RevenueShares esetfs.com ADR Fund
RevenueShares ADR Fund is an exchange-traded fund incorporated in the USA. The Fund's objective is to outperform the total return performance of the S&P ADR Index. The Fund invests in the constituent securities of the S&P ADR Index in the same UNITED STATES proportions
US
Growth-Small Cap 1-866-499-8473
Vanguard S&P www.vanguard.co Small-Cap 600 m Gro
Vanguard S&P Small-Cap 600 Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the UNITED STATES performance of the S&P Small-Cap 600 Growth Index.
US
Sector FundTechnology
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ CEA om Smartph
Region Fnd-Asian Pacific
1-415-670-2000
www.ishares.com
Various Assets
1-877-ETRACS5
1-415-670-2000
Closed-end Funds 1-212-786-7481
Balanced
1-415-670-2000
www.ishares.com
iShares MSCI All Country Asia Information Technology ETF is an exchange-traded fund incorporated in the USA. The ETF iShares MSCI All seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Country Asia All Country A
Undefined Equity
1-212-896-1249
WisdomTree www.wisdomtree. Commodity com Country E
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2030 ETF
US
JPMorgan Chase ProShare HOWARD S Bank Advisors LLC RUBIN Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Factor Advisors LLC
WithumSmith US Bank NA +Brown
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
US
Bank of New York Mellon/The
BBD LLP
VTL Bank of New York Associates Mellon/The LLC
US
Vanguard Group Inc/The
Factor WILL Advisors LLC MARTIN
2/07/12
11/29/12
Factor Factor Advisors Advisors LLC LLC
Madison
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
United States
Philadelphia
VINCENT THOMAS LOWRY "VINCE"
11/20/08
VTL Associates LLC
Pricewaterhou Bank of New York seCoopers Mellon LLP
ANDREW MAACK
2013
Vanguard Vanguard Group Group Inc/The Inc/The
KAREN Q. WONG
US
US
Bank of New York Mellon Corp/The
iShares Target Date 2030 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2030 Index. The ETF invests approximately 83% of its asse
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock CHRISTOPH seCoopers and Trust Co Fund Advisors ER BLISS LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Pricewaterhou Invesco JOSEPH V Bank of New York seCoopers PowerShares RODRIGUEZ Mellon/The LLP Capital Ma JR
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
New York
MICHAEL FEEHILY
02/13
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
DINO BOURDOS
6/09/11
Deutsche Bank AG
Deutsche Bank AG
United States
New York
PowerShares Active U.S. Real Estate Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is high total return through growth of capital and current income. The Fund invests in at least 80% of its assets in UNITED STATES securi
US
Country FundChina
1-212-644-6622
Global X www.globalxfund NASDAQ China s.com Technolo
The Global X NASDAQ China Technology ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the NASDAQ OMX China Techn
US
UNITED STATES
SPDR Russell 2000 Low Volatility ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide SPDR Russell investment results that, before fees and expenses, correspond generally to the price and yield performance of the Russell 2000 UNITED STATES 2000 Low Volatili Low Volatili
BM
Bank of New York Mellon/The
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
WisdomTree Asset Management Inc
VTL Associates LLC
UNITED STATES
PowerShares www.powershare Active US Real s.com Est
WisdomTree Asset United States Management Inc
United States
United States
New York
San Francisco
US
US
State Street Corp
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
UNITED STATES
US
DE
Bank of New York Mellon/The
Ernst & Young Bank of New York Deutsche LLP Mellon/The Bank AG
iShares 2013 AMT-Free Muni Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the S&P AMT-Free Municipal Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers JOEL SILVA and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
iShares MSCI Emerging Markets Materials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond generally to the price and yield performance of the MSCI Emerging Markets Materials Sector Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Invesco PowerShares Capital Management LLC
1-866-787-2257
www.spdrs.com
Country FundBrazil
1-877-369-4617
db X-trackers MSCI Brazil Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.DBXUS.co db X-trackers investment results that correspond generally to the performance, before fees and expenses, of the MSCI Brazil US Dollar m MSCI Brazil Hedg Hedged Net Index (the "
Municipal
1-415-670-2000
iShares 2013 www.ishares.com AMT-Free Muni Ter
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets PowerShares www.powershare Fundamental s.com Pure S
BlackRock BlackRock Fund Fund Advisors Advisors
WisdomTree Commodity Country Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the WisdomTree Commodity Country Equity Index.
1-800-983-0903
Growth-Small Cap 1-800-983-0903
Bank of New York First Trust Mellon Corp/The Advisors LP
State Street Bank and Trust Co
US
3/15/11
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Sector Fund-Real Estate
Growth&IncomeSmall Cap
HAO-HUNG LIAO "PETER"
6/15/11
UBS Securities LLC
JPMorgan Investor Services Co
US
BlackRock BlackRock Fund Fund Advisors Advisors
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
US
Market Vectors Colombia ETF is an exchange-traded fund incorporated in the USA. The fund seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Colombia Index.
Wheaton
New York
UNITED STATES
Market Vectors Colombia
www.vaneck.com
12/09
Invesco PowerShares United States Capital Management LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Geo Focus-Equity 1-212-293-2000
Battleboro
BlackRock BlackRock Fund Fund Advisors Advisors
UNITED STATES
1-888-949-3837
Teucrium Trading United States LLC
Manager's City Name
State Street Bank and Trust Co
PowerShares Dynamic Semiconductors Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the Dynamic Semiconductors Intellidex Index, which evaluates companies based on a
1-800-983-0903
Teucrium Trading LLC
Manager's Country
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
Powershares www.powershare Dynamic s.com Semiconduc
Sector FundTechnology
Fund's Management Company
Fund's Manager Start Date
PowerShares Fundamental Pure Small Growth Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of the Dynamic Small Cap Growth Intellidex Index, which UNITED STATES seeks to pr
US
BM
Bank of New York Mellon/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
12/09
Invesco PowerShares United States Capital Management LLC
Wheaton
Company Telephone Number
Emerging MarketEquity
1-415-670-2000
Company's Web Security's Name Address
iShares MSCI www.ishares.com Emerging Markets
Fund's Description
Country
The iShares MSCI Emerging Markets Consumer Discretionary ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
US
Fund's Administrator
Fund's Auditor
State Street Bank and Trust Co
Fund's Custodian
Fund's Investment Advisor
State Street Bank BlackRock and Trust Co Funds/USA
Sector Fund-Utility 1-800-983-0903
PowerShares www.powershare S&P SmallCap s.com Utili
PowerShares S&P SmallCap Utilities Portfolio is an exchange traded fund incorporated in the USA. The Fund's objective is to seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the S&P SmallCa
UNITED STATES
US
BM
Bank of New York Mellon/The
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Cocoa ETN
The iPath Pure Beta Cocoa ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Cocoa Pur
US
GB
Barclays Capital Inc
Barclays Capital Inc
Country FundRussia
1-212-293-2000
www.vaneck.com
Market Vectors Market Vectors Russia Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as UNITED STATES Russia Small-Ca closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Russia Small-Cap Index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Fund's Manager
GREG SAVAGE
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
HAO-HUNG LIAO "PETER"
www.huntingtons Huntington US trategyshares.co Equity Rotation m
Huntington US Equity Rotation Strategy ETF is an exchange-traded fund incorporated in the USA. The Fund is actively managed and invests in companies in each of the ten sectors representing the S&P 1500.
UNITED STATES
US
US
Citi Fund Services Ohio Inc
Citibank NA
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Value ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets UNITED STATES Value Index.
US
US
State Street Bank and Trust Co
State Street Bank BlackRock DIANE and Trust Co Fund Advisors HSIUNG
Financial Services 1-800-983-0903
PowerShares www.powershare KBW Capital s.com Market
PowerShares KBW Capital Markets Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the KBW Capital Markets Index (the UNITED STATES "Underlying I
US
BM
Bank of New York Mellon/The
International Equity 1-877-843-3831
WCM/BNY www.advisorshar Mellon Focused es.com Growth
WCM / BNY Mellon Focused Growth ADR ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is long-term capital appreciation above international benchmarks such as the BNY Mellon Classic ADR Index UNITED STATES and the MSCI EAFE I
Undefined Equity
Emerging MarketEquity
SPDR Morgan Stanley Technology
Sector FundTechnology
1-866-787-2257
www.spdrs.com
Undefined Equity
1-240-497-6400
ProShares www.proshares.c UltraShort om Industria
SPDR Morgan Stanley Technology ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible, before expenses, the performance of the Morgan Stanley Technology Index, an equal-weighted UNITED STATES index. The Fund
US
UltraShort Industrials ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results UNITED STATES that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones Industrials Index.
US
Municipal
1-800-774-3768 Tel
Columbia www.columbiama Intermediate nagementetf.com Municipa
Undefined Equity
1-240-497-6400
www.proshares.c ProShares Ultra Ultra Consumer Goods ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment om Consumer Goods results that correspond to twice (200%) the daily performance of the Dow Jones U.S. Consumer Goods Index.
Undefined Equity
1-866-787-2257
www.spdrs.com
Various Assets
1-877-843-3831
www.advisorshar Meidell Tactical es.com Advantage ETF
Sector Fund-Real Estate
1-415-670-2000
www.ishares.com
SPDR S&P Aerospace & Defense E
US
Columbia Intermediate Municipal Bond Strategy Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is a high level of current income. The Fund invests at least 80% of its net assets in debt securities with interes
US
US
Invesco PowerShares United States Capital Management LLC
Wheaton
Advisorshares Advisorshares Investments United States Investments LLC LLC
Bethesda
SSgA Funds Management Inc
Boston
BlackRock BlackRock Fund Fund Advisors Advisors Invesco PowerShares Capital Management LLC
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Bank of New York Mellon Corp/The
Pricewaterhou Columbia Bank of New York seCoopers Management Mellon Corp/The LLP Investment
Columbia Management Investment Advisers LLC
Columbia Management Investment Advisers LLC
United States
San Francisco
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JOHN A TUCKER
BRIAN MCGREEVY
9/29/00
UNITED STATES
US
SPDR S&P Aerospace & Defense ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Aerospace & Defense Select Industry Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
Meidell Tactical Advantage ETF is an exchange-traded fund incorporated in the USA.
UNITED STATES
US
US
Bank of New York Mellon
Tait Weller & Baker LLP
Advisorshares Bank of New York Investments Mellon LLC
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
UBS Securities LLC
Health & Biotechnology
www.spdrs.com
UNITED STATES
US
US
State Street Bank and Trust Co
UNITED STATES
US
US
Morgan Stanley
Morgan Stanley
US
DE
Deutsche Bank AG
Deutsche Bank AG
UNITED STATES
US
US
Bank of New York Mellon/The
UNITED STATES
US
CH
Credit Suisse Securities LLC
Huntington EcoLogical Strategy ETF is an exchange-traded fund incorporated in the USA. The Fund invests at least 80% of its net assets (plus borrowings for investment purposes) in the exchange-listed equity securities of ecologically-focused UNITED STATES companies.
US
US
Citi Fund Services Ohio Inc
SPDR S&P Health Care Equipment ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Health Care Equipment Select Industry Index.
Market Vectors-Rupee/USD ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash www.marketvecto Market Vectors payment at the scheduled maturity or early redemption, based on the performance of the S&P Indian Rupee Total Return rsetns.com Rupee/USD ETN Index.
Commodity
1-877-369-4617
PowerShares DB Commodity Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity of early redemption, based on the inverse (opposite) UNITED STATES m Commodity Short performance of its und
Country FundAustralia
1-888-934-0777
www.indexiq.com
1-877-583-5624
VelocityShares 2x Platinum ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash www.velocityshar VelocityShares 2x payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P GSCI速 es.com Long Platinu Platinum Index E
IQ Australia Small Cap ETF is an exchange-trade fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield return of the IQ Australian Small Cap Index.
Bingham McCutchen LLP
Ernst & Young
SSgA Funds State Street Bank Management and Trust Co Inc
Market Vectors Treasury-Hedged High Yield Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks Market Vectors to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors U.S. UNITED STATES Treasury-Hedged Treasury-Hedge
US
US
Van Eck Associates Corp
Ernst & Young
Sector FundTechnology
1-866-787-2257
www.spdrs.com
SPDR S&P International Technol
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
WisdomTree Asset Management Inc
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
UNITED STATES
US
US
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JOHN A TUCKER
MARTIN KREMENSTE IN
Valley Forge
United States
San Francisco
United States
Stamford
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Morgan Stanley
Morgan Stanley
United States
New York
Deutsche Bank AG
Deutsche Bank AG
United States
New York
IndexIQ IndexIQ Advisors United States Advisors LLC LLC
Rye
VelocityShare VelocityShares s LLC LLC
Huntington BRIAN A Asset Services SALERNO Inc
www.vaneck.com
SSgA Funds United States Management Inc
UBS UBS Securities Securities LLC LLC
VLS Securities LLC
Citibank NA
SSgA Funds Management Inc
Advisorshares Advisorshares Investments Investments LLC LLC
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
1-212-293-2000
WisdomTree LargeCap Value Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the price and yield performance of the WisdomTree LargeCap Value Index, which measures the performance of U.S. large-cap value stocks.
09/11
UBS Securities LLC
Govt/Corp High Yield
SPDR S&P International Technology Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI UNITED STATES Information T
JOHN A TUCKER
5/02/11
SSgA Funds United States Management Inc
US
CH
WisdomTree www.wisdomtree. LargeCap Value com Fund
New York
JPMorgan Investor Services Co
US
1-212-896-1249
United States
State Street Bank and Trust Co
ETRACS Monthly Pay 2xLeveraged Dow Jones Select Dividend Index ETN is an exchange-traded note issued in the USA. The www.ubs.com/e- ETRACS Monthly ETN will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES tracs Pay 2xLeveraged Dow Jones U.S
Value-Large Cap
Van Eck Associates Corp
SSgA Funds State Street Bank Management and Trust Co Inc
Closed-end Funds 1-877-ETRACS5
www.huntingtons Huntington trategyshares.co EcoLogical m Strategy
Van Eck Associates Corp
Bingham McCutchen LLP
State Street Bank and Trust Co
Environmentally Friendly
Barclays Capital Inc
Tait Weller & Baker LLP
US
Commodity
Barclays Capital Inc
Wheaton
Bank of New York Mellon
US
IQ Australia Small Cap ETF
Invesco PowerShares United States Capital Management LLC
Advisorshares Bank of New York KURT R Investments Mellon WINRICH LLC
Country Fund-U.K. 1-415-670-2000
Currency
BlackRock Funds/USA
Invesco PowerShares Capital Management LLC
Manager's City Name
Huntington Huntington Asset Asset Advisors Advisors Inc Inc
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
iShares MSCI United Kingdom Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI United UNITED STATES Kingdom Small Cap Ind
SPDR S&P Health Care Equipment
4/14/11
Huntington PAUL Asset Advisors KOSCIK Inc
iShares MSCI www.ishares.com United Kingdom Sm
1-866-787-2257
12/09
Manager's Country
BlackRock Funds/USA
UNITED STATES
iShares North iShares North America Real Estate ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment America Real Est results that correspond to the FTSE EPRA/NAREIT North America Index.
