CUSIP FUND NAME FUND ACCOUNT INVESCO CHARTER A

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1 Updated 12/8/15 CUSIP FUND NAME FUND ACCOUNT INVESCO CHARTER A INVESCO SUMMIT FUND INVESCO DIVERSIFIED DIVIDEND INVESTOR INVESCO DIVERSIFIED DIVIDEND C INVESCO DIVERSIFIED DIVIDEND A INVESCO CHARTER B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ INVESCO CHARTER C INVESCO CAPITAL DEVELOPMENT FUND B-- (CUSIP MERGED TO 00143M ON ) INVESCO CAPITAL DEVELOPMENT FUND A- (CUSIP MERGED TO 00143M ON ) INVESCO TAX-EXEMPT CASH A INVESCO MUNICIPAL INCOME FUND - INVESTOR INVESCO NY TAX FREE INC B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ INVESCO NY TAX FREE INC A INVESCO MUNI INCOME Y INVESCO MUNI INCOME A INVESCO HIGH YIELD MUNI A (CLOSED TO NEW INVESTORS AS OF 8/1/14) INVESCO TAX-EXEMPT CASH INV INVESCO MONEY MARKET AX-CLOSED TO NEW INVESTORS INVESCO CORPORATE BOND C INVESCO CORP BOND B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ INVESCO CORPORATE BOND A ABERDEEN INTERNATIONAL EQUITY I/S ABERDEEN INTERNATIONAL EQUITY A ABERDEEN GLOBAL NATURAL RESOURCES A ABERDEEN TAX-FREE INCOME FUND CLASS D (20) ABERDEEN GLOBAL EQUITY A ABERDEEN EQUITY LONG-SHORT A ABERDEEN US MULTI-CAP EQUITY SVC ABERDEEN US MULTI-CAP EQUITY A ABERDEEN GLOBAL FIXED INCOME INSTL SVC ABERDEEN GLOBAL SMALL CAP A ABERDEEN TAX FREE INCOME INSTITUAIONAL INVESCO SMALL CAP EQUITY B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ INVESCO SMALL CAP EQUITY A INVESCO INTERNATIONAL SMALL COMPANY A INVESCO EUROPEAN SMALL COMPANY B-CLOSED TO NEW INVESTORS /30/ INVESCO INTERNATIONAL GROWTH A-CLOSED TO NEW INVESTORS 10/1/ INVESCO GLOBAL SMALL & MID CAP GR A INVESCO GLOBAL GROWTH A INVESCO GLOBAL SMALL & MID CAP GROWTH B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/10

2 INVESCO INTL CORE EQUITY A INVESCO INTL CORE EQUITY INVESTOR INVESCO GLOBAL GROWTH B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ INVESCO EUROPEAN GROWTH INVESTOR INVESCO GLOBAL GROWTH C INVESCO EUROPEAN GROWTH A INVESCO ASIA PACIFIC GROWTH A CASH RESERVE PRIME SERIES - INVESTMENT CLASS CASH RESERVE PRIME SERIES - INSTITUTIONAL CLASS ALGER GLOBAL GROWTH A ALGER LARGE CAP GROWTH B ALGER BALANCED PORTFOLIO B ALGER CAPITAL APPRECIATION C ALGER INTERNATIONAL GROWTH C ALGER MID CAP B ALGER MID CAP GROWTH C ALGER SMALL CAP GROWTH C ALGER GROWTH & INCOME FUND CLASS A ALGER CAPITAL APPRECIATION A ALGER INTERNATIONAL GROWTH A ALGER MID CAP GROWTH A ALGER SMALL CAP GROWTH A ALGER CAPITAL APPRECIATION B ALGER SPECTRA A ALGER SMALL CAP GROWTH INSTITUTIONAL I ALLIANCEBERN GLOBAL RISK ALLOC A