SR-BATS Exhibit 3 Page 19 of 26
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1 SR-BATS Exhibit 3 Page 19 of 26 AAXJ ACWI ACWX ADRE AGG AGZ AMJ BAB BBH BDG BIK BIL BIV BKF BLV BND BOS BRF BSV BWX CEW CFT CIU CSJ CUT CVY CWB CYB DBA DBB DBC DBO DBP DBV DDG DEM DFJ DGS DIA DJP DNO DOG DVY ishares MSCI All Country Asia ex Japan Index Fund ishares MSCI ACWI Index Fund ishares MSCI ACWI ex US Index Fund BLDRS Emerging Markets 50 ADR Index Fund ishares Barclays Aggregate Bond Fund ishares Barclays Agency Bond Fund JPMorgan Alerian MLP Index ETN PowerShares Build America Bond Portfolio Biotech HOLDRs Trust PowerShares DB Base Metals Long ETN SPDR S&P BRIC 40 ETF SPDR Barclays Capital 1-3 Month T-Bill ETF Vanguard Intermediate-Term Bond ETF ishares MSCI BRIC Index Fund Vanguard Long-Term Bond ETF Vanguard Total Bond Market ETF PowerShares DB Base Metals Short ETN Market Vectors Brazil Small-Cap ETF Vanguard Short-Term Bond ETF SPDR Barclays Capital International Treasury Bond ETF WisdomTree Dreyfus Emerging Currency Fund ishares Barclays Credit Bond Fund ishares Barclays Intermediate Credit Bond Fund ishares Barclays 1-3 Year Credit Bond Fund Claymore/Beacon Global Timber Index ETF Claymore/Zacks Multi-Asset Income Index ETF SPDR Barclays Capital Convertible Securities ETF WisdomTree Dreyfus Chinese Yuan Fund PowerShares DB Agriculture Fund PowerShares DB Base Metals Fund PowerShares DB Commodity Index Tracking Fund PowerShares DB Oil Fund PowerShares DB Precious Metals Fund PowerShares DB G10 Currency Harvest Fund ProShares Short Oil & Gas WisdomTree Emerging Markets Equity Income Fund WisdomTree Japan SmallCap Dividend Fund WisdomTree Emerging Markets SmallCap Dividend Fund SPDR Dow Jones Industrial Average ETF Trust ipath Dow Jones-UBS Commodity Index Total Return ETN/United States United States Short Oil Fund ProShares Short Dow30 ishares Dow Jones Select Dividend Index Fund
2 SR-BATS Exhibit 3 Page 20 of 26 DWM DWX ECH EEB EEM EFA EFG EFV EFZ EIS EMB EPI EPP EPU EUM EWA EWC EWD EWG EWH EWI EWJ EWK EWL EWM EWN EWO EWP EWQ EWS EWT EWU EWW EWX EWY EWZ EZA EZU FBT FCG FDN FNI FXA FXB FXC WisdomTree DEFA Fund SPDR S&P International Dividend ETF ishares MSCI Chile Investable Market Index Fund Claymore/BNY BRIC ETF ishares MSCI Emerging Markets Index Fund/United States ishares MSCI EAFE Index Fund ishares MSCI EAFE Growth Index ishares MSCI EAFE Value Index ProShares Short MSCI EAFE ishares MSCI Israel Capped Index Fund ishares JPMorgan USD Emerging Markets Bond Fund WisdomTree India Earnings Fund ishares MSCI Pacific ex-japan Index Fund ishares MSCI All Peru Capped Index Fund ProShares Short MSCI Emerging Markets ishares MSCI Australia Index Fund ishares MSCI Canada Index Fund ishares MSCI Sweden Index Fund ishares MSCI Germany Index Fund ishares MSCI Hong Kong Index Fund ishares MSCI Italy Index Fund ishares MSCI Japan Index Fund ishares MSCI Belgium Investable Market Index Fund ishares MSCI Switzerland Index Fund ishares MSCI Malaysia Index Fund ishares MSCI Netherlands Investable Market Index Fund ishares MSCI Austria Investable Market Index Fund ishares MSCI Spain Index Fund ishares MSCI France Index Fund ishares MSCI Singapore Index Fund ishares MSCI Taiwan Index Fund ishares MSCI United Kingdom Index Fund ishares MSCI Mexico Investable Market Index Fund SPDR S&P Emerging Small Cap ETF ishares MSCI South Korea Index Fund ishares MSCI Brazil Index Fund ishares MSCI South Africa Index Fund ishares MSCI EMU Index Fund First Trust NYSE Arca Biotechnology Index Fund First Trust ISE-Revere Natural Gas Index Fund First Trust Dow Jones Internet Index Fund First Trust ISE Chindia Index Fund CurrencyShares Australian Dollar Trust CurrencyShares British Pound Sterling Trust CurrencyShares Canadian Dollar Trust