US
Fund's Management Company
Fund's Manager Start Date
6/20/12
Van Eck Bank of New York Associates Mellon/The Corp JOHN A TUCKER
KAREN Q. WONG
7/16/08
Huntington Huntington Asset Asset Services Services Inc Inc Van Eck Associates Corp
Van Eck Associates Corp
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
United States
New York
Company Telephone Number
Corp/Pref-High Yield
1-415-670-2000
Company's Web Security's Name Address
www.ishares.com
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
iShares B - Ca Rated Corporate
iShares B - Ca Rated Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Corporate B -
UNITED STATES
US
US
State Street Bank and Trust Co
Credit Suisse Long/Short Liqui
The Credit Suisse Long/Short Liquid Index ETN is an exchange-traded note issued in the USA. The ETN is designed to provide investors with exposure to a long/short equity strategy as represented by long and short positions in various equity market indices
Various Assets
1-212-538-7333
www.creditsuisse.com/etn
UNITED STATES
US
CH
Credit Suisse Securities USA LLC
Emerging MarketEquity
1-888-800-4347
EGShares GEMS Composite ETF is an exchange traded fund incorporated in the USA. The Fund seeks to provide investment www.egshares.co EGShares GEMS results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Emerging UNITED STATES m Composite ETF Markets Sector T
US
US
Bank of New York Mellon/The
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BBD LLP
Fund's Management Company
Manager's Country
BlackRock BlackRock Fund Fund Advisors Advisors
United States
Fund's Manager Start Date
New York
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
Rockville
BLDRS Asia 50 ADR Index Fund is an investment trust incorporated in the USA. The Fund's objective seeks investment www.powershare BLDRS Asia 50 results that generally correspond to the price and yield performance of The Bank of New York Asia 50 ADR Index, which is a s.com ADR Index Fund capitalization-we
UNITED STATES
US
BM
Bank of New York Mellon
Ernst & Young
PowerShares Bank of New York Capital Mellon Management
Internet & Telecom 1-888-800-4347
EGShares www.egshares.co Telecom GEMS m ETF
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global Advisors LLC Advisors LLC
Commodity
www.creditsuisse.com/etn
UNITED STATES
US
CH
US
1-800-983-0903
1-212-538-7333
EGShares Telecom GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Dow Jones Emerging Markets Titans Telecommunications 30 Index.
Credit Suisse Commodity Rotation ETN is an exchange-traded note issued in the USA. The CS Commodity Rotation ETN Credit Suisse tracks the return of an index which selects 8 commodities monthly in equal weights based on the highest level of Commodity Rotati backwardation or least amount
Closed-end Funds 1-240-497-6400
www.proshares.c ProShares Ultra om Russell MidCap
Ultra Russell MidCap Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment UNITED STATES results that correspond to twice (200%) the daily performance of the Russell MidCap Value Index.
Country FundMexico
ProShares www.proshares.c UltraShort MSCI om Mexi
ProShares UltraShort MSCI Mexico Capped IMI is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI
1-240-497-6400
UNITED STATES
US
San Francisco
Credit Suisse Credit Suisse AG United States AG
PowerShares PowerShares Capital Capital United States Management Management LLC LLC
Region Fnd-Asian Pacific
Manager's City Name
Credit Suisse AG
Credit Suisse Credit Suisse AG United States AG
New York
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
SSgA Funds Management Inc
Internet & Telecom 1-866-787-2257
www.spdrs.com
SPDR S&P Teleccom ETF
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Corp/Pref-High Yield
www.ishares.com
iShares Baa - Ba Rated Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment iShares Baa - Ba results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. UNITED STATES Rated Corpora Corporate B
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
1-415-670-2000
SPDR S&P Telecom ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Telecom Select Industry Index.
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
SSgA Funds United States Management Inc
Valley Forge
Growth-Small Cap 1-240-497-6400
www.proshares.c ProShares Ultra om Russell2000 Gr
Ultra Russell2000 Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell 2000 Growth Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Growth&IncomeSmall Cap
1-240-497-6400
ProShares www.proshares.c UltraShort om Russell20
UltraShort Russell2000 Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 2000 Value Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Balanced
1-866-734-0425
Claymore CEF GS Connect ETN is an exchange-note issued in the USA. The Notes will provide investors with a cash www.goldmansac Claymore CEF payment at the scheduled maturity or early redemption, and pass on quarterly variable coupon payments to investors based on UNITED STATES hs.com GS Connect ETN the performance of
US
US
Goldman Sachs & Co
Goldman Sachs & Co
United States
New York
Aggressive Growth 1-855-353-9383
FlexShares www.flexshares.c Quality Dividend om Dy
UNITED STATES
US
US
JPMorgan Chase Bank NA
Growth&IncomeLarge Cap
iPath CBOE S&P 500 BuyWrite Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors www.ipathetn.co iPath CBOE S&P with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the m 500 BuyWrite In CBOE S&P 500 BuyWr
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
Global X Management Co LLC
Global X Management Co LLC
SSgA Funds Management Inc
SSgA Funds United States Management Inc
1-212-528-7990
FlexShares Quality Dividend Dynamic Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Northern Trust Quality Dividend Index.
Geo Focus-Equity 1-212-644-6622
www.globalxfund Global X FTSE Global X FTSE Argentina 20 ETF is an exchange-trade fund incorporated in the USA. The Fund seeks to track the s.com Argentina 20 ETF performance of the FTSE Argentina 20 Index.
Sector FundTechnology
www.spdrs.com
1-866-787-2257
SPDR S&P Software & Services E
Goldman Sachs & Co Northern Trust JPMorgan Chase Investments Bank NA Inc
Goldman Sachs & Co
Northern Trust Northern Trust Investments Investments Inc Inc
BRUNO DEL AMA
UNITED STATES
US
SPDR S&P Software & Services ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate UNITED STATES as closely as possible the performance of the S&P Software & Services Select Industry Index.
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds State Street Bank Management and Trust Co Inc
US
Bank of New York Mellon
Tait Weller & Baker LLP
Advisorshares Bank of New York Investments Mellon LLC
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
New York
JOHN A TUCKER
09/11
International Equity 1-877-843-3831
Madrona Forward International ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve the www.advisorshar Madrona Fund's investment objective by selecting a portfolio primarily composed of American Depository Receipts ("ADRs") from es.com International ETF among the largest iss
UNITED STATES
US
Value-Small Cap
1-240-497-6400
www.proshares.c ProShares Ultra om Russell2000 Va
Ultra Russell2000 Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell 2000 Value Index.
UNITED STATES
US
Growth&IncomeLarge Cap
1-877-437-9363
www.direxionshar Direxion Daily es.com South Korea Bul
Direxion Daily Korea Bull 3x Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, of 300% of the performance of the MSCI Korea 25-50 Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2050 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the S&P Target Date 2050 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Commodity
1-800-920-0259
www.unitedstates United States United States Copper Index Fund is an exchange traded fund and a Delaware statutory trust, incorporated in the USA. The copperindexfund. Copper Index Fun Fund seeks to track the investment performance of the SummerHaven Copper Index-Total Return. com
UNITED STATES
US
Brown Brothers Harriman & Co
EisnerAmper LLP
1-800-983-0903
PowerShares www.powershare Fundamental s.com Pure S
PowerShares Fundamental Pure Small Core Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the RAFI Fundamental Small Core Index.
UNITED STATES
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Direxion www.direxionshar NASDAQ-100 es.com Equal Weig
Direxion NASDAQ-100 Equal Weighted Index Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to the daily performance of the NASDAQ 100 Equal Weighted Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Growth&IncomeSmall Cap
Closed-end Funds 1-877-437-9363
iShares Target Date 2050 ETF
Growth & Income1-800-983-0903 Mid Cap
PowerShares www.powershare Fundamental s.com Pure M
UNITED STATES
US
BM
Various Assets
www.advisorshar AdvisorShares AdvisorShares Pring Turner Business Cycle ETF is an exchange-traded fund incorporated in the USA. The Fund invests in UNITED STATES es.com Pring Turner Bus multiple asset classes including stocks, bonds, inflation-sensitive securities and cash--depending on the business cycle stage.
US
US
1-877-843-3831
PowerShares Fundamental Pure Mid Core Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield of the RAFI Fundamental Mid Core Index.
Bank of New York Mellon/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Brown Brothers Harriman & Co
Advisorshares Advisorshares Investments Investments LLC LLC
United States ANDREW F Commodities NGIM Fund
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma AdvisorShares Trust
Valley Forge
United States United States Commodities Commodities Fund LLC Fund LLC
United States
Alameda
Invesco PowerShares United States Capital Management LLC
Wheaton
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Invesco PowerShares Capital Management LLC
Wheaton
Invesco PowerShares Capital Management LLC 3/23/11
Invesco PowerShares United States Capital Management LLC
AdvisorShares AdvisorShares Trust Trust
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Corp/Pref-Inv Grade
1-415-670-2000
www.ishares.com
iShares Utilities Bond ETF
iShares Utilities Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Utility Bond Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Country FundAustralia
1-415-670-2000
www.ishares.com
iShares MSCI Australia Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment iShares MSCI results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Australia Small Australia Small-C Cap Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Commodity
1-802-257-1617
www.teucriumcru Teucrium Crude dfund.com Oil Fund
Teucrium Crude Oil Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the daily changes in percentage terms of the Shares' Net Asset Value ("NAV") reflect the daily changes in percentage terms of a weighted average of the clo
UNITED STATES
US
US
Various Assets
1-212-528-7990
Barclays ETN+ www.etnplus.com Shiller CAPEâ&#x201E;˘ ET
Barclays ETN+ Shiller CAPE ETN is an exchange-traded note issued in the USA. The ETN will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Shiller Barclays CAPE U.S.
UNITED STATES
US
GB
Investors Bank & Trust Co
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Financials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks results that correspond generally to the price and yield performance of the MSCI Emerging Markets Financial Sector Index.
UNITED STATES
US
US
Growth&IncomeLarge Cap
1-877-437-9363
Direxion S&P 500 RC Volatility Response Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is www.direxionshar Direxion S&P 500 to seek daily investment results, before fees and expenses, that correspond to the performance of the S&P 500 Dynamic UNITED STATES es.com RC Volatility Rebalancing Ri
US
Country Fund-India 1-415-670-2000
iShares MSCI www.ishares.com India Small-Cap E
The iShares MSCI India Small-Cap ETF is an exchange traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI India Small Cap Index.
UNITED STATES
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets EMEA ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets UNITED STATES EMEA Index.
Sector FundEnergy
1-240-497-6400
www.proshares.c ProShares Short Short Oil & Gas ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that om Oil & Gas correspond to the inverse (opposite) of the daily performance of its underlying index.
Geo Focus-Debt
1-240-497-6400
ProShares www.proshares.c German om Sovereign/Sub
Teucrium Trading LLC
SAL GILBERTIE
Teucrium Trading LLC
Pricewaterhou Investors Bank & Barclays seCoopers Trust Co Capital Inc LLP
Barclays Capital Inc
Barclays Capital Inc
United States
New York
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
ProShare ProShare Advisors LLC Advisors LLC
1/11/12
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShares German Sovereign/Sub-Sovereign ETF is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that track the performance of the Markit iBoxx EUR Germany Sovereign & Sub- UNITED STATES Sovereign Liquid
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
1/24/12
ProShare ProShare Advisors LLC Advisors LLC
Government/Agenc 1-240-497-6400 y
ProShares ProShares UltraPro Short 10 Year TIPS/TSY Spread is an exchange-traded fund incorporated in the USA. The Fund seeks www.proshares.c UltraPro Short 10 investment results, before fees and expenses, that correspond to three times the inverse (-3x) the daily performance of the Dow UNITED STATES om Ye Jones Credi
US
JPMorgan Investor Services Co
JPMorgan Chase ProShare HOWARD S Bank Advisors LLC RUBIN
2/07/12
ProShare ProShare Advisors LLC Advisors LLC
Growth&IncomeSmall Cap
1-415-670-2000
iShares www.ishares.com Enhanced U.S. Small-Ca
iShares Enhanced U.S. Small-Cap ETF is an exchange-traded fund incorporated in the USA. The iShares Enhanced U.S. Small-Cap ETF (the "Fund") seeks long-term capital appreciation.
UNITED STATES
US
Government/Agenc 1-240-497-6400 y
ProShares 30 www.proshares.c Year TIPS/TSY om Spr
ProShares 30 Year TIPS/TSY Spread is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to the performance of the Dow Jones Credit Suisse 30-Year Inflation Breakeven Index.
UNITED STATES
US
JPMorgan Investor Services Co
Country FundChina
1-212-644-6622
www.globalxfund Global X China s.com Materials ETF
The Global X China Materials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive China Materials UNITED STATES Inde
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Municipal
1-877-369-4617
www.DBXUS.co db X-Trackers m Municipal Infras
db X-Trackers Municipal Infrastructure Revenue Bond Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the DBIQ Municipal Infrastructure Revenue Bond Index.
US
1-212-528-7990
iPath GEMS Asia 8 ETN is an exchange-traded note issued in the USA. The Notes will provide investors with monthly coupons iPath GEMS Asia www.etnplus.com and a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index which UNITED STATES 8 ETN reflects the
Currency
US
Financial Services 1-800-983-0903
PowerShares www.powershare KBW s.com International
PowerShares KBW International Financial Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield of the index called the KBW Global ex-U.S.