ALLIANCEBERN GLOBAL RISK ALLOCATION B: CLOSED TO NEW INVESTORS AS OF 01/31/ ALLIANCEBERN INTERM BOND C ALLIANCEBERN INTERM BOND A ALLIANCEBERN GROWTH & INCOME A ALLIANCEBERN GROWTH AND INCOME B: CLOSED TO NEW INVESTORS AS OF 01/31/ ALLIANCEBERN GROWTH & INCOME C ALLIANCEBERN GROWTH & INCOME ADV ALLIANCEBERN DISCOVERY GROWTH A ALLIANCEBERN DISCOVERY GROWTH B: CLOSED TO NEW INVESTORS AS OF 01/31/ ALLIANCEBERN MUNICIPAL INCOME NATIONAL PORTFOLIO A ALLIANCEBERN MUNICIPAL INCOME NEW YORK PORTFOLIO A ALLIANCEBERN MUNICIPAL INCOME CALIFORNIA A ALLIANCEBERN MUNICIPAL INCOME NEW YORK PORTFOLIO C ALLIANCEBERN MUNICIPAL INCOME NEW YORK PORTFOLIO B: CLOSED TO NEW INVESTORS AS OF 01/31/ ALLIANCEBERN GLOBAL THEMATIC GR A ALLIANCEBERN GLOBAL THEMATIC GROWTH B: CLOSED TO NEW INVESTORS AS OF 01/31/09

3 ALLIANCEBERN GLOBAL THEMATIC GR C ALLIANCEBERN EQUITY INCOME A ALLIANCEBER GREAT CHINA 97 A- LIQUIDATED 7/30/ ALLIANCEBERN INTL VAL A ALLIANCEBERN INTL VAL C ALLIANCEBERN DISCOVERY VALUE A ALLIANCEBERN DISCOVERY VALUE ADV ALLIANCEBERN VALUE A ALLIANCEBERN VALUE C ALLIANCEBERN VALUE ADV ALLIANZGI NFJ DIVIDEND VALUE A ALLIANZGI FOCUSED GROWTH A ALLIANZGI FOCUSED GROWTH C ALLIANZGI NFJ LARGE-CAP VALUE A ALLIANZGI NFJ MID-CAP VALUE A ALLIANZGI NFJ MIDDLE-CAP VALUE B ALLIANZGI NFJ MID-CAP VALUE C ALLIANZGI NFJ SMALL-CAP VALUE A-CLOSED TO ALL RETAIL AND NEW QRP'S AS OF 07/31/ ALLIANZGI NFJ SMALL-CAP VALUE C-CLOSED TO ASLL RETAIL ACCOUNTS AND NEW QRP POSITIONS ALLIANZ AGIC TARGET FUND CL C-MERGED TO ON 5/4/ ALLIANZGI HEALTH SCIENCES FUND A ALLIANZGI TECHNOLOGY INSTITUTIONAL-$100,000 MINIMUM PURCHASE, MUST SET MANUAL ALLIANZGI TECHNOLOGY A ALLIANZGI TECHNOLOGY C ALLIANZGI GLOBAL SMALL-CAP A ALLIANZGI MID-CAP A ALLIANZGI MID-CAP C ALLIANZGI GLOBAL NATURAL RESOURCES A(4067) ALLIANZGI SMALL-CAP BLEND FUND CLASS C ALLIANZGI SMALL-CAP BLEND FUND CLASS A ALPINE DYNAMIC DIVIDEND FUND - INSTITUTIONAL CLASS ALPINE INTERNATIONAL REAL ESTATE EQUITY FUND - INSTITUTIONAL ALPINE GLOBAL INFRASTRUCTURE FUND - INSTITUTIONAL CLASS ALPINE REALTY INCOME & GROWTH FUND - INSTITUTIONAL CLASS AMANA GROWTH - INVESTOR - MSCS MUST BE BD J AMERICAN FUNDS AMCAP A AMERICAN FUNDS AMCAP C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS AMCAP F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY AMERICAN FUNDS AMERICAN BALANCED A AMERICAN BALANCED B: CLOSED TO NEW ACCOUNTS AND ALL BUYS AS OF 04/20/09., EXCHANGES OK AMERICAN FUNDS AMERICAN BALANCED C - CLOSED TO OMNIBUS PLANS AMERICAN FUNDS AMERICAN BALANCED F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY

4 AMERICAN BEACON AHL MGD FUTS STRAT INSTL AMERICAN CENTURY PRIME MONEY MKT INV AMERICAN CENTURY DIVERSIFIED BOND INV AMERICAN CENTURY ZERO COUPON 2020 INV AMERICAN CENTURY ZERO COUPON 2025 INV AMERICAN CENTURY EQUITY INCOME INV AMERICAN CENTURY SMALL CAP VALUE INV-CLOSED TO NEW INVESTORS AS OF 12/15/ AMERICAN CENTURY REAL ESTATE INV AMERICAN CENTURY GOVERNMENT BOND INV AMERICAN CENTURY SHORT-TERM GOVT INV AMERICAN CENTURY GINNIE MAE INV AMERICAN CENTURY CAPITAL PRESV INVESTOR AMERICAN CENTURY INTERNATIONAL BD INV AMERICAN CENTURY GROWTH INV AMERICAN CENTURY SMALL CAP GR A AMERICAN CENTURY SMALL CAP GR INVESTOR AMERICAN CENTURY NEW OPPS INVESTOR AMERICAN CENTURY SELECT INV AMERICAN CENTURY ALL CAP GROWTH INV AMERICAN CENTURY HERITAGE A AMERICAN CENTURY HERITAGE INV AMERICAN CENTURY ULTRA INV AMERICAN CENTURY STRAT ALLC: MOD INV AMERICAN CENTURY STRAT ALLC: MOD A AMERICAN CENTURY STRAT ALLC: AGRSV C AMERICAN CENTURY INTL GROWTH INV AMERICAN CENTURY INTL DISCOVERY INV AMERICAN CENTURY INTERNATIONAL OPPS INV AMERICAN CENTURY EMERGING MARKETS INV AMERICAN FUNDS US GOVERNMENT SEC A AMERICAN US GOVERNMENT SEC B CLOSED TO NEW ACCTS & ALL BUYS /20/09, EXCHANGES BETWEEN ACCTS OK AMERICAN GROWTH FUND D AMERICAN GROWTH FUND A AMERICAN GROWTH FUND C AMERICAN HIGH INCOME MUNICIPAL A AMERICAN FUNDS AMERICAN HI INC TR A AMERICAN FUNDS AMERICAN MUTUAL A AMERICAN FUNDS AMERICAN MUTUAL C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS AMERICAN MUTUAL F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY ARIEL INVESTOR ARIEL APPRECIATION INVESTOR AMF LARGE CAP EQUITY AMF AZZAD ETHICAL BLACKROCK S&P 500 INDEX SERVICE

5 BLACKROCK S&P 500 INDEX C BLACKROCK S&P 500 INDEX A BARON ASSET RETAIL BARON GROWTH RETAIL BARON SMALL CAP RETAIL BARON OPPORTUNITY RETAIL BARON SMALL CAP INSTL - $1M MIN, WAIVED FOR QRPS BUT ENFORCED ON TIKS AB SHORT DURATION PORTFOLIO A AB INTERMEDIATE NEW YORK MUNICIPAL PORTFOLIO A BLACKROCK MONEY MARKET SVC BLACKROCK MONEY MARKET INV A BLACKROCK MANAGED VOLATIL B: CLOSED TO ALL BUYS AS OF 07/01/09, EXCHANGES ALLOWED [EQUITY] BLACKROCK MANAGED VOLATILITY INV A[EQUITY] BLACKROCK SMALL CAP GROWTH EQUITY SVC[EQUITY] BLACKROCK LOW DURATION BD INV A[FIXED INCOME] BLACKROCK LOW DURATION BD SVC [FIXED INCOME] BLACKROCK LOW DURATION BD INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK SMALL CAP GROWTH EQUITY INV A[EQUITY] BLACKROCK SMALL CAP GROWTH EQUITY INV C[EQUITY] BLACKROCK US GOVERNMENT BOND INV C[FIXED INCOME] BLACKROCK US GOVERNMENT BOND INV A[FIXED INCOME] BLACKROCK CORE BOND INV A[FIXED INCOME] BLACKROCK CORE BOND SVC [FIXED INCOME] BLACKROCK FLEXIBLE