3 SR-BATS Exhibit 3 Page 21 of 26 FXD FXE FXF FXI FXY FXZ GAZ GCC GDX GDXJ GLD GMF GML GSG GSP GUR GVI GVT GWX GXC HAO HYG IAI IAT IAU IBB ICF IDU IDX IEF IEI IEO IEV IEZ IFGL IGE IGF IGM IGN IGV IGW IHE IHF IHI IJH First Trust Consumer Discretionary AlphaDEX Fund CurrencyShares Euro Trust CurrencyShares Swiss Franc Trust ishares FTSE/Xinhua China 25 Index Fund CurrencyShares Japanese Yen Trust First Trust Materials AlphaDEX Fund ipath Dow Jones-UBS Natural Gas Subindex Total Return ETN GreenHaven Continous Commodity Index Fund Market Vectors - Gold Miners ETF Market Vectors Junior Gold Miners ETF SPDR Gold Trust SPDR S&P Emerging Asia Pacific ETF SPDR S&P Emerging Latin America ETF ishares S&P GSCI Commodity Indexed Trust ipath GSCI Total Return Index ETN SPDR S&P Emerging Europe ETF ishares Barclays Intermediate Government/Credit Bond Fund Grail American Beacon Large Cap Value ETF SPDR S&P International Small Cap ETF SPDR S&P China ETF Claymore/AlphaShares China Small Cap Index ETF ishares iboxx $ High Yield Corporate Bond Fund ishares Dow Jones US Broker Dealers Index Fund ishares Dow Jones US Regional Banks Index Fund ishares COMEX Gold Trust ishares Nasdaq Biotechnology Index Fund ishares Cohen & Steers Realty Majors Index Fund ishares Dow Jones US Utilities Sector Index Fund Market Vectors - Indonesia Index ETF ishares Barclays 7-10 Year Treasury Bond Fund ishares Barclays 3-7 Year Treasury Bond Fund ishares Dow Jones US Oil & Gas Exploration & Production Index Fund ishares S&P Europe 350 Index Fund ishares Dow Jones US Oil Equipment & Services Index Fund ishares FTSE EPRA/NAREIT Developed Real Estate ex-us Index Fund ishares S&P North American Natural Resources Sector Index Fund ishares S&P Global Infrastructure Index Fund ishares S&P North American Technology Sector Index Fund ishares S&P North American Technology-Multimedia Networking Index Fund ishares S&P North American Technology-Software Index Fund ishares S&P North American Technology-Semiconductors Index Fund ishares Dow Jones US Pharmaceuticals Index Fund ishares Dow Jones US Healthcare Providers Index Fund ishares Dow Jones US Medical Devices Index Fund ishares S&P MidCap 400 Index Fund
4 SR-BATS Exhibit 3 Page 22 of 26 IJJ IJK IJR IJS IJT ILF INP IOO IPE ITA ITB IVE IVV IVW IWB IWC IWD IWF IWL IWM IWN IWO IWP IWR IWS IWV IWW IWX IWY IXC IXG IXJ IXN IXP IYC IYE IYF IYG IYH IYJ IYK IYM IYR IYT IYW ishares S&P MidCap 400/BARRA Value Index Fund ishares S&P MidCap 400 Growth Index Fund ishares S&P SmallCap 600 Index Fund ishares S&P SmallCap 600 Value Index Fund ishares S&P SmallCap 600/BARRA Growth Index Fund ishares S&P Latin America 40 Index Fund ipath MSCI India Index ETN ishares S&P Global 100 Index Fund SPDR Barclays Capital TIPS ETF ishares Dow Jones US Aerospace & Defense Index Fund ishares Dow Jones US Home Construction Index Fund ishares S&P 500 Value Index Fund ishares S&P 500 Index Fund/US ishares S&P 500 Growth Index Fund ishares Russell 1000 Index Fund ishares Russell Microcap Index Fund ishares Russell 1000 Value Index Fund ishares Russell 1000 Growth Index Fund ishares Russell Top 200 Index Fund ishares Russell 2000 Index Fund ishares Russell 2000 Value Index Fund ishares Russell 2000 Growth Index Fund ishares Russell Midcap Growth Index Fund ishares Russell Midcap Index Fund ishares Russell Midcap Value Index Fund ishares Russell 3000 Index Fund ishares Russell 3000 Value Index Fund ishares Russell Top 200 Value Index Fund ishares Russell Top 200 Growth Index Fund ishares S&P Global Energy Sector Index Fund ishares S&P Global Financials Sector Index Fund ishares S&P