UNITED STATES
US
Growth&IncomeLarge Cap
405-778-8377
www.exchangetra Forensic dedconcepts.com Accounting ETF
Forensic Accounting ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is capital appreciation. The Fund, as the name suggests, applies forensic accounting principles to a universe of 500 large-cap stocks in an effort to "red-fla
UNITED STATES
US
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Crude Oil ETN
The iPath Pure Beta Crude Oil ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital WTI C
UNITED STATES
US
Commodity
1-855-RBS-ETPS
RBS Rogers usmarkets.rbs.co Enhanced m/etnUS Agricultur
RBS Rogers Enhanced Agriculture ETNs is an exchange-traded note issued in the USA. The ETN will track the RICI Enhanced Agriculture Total Return Index which provides exposure to 20 commodities. The Index attempts to track prices changes for individual com
UNITED STATES
Sector FundEnergy
1-888-800-4347
EGShares www.egshares.co Energy GEMS m ETF
EGShares Energy GEMS ETF is an exchange traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Emerging Markets Oil & Gas T
US
DE
GB
BM
Bethesda
United States
Bethesda
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
United States
New York
ASHTON P 6/04/13 GOODFIELD
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
ExchangeTraded Concepts
Exchange-Traded Concepts
iShares/USA
Bank of New York Mellon
Ernst & Young
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Bank of New York Mellon/The
iShares/USA
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP Global X Management Co LLC
Bank of New York Deutsche Mellon Bank AG
1/10/12
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
iShares/USA
ExchangeTraded Concepts
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
US
GB
Royal Bank Of Scotland
RBS ETNs/USA
RBS ETNs/USA
RBS ETNs/USA
UNITED STATES
US
US
Bank of New York Mellon/The
1-877-369-4617
PowerShares DB 3x German Bund Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on triple the m 3x German Bund performance of its underlyi
UNITED STATES
US
DE
Deutsche Bank AG
Commodity
1-240-497-6400
ProShares www.proshares.c UltraShort DJom UBS Co
ProShares UltraShort DJ-UBS Commodity is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance, whether positive or negative, of its corresp
UNITED STATES
US
Growth&IncomeLarge Cap
1-866-787-2257
www.spdrs.com
SPDR Russell 1000 ETF
SPDR Russell 1000 ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the Russell 1000 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Bingham McCutchen LLP
Emerging MarketDebt
1-866-787-2257
www.spdrs.com
SPDR BofA Merrill Lynch Emergi
SPDR Merrill Lynch Emerging Markets Corporate Bond ETF seeks to provide investment results that, before expenses, correspond generally to the price and yield performance of the BofA Merrill Lynch Emerging Markets Diversified Corporate Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Region FundEuropean
1-800-983-0903
BLDRS Europe www.powershare 100 ADR Index s.com Fun
BLDRS Europe 100 ADR Index Fund is an investment trust incorporated in the USA. The Fund's objective is to seek investment results that correspond to the price and yield performance of The Bank of New York Europe 100 ADR Index, which UNITED STATES is a capitalization-w
US
BBD LLP
SEI Investments Distribution Co
BM
Bank of New York Mellon
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
JOHN DEL VECCHIO
1/29/13
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU Deutsche Bank AG
Brown Brothers Harriman & Co
LUKE OLIVER
3/23/11
ProShare TODD Advisors LLC JOHNSON
SSgA Funds State Street Bank Management and Trust Co Inc
Invesco Ernst & Young Bank of New York PowerShares LLP/Jersey Mellon Capital Ma
New York
United States
Quasar Distributors LLC
Geo Focus-Debt
Manager's City Name
Teucrium Trading LLC
UNITED STATES
UNITED STATES
Manager's Country
JOHN A TUCKER
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
Deutsche Bank AG
United States
New York
United States
Bethesda
Deutsche Bank AG
ProShare ProShare Advisors LLC Advisors LLC
11/15/05
PATRICK 06/12 BRESNEHAN
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Rockville
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Aggressive Growth 1-240-497-6400
ProShares Global Listed Private Equity ETF is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.proshares.c ProShares Global investment results that correspond to the daily performance of the LPX Direct Listed Private Equity Index. This index consists om Listed Privat of up to 30
Commodity
1-212-528-7990
iPath Dow Jones-UBS Nickel Total Return Sub-Index ETN is an exchange-traded note incorporated in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the UNITED STATES m UBS Nickel Sub underlying index,
US
Commodity
1-855-RBS-ETPS
usmarkets.rbs.co RBS Oil m/etnUS Trendpilot ETN
RBS Oil Trendpilot ETN is an exchange-traded note issued in the USA. The ETN utilizes a systematic trend-following strategy to provide exposure to either the RBS 12 Month Oil TR Index or the yield on a hypothetical notional investment in 3-month U.S. UNITED STATES Trea
Govt/AgencyInter/LT
1-212-528-7990
iPath US www.ipathetn.co Treasury 5-year m Bear
Financial Services 1-212-644-6622
Emerging MarketEquity
Undefined Equity
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Manager's Country
Manager's City Name
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare seCoopers Bank NA Advisors LLC LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
United States
New York
US
GB
Royal Bank Of Scotland
Royal Bank of Scotland Group P
Royal Bank of Royal Bank of Scotland Scotland Group Group PLC PLC
iPath US Treasury 5-year Bear ETN is inversely linked to the performance of the underlying Index, and seeks to capture returns UNITED STATES from an increase in the yields of 5-year U.S. Treasury notes through a notional rolling 'short' investment in 5-year U.S. Treasu
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
United States
New York
www.globalxfund Global X Brazil s.com Financials ETF
Global X Brazil Financials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the investment performance of the Solactive Brazil Financials Index.
UNITED STATES
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
Global X Management Co LLC
Global X Management Co LLC
United States
New York
1-888-800-4347
EGShares www.egshares.co Emerging m Markets Dome
EGShares Emerging Markets Domestic Demand ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to UNITED STATES track the performance of the INDXX Emerging Markets Domestic Demand Index.
US
US
Bank of New York Mellon/The
BBD LLP
1-866-787-2257
www.spdrs.com
SPDR S&P International Materials Sector ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide investment results that correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI UNITED STATES Materials Sect
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SPDR S&P International Materia
UNITED STATES
US
Growth & Income
1-877-843-3831
www.advisorshar Madrona es.com Domestic ETF
Madrona Forward Domestic ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks to achieve the Fund's investment objective by selecting a portfolio of up to 500 of the largest U.S. traded equity securities.
UNITED STATES
US
Currency
1-240-497-6400
www.proshares.c ProShares Ultra om Australian Dol
ProShares Ultra Australian Dollar is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to two times (2x) the daily performance of the US Dollar price of the Australian Dolla
UNITED STATES
Derivative-Asset Alloc
1-212-786-7481
FactorShares 2X: Oil Bull/S&P500 Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is to track www.factorshares FactorShares 2X: approximately +200% of the daily return of the S&P Crude Oil - Equity Spread Total Return Index by primarily establishing a .com Oil Bull/S&P5 leverage
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2010 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance of the S&P Target Date 2010 Index. The ETF invests approximately 52% of its ass
BRUNO DEL AMA
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU JOHN A TUCKER
US
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
UNITED STATES
US
State Street Bank and Trust Co
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Financial Services 1-888-800-4347
EGShares EGShares Financials GEMS ETF is an exchange traded fund incorporated in the USA. The Fund seeks to provide investment www.egshares.co Financials GEMS results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones Emerging UNITED STATES m ETF Markets Financi
US
US
Bank of New York Mellon/The
BBD LLP
Market NeutralEquity
1-212-538-7333
www.creditsuisse.com/etn
The Credit Suisse Market Neutral Global Equity ETN is an exchange-traded note issued in the USA. The ETN is designed to Credit Suisse provide investors with exposure to a market neutral investment strategy as represented by long and short positions in North Market Neutral G American,
UNITED STATES
US
CH
Credit Suisse Securities USA LLC
Health & Biotechnology
1-888-800-4347
EGShares Health Care GEMS ETF is an exchange traded fund incorporated in the USA. The Fund seeks to provide www.egshares.co EGShares Health investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones m Care GEMS ETF Emerging Markets Health
UNITED STATES
US
US
Bank of New York Mellon/The
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Nickel ETN
The iPath Pure Beta Nickel ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Nickel P
US
GB
Barclays Capital Inc
iShares Target Date 2010 ETF
Government/Agenc 1-240-497-6400 y
ProShares Short 30 Year TIPS/TSY Spread is an exchange-traded fund incorporated in the USA. The Fund seeks daily www.proshares.c ProShares Short investment results, before fees and expenses, that correspond to the inverse (-1x) the daily performance of the Dow Jones om 30 Year TIPS/T Credit Suisse 30 Yea
Govt/Agency-Inter 1-866-787-2257 Term
www.spdrs.com
International Equity 1-240-497-6400
www.proshares.c ProShares Ultra om MSCI EAFE
UNITED STATES
US
The SPDR Barclays 1-10 Year TIPS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide SPDR Barclays 1investment results that before fees and expenses, correspond generally to the price and yield performance of the Barclays 1-10 UNITED STATES 10 Year TIPS E Year Governme
US
ProShares Ultra MSCI EAFE is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the MSCI EAFE Index. The Fund invests in equity securities and/or financial inst
UNITED STATES
Russell Equity ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is long-term capital appreciation. The Fund invests in retail shares of other exchange-traded funds that track various securities indices comprised of UNITED STATES large, mid a
US
US
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
United States
Bethesda
United States
San Francisco
Factor Capital Factor Capital Management Management LLC LLC
Barclays Capital Inc
New York
Barclays Capital Inc
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
1/10/12
ProShare ProShare Advisors LLC Advisors LLC
State Street Corp
Pricewaterhou SSgA Funds seCoopers State Street Corp Management LLP Inc
05/13
SSgA Funds Management Inc
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Russell Fund Services Co
Pricewaterhou Russell State Street Bank seCoopers Investment and Trust Co LLP Management
Russell Investment Management Co
United States
Seattle
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
United States
Bethesda
MAX DESANTIS
UNITED STATES
US
Government/Agenc 1-800-576-3529 y-LT
JPMorgan Double Short US Long Bond Treasury Futures ETN is an exchange-traded note issued in the USA by JPMorgan JPMorgan Double Chase & Co. The ETN seeks to provide double inverse exposure to the NYSE US Long Bond Treasury Futures Index, Short US Long compounded from one reset perio
UNITED STATES
US
US
JP Morgan Securities Inc
SPDR MSCI ACWI IMI ETF US
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
The SPDR MSCI ACWI IMI ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the MSCI ACWI IMI Index.
ProShare ProShare Advisors LLC Advisors LLC
Emerging Emerging Global Global Advisors LLC Advisors LLC
Barclays Capital Inc
www.proshares.c ProShares Short ProShares Short KBW Regional Banking is an exchange-traded fund incorporated in the USA. The Fund seeks investment om KBW Regional B results that correspond to the inverse (opposite) return of the KBW Regional Banking Index.
www.spdrs.com
Boston
Credit Suisse Credit Suisse AG AG
Financial Services 1-240-497-6400
1-866-787-2257
SSgA Funds United States Management Inc
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
Credit Suisse AG
BBD LLP
SSgA Funds Management Inc
BlackRock BlackRock Fund Fund Advisors Advisors
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
www.russelletfs.c Russell Equity om ETF
US
7/17/12
Factor Capital State Street Bank STUART Management 2/24/11 and Trust Co ROSENTHAL LLC
Closed-end Funds 1-888-RSL-ETFS
US
7/16/08
Advisorshares Advisorshares Investments Investments LLC LLC
Tait Weller & Baker LLP
US
Barclays Capital Inc
Emerging Emerging Global Global Advisors LLC Advisors LLC
Advisorshares Bank of New York Investments Mellon LLC
Bank of New York Mellon
Global Equity
Fund's Management Company
Fund's Manager Start Date
BRIAN MEATH
2/23/11
JOHN A TUCKER
SSgA Funds United States Management Inc
Russell Investment Management Co
ProShare ProShare Advisors LLC Advisors LLC
JPMorgan Chase & Co
02/12
United States
JPMorgan Chase & Co
JPMorgan Chase & Co
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Bethesda
Boston
Valley Forge
Govt/Agency-Inter 1-240-497-6400 Term
ProShares www.proshares.c UltraShort 3-7 om Treas
ProShares UltraShort 3-7 Year Treasury is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the UNITED STATES Barclays C
US
JPMorgan Investor Services Co
Country FundChina
1-212-644-6622
www.globalxfund Global X China s.com Industrials ETF
The Global X China Industrials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive China Industrials
UNITED STATES
US
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
Global X Management Co LLC
BRUNO DEL AMA
Global X Management Co LLC
Global X Management Co LLC
United States
New York
Commodity
1-877-369-4617
PowerShares DB Commodity Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its m Commodity Long underlying index plus t
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
LUKE OLIVER
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Agriculture ET
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
The iPath Pure Beta Agriculture ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital Com
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
ProShare ProShare Advisors LLC Advisors LLC
Bethesda
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
1-855-329-3837
www.DBXUS.co db X-trackers db X-trackers 2010 Target Date Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES m 2010 Target Date that correspond to the price and yield of the Zacks 2010 Lifecycle Index.