EQUITY INVESTOR C[EQUITY] BLACKROCK FLEXIBLE EQUITY INVESTOR A[EQUITY] BLACKROCK MID-CAP GROWTH EQUITY INV C[EQUITY] BLACKROCK MID-CAP GROWTH EQUITY INV B[EQUITY] (CLOSED TO ALL BUYS, EXCHANGES ALLOWED) BLACKROCK MID-CAP GROWTH EQUITY INV A[EQUITY] BLACKROCK INTERNATIONAL OPP SVC [EQUITY] BLACKROCK INTERNATIONAL OPP INV A[EQUITY] BLACKROCK INTERNATIONAL OPP INV C[EQUITY] BLACKROCK SCIENCE & TECHNOLOGY OPP INV A[EQUITY] BLACKROCK SCIENCE & TECHNOLOGY OPP INV C[EQUITY] BLACKROCK SCIENCE & TECHNOLOGY OPP INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK HIGH YIELD BOND INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK HIGH YIELD BOND INV C[FIXED INCOME] BLACKROCK HIGH YIELD BOND INV A[FIXED INCOME] BLACKROCK GNMA INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK GNMA INV C[FIXED INCOME] BLACKROCK US OPPORTUNITIES PORTFOLIO C[EQUITY] BLACKROCK US OPPORTUNITIES PORTFOLIO A[EQUITY] BLACKROCK 20/80 TARGET ALLOCATION FUND A

6 BLACKROCK GLOBAL OPPORTUNITIES INV C[EQUITY] BLACKROCK GLOBAL OPPORTUNITIES INV A[EQUITY] BLACKROCK GLOBAL OPPORTUNITIES INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK ALL-CAP ENGY & RES INVESTOR A[EQUITY] BLACKROCK EXCH PORT BLK RK CL (FUND NOT NSCC ELIGIBLE) BLACKROCK ENERGY & RESOURCES INV A[EQUITY] BLACKROCK HEALTH SCIENCES OPPS INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS BLACKROCK HEALTH SCIENCES OPPS INV C[EQUITY] BLACKROCK HEALTH SCIENCES OPPS INV A[EQUITY] WILLIAM BLAIR GROWTH N-$5,000 MINIMUM PURCHASE, $3,000 MINIMUM FOR IRA'S OR QRP'S WILLIAM BLAIR READY RESERVES WILLIAM BLAIR INTERNATIONAL GROWTH N-CLOSED TO NEW INVESTORS /29/ WILLIAM BLAIR INTERNATIONAL GROWTH I - CLOSED TO NEW INVESTORS /30/ WILLIAM BLAIR GROWTH I - $500K MIN B OF A TAX EXEMPT RESERVES TRUST FUND B OF A TAX EXEMPT RESERVES TRUST B OF A MONEY MARKET RESERVES CAPITAL BOFA FDS SER TR CASH RESERVES MARISCO CL B OF A CASH RESERVES INVESTOR II B OF A CASH RESERVES INSTITUTIONAL CAP AMERICAN FUNDS BOND FUND OF AMER A AMERICAN BOND OF B: CLOSED TO NEW ACCOUNTS AND ALL BUYS AS OF /20/09, EXCHANGES OKAY AMERICAN FUNDS BOND FUND OF AMER C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS BOND FUND OF AMER F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY BRIDGEWAY AGGRESSIVE INVESTORS BRIDGEWAY ULTRA-SMALL COMPANY-CLOSED TO NEW INVESTORS AS OF BRIDGEWAY ULTRA-SMALL COMPANY MARKET BRIDGEWAY SMALL-CAP GROWTH BRIDGEWAY LARGE-CAP GROWTH BROADVIEW OPPORTUNITY FUND BROWN ADVISORY SUSTAINABLE GROWTH ADV BROWN ADVISORY INTERMEDIATE INCOME ADV BROWN ADVISORY SMALL-CAP GROWTH INST BRUCE FD INC COM BUFFALO FLEXIBLE INCOME BUFFALO DISCOVERY BUFFALO MID CAP BUFFALO HIGH-YIELD BUFFALO LARGE CAP-SHORT TERM REDEMPTION FEES WAIVED FOR EMPLOYER SPONSORED RETIREMENT PLANS BUFFALO SMALL CAP - CLOSED TO NEW INVESTORS