Global Healthcare Sector Index Fund ishares S&P Global Technology Sector Index Fund ishares S&P Global Telecommunications Sector Index Fund ishares Dow Jones US Consumer Services Sector Index Fund ishares Dow Jones US Energy Sector Index Fund ishares Dow Jones US Financial Sector Index Fund ishares Dow Jones US Financial Services Index Fund ishares Dow Jones US Healthcare Sector Index Fund ishares Dow Jones US Industrial Sector Index Fund ishares Dow Jones US Consumer Goods Sector Index Fund ishares Dow Jones US Basic Materials Sector Index Fund ishares Dow Jones US Real Estate Index Fund ishares Dow Jones Transportation Average Index Fund ishares Dow Jones US Technology Sector Index Fund
5 SR-BATS Exhibit 3 Page 23 of 26 IYY IYZ JJC JJG JKE JKL JNK JXI KBE KCE KIE KOL KRE KXI LQD MBB MBG MDY MINT MLPI MLPN MOO MUB MXI MYY OEF OIH OIL OLO ONEQ PALL PBW PCEF PCY PFF PGF PGJ PGX PHB PHO PHYS PID PIN PIO PMA ishares Dow Jones US Index Fund ishares Dow Jones US Telecommunications Sector Index Fund ipath Dow Jones-UBS Copper Subindex Total Return ETN ipath Dow Jones-UBS Grains Subindex Total Return ETN ishares Morningstar Large Growth Index Fund ishares Morningstar Small Value Index Fund SPDR Barclays Capital High Yield Bond ETF ishares S&P Global Utilities Sector Index Fund SPDR KBW Bank ETF SPDR KBW Capital Markets ETF SPDR KBW Insurance ETF Market Vectors - Coal ETF SPDR KBW Regional Banking ETF ishares S&P Global Consumer Staples Sector Index Fund ishares iboxx Investment Grade Corporate Bond Fund ishares Barclays MBS Bond Fund SPDR Barclays Capital Mortgage Backed Bond ETF SPDR S&P MidCap 400 ETF Trust PIMCO Enhanced Short Maturity Strategy Fund UBS E-TRACS Alerian MLP Infrastructure ETN Credit Suisse Cushing 30 MLP Index ETN Market Vectors - Agribusiness ETF ishares S&P National Municipal Bond Fund ishares S&P Global Materials Sector Index Fund ProShares Short MidCap400 ishares S&P 100 Index Fund Oil Services Holders Trust ipath Goldman Sachs Crude Oil Total Return Index ETN PowerShares DB Crude Oil Long ETN Fidelity NASDAQ Composite Index Tracking Stock ETF ETFS Palladium Trust Powershares WilderHill Clean Energy Portfolio PowerShares CEF Income Composite Portfolio PowerShares Emerging Markets Sovereign Debt Portfolio ishares S&P US Preferred Stock Index Fund PowerShares Financial Preferred Portfolio Powershares Golden Dragon Halter USX China Portfolio PowerShares Preferred Portfolio PowerShares High Yield Corporate Bond Portfolio PowerShares Water Resources Portfolio Sprott Physical Gold Trust PowerShares International Dividend Achievers Portfolio PowerShares India Portfolio PowerShares Global Water Portfolio PowerShares Active Mega Cap Fund
6 SR-BATS Exhibit 3 Page 24 of 26 PPH Pharmaceutical HOLDRs Trust PPLT ETFS Platinum Trust PQY PowerShares Active AlphaQ Fund PRF Powershares FTSE RAFI US 1000 Portfolio PRFZ PowerShares FTSE RAFI US 1500 Small-Mid Portfolio PSQ ProShares Short QQQ PVI PowerShares VRDO Tax Free Weekly Portfolio PWV PowerShares Dynamic Large Cap Value Portfolio PXH PowerShares FTSE RAFI Emerging Markets Portfolio PZA PowerShares Insured National Municipal Bond Portfolio QQQQ Powershares QQQ QTEC First Trust NASDAQ-100 Technology Index Fund REK ProShares Short Real Estate RFG Rydex S&P Midcap 400 Pure Growth ETF RJA ELEMENTS Linked to the Rogers International Commodity Index - Agri Tot Return RJI ELEMENTS Linked to the Rogers International Commodity Index - Total Return RKH Regional Bank HOLDRs Trust RPV Rydex S&P 500 Pure Value ETF RSP Rydex S&P Equal Weight ETF RSX Market Vectors - Russia ETF RTH Retail HOLDRs Trust RWJ RevenueShares Small Cap Fund RWK RevenueShares Mid Cap Fund RWL RevenueShares