Commodity
1-212-528-7990
iPath Dow Jones-UBS Aluminum Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Aluminum S underlying index, the
Undefined Equity
1-415-670-2000
Balanced
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
DE
Fund's Administrator
Fund's Auditor
Bank of New York Mellon
Ernst & Young
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Bank of New York DBX Strategic GLENN Mellon Advisors LLC DAVIS
Fund's Management Company
Fund's Manager Start Date
08/09
United States
New York
Barclays Capital Inc
United States
New York
BlackRock BlackRock Fund Fund Advisors Advisors Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
iShares MSCI www.ishares.com Global Energy Pro
iShares MSCI Global Energy Producers ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI ACWI Select UNITED STATES Energy Producers
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Closed-end Funds 1-877-437-9363
www.direxionshar Direxion All Cap es.com Insider Senti
Direxion All Cap Insider Sentiment Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that closely correspond to the total return of the Sabrient Multi-cap Insider/Analyst Quant-weighted Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Derivative-Asset Alloc
1-212-786-7481
FactorShares 2X: S&P500 Bull/TBond Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is to www.factorshares FactorShares 2X: track approximately +200% the daily return of the S&P US Equity Risk Premium Total Return Index by primarily establishing a UNITED STATES .com S&P500 Bull/T leveraged lo
US
Derivative-Asset Alloc
1-877-437-9363
www.direxionshar Direxion Daily es.com Total Market Be
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Sector FundEnergy
1-888-934-0777
www.indexiq.com
IQ Global Oil Small Cap ETF
IQ Global Oil Small Cap ETF is an exchange-traded fund incorporated in the USA. The fund seeks to track performance of the IQ Global Oil Small Cap Index. The Index provides important exposure to global small cap companies engaged in the oil UNITED STATES sector, includ
US
US
Bank of New York Mellon/The
Ernst & Young
Bank of New York IndexIQ JULIE S Mellon/The Advisors LLC ABBETT
IndexIQ IndexIQ Advisors Advisors LLC LLC
Balanced
1-415-670-2000
www.ishares.com
iShares Target Date 2045 ETF
iShares Target Date 2045 ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the S&P Target Date 2045 Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Various Assets
1-212-538-7333
www.creditsuisse.com/etn
Credit Suisse Merger Arbitrage Liquid Index 2X Levered ETN is an exchange-traded note issued in the USA. The Note is Credit Suisse designed to capture the spread, if any, between the price at which the stock of a target company trades after a proposed Merger Arbitrage acquisition of s
UNITED STATES
US
CH
Credit Suisse Securities USA LLC
Corp/Pref-Inv Grade
1-240-497-6400
www.proshares.c ProShares Ultra om Investment Gra
ProShares Ultra Investment Grade Corporate is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the Markit iBoxx $ Liquid Investment
UNITED STATES
US
Environmentally Friendly
1-630-765-8000
First Trust www.ftportfolios.c NASDAQ Clean om Edge
First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield of an equity index called the NASDAQ OMX Clean Edge S
UNITED STATES
US
Country FundChina
1-212-644-6622
www.globalxfund Global X China s.com Energy ETF
The Global X China Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive China Energy Index.
UNITED STATES
US
Various Assets
1-877-843-3831
www.advisorshar AdvisorShares AdvisorShares Global Alpha & Beta ETF is an exchange-traded fund incorporated in the USA. The Fund invests in other ETFs UNITED STATES es.com Global Alpha & B using a top-down perspective, focusing on tactical asset allocation and proprietary security selection.
US
US
Emerging MarketEquity
1-888-949-3837
www.guggenhei mfunds.com
US
US
1-800-983-0903
PowerShares www.powershare Fundamental s.com Emergi
PowerShares Fundamental Emerging Markets Local Debt Portfolio is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that generally correspond (before fees and expenses) to the price and yield of the Citi RAFI Bonds Sovereig
ELEMENTS Linked to the MLCX Bi
ELEMENTS Linked to the MLCX Biofuels Index (Exchange Series) - Total Return is an exchange-traded note issued by Swedish Export Credit Corporation (SEK) in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early re
UNITED STATES
US
Ultra Russell MidCap Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell MidCap Growth Index.
UNITED STATES
US
Emerging MarketDebt
Guggenheim MSCI Emerging Marke
Commodity
1-877-ETNADVICE
www.ELEMENT Setn.com
Growth-Mid Cap
1-240-497-6400
www.proshares.c ProShares Ultra om Russell MidCap
Direxion Daily Total Market Bear 1x Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results that correspond to the inverse (opposite) of the daily performance of the MSCI US Broad Market Index.
Guggenheim MSCI Emerging Markets Equal Weight ETF is an exchange-traded fund incorporated in the USA. The Fund's investment objective is to correspond, before fees and expenses, to the price and yield performance of the MSCI Emerging Markets Equal Weighte
UNITED STATES
UNITED STATES
US
Factor Capital State Street Bank STUART Management 2/24/11 and Trust Co ROSENTHAL LLC
State Street Bank and Trust Co
US
Credit Suisse AG Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
US
BRUNO DEL AMA
AdvisorShares ROGER Trust NUSBAUM
State Street Bank and Trust Co
Ernst & Young State Street Bank Security MICHAEL P LLP and Trust Co Investors LLC BYRUM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Bethesda
First Trust Advisors LP
First Trust Advisors LP
United States
Wheaton
Global X Management Co LLC
Global X Management Co LLC
United States
New York
12/08/10
Security Security Investors United States Investors LLC LLC
Rockville
5/09/13
Invesco PowerShares Capital Management LLC
Invesco PowerShares United States Capital Management LLC
Wheaton
Swedish Export Credit Corp - SEK
Swedish Export United States Credit Corp - SEK
New York
United States
Bethesda
Wheaton
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Invesco PowerShares United States Capital Management LLC
Wheaton
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York seCoopers PowerShares Mellon/The LLP Capital Ma
Environmentally Friendly
1-212-293-2000
www.vaneck.com
Market Vectors Market Vectors - Environment Services ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment UNITED STATES Environmental S results that correspond to the price and yield of the performance of the Amex Environmental Services Index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
Derivative-Asset Alloc
1-212-786-7481
FactorShares 2X: S&P500 Bull/USD Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is to track www.factorshares FactorShares 2X: approximately +200% of the daily return of the S&P500 Non US Dollar Index by primarily establishing a leveraged long position UNITED STATES .com S&P500 Bull/U in the
US
Sector FundTechnology
1-888-800-4347
EGShares www.egshares.co Technology m GEMS ETF
EGShares Technology GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Dow Jones Emerging Markets Titans Technology 30 Index.
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Growth & Income
1-800-983-0903
PowerShares www.powershare Dynamic OTC s.com Portfo
Powershares Dynamic OTC Portfolio is an exchange-traded fund incorporated in the USA. The Fund's objective is to correspond to the price and yield of an equity index called the Dynamic OTC Intellidex (SM) Index, which evaluates companies UNITED STATES based on a varie
US
BM
Bank of New York Mellon/The
Pricewaterhou Invesco Bank of New York PETER seCoopers PowerShares Mellon/The HUBBARD LLP Capital Ma
Commodity
1-800-920-0259
www.unitedstates United States agricultureindexfu Agriculture Inde nd.com
United States Agriculture Index Fund is an exchange traded fund and a Delaware statutory trust incorporated in the USA. The Fund seeks to track the investment performance of the Summerhaven Dynamic Agriculture Index Total Return.
UNITED STATES
US
Country FundAustralia
1-630-765-8000
First Trust www.ftportfolios.c Australia om AlphaDEX
First Trust Australia AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results UNITED STATES that correspond to the Australia Index.
US
Closed-end Funds 1-240-497-6400
ProShares www.proshares.c UltraShort om Consumer
UltraShort Consumer Goods ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Consumer UNITED STATES Goods Index.
US
Sector Fund-Real Estate
www.spdrs.com
State Street Bank and Trust Co
US
United States
Invesco PowerShares United States Capital Management LLC
US
US
ProShare ProShare Advisors LLC Advisors LLC
Invesco PowerShares Capital Management LLC
PowerShares S&P International Developed High Beta Portfolio is an exchange-traded fund incorporated in the USA. The Fund www.powershare PowerShares seeks investment results that generally correspond (before fees and expenses) to the price and yield of the S&P BMI UNITED STATES s.com S&P International International Deve
UNITED STATES
HAO-HUNG LIAO "PETER"
10/16/06
Factor Capital State Street Bank STUART Management 2/24/11 and Trust Co ROSENTHAL LLC
Factor Capital Factor Capital Management Management LLC LLC
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global Advisors LLC Advisors LLC
12/09
Invesco PowerShares Capital Management LLC
Brown Brothers Harriman & Co
EisnerAmper LLP
Brown Brothers Harriman & Co
United States ANDREW F Commodities NGIM Fund
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Brown Brothers Harriman & Co
First Trust Advisors LP
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
State Street Bank and Trust Co
Bingham McCutchen LLP
SSgA Funds Management Inc
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
New York
ProShare ProShare Advisors LLC Advisors LLC
1-800-983-0903
SPDR S&P SPDR S&P Mortgage Finance ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to provide Mortgage Finance investment results that correspond generally to the total return performance of the S&P Mortgage Finance Select Industry ETF/ Index.
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
Growth & Income
1-866-787-2257
Factor Capital Factor Capital Management Management LLC LLC
AdvisorShares AdvisorShares Trust Trust
Swedish Export Credit Corp - S
Euroclear
JPMorgan Investor Services Co
US
4/13/11
Bank of New York First Trust Mellon Corp/The Advisors LP Global X Management Co LLC
Barclays Capital Inc
Credit Suisse Credit Suisse AG AG
JPMorgan Investor Services Co
Global X Ernst & Young Brown Brothers Management Co LLC LLP Harriman & Co
BM
6/15/11
Manager's City Name
DBX Strategic DBX Strategic Advisors LLC Advisors LLC
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
12/08/11
Manager's Country
SSgA Funds State Street Bank Management and Trust Co Inc
JOHN A TUCKER
United States United States Commodities Commodities Fund LLC Fund LLC First Trust Advisors LP
United States
Alameda
United States
Bethesda
First Trust Advisors LP
SSgA Funds United States Management Inc
Boston
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Sector Fund-Utility 1-888-800-4347
EGShares www.egshares.co Utilities GEMS m ETF
EGShares Utilities GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance UNITED STATES of the Dow Jones Emerging Markets Titans Utilities 30 Index.
US
Region Fnd-Asian Pacific
1-212-644-6622
www.globalxfund Global X Central s.com Asia & Mongol
Global X Central Asia & Mongolia Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Central As
UNITED STATES
US
Undefined Equity
1-630-765-8000
www.ftportfolios.c First Trust ISE om Global Enginee
First Trust ISE Global Engineering and Construction Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally to the price and yield (before fees & expenses) of the ISE Global Engineering an
UNITED STATES
US
US
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
Country FundCanada
1-415-670-2000
iShares MSCI www.ishares.com Canada SmallCap
iShares MSCI Canada Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results UNITED STATES that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Canada Small Cap Index.
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Country FundGermany
1-212-293-2000
www.vaneck.com
Market Vectors Germany Small-Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as Market Vectors closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Germany Small-Cap UNITED STATES Germany Small-C Index.
US
US
Van Eck Associates Corp
Van Eck Ernst & Young Bank of New York Associates LLP Mellon/The Corp
HAO-HUNG LIAO "PETER"
4/05/11
Van Eck Associates Corp
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
7/10/12
Sector Fund-Asset 1-240-497-6400 Alloc
Commodity
Growth&IncomeLarge Cap
1-212-528-7990
ProShares www.proshares.c UltraPro Short om Finan
ProShares UltraPro Short Financials is an exchange-traded fund incorporated in the USA. The Fund seeks investment results, before fees and expenses, that correspond to three times the inverse (-3x) the daily performance of the Dow Jones Financial UNITED STATES index In
iPath Dow Jones-UBS Tin Total Return Sub-Index ETN is an exchange-traded note issued in the USA. The Notes will provide www.ipathetn.co iPath Dow Jonesinvestors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES m UBS Tin Subind the Dow J
US
BBD LLP
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU Global X Management Co LLC
US
US
Bank of New York Mellon/The
GB
Emerging Emerging Global Global Advisors LLC Advisors LLC
BRUNO DEL AMA
Bank of New York First Trust Mellon Corp/The Advisors LP
Global X Management Co LLC
Global X Management Co LLC
First Trust Advisors LP
First Trust Advisors LP
Lisle
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Barclays Capital Inc
United States
New York
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
www.proshares.c ProShares Ultra om Russell1000 Va
Ultra Russell1000 Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell 1000 Value Index.
UNITED STATES
US
JPMorgan Investor Services Co
Commodity
1-240-497-6400
ProShares Ultra www.proshares.c DJ-UBS om Commodi
ProShares Ultra DJ-UBS Commodity is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that correspond to twice (200%) the daily performance, whether positive or negative, of its corresponding benchmark. UNITED STATES The Fund
US
SEI Investments Distribution Co
Commodity
1-802-257-1617
www.teucriumca Teucrium Sugar nefund.com Fund
Tecrium Sugar Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to have the daily changes in percentage terms of the Shares' NAV reflect the daily changes in percentage terms of a weighted average of UNITED STATES the clos
US
Growth & Income
1-240-497-6400
ProShares www.proshares.c UltraShort om Russell 3
Proshares UltraShort Russell 3000 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 3000 In
UNITED STATES
US
Growth & Income
1-630-765-8000
First Trust Value Line Equity Allocation Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks www.ftportfolios.c First Trust Value investment results that correspond to the price and yield of an equity index called the Value Line Equity Allocation Index, which UNITED STATES om Line Equity is com
US
Brown Brothers Harriman & Co
ProShare TODD Advisors LLC JOHNSON
Teucrium Trading LLC
US
BlackRock BlackRock Fund Fund Advisors Advisors
SAL GILBERTIE
9/19/11
Teucrium Trading LLC
Van Eck Associates Corp
Barclays Capital Inc
Teucrium Trading LLC
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Bank of New York Mellon Corp/The
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
United States
Lisle
VTL Associates LLC
VTL Associates LLC
United States
Philadelphia
iShares/USA
iShares/USA
iShares/USA
RBS Securities Inc
RBS RBS Securities Securities Inc Inc
AdvisorShares AKOS Trust BELEZNAY
AdvisorShares AdvisorShares Trust Trust
United States
San Francisco
United States
San Francisco
Barclays Capital Inc
United States
New York
Northern Trust Northern Trust Investments Investments Inc Inc
United States
Chicago
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Van Eck Associates Corp
Van Eck Associates Corp
United States
New York
Bank of New York First Trust Mellon Corp/The Advisors LP
1-877-738-8870
www.revenueshar RevenueShares esetfs.com Navellier Overal
RevenueShares Navellier Overall A-100 Fund is an exchange traded fund inbcorporated in the USA. The Fund's objective is outperform the total return performance of the Navellier Overall A-100 Index. The Fund invests in the constituent securities of the Nav
UNITED STATES
US
US
Value-Large Cap
1-415-670-2000
iShares MSCI www.ishares.com USA Value Factor
The iShares MSCI USA Value Weighted Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of an index that measures the performance of U.S. large- and mid-capitalization stocks with value characteristics an
UNITED STATES
US
US
Market NeutralEquity
1-855-RBS-ETPS
usmarkets.rbs.co RBS US L/C m/etnUS Alternator ETN
RBS US Large Cap Alternator ETN is an exchange-traded note issued in the USA. The ETN will track the RBS US Large Cap UNITED STATES Alternator Index
US
GB
Various Assets
1-877-843-3831
www.advisorshar QAM Equity es.com Hedge ETF
QAM Equity Hedge ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that exceed the risk adjusted performance of approximately 50% of the long/short equity hedge fund universe as defined by the HFRI Equity UNITED STATES Hedge (Tot
US
US
Growth-Large Cap
1-800-774-3768 Tel
www.columbiama Columbia Select nagementetf.com Large Cap Grow
Columbia Large Cap Growth Equity Strategy ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is long-term capital appreciation. The Fund invests at least 80% of its net assets (plus the amount of any UNITED STATES borrowings f
US
US
Bank of New York Mellon Corp/The
Emerging MarketEquity
1-415-670-2000
iShares MSCI www.ishares.com Emerging Markets
iShares MSCI Emerging Markets Growth ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets UNITED STATES Growth Inde
US
US
State Street Bank and Trust Co
Sector FundEnergy
1-415-670-2000
www.ishares.com
iShares Global Nuclear Energy ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the price and yield performance of the S&P Global Nuclear Energy Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Sector FundEnergy
1-877-ETRACS5
ETRACS Oil ETRACS Oil Futures Contango ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/eFutures Contango cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the ISE Oil tracs ET Futures Spread In
UNITED STATES
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Sector FundEnergy
1-877-ETRACS5
ETRACS Wells ETRACS Wells Fargo MLP Index ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.ubs.com/eFargo MLP Index cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Wells tracs E Fargo MLP Index.