7 BUFFALO GROWTH BURNHAM A BURNHAM FINANCIAL SERVICES A CGM TRUST MUTUAL FUND CGM TR RLTY FD CGM TRUST FOCUS FUND CM ADVISORS- I SHARES - NOT USED FOR 401K PLANS AND HAS A $2, MINIMUM CALAMOS GROWTH & INCOME A CALAMOS GROWTH A CALAMOS CONVERTIBLE A CALAMOS INTERNATIONAL GROWTH C CALAMOS FOCUS GROWTH C CALAMOS GROWTH B: CLOSED TO ALL PURCHASES 07/30/ CALAMOS HIGH INCOME A CALAMOS CONVERTIBLE C CALAMOS GROWTH C CALDWELL & ORKIN MARKET OPPORTUNITY CALVERT FIRST GOVERNMENT MONEY MKT O-CLOSED TO NEW INVESTORS AS OF 06/06/ CALVERT INCOME A CALVERT ULTRA-SHORT INCOME A CALVERT BALANCED A CALVERT EQUITY A CALVERT BOND A CALVERT TAX FREE RESPONSIBILE IMPACT BOND FUND CALVERT CAPITAL ACCUMULATION A AMERICAN FUNDS CAPITAL INC BLDR A AMERICAN CAPITAL INCOME BUILD B - CLOSED TO NEW ACCTS & ALL BUYS /20/09, EXCHANGES OKAY AMERICAN FUNDS CAPITAL INC BLDR C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS CAPITAL WORLD BOND A AMERICAN FUNDS CAPITAL WORLD BOND C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS CAPITAL WORLD BOND F1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY AMERICAN FUNDS CAPITAL WORLD G/I A-CLOSED TO QRP WITH ASSETS > $1 MILLION AMERICAN CAPITAL WORLD GROWTH INCOME B -CLOSED TO NEW ACCTS & ALL BUYS 4/20/09, EXCHANGES OKAY AMERICAN FUNDS CAPITAL WORLD G/I C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS CAPITAL WORLD G/I F1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY CASH ACCOUNT TRUST - TAX-EXEMPT PORTFOLIO - INVESTMENT CLASS DEUTSCHE TAX-FREE MONEY FUND S DEUTSCHETAX EXEMPT MONEY FUND DEUTSCHE GOVERNMENT & AGENCY MONEY FEDERATED CASH TRUST PRIME CASH

8 FEDERATED CASH TRUST GOVERNMENT CASH FEDERATED CASH TRUST MUNICIPAL CASH-$10K MIN IP, $500 MINIMUM SUBSEQUENT PURCHASE CENTRE AMERICAN SELECT EQUITY FUND - INVESTOR CENTURY SHARES TRUST INSTL CLIPPER COHEN & STEERS REAL ESTATE SECURITIES FUND A COHEN & STEERS REALTY SHARES COLUMBIA ACORN A COLUMBIA ACORN FUND-B: CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 06/22/ COLUMBIA ACORN C COLUMBIA ACORN Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ COLUMBIA ACORN USA A-$2,500 MINIMUM FOR RETAIL ACCOUNT, NO MINIMUM FOR QRP'S COLUMBIA THERMOSTAT FUND-B: CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 06/22/ COLUMBIA ACORN INTERNATIONAL SELECT Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ COLUMBIA ACORN INTERNATIONAL SELECT A