Large Cap Fund RWM ProShares Short Russell2000 RWR SPDR Dow Jones REIT ETF RWX SPDR Dow Jones International Real Estate ETF RZV Rydex S&P Smallcap 600 Pure Value ETF SBB ProShares Short SmallCap600 SBM ProShares Short Basic Materials SCHA Schwab US Small-Cap ETF SCHB Schwab US Broad Market ETF SCHE Schwab Emerging Markets Equity ETF SCHF Schwab International Equity ETF SCHX Schwab US Large-Cap ETF SCZ ishares MSCI EAFE Small Cap Index Fund SDY SPDR S&P Dividend ETF SEF ProShares Short Financials SGG ipath Dow Jones-UBS Sugar Subindex Total Return ETN SGOL ETFS Gold Trust SH ProShares Short S&P500 SHM SPDR Nuveen Barclays Capital Short Term Municipal Bond ETF SHV ishares Barclays Short Treasury Bond Fund SHY ishares Barclays 1-3 Year Treasury Bond Fund
7 SR-BATS Exhibit 3 Page 25 of 26 SIL SIVR SLV SLX SMH SPY STPZ SUB TAN TBF TFI THD TIP TLH TLT TUR TUZ UDN UGA UNG USO UUP VAW VB VBK VBR VCIT VCR VCSH VDC VDE VEA VEU VFH VGK VGT VHT VIG VIS VNM VNQ VO VOE VOT VPL Global X Silver Miners ETF ETFS Silver Trust ishares Silver Trust Market Vectors - Steel Index Fund Semiconductor HOLDRs Trust SPDR S&P 500 ETF Trust PIMCO 1-5 Year US TIPS Index Fund ishares S&P Short Term National AMT-Free Municipal Bond Fund Claymore/MAC Global Solar Energy Index ETF ProShares Short 20+ Year Treasury SPDR Nuveen Barclays Capital Municipal Bond ETF ishares MSCI Thailand Index Fund ishares Barclays TIPS Bond Fund ishares Barclays Year Treasury Bond Fund ishares Barclays 20+ Year Treasury Bond Fund ishares MSCI Turkey Index Fund PIMCO 1-3 Year U.S. Treasury Index Fund PowerShares DB US Dollar Index Bearish Fund United States Gasoline Fund LP United States Natural Gas Fund LP United States Oil Fund LP PowerShares DB US Dollar Index Bullish Fund Vanguard Materials ETF Vanguard Small-Cap ETF Vanguard Small-Cap Growth ETF Vanguard Small-Cap Value ETF Vanguard Intermediate-Term Corporate Bond ETF Vanguard Consumer Discretionary ETF Vanguard Short-Term Corporate Bond ETF Vanguard Consumer Staples ETF Vanguard Energy ETF Vanguard Europe Pacific ETF Vanguard FTSE All-World ex-us ETF Vanguard Financials ETF Vanguard European ETF Vanguard Information Technology ETF Vanguard Health Care ETF Vanguard Dividend Appreciation ETF Vanguard Industrials ETF Market Vectors Vietnam ETF Vanguard REIT ETF Vanguard Mid-Cap ETF Vanguard Mid-Cap Value Index Fund Vanguard Mid-Cap Growth Index Fund Vanguard Pacific ETF
8 SR-BATS Exhibit 3 Page 26 of 26 VPU Vanguard Utilities ETF VSS Vanguard FTSE All World ex-us Small-Cap ETF VT Vanguard Total World Stock Index Fund ETF VTI Vanguard Total Stock Market ETF VTV Vanguard Value ETF VUG Vanguard Growth ETF VV Vanguard Large-Cap ETF VWO Vanguard Emerging Markets ETF VXF Vanguard Extended Market ETF VXX ipath S&P 500 VIX Short-Term Futures ETN VXZ ipath S&P 500 VIX Mid-Term Futures ETN VYM Vanguard High Dividend Yield ETF WIP SPDR DB International Government Inflation-Protected Bond ETF XBI SPDR S&P Biotech ETF XES SPDR S&P Oil & Gas Equipment & Services ETF XHB SPDR S&P Homebuilders ETF XLB Materials Select Sector SPDR Fund XLE Energy Select Sector SPDR Fund XLF Financial Select Sector SPDR Fund XLG Rydex Russell Top 50 ETF XLI Industrial Select Sector SPDR Fund XLK Technology Select Sector SPDR Fund XLP Consumer Staples Select Sector SPDR Fund XLU Utilities Select Sector SPDR Fund XLV Health Care Select Sector SPDR Fund XLY Consumer Discretionary Select Sector SPDR Fund XME SPDR S&P Metals & Mining ETF XOP SPDR S&P Oil & Gas Exploration & Production ETF XPH SPDR S&P Pharmaceuticals ETF XRT SPDR S&P Retail ETF XSD SPDR S&P Semiconductor ETF YXI ProShares Short FTSE/Xinhua China 25
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