UNITED STATES
US
CH
UBS Securities LLC
UBS Securities LLC
UBS UBS Securities Securities LLC LLC
Undefined Equity
1-888-800-4347
EGShares www.egshares.co EGShares Industrials GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the Industrials GEMS m performance of the Dow Jones Emerging Markets Titans Industrials 30 Index. ETF
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Govt/AgencyTarget Term
1-212-528-7990
iPath US www.ipathetn.co Treasury m Flattener ET
iPath US Treasury Flattener ETN is inversely linked to the performance of the underlying Index, and seeks to capture returns from a "flattening" of the U.S. Treasury yield curve through a notional rolling investment in 2-year and 10-year U.S. Treasury not
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
International Equity 1-855-353-9383
FlexShares www.flexshares.c International om Quali
FlexShares International Quality Dividend Dynamic Index Fund is an exchange-traded fund incorporated in the USA. The Fund UNITED STATES seeks to track the performance of the Northern Trust International Quality Dividend Dynamic Index.
US
US
JPMorgan Chase Bank NA
Deloitte & Touche LLP
Currency
iPath GBP/USD www.ipathetn.co Exchange Rate m ET
iPATH GBP/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of the Great British Pound/USD exchange rate; define
UNITED STATES
US
GB
Barclays Capital Inc
UNITED STATES
US
US
Van Eck Associates Corp
1-212-528-7990
Government/Corpo 1-212-293-2000 rate
www.vaneck.com
Market Vectors Renminbi Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to replicate as Market Vectors closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Renminbi Bond Index. Renminbi Bond E The Fund invests
Bank of New York Mellon/The
BBD LLP
Royal Bank Of Scotland
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
VTL Bank of New York Associates Mellon/The LLC
VINCENT THOMAS LOWRY "VINCE"
Growth & Income
iShares Global Nuclear Energy
Manager's City Name
United States
1-240-497-6400
US
Manager's Country
Pricewaterhou Columbia Bank of New York seCoopers Management Mellon Corp/The LLP Investment State Street Bank BlackRock and Trust Co Funds/USA
1/23/09
THOMAS M GALVIN
Columbia Management Investment Advisers LLC
Columbia Management Investment Advisers LLC
GREG SAVAGE
BlackRock Funds/USA
BlackRock Funds/USA
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
Emerging Emerging Global Global Advisors LLC Advisors LLC Barclays Capital Inc
Northern Trust JPMorgan Chase Investments Bank NA Inc Barclays Capital Inc
Ernst & Young
Van Eck Bank of New York Associates Mellon/The Corp
MICHAEL F MAZIER
10/11
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Manager's Country
Manager's City Name
AdvisorShares Global Echo ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to achieve long-term www.advisorshar AdvisorShares capital appreciation with an emphasis on absolute (positive) returns and low sensitivity to traditional financial market indices, es.com Global Echo ETF such as
UNITED STATES
US
US
Bank of New York Mellon
Sector Fund-Utility 1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Utilit
UNITED STATES
US
US
State Street Bank and Trust Co
Commodity
VelocityShares Daily 3x Long Brent Crude ETN is an exchange-traded note issued in the USA. The Note will provide investors www.velocityshar VelocityShares with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, S&P UNITED STATES es.com 3X Long Brent C GSCI速 Brent
US
CH
Credit Suisse Securities LLC
www.direxionshar Direxion Daily Direxion Daily Korea 3x Bear Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment es.com South Korea Bea results, before fees and expenses, of 300% of the inverse (opposite) of the performance of the MSCI Korea 25-50 Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
First Trust Advisors LP
First Trust Advisors LP
Environmentally Friendly
1-877-843-3831
1-877-583-5624
Closed-end Funds 1-877-437-9363
iShares MSCI ACWI ex U.S. Utilities ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Utilities Index.
UNITED STATES
Bank of New York AdvisorShares Mellon Trust
AdvisorShares AdvisorShares Trust Trust
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP VLS Securities LLC
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
VelocityShare VelocityShares s LLC LLC
United States
Darien
Govt/Agency-Short 1-212-528-7990 Term
iPath US www.ipathetn.co Treasury 2-year m Bear
iPath US Treasury 2-year Bear ETN is inversely linked to the performance of the underlying Index, and seeks to capture returns UNITED STATES from an increase in the yields of 2-year U.S. Treasury notes through a notional rolling 'short' investment in 2-year U.S. Treasu
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
International Equity 1-630-765-8000
First Trust www.ftportfolios.c Developed om Markets
First Trust Developed Markets ex-US Small Cap AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Developed Markets ex-US Small Cap Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
Asian Pacific Ex Japan
ProShares www.proshares.c UltraShort MSCI om Paci
ProShares UltraShort MSCI Pacific ex-Japan is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI P
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
New York
United States
New York
United States
Bethesda
1-240-497-6400
Internet & Telecom 1-240-497-6400
www.proshares.c ProShares Ultra Ultra Telecommunications ProShares is an exchange-traded Fund incorporated in the USA. The Fund seeks investment om Telecommunicat results that correspond to twice (200%) the Dow Jones U.S. Select Telecommunications Index.
Corp/Pref-Inv Grade
iShares www.ishares.com Financials Bond ETF
1-415-670-2000
iShares Financials Bond ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Financial Institutions C
UNITED STATES
US
UNITED STATES
US
US
State Street Bank and Trust Co
Government/Agenc 1-877-369-4617 y
PowerShares DB U.S. Inflation ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Note will offer www.DBXUS.co PowerShares DB investors exposure to the monthly performance of the long inflation index plus the monthly T-bill index return, reduced by the m US Inflation ET investor
UNITED STATES
US
DE
Deutsche Bank AG
Commodity
RBS Rogers usmarkets.rbs.co Enhanced m/etnUS Precious M
UNITED STATES
US
GB
Royal Bank Of Scotland
1-855-RBS-ETPS
RBS Rogers Enhanced Precious Metals ETNs is an exchange-traded note issued in the USA. The ETN will track the RICI Enhanced Precious Metals Total Return Index which provides exposure to 4 commodities. The Index attempts to track prices changes for preciou
Govt/Agency-Short 1-212-528-7990 Term
iPath US www.ipathetn.co Treasury 2-year m Bull
iPath US Treasury 2-year Bull ETN is linked to the performance of the underlying Index, and seeks to capture returns from a decrease in the yields of 2-year U.S. Treasury notes through a notional rolling 'long' investment in 2-year U.S. Treasury note futu
UNITED STATES
US
Growth-Mid Cap
ProShares www.proshares.c UltraShort om Russell M
UltraShort Russell MidCap Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell MidCap Growth Index.
UNITED STATES
US
1-240-497-6400
GB
Brown Brothers Harriman & Co
First Trust Advisors LP
Deutsche Bank AG
LUKE OLIVER
RBS ETNs/USA
RBS ETNs/USA
Investors Bank & Trust Co/Boston MA
Barclays Capital Inc
Barclays Capital Inc
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
WisdomTree Asset Management Inc
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Columbia Management Investment Advisers LLC
Columbia Management Investment Advisers LLC
United States
San Francisco
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Deutsche Bank AG
United States
New York
WisdomTree www.wisdomtree. Global Real com Return
WisdomTree Global Real Return Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund seeks total returns that exceed the rate of inflation over long-term investment horizons. The Fund invests in fixed income securities UNITED STATES designe
US
Growth&IncomeLarge Cap
1-240-497-6400
www.proshares.c ProShares Ultra om Russell 3000
ProShares Ultra Russell 3000 is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the Russell 3000 Index.
UNITED STATES
US
Geo Focus-Debt
1-877-369-4617
PowerShares DB PowerShares DB German Bund Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes www.DBXUS.co German Bund will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its UNITED STATES m Fut underlying index p
US
DE
Deutsche Bank AG
Currency
1-212-528-7990
www.etnplus.com
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Various Assets
1-240-497-6400
www.proshares.c ProShares om Merger ETF
ProShares Merger ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results, before fees and expenses, that track the performance of the S&P Merger Arbitrage Index.
UNITED STATES
US
JP Morgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank NA Advisors LLC RUBIN LLP
Commodity
1-877-369-4617
PowerShares DB Agriculture Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its m Agriculture Lon underlying index plus
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Undefined Equity
1-212-528-7990
iPath Inverse www.ipathetn.co S&P 500 VIX m Shor
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Value-Large Cap
1-800-774-3768 Tel
www.columbiama Columbia Select nagementetf.com Large Cap Valu
iPath Inverse S&P 500 VIX Short-Term Futures ETN is an exchange traded note issued in the USA. The Notes are linked to the inverse performance of the underlying index, and are designed to approximate the returns of a short position in the iPath S&P 500速 V Columbia Concentrated Large Cap Value ETF is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is total return. The Fund invests at least 80% of its assets in large cap stocks. This is an actively managed ETF.
UNITED STATES
US
US
Deutsche Bank AG
LUKE OLIVER
Bank of New York Mellon Corp/The
Pricewaterhou Columbia Bank of New York seCoopers Management Mellon Corp/The LLP Investment
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
UNITED STATES
US
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Grains ETN
The iPath Pure Beta Grains ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Commodit
US
GB
Barclays Capital Inc
Govt/Agency-Inter 1-877-437-9363 Term
www.direxionshar Direxion Daily 7es.com 10 Year Treas
Direxion Daily 7-10 Year Treasury Bear 1x Shares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to the inverse (opposite) of the daily performance of the NYSE 7- UNITED STATES 10 Yea
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York PAUL Management LLP Mellon/The BRIGANDI LLC
Undefined Equity
iShares MSCI www.ishares.com ACWI ex US Consum
iShares MSCI ACWI ex U.S. Consumer Staples ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Consumer Staples Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
www.DBXUS.co db X-Trackers m Regulated Utilit
db X-Trackers Regulated Utilities Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the DBIQ Regulated Utilities Index.
UNITED STATES
US
DE
Bank of New York Mellon
Ernst & Young
1-415-670-2000
Sector Fund-Utility 1-877-369-4617
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
12/12
NEIL EIGEN
UltraShort Telecommunications ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to twice (200%) the inverse (opposite) of the Dow Jones U.S. Select Telecommunications Index.
Commodity
3/23/11
MARTIN KREMENSTE IN
ProShares www.proshares.c UltraShort om Telecommu
Internet & Telecom 1-240-497-6400
Deutsche Bank AG
RBS ETNs/USA
1-212-896-1249
iPath Asian and Gulf Currency Revaluation ETN is an exchange-traded note issued in the USA. The Notes will provide iPath Asian & investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying Gulf Currency Re strategy which reflec
Deutsche Bank AG
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Various Assets
US
12/06/11
Barclays Capital Inc
Bank of New York Deutsche Mellon Bank AG
Barclays Capital Inc
3/23/11
JOHN 6/04/13 ROBERTSON
WisdomTree Asset Management Inc
Barclays Capital Inc
Deutsche Bank AG
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
Manager's Country
Manager's City Name
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Sugar ETN
The iPath Pure Beta Sugar ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Sugar Pur
US
Asian Pacific Ex Japan
1-240-497-6400
www.proshares.c ProShares Ultra om MSCI Pacific e
ProShares Ultra MSCI Pacific Ex-Japan is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the MSCI Pacific exJapan Index.
UNITED STATES
US
Currency
1-877-369-4617
PowerShares DB 3x Short US Dollar Index Futures ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. www.DBXUS.co PowerShares DB The Fund is designed to replicate being short the US Dollar against the following currencies: Euro, Japanese Yen, British UNITED STATES m 3x Short US Dol Pound, Canadian
US
DE
Deutsche Bank AG
Deutsche Bank AG
Commodity
1-802-257-1617
Teucrium Agricultural Fund is an exchange-traded fund incorporated in the USA. The investment objective of the Fund is to www.teucriumtag Teucrium have the daily changes in percentage terms of the Fund's NAV per Share reflect the daily changes in percentage terms of a sfund.com Agricultural Fund weighted av
UNITED STATES
US
US
Foreside Fund Services LLC
Teucrium Trading LLC
Growth-Large Cap 1-240-497-6400
www.proshares.c ProShares Ultra om Russell1000 Gr
UNITED STATES
US
Commodity
1-212-918-4954
www.etfsecurities ETFS Asian Gold .com/us/welcome ETFs Asian Gold Trust is a Trust incorporated in the USA. The Trust seeks to reflect the performance of gold bullion. Trust .asp
UNITED STATES
US
JE
Bank of New York Mellon/The
Growth & Income
1-212-528-7990
Barclays www.etnplus.com ETN+short B Leveraged
The Barclays ETN+ short B note is an exchange-traded note issued in the USA. The Notes provide investors with a cash payment at the scheduled maturity or optional redemption based on an inverse leveraged participation in the S&P 500 TR Index. The notes wi
UNITED STATES
US
GB
Investors Bank & Trust Co
1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Inform
iShares MSCI ACWI ex U.S. Information Technology ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Information Technology Index.