COLUMBIA ACORN USA Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ COLUMBIA ACORN INTERNATIONAL Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ COLUMBIA ACORN INTERNATIONAL A COLUMBIA ACORN SELECT Z - CLOSED TO NEW RETIREMENT PLANS COLUMBIA ACORN SELECT A-$0 FOR QRP, $2500 FOR RETAIL ACCOUNT COMMERCE BOND COMMONWEALTH JAPAN COMSTOCK CAPITAL VALUE A CONSULTING GROUP CORE FIXED-INCOME CONSULTING GROUP LARGE CAP VALUE EQUITY-RESTRICTED TO ACCOUNTS USING FIRST STATE AS CUSTODIAN CONSULTING GROUP INTERNATIONAL F/I-RESTRICTED TO ACCOUNTS USING FIRST STATE AS CUSTODIAN CONSULTING GROUP LARGE CAP GROWTH-RESTRICTED TO ACCOUNTS USING FIRST STATE AS CUSTODIAN COPLEY TAX MANAGED FD INC COM CORNERCAP BALANCED FUND CORNER CAP SMALL CAP VALUE FUND CROFT VALUE R DFA US MICRO CAP PORTFOLIO DFA ONE YEAR FIXED INCOME PORTFOLIO DELAWARE TAX-FREE PENNSYLVANIA - A [FIXED INCOME] FIDELITY TREASURY DMC FIDELITY INSTL MM FDS TREASURY ONLY I FIDELITY TAX-EXEMPT - DMC DAVIS NY VENTURE A DAVIS NEW YORK VENTURE B DAVIS NY VENTURE C

9 DAVIS OPPORTUNITY A DAVIS REAL ESTATE A DAVIS GOVERNMENT BOND A DAVIS APPRECIATION & INCOME C DAVIS GOVERNMENT MONEY MARKET A MORGAN STANLEY LIQUID ASSET FUND EXCHANGE B DELAWARE SMID CAP GROWTH - A (016) [EQUITY] CLOSED TO NEW 2/24/12, QRPS OK DELAWARE LARGE CAP VALUE A(001)-MERGED TO 24610C881 ON 5/11/ DELAWARE CORPORATE BOND - A (460) [FIXED INCOME] DELAWARE HIGH YIELD OPPORTUNITIES - A (137) [FIXED INCOME] DELAWARE TAX FREE USA - A [FIXED INCOME] DELAWARE CASH RESERVE - A [MONEY MARKET] DELAWARE CASH RESERVE CONSULTANT [FIXED INCOME] DELAWARE LIMITED TERM DIVERSIFIED INCOME - A (022) [FIXED INCOME] DELAWARE LIMITED TERM DIVERSIFIED INCOME - C (074) [FIXED INCOME] DELAWARE INTERNATIONAL VALUE EQUITY - A (034) [EQUITY] DELAWARE INTERNATIONAL VALUE EQUITY - INSTITUTIONAL (048) [EQUITY] DELAWARE US GROWTH (101) - A [EQUITY] DELAWARE FOUNDATION: MODERATE ALLOCATION PORTFOLIO - A(448) [EQUITY] DELAWARE CORE PLUS BOND - A [FIXED INCOME] DELAWARE SMALL CAP VALUE - A (21) [EQUITY] DELAWARE REIT - INSTITUTIONAL (186) [EQUITY] DIREXION MTHLY LATIN AMERICA BULL 2X INV DODGE & COX BALANCED DODGE & COX INTERNATIONAL STOCK-CLOSED TO NEW INVESTORS DODGE & COX INCOME DODGE & COX STOCK DOMINI SOCIAL EQUITY INV DOMINI SOCIAL BOND INV DOUBLELINE TOTAL RETURN BOND I -$100K MIN, $5K FOR IRA, WAIVED FOR QRP DREYFUS NEW YORK TAX EXEMPT BOND FUND DREYFUS TREASURY & AGENCY CSH MGMT ADMIN-CLOSED TO NEW INVESTORS AS OF 12/15/ DREYFUS SHORT INTERMEDIATE MUNI BOND FD D DREYFUS SHORT DURATION BOND FUND Z DREYFUS 100% US TREASURY MONEY MKT DREYFUS TREASURY PR CASH MGMT INST - $10 MILLION MINIMUM PURCHASE, TIK'S OKAY DREYFUS TREASURY PR CASH MGMT INV-CLOSED TO NEW INVESTORS AS OF 12/15/ DREYFUS GROWTH & INCOME DREYFUS GENERAL AMT- FREE MUNICIPAL MONEY MARKET FUND DREYFUS CLASS DREYFUS NY MUNICIPAL CASH MGMT INSTL DREYFUS NY MUNICIPAL CASH MGMT INVESTORS DREYFUS NY MUNICIPAL CASH MGMT PART