State Street Bank and Trust Co
Global Debt
1-212-896-1249
WisdomTree WisdomTree Global Corporate Bond Fund is an exchange-traded fund incorporated in the USA. The fund seeks to provide a www.wisdomtree. Global Corporate high level of total return consisting of both income and capital appreciation through investments in the debt of global corporate com Bo issuers
UNITED STATES
US
US
Balanced
1-855-329-3837
www.DBXUS.co db X-trackers In- db X-trackers In-Target Date Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results m Target Date F that correspond to the price and yield of the Zacks In-Target Lifecycle Index.
UNITED STATES
US
DE
Bank of New York Mellon
Ernst & Young
Growth&IncomeLarge Cap
1-866-787-2257
www.spdrs.com
The SPDR S&P 1500 Value Tilt ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide SPDR S&P 1500 investment results that before fees and expenses, correspond generally to the price and yield performance of the S&P 1500 Value Tilt ETF Low Valuation Tilt Ind
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
Currency
1-301-296-5100
CurrencyShares Chinese Renminbi Trust is a grantor trust formed under the laws of the State of New York. The investment www.rydexfunds. CurrencyShares objective of the Trust is for the Shares to reflect the price in USD of the Chinese Renminbi. The Sponsor believes that, for com/etf Chinese Renminb many inves
UNITED STATES
US
US
Bank of New York Mellon/The
Pricewaterhou Bank of New York Rydex seCoopers Mellon/The Investments LLP
Undefined Equity
1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Consum
iShares MSCI ACWI ex U.S. Consumer Discretionary ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Consumer Discretionary Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Geo Focus-Equity 1-630-765-8000
www.ftportfolios.c First Trust Hong om Kong AlphaDEX
First Trust Hong Kong AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Hong Kong Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Deloitte & Touche LLP
First Trust Advisors LP
First Trust Advisors LP
Emerging MarketEquity
1-866-787-2257
www.spdrs.com
SPDR S&P Small Cap Emerging Asia Pacific ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as closely as possible the performance of the S&P Asia Pacific Emerging Under USD 2 Billion Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Growth & Income
1-415-670-2000
iShares MSCI iShares MSCI USA Risk Weighted Index Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to track www.ishares.com USA Size Factor the performance of an index that measures the performance of U.S. large- and mid-capitalization stocks with relatively smaller E average ma
UNITED STATES
US
US
iShares/USA
iShares/USA
iShares/USA
Balanced
1-877-398-8461
www.alpsetfs.co m
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
Bank of New York ALPS Mellon Advisors Inc
ALPS Advisors Inc
ALPS Advisors Inc
Undefined Equity
1-855-RBS-ETPS
usmarkets.rbs.co RBS Global Big m/etnUS Pharma ETNs
RBS Global Big Pharma ETN is an exchange-traded note issued in the USA. The ETN is designed to track the performance of UNITED STATES the NYSE Arca Equal Weighted Pharmaceutical Total Return Index.
US
GB
Royal Bank Of Scotland
RBS ETNs/USA
RBS ETNs/USA
RBS ETNs/USA
Commodity
1-877-583-5624
VelocityShares 2x Inverse Platinum ETN is an exchange-traded note issued in the USA. The Note will provide investors with a www.velocityshar VelocityShares 2x cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the S&P UNITED STATES es.com Inverse Plat GSCI速 Platinu
US
CH
Credit Suisse Securities LLC
VLS Securities LLC
VelocityShare VelocityShares s LLC LLC
Currency
1-212-528-7990
iPath JPY/USD www.ipathetn.co Exchange Rate m ET
iPath JPY/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of the Japanese Yen/USD exchange rate; defined as th
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
ProShares www.proshares.c UltraShort om Russell10
UltraShort Russell1000 Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 1000 Growth UNITED STATES Index.
US
JPMorgan Investor Services Co
US
US
Guggenheim Funds Guggenheim Bank of New York ANNE Investment Advisors Ernst & Young Funds Mellon WALSH LLC Investment Ad
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
VINEER BHANSALI
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
Newport Beach
PETER DEININGER
Columbia Management Investment Advisers LLC
Columbia Management Investment Advisers LLC
Sector FundTechnology
Growth-Large Cap 1-240-497-6400
SPDR S&P Small Cap Emerging As
ALPS/GS Momentum Builder Multi
Guggenheim Enhanced Core Bond
Government/Corpo 1-888-949-3837 rate
www.guggenhei mfunds.com
Government/Agenc 1-888-400-4383 y
PIMCO Broad www.pimcoetfs.c U.S. Treasury om Inde
Ultra Russell1000 Growth ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the daily performance of the Russell 1000 Growth Index.
ALPS/GS Momentum Builder Multi-Asset Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the GS Momentum Builder Multi-Asset In
Guggenheim Enhanced Core Bond is an actively managed exchanged-traded fund incorporated in the USA. The Fund seeks total return, comprised of income and capital appreciation PIMCO Broad U.S. Treasury Index Exchange-Traded Fund is an exchanged-traded fund incorporated in the USA. The Fund's objective is to provide total return that closely corresponds to BofA Merrill Lynch Liquid US Treasury Index, which tracks the performance
UNITED STATES
UNITED STATES
US
GB
JPMorgan Investor Services Co
JPMorgan Investor Services Co
US
Barclays Capital Inc
Barclays Capital Inc
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
SAL GILBERTIE
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Teucrium Trading LLC
Teucrium Trading United States LLC
Battleboro
United States
Bethesda
ETF Securities USA LLC
ETF Securities USA LLC
Pricewaterhou Investors Bank & Barclays seCoopers Trust Co Capital Inc LLP
Barclays Capital Inc
Barclays Capital Inc
United States
New York
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
United States
New York
RYAN BRIST 1/31/13
Bank of New York DBX Strategic GLENN Mellon Advisors LLC DAVIS
Brown Brothers Harriman & Co
US
DE
1-800-774-3768 Tel
Columbia Growth Equity Strategy Fund is an actively managed exchange-traded fundincorporated in the USA. The Fund's www.columbiama Columbia Large objective is long-term capital appreciation.The Fund invest at least 80% of its net assets (plus the amount of any borrowings for UNITED STATES nagementetf.com Cap Growth ETF investmen
US
US
Bank of New York Mellon Corp/The
Pricewaterhou Columbia Bank of New York seCoopers Management Mellon Corp/The LLP Investment
Undefined Equity
1-888-800-4347
EGShares www.egshares.co Consumer m Services GEM
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
Commodity
1-212-528-7990
iPath Dow Jones-UBS Softs Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Softs Subi underlying index, the
UNITED STATES
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
WisdomTree Asset Management Inc
DBX Strategic DBX Strategic Advisors LLC Advisors LLC
JOHN A TUCKER
10/25/12
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Boston
NIKOLAOS BONOS
10/04/11
Rydex Investments
Rydex Investments
United States
Rockville
United States
San Francisco
JOHN A TUCKER
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
UNITED STATES
WisdomTree Asset Management Inc
08/09
First Trust Advisors LP
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Barclays Capital Inc
ProShare ProShare Advisors LLC Advisors LLC
ETF Securities USA LLC
Growth-Large Cap
EGShares Consumer Services GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Dow Jones Emerging Markets Titans Consumer Services 30 Index.
Barclays Capital Inc
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
01/12
Barclays Capital Inc
ProShare ProShare Advisors LLC Advisors LLC
Valley Forge
United States
New York
United States
Bethesda
United States
San Francisco
United States
New York
Emerging Emerging Global Global Advisors LLC Advisors LLC Barclays Capital Inc
Barclays Capital Inc
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
1-212-528-7990
iPath Dow Jones-UBS Lead Total Return Sub-IndexSM ETN is an exchange-traded note issued in the USA. The Notes will www.ipathetn.co iPath Dow Jonesprovide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the m UBS Lead Subin underlying index, the Do
Global Debt
1-240-497-6400
ProShares USD www.proshares.c Covered Bond om ETF
Growth&IncomeLarge Cap
1-877-398-8461
www.alpsetfs.co m
Commodity
Growth&IncomeLarge Cap
Commodity
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company US
GB
Fund's Administrator
Fund's Auditor
Fund's Investment Advisor
Fund's Manager
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare HOWARD S seCoopers Bank Advisors LLC RUBIN LLP
ProShares USD Covered Bond is an exchange-traded fund incorporated in the USA. The Fund seeks investment results, before fees and expenses, that track the performance of the BNP Paribas Diversified USD Covered Bond Index.
UNITED STATES
US
ALPS/GS Risk-Adjusted Return U.S. Large Cap Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the GS RiskAdjusted Return U.S
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
1-877-369-4617
PowerShares DB Base Metals Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the inverse (opposite) UNITED STATES m Base Metals Sho performance of its u
US
DE
Deutsche Bank AG
1-877-398-8461
www.alpsetfs.co m
UNITED STATES
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
www.marketvecto Market Vectors Market Vectors Double Long Euro ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a rsetns.com Double Long Eur cash payment at the scheduled maturity or early redemption, based on the performance of the Double Long Euro Index.
UNITED STATES
US
US
Morgan Stanley
www.rydexfunds. CurrencyShares com/etf Singapore Dolla
CurrencyShares Singapore Dollar Trust is an exchange-traded fund incorporated in the USA. The Fund's objective is to reflect the price in USD of the Singapore Dollar.
UNITED STATES
US
US
www.ipathetn.co iPath Pure Beta m Cotton ETN
The iPath Pure Beta Cotton ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Cotton P
US
GB
Government/Agenc 1-877-369-4617 y
PowerShares DB 3x Japanese Government Bond Futures ETN is an exchange-traded note issued in the USA by Deutsche www.DBXUS.co PowerShares DB Bank AG. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on triple UNITED STATES m 3x Japanese Gov the performance of
US
Emerging MarketEquity
www.spdrs.com
UNITED STATES
Government/Agenc 1-877-369-4617 y
Govt/AgencyInter/LT
ALPS/GS RiskAdjusted Return U
Fund's Custodian
Fund's Manager Start Date
Barclays Capital Inc
5/21/12
Manager's Country
Barclays Capital Inc
United States
New York
United States
Bethesda
United States
New York
ProShare ProShare Advisors LLC Advisors LLC
Manager's City Name
ALPS Advisors Inc
ALPS Advisors Inc
Deutsche Bank AG
Deutsche Bank AG
ALPS Advisors Inc
ALPS Advisors Inc
Morgan Stanley
Morgan Stanley
Morgan Stanley
United States
New York
Rydex Investments
Rydex Investments
Rydex Investments
United States
Rockville
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
DE
Deutsche Bank AG
Deutsche Bank AG
United States
New York
US
US
State Street Bank and Trust Co
PowerShares DB U.S. Deflation ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Note will offer www.DBXUS.co PowerShares DB investors exposure to the monthly performance of the short inflation index plus the monthly T-bill index return, reduced by the UNITED STATES m US Deflation ET investo
US
DE
Deutsche Bank AG
Deutsche Bank AG
1-212-528-7990
iPath US www.ipathetn.co Treasury 5-year m Bull
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Asian Pacific Ex Japan
1-415-670-2000
www.ishares.com
iShares MSCI All Country Asia ex Japan Small-Cap ETF is an exchange-traded fund incorporated in the USA. The ETF seeks iShares MSCI All investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI All UNITED STATES Country Asia Country Asia
US
US
State Street Bank and Trust Co
Emerging MarketEquity
1-877-583-5624
VelocityShares Emerging Markets DR ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.velocityshar VelocityShares results that correspond generally to the performance, before fees and expenses, of its underlying index, the BNY Mellon es.com Emerging Market Emerging Markets D
Currency
Currency
Commodity
Growth&IncomeLarge Cap
1-301-296-5100
1-212-528-7990
1-866-787-2257
ALPS/GS Momentum Builder Growt
ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the GS
SPDR MSCI EM The SPDR MSCI EM 50 ETF is an exchange-traded fund incorporated in the USA. The Fund's objective is to replicate as 50 ETF closely as possible the performance of the MSCI EM 50 Index.
iPath US Treasury 5-year Bull ETN is linked to the performance of the underlying Index, and seeks to capture returns from a decrease in the yields available to investors purchasing 5-year U.S. Treasury notes through a notional rolling 'long' investment in
SPDR S&P 1500 The SPDR S&P 1500 Momentum Tilt ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to provide Momentum Tilt investment results that before fees and expenses, correspond generally to the price and yield performance of the S&P 1500 ET Positive Momentum T
UNITED STATES
ALPS Fund Services Inc
US
Bank of New York ALPS Mellon Advisors Inc
Fund's Management Company
Deutsche Bank AG
Bank of New York ALPS Mellon Advisors Inc
Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
ALPS Advisors Inc Pricewaterhou SSgA Funds State Street Bank seCoopers Management and Trust Co LLP Inc
US
US
State Street Bank and Trust Co
www.velocityshar VelocityShares es.com 3X Inverse Bren
VelocityShares Daily 3x Inverse Brent Crude ETN is an exchange-traded note issued in the USA. The Note will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES S&P GSCI速 Br
US
CH
Credit Suisse Securities LLC
Internet & Telecom 1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Teleco
iShares MSCI ACWI ex U.S. Telecommunication Services ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Telecommunications UNITED STATES Index .
US
US
State Street Bank and Trust Co
Growth&IncomeSmall Cap
1-212-528-7990
iPath Long The iPath LX Russell 2000 ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash www.ipathetn.co Extended Russell payment at the scheduled maturity or optional redemption based on a leveraged participation in the Russell 2000 TR Index. m 20 The ETNs will auto
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Commodity
1-877-369-4617
PowerShares DB Commodity Double Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The www.DBXUS.co PowerShares DB Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the double the m Commodity Doubl inverse (opposite) perf
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Undefined Equity
1-212-528-7990
iPath Inverse www.ipathetn.co S&P 500 VIX m Shor
iPath Inverse S&P 500 VIX Short-Term FuturesTM ETN (II) is an exchange traded note issued in the USA. The Notes are linked to the inverse performance of the underlying index, and are designed to approximate the returns of a short position in the UNITED STATES S&P 500 V
US
GB
Barclays Capital Inc
Commodity
1-877-583-5624
Government/Agenc 1-212-528-7990 y-LT
www.spdrs.com
LUKE OLIVER
3/23/11
Deutsche Bank AG
Deutsche Bank AG
JOHN A TUCKER
02/12
SSgA Funds Management Inc
SSgA Funds United States Management Inc
Valley Forge
LUKE OLIVER
12/06/11
Deutsche Bank AG
Deutsche Bank AG
United States
New York
Barclays Capital Inc
Barclays Capital Inc
United States
Denver
SSgA Funds United States Management Inc
Boston
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
UNITED STATES
1-866-787-2257
LUKE OLIVER
MICHAEL AKINS
JOHN A TUCKER
BlackRock BlackRock Fund Fund Advisors Advisors
2013
VelocityShare VelocityShares s LLC LLC
10/25/12
SSgA Funds Management Inc
VLS Securities LLC Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
MARTIN KREMENSTE IN
Barclays PLC
VelocityShare VelocityShares s LLC LLC
United States
Darien
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
United States
New York
United States
New York
Barclays Capital Inc
Barclays Capital Inc
Deutsche Bank AG
Deutsche Bank AG
Barclays PLC Barclays PLC
iPath US www.ipathetn.co Treasury Long m Bond Bu
iPath US TSY Long Bond Bull ETN is linked to the performance of the underlying Index, and seeks to capture returns from a decrease in the yields of long-dated U.S. Treasury bonds (which are U.S. Treasury bonds with a remaining term to maturity of UNITED STATES 15 years
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
US
Morgan Stanley
Morgan Stanley
Morgan Stanley
Morgan Stanley
United States
New York
FFCM LLC
FFCM LLC
United States
Boston
United States
New York
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Copper ETN
The iPath Pure Beta Copper ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Copper P
Commodity
1-855-227-2994
Morgan Stanley www.morganstan S&P 500 Crude ley.com/etns O
Morgan Stanley S&P 500 Crude Oil Linked ETN is an exchange-traded note issued by Morgan Stanley. The Notes will provide investors with a cash payment at the scheduled maturity or early repurchase based on the performance of the underlying index, UNITED STATES the S&P 5
US
Market NeutralEquity
617-292-9801
www.quantshares.com
QuantShares US Market Neutral Momentum Fund is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that closely correspond to the Dow Jones US Thematic Market Neutral Momentum Total Return Index. UNITED STATES The Index holds lo
US
JPMorgan Chase Bank NA
Derivative-Asset Alloc
1-212-786-7481
FactorShares 2X: TBond Bull/S&P500 Bear is an exchange-traded fund incorporated in the USA. The Fund's objective is to www.factorshares FactorShares 2X: track approximately -200% of the daily return of the S&P US Equity Risk Premium Total Return Index by primarily establishing UNITED STATES .com TBond Bull/S& a leveraged
US
State Street Bank and Trust Co
Growth
1-212-528-7990
Barclays www.etnplus.com ETN+long B Leveraged
US
QuantShares U.S. Market Neutra
The Barclays ETN+ long B note is an exchange-traded note issued in the USA. The Notes provide investors with a cash payment at the scheduled maturity or optional redemption based on a leveraged participation in the S&P 500 TR Index. The notes will automat
UNITED STATES
GB
Investors Bank & Trust Co
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Pricewaterhou JPMorgan Chase seCoopers FFCM LLC Bank NA LLP
KISHORE KARUNAKAR 9/06/11 AN
Factor Capital State Street Bank STUART Management 2/24/11 and Trust Co ROSENTHAL LLC Pricewaterhou Investors Bank & Barclays seCoopers Trust Co Capital Inc LLP
Barclays Capital Inc
Barclays Capital Inc
Factor Capital Factor Capital Management Management LLC LLC Barclays Capital Inc
Barclays Capital Inc
Company Telephone Number
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
1-877-369-4617
PowerShares DB Base Metals Long ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of its UNITED STATES m Base Metals Lon underlying index plus
Undefined Equity
1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Indust
iShares MSCI ACWI ex U.S. Industrials ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment UNITED STATES results that correspond to the performance of the MSCI All Country World ex USA Industrials Index.
US
US
Undefined Equity
1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Materi
iShares MSCI ACWI ex U.S. Materials ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the performance of the MSCI All Country World ex USA Materials Index.
UNITED STATES
US
Currency
1-212-528-7990
iPath EUR/USD www.ipathetn.co Exchange Rate m ET
iPATH EUR/USD Exchange Rate ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption, based on the performance of Euro/USD exchange rate; defined as the number (or
UNITED STATES
Undefined Equity
1-888-800-4347
EGShares www.egshares.co EGShares Consumer Goods GEMS ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the Consumer Goods m performance of the Dow Jones Emerging Consumer Goods 30 Index. GEMS E
Currency
1-212-528-7990
Commodity
US
DE
Fund's Administrator
Fund's Auditor
Fund's Custodian
Fund's Investment Advisor
Deutsche Bank AG
Deutsche Bank AG
Fund's Manager
Fund's Management Company
Fund's Manager Start Date
MARTIN KREMENSTE IN
Deutsche Bank AG
Deutsche Bank AG
New York
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Barclays Capital Inc
United States
New York
State Street Bank and Trust Co
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
US
GB
Barclays Capital Inc
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
www.ipathetn.co iPath GEMS m Index ETN
iPath GEMS Index ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Global Emerging UNITED STATES Markets St
US
GB
Investors Bank & Trust Co/Boston MA
Pricewaterhou Investors Bank & seCoopers Barclays Trust Co/Boston LLP/Albany Capital Inc MA NY
Government/Corpo 1-800-774-3768 rate Tel
www.columbiama Columbia Core nagementetf.com Bond ETF
Columbia Core Bond Strategy Fund is an actively managed exchange-traded fund incorporated in the USA. The Fund's objective is high current income. The Fund invests at least 80% of its net assets in debt securities. The Fund invests primarily UNITED STATES in municipal,
US
US
Bank of New York Mellon Corp/The
Pricewaterhou Columbia Bank of New York seCoopers Management Mellon Corp/The LLP Investment
Value-Mid Cap
ProShares www.proshares.c UltraShort om Russell M
UltraShort Russell MidCap Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell MidCap Value UNITED STATES Index.
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
JPMorgan Double Short US 10 Year Treasury Futures ETN is an exchange traded note issued in the USA by JPMorgan Chase JPMorgan Double & Co. The ETN seeks to provide double inverse exposure to the NYSE US 10 Year Treasury Futures Index, compounded from UNITED STATES Short US 10 Ye one reset period to
US
US
JP Morgan Securities Inc
JPMorgan Chase & Co
JPMorgan Chase & Co
JPMorgan Chase & Co
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
1-240-497-6400
Government/Agenc 1-800-576-3529 y-LT
Emerging HABIB Bank of New York Global MOUDACHIR Mellon/The Advisors LLC OU
ORHAN IMER 8/02/11
Manager's City Name
United States
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
Barclays Capital Inc
Manager's Country
Barclays Capital Inc
Emerging Emerging Global Global Advisors LLC Advisors LLC Barclays Capital Inc
Barclays Capital Inc
Columbia Management Investment Advisers LLC
Columbia Management Investment Advisers LLC
United States
San Francisco
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Aluminum ETN
The iPath Pure Beta Aluminum ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital Alumin
UNITED STATES
US
GB
Barclays Capital Inc
Sector FundEnergy
1-415-670-2000
iShares MSCI www.ishares.com ACWI ex US Energy
iShares MSCI ACWI ex U.S. Energy ETF is an exchange-traded fund incorporated in the USA. The ETF seeks investment results that correspond to the performance of the MSCI All Country World ex USA Energy Index.
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock GREG seCoopers and Trust Co Fund Advisors SAVAGE LLP
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
Value-Large Cap
1-240-497-6400
ProShares www.proshares.c UltraShort om Russell10
UltraShort Russell1000 Value ProShares is an exchange-traded fund incorporated in the USA. The Fund seeks daily investment results that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 1000 Value Index.
UNITED STATES
US
JPMorgan Investor Services Co
Pricewaterhou JPMorgan Chase ProShare TODD seCoopers Bank Advisors LLC JOHNSON LLP
ProShare ProShare Advisors LLC Advisors LLC
United States
Bethesda
Market NeutralEquity
617-292-9801
www.quantshares.com
QuantShares U.S. Market Neutra
QuantShares US Market Neutral Size Fund is an exchange-traded fund incorporated in the USA. The Fund will seek daily investment results that closely correspond to the Dow Jones US Thematic Market Neutral Size Total Return Index. The Index tracks the sprea
UNITED STATES
US
JPMorgan Chase Bank NA
Pricewaterhou JPMorgan Chase seCoopers FFCM LLC Bank NA LLP
FFCM LLC
FFCM LLC
United States
Boston
Closed-end Funds 1-877-398-8461
www.alpsetfs.co m
ALPS/GS Momentum Builder Asia
ALPS/GS Momentum Builder Asia ex-Japan Equities and U.S. Treasuries Index ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the UNITED STATES performance of the GS
US
US
ALPS Fund Services Deloitte & Inc Touche LLP
ALPS Advisors Inc
ALPS Advisors Inc
Geo Focus-Debt
PIMCO Germany www.pimcoetfs.c PIMCO Germany Bond Index Exchange-Traded Fund is an exchange-traded fund incorporated in the USA. The Fund seeks to Bond Index UNITED STATES om track the perfromance of the BofA Merrill Lynch Diversified Germany Bond Index. Excha
US
DE
Pricewaterhou Pacific Pacific Investment State Street Bank seCoopers Investment Management Co LLC and Trust Co LLP Management
Pacific Investment Management Co LLC
Pacific Investment Management Co LLC
Closed-end Funds 1-800-920-0259
www.unitedstates United States Metals Index Fund is an exchange-traded fund incorporated in the USA. The Fund objective is for the daily United States metalsindexfund. changes in percentage terms of its Units' NAV to reflect the daily changes in percentage terms of the SummerHaven Metals Metals Index Fun com Index Total Re
UNITED STATES
US
United States
Alameda
Closed-end Funds 1-212-528-7990
iPath Long www.ipathetn.co Extended S&P m 500 TR
The iPath LX S&P 500 TR Index ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash payment at the scheduled maturity or optional redemption based on a leveraged participation in the S&P 500 TR Index. The UNITED STATES ETNs will autom
US
GB
Undefined Equity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Livestock ETN
The iPath Pure Beta Livestock ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital Commo
UNITED STATES
US
Commodity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Lead ETN
The iPath Pure Beta Lead ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays Capital UNITED STATES Lead Pure
Growth&IncomeLarge Cap
1-212-528-7990
iPath Long The iPath LX Russell 1000 ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash www.ipathetn.co Extended Russell payment at the scheduled maturity or optional redemption based on a leveraged participation in the Russell 1000 TR Index. m 10 The ETNs will auto
Various Assets
1-866-848-9727
www.ftportfolios.c KEYnotes ETNs om Linked to the Fi
Commodity
RBS Rogers RBS Rogers Enhanced Energy ETNs is an exchange-traded note issued in the USA. The ETN will track the RICI Enhanced usmarkets.rbs.co 1-855-RBS-ETPS Enhanced Energy Energy Total Return Index which provides exposure to 6 commodities. The Index attempts to track prices changes for m/etnUS Exc individual commodities in
1-888-400-4383
KEYnotes Exchange Traded Notes Linked to the First Trust Enhanced 130/30 Large Cap Index is an exchange-traded note issued in the USA by JPMorgan Chase & Co. The Notes will provide a cash payment at the scheduled maturity or upon early repurchase based on
KISHORE KARUNAKAR 9/06/11 AN
Bank of New York ALPS Mellon Advisors Inc LORENZO PIETRO PAGANI
United States ANDREW F Commodities NGIM Fund
United States United States Commodities Commodities Fund LLC Fund LLC
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
UNITED STATES
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
UNITED STATES
US
US
JPMorgan Chase & Co
JPMorgan Chase & Co
JPMorgan Chase & Co
JPMorgan Chase United States & Co
UNITED STATES
US
GB
Royal Bank Of Scotland
RBS ETNs/USA
RBS ETNs/USA
RBS ETNs/USA
First Trust Advisors LP
First Trust Advisors LP
First Trust Advisors LP
Brown Brothers Harriman & Co
EisnerAmper LLP
Brown Brothers Harriman & Co
Geo Focus-Equity 1-630-765-8000
First Trust www.ftportfolios.c Taiwan om AlphaDEX Fu
First Trust Taiwan AlphaDEX Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the Defined Taiwan Index.
UNITED STATES
US
US
Brown Brothers Harriman & Co
Undefined Equity
1-212-528-7990
www.ipathetn.co iPath Pure Beta m Precious Metal
The iPath Pure Beta Precious Metals ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, the Barclays UNITED STATES Capital
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Commodity
1-212-528-7990
iPath Pure Beta www.ipathetn.co S&P GSCIm Weigh
The iPath Pure Beta S&P GSCI-Weighted ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a cash payment at the scheduled maturity or early redemption based on the performance of the underlying index, UNITED STATES the Barclays Capit
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
International Equity 1-212-528-7990
iPath Long www.ipathetn.co Enhanced MSCI m EAFE
The iPath LE MSCI EAFE Index ETN is an exchange-traded note issued in the USA. The ETNs provide investors with a cash payment at the scheduled maturity or optional redemption based on a leveraged participation in the MSCI EAFE Net TR Index. UNITED STATES The ETNs will
US
GB
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Barclays Capital Inc
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Deloitte & Touche LLP
Brown Brothers Harriman & Co
Lisle
Company Telephone Number
Region Fnd-Asian Pacific
1-877-583-5624
Company's Web Security's Name Address
Country
VelocityShares Emerging Asia DR ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment www.velocityshar VelocityShares results that correspond generally to the performance, before fees and expenses, of its underlying index, the BNY Mellon es.com Emerging Asia D Emerging Asia DR Inde
Government/Agenc +44-20-3370y 1100
PIMCO German www.source.info Government Bond I
Growth&IncomeLarge Cap
www.ELEMENT Setn.com
1-877-ETNADVICE
Fund's Description
UNITED STATES
Ultimate Country of Country of Incorporation Incorporation of Parent Company
US
IE
ELEMENTS ELEMENTS - "Dogs of the Dow" Linked to the Dow Jones High Yield Select 10 Total Return Index is an exchange-traded note Dogs of the Dow issued in the USA by Deutsche Bank AG. The Notes will provide investors with a cash payment at the scheduled maturity or UNITED STATES Lin repurchase at
US
US
Guggenheim BulletShares 2022 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield performance of the BulletShares USD Corporate Bond 2022 Index.
Fund's Auditor
Fund's Custodian
ALPS Fund Services Inc
US
PIMCO German Government Bond Index Source ETF is a UCITS compliant exchange-traded fund incorporated in Ireland. The UNITED STATES Fund seeks to track the performance of the Markit iBoxx EUR Germany Index.