10 DREYFUS US TREASURY LONG-TERM DREYFUS BASIC MONEY MARKET DREYFUS SHORT TERM INCOME D DREYFUS INTERMEDIATE TERM INCOME A DREYFUS INTERMEDIATE TERM INCOME C DREYFUS AMT FREE MUNI BOND FD A DREYFUS HIGH YIELD MUNI BOND FD N DREYFUS APPRECIATION INVESTOR DREYFUS LIFETIME GR INC CL-R--LIQUIDATED 12/5/ DREYFUS LIFETIME PORTF G -LIQUIDATED 12/5/ DREYFUS MONEY MKT RESERVES I-CLOSED TO NEW INVESTMENTS /30/15;LIQUIDATED 2/26/ DREYFUS MONEY MKT RESERVES R-CLOSED TO NEW INVESTMENTS /30/15;LIQUIDATED 2/26/ DREYFUS CORE EQUITY A DREYFUS GENERAL TREASURY & AGENCY MONEY MARKET FUND A DREYFUS DISCIPLINED STOCK DREYFUS TAX-MANAGED GROWTH A DREYFUS BASIC S&P 500 STOCK INDEX DREYFUS BOND MARKET INDEX INV DREYFUS HIGH YLD A DREYFUS LARGE CAP GROWTH I DREYFUS LARGE CAP EQUITY I DREYFUS WORLDWIDE GROWTH A DREYFUS MID-CAP GROWTH F DREYFUS MID-CAP GROWTH A DREYFUS FUND INCORPORATED DREYFUS GNMA Z DREYFUS GOVERNMENT CASH MGMT INSTL-$10 MILLION MINIMUM PURCHASE DREYFUS GOVERNMENT CASH MGMT PART DREYFUS GOVERNMENT PR CASH MGMT INV DREYFUS INTERMEDIATE BOND FUND DREYFUS LIQUID ASSETS CLASS DREYFUS LIQUID ASSETS CLASS DREYFUS LIQUID ASSETS-CLASS Z DREYFUS(MM)INSTRUMTSINC MNYMKT DREYFUS MMKT INSTR GOVT SERIES DRIEHAUS EMERGING MARKETS GROWTH DUNHAM MONTHLY DISTRIBUTION C DUNHAM MONTHLY DISTRIBUTION A EAGLE SMALL CAP GROWTH A EAGLE INTERNATIONAL EQUITY FD CL A (FUND CLOSED TO PURCHASES /15/13) EAGLE MID CAP STOCK A EATON VANCE GREATER CHINA GROWTH A EATON VANCE GREATER CHINA GROWTH C EATON VANCE WORLDWIDE HEALTH SCI C

11 EATON VANCE WORLDWIDE HEALTH SCI A EATON VANCE SPECIAL EQUITIES A EATON VANCE GREATER INDIA A EATON VANCE GROWTH FUND C EATON VANCE GROWTH FUND A EATON VANCE SPECIAL EQUITIES C EATON VANCE GLOBAL SMALL-CAP VALUE A EATON VANCE LARGE-CAP VALUE A EATON VANCE DIVIDEND BUILDER A EATON VANCE BALANCED A EATON VANCE INCOME FUND OF BOSTON A EATON VANCE GOVERNMENT OBLIGATIONS A EATON VANCE GOVERNMENT OBLIGATIONS C EATON VANCE TX-MGD GRTH 1.2 B: CLOSED TO ALL PURCHASES AS OF /30/ EATON VANCE TX-MGD GROWTH 1.2 A EATON VANCE FLOATING RATE C EATON VANCE FLOATING RATE ADV EATON VANCE TX-MGD VALUE A EATON VANCE AMT-FREE MUNICIPAL INCOME FUND CLASS I EATON VANCE SHORT DURATION STRATEGIC INCOME FUND A(535) EATON VANCE TX-MGD SMALL-