Guggenheim BulletShares 2022 C
Fund's Administrator
Fund's Investment Advisor
ALPS Advisors Inc
HSBC USA Inc
Deutsche Bank AG
Guggenheim Bank of New York Funds Mellon Corp/The Investment Ad
US
US
Currency
www.marketvecto Market Vectors Market Vectors Double Short Euro ETN is an exchange-traded note issued in the USA. The Notes will provide investors with a UNITED STATES rsetns.com Double Short Eu cash payment at the scheduled maturity or early redemption, based on the performance of the Double Short Euro Index.
US
US
Morgan Stanley
Morgan Stanley
UNITED STATES
US
DE
Deutsche Bank AG
Deutsche Bank AG
Credit Suisse Commodity Benchmark ETN is an exchange-traded note issued in the USA. The CS Commodities Benchmark UNITED STATES ETN tracks the return of a long-only broad based commodities index of 34 commodities with monthly rebalancing over 15 days.
US
CH
Commodity
1-212-538-7333
www.creditsuisse.com/etn
Corp/Pref-Inv Grade
1-415-670-2000
iSharesBond www.ishares.com 2016 Corporate Ter
iSharesBond 2016 Corporate Term ETF is an exchange-traded fund incorporated in the USA. The fund seeks to track the Barclays 2016 Maturity Corporate Index.
UNITED STATES
US
US
Corp/Pref-Inv Grade
1-415-670-2000
iSharesBond www.ishares.com 2020 Corporate Ter
iSharesBond 2020 Corporate Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays 2020 Maturity Corporate Index.
UNITED STATES
US
Corp/Pref-Inv Grade
1-415-670-2000
iSharesBond www.ishares.com 2023 Corporate Ter
iSharesBond 2023 Corporate Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays 2023 Maturity Corporate Index.
UNITED STATES
Corp/Pref-Inv Grade
1-415-670-2000
iSharesBond www.ishares.com 2018 Corporate Ter
iSharesBond 2018 Corporate Term ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the performance of the Barclays 2018 Maturity Corporate Index.
Credit Suisse Commodity Benchm
Market Vectors Israel ETF
Deutsche Bank AG
United States
New York
Credit Suisse Credit Suisse AG United States AG
New York
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock SCOTT seCoopers and Trust Co Fund Advisors RADELL LLP
BlackRock BlackRock Fund Fund Advisors Advisors
UNITED STATES
US
US
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock SCOTT seCoopers and Trust Co Fund Advisors RADELL LLP
BlackRock BlackRock Fund Fund Advisors Advisors
Market Vectors Israel ETF is an exchange-traded fund incorporated in the USA. The fund seeks to replicate as closely as possible, before fees and expenses, the total return of the Bluestar Israel Global Index. The Index is a rules-based index intended to
UNITED STATES
US
US
Van Eck Associates Corp
Ernst & Young
UNITED STATES
US
Credit Suisse Securities LLC
Depository Trust Co/The
Growth&IncomeLarge Cap
1-877-583-5624
www.velocityshar VelocityShares es.com Volatility Hedg
VelocityShares Volatility Hedged Large Cap ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond generally, before fees and expenses, to the performance of the VelocityShares Volatility Hedged Large Cap
UNITED STATES
US
Credit Suisse Securities LLC
Depository Trust Co/The
Growth&IncomeLarge Cap
405-778-8377
www.exchangetra Horizons S&P Horizons S&P 500 Covered Call ETF is an exchange-traded fund incorporated in the USA. The Fund seeks to track the dedconcepts.com 500 Covered Call performance of the S&P 500 Stock Covered Call Index.
Growth&IncomeSmall Cap
1-212-896-1249
Growth&IncomeLarge Cap
1-877-437-9363
06/13
Van Eck Associates Corp
VLS MICHAEL Securities LLC AKINS
2013
VLS MICHAEL Securities LLC AKINS
2013
ExchangeTraded Concepts
Van Eck Associates Corp
United States
New York
VelocityShare VelocityShares s LLC LLC
United States
Denver
VelocityShare VelocityShares s LLC LLC
United States
Denver
ExchangeTraded Concepts
Exchange-Traded Concepts
WisdomTree Asset Management Inc
WisdomTree Asset Management Inc
UNITED STATES
US
WisdomTree www.wisdomtree. Japan Hedged com SmallC
WisdomTree Japan Hedged Small Cap Fund is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond to the WisdomTree Japan Hedged SmallCap Equity Index. The Fund invests in dividend paying, small-cap UNITED STATES companies incorporated i
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
www.direxionshar Direxion Daily es.com Japan 3x Bear S
Direxion Daily Japan 3x Bear Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% the inverse (-3x) of the performance of the MSCI Daily Total Return Net Japan Index.
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Rafferty Asset Rafferty Asset Management United States Management LLC LLC WisdomTree Asset Management Inc
UNITED STATES
Growth&IncomeLarge Cap
1-212-896-1249
WisdomTree www.wisdomtree. United Kingdom com Hedg
WisdomTree United Kingdom Hedged Equity Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree United Kingdom Hedged Equity Index. The Fund invests in dividend paying companies incorpor
UNITED STATES
US
US
Bank of New York Mellon Corp/The
WisdomTree Ernst & Young Bank of New York Asset LLP Mellon Corp/The Management In
Growth&IncomeLarge Cap
1-877-437-9363
www.direxionshar Direxion Daily es.com Japan 3x Bull S
Direxion Daily Japan 3x Bull Shares is an exchange-traded fund incorporated in the USA. The Fund's objective is daily investment results of 300% of the performance of the MSCI Daily Total Return Net Japan Index.
UNITED STATES
US
US
US Bancorp Fund Services LLC
Rafferty Asset Ernst & Young Bank of New York Management LLP Mellon/The LLC
Emerging MarketEquity
1-888-800-4347
EGShares www.egshares.co Emerging m Markets Divi
EGShares Emerging Markets Dividend Growth ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond (before fees and expenses) to the price and yield performance of the FTSE Emerging All Cap ex-Taiwan Divers
UNITED STATES
US
US
Bank of New York Mellon/The
BBD LLP
ALPS International Sector Dividend Dogs ETF is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that replicate as closely as possible, before fees and expenses, the performance of the S-Network International Sector Divide
UNITED STATES
US
US
ALPS International Sector Divi
www.alpsetfs.co m
Growth&IncomeLarge Cap
iShares MSCI www.ishares.com USA Quality Facto
The iShares MSCI USA Quality Factor ETF (the "Fund") seeks to track the investment results of an index that measures the performance of U.S. large- and mid-capitalization stocks as identified through three fundamental variables: return on equity, earnings
UNITED STATES
US
US
International Equity 1-877-843-3831
www.advisorshar AdvisorShares es.com Athena Internati
AdvisorShares Athena International Bear ETF is an exchange-traded fund incorporated in the USA. The ETF seeks capital appreciation through short sales of international equity securities listed on American exchanges.
UNITED STATES
US
US
AdvisorShares Trust
Government/Corpo 1-888-949-3837 rate
www.guggenhei mfunds.com
Guggenheim BulletShares 2021 Corporate Bond ETF is an exchange-traded fund incorporated in the USA. The Fund seeks results that correspond generally to the price and yield performance of the BulletShares USD Corporate Bond 2021 Index.
UNITED STATES
US
US
Guggenheim Bank of New York Funds Mellon Corp/The Investment Ad
KraneShares CSI China Five Year Plan ETF seeks investment results that correspond generally to the price and yield KraneShares CSI performance, before fees and expenses, of the CSI Overseas China Five Year Plan Index. The Index is designed to measure China Five Yea the performance of a
UNITED STATES
US
Guggenheim BulletShares 2021 C
WisdomTree www.wisdomtree. U.S. SmallCap com Divid
WisdomTree U.S SmallCap Dividend Growth Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree U.S. SmallCap Dividend Growth Index. The Fund invests in dividendpaying, small capitaliza
UNITED STATES
US
KAREN Q. WONG
KAREN Q. WONG
Emerging Bank of New York RICHARD C Global Mellon/The KANG Advisors LLC
International Equity 1-877-398-8461
Aggressive Growth 1-212-896-1249
Deutsche Bank AG
BlackRock BlackRock Fund Fund Advisors Advisors
VelocityShares Tail Risk Hedged Large Cap ETF is an exchange traded fund incorporated in the USA. The Fund seeks investment results that correspond generally, before fees and expenses, to the performance of its underlying index, the VelocityShares Tail Ri
New York
New York
Pricewaterhou State Street Bank BlackRock SCOTT seCoopers and Trust Co Fund Advisors RADELL LLP
www.velocityshar VelocityShares es.com Tail Risk Hedge
United States
United States
State Street Bank and Trust Co
1-877-583-5624
Denver
Morgan Stanley
US
HAO-HUNG LIAO "PETER"
United States
Morgan Stanley
BlackRock BlackRock Fund Fund Advisors Advisors
Van Eck Bank of New York Associates Mellon Corp
6/28/13
7/01/13
ALPS ETF Trust
State Street Bank and Trust Co
Pricewaterhou State Street Bank BlackRock seCoopers and Trust Co Fund Advisors LLP
WisdomTree Asset Management Inc
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
New York
WisdomTree Asset Management Inc
Rafferty Asset Rafferty Asset Management United States Management LLC LLC
New York
Emerging Emerging Global Global United States Advisors LLC Advisors LLC
New York
ALPS ETF Trust
ALPS ETF Trust
BlackRock BlackRock Fund Fund Advisors Advisors
United States
San Francisco
AdvisorShares AdvisorShares Trust Trust
Krane Fund DENISE M Advisors LLC KRISKO
US
6/28/13
Manager's City Name
Lisle
State Street Bank and Trust Co
Growth&IncomeLarge Cap
Brendan Ahern 646 218 9852
Deutsche Bank AG
Manager's Country
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Pricewaterhou State Street Bank BlackRock SCOTT seCoopers and Trust Co Fund Advisors RADELL LLP
www.vaneck.com
Closed-end Funds
MARTIN KREMENSTE IN
Credit Suisse AG
Geo Focus-Equity 1-212-293-2000
1-415-670-2000
VelocityShare VelocityShares s LLC LLC
Deutsche Bank AG
UNITED STATES
PowerShares DB Agriculture Short ETN is an exchange-traded note issued in the USA by Deutsche Bank AG. The Notes will www.DBXUS.co PowerShares DB provide investors with a cash payment at the scheduled maturity or early redemption, based on the inverse (opposite) m Agriculture Sho performance of its u
2013
PIMCO Fixed PIMCO Fixed Income Income Source Source ETFs ETFs plc plc
www.guggenhei mfunds.com
1-877-369-4617
MICHAEL AKINS
Fund's Management Company
Fund's Manager Start Date
PIMCO Fixed MICHAEL Income SUROWIECK Source ETFs I
Government/Corpo 1-888-949-3837 rate
Commodity
Fund's Manager
KAREN Q. WONG
Guggenheim Guggenheim Funds Funds Investment United States Investment Advisors LLC Advisors LLC
Lisle
07/13
Krane Fund Krane Fund Advisors LLC Advisors LLC
United States
New York
6/28/13
WisdomTree Asset Management Inc
WisdomTree Asset United States Management Inc
New York
Company Telephone Number
Geo Focus-Equity 1-855-480-6274
Growth&IncomeLarge Cap
1-877-583-5624
Aggressive Growth 1-212-896-1249
Internet & Telecom
Brendan Ahern 646 218 9852
Derivative-Asset Alloc
1-630-765-8000
Company's Web Security's Name Address
Fund's Description
Country
Ultimate Country of Country of Incorporation Incorporation of Parent Company
Fund's Administrator
Fund's Auditor
Fund's Custodian
The Nashville Area ETF is an exchange-traded fund incorporated in the USA. The ETF seeks to track the performance of the LocalShares Nashville Index.
UNITED STATES
US
US
SEI Investments Global Funds Services
Ernst & Young Brown Brothers LLP Harriman & Co
VelocityShares Equal Risk Weighted Large Cap ETF is an exchange-traded fund incorporated in the USA. The Fund aims to www.velocityshar VelocityShares provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the esetfs.com Equal Risk Weig VelocityShares
UNITED STATES
US
US
SEI Investments Global Funds Services
Brown Brothers Harriman & Co
WisdomTree www.wisdomtree. Emerging com Markets Di
UNITED STATES
US
US
WisdomTree Asset Management Inc
UNITED STATES
US
UNITED STATES
US
Nashville Area ETF
WisdomTree Emerging Markets Dividend Growth Fund is an exchange-traded fund incorporated in the USA. The Fund seeks investment results that correspond to the WisdomTree Emerging Markets Dividend Growth Index. The Fund invests in dividend-paying companies
The KraneShares CSI China Internet ETF seeks to provide investment results that, before fees and expenses, correspond KraneShares CSI generally to the price and yield performance of the CSI Overseas China Internet Index. The index is designed to measure the China Internet performance o First Trust www.ftportfolios.c Morningstar om Manage
First Trust Morningstar Managed Futures Strategy Fund is an exchange-traded fund incorporated in the USA. The Fund is an actively managed ETF that seeks to achieve positive returns that are not directly correlated to broad market equity or fixed income re
Fund's Investment Advisor
Bank of New York Mellon Corp/The
Q.M.S Advisors Av. C.-F. Ramuz, 85 | 1009, Pully - CH | tel: +41 (0)78 922 08 77 | +41 (0)21 711 40 89 | e-mail: info@qmsadv.com |
Deloitte & Touche LLP
Bank of New York First Trust Mellon Corp/The Advisors LP
Manager's Country
Manager's City Name
Decker Wealth Decker Wealth Management Management LLC LLC
Exchange DENISE M Traded KRISKO Concepts LLC
WisdomTree WisdomTree Asset Ernst & Young Asset Management Management Inc In
Fund's Management Company
Fund's Manager Start Date
LocalShares
Krane Fund Advisors LLC
US
Fund's Manager
KAREN Q. WONG
07/13
Exchange Exchange Traded Traded United States Concepts LLC Concepts LLC
Philadelphia
6/28/13
WisdomTree Asset Management Inc
New York
WisdomTree Asset United States Management Inc
Krane Fund Krane Fund Advisors LLC Advisors LLC
United States
New York
First Trust Advisors LP
United States
Lisle
First Trust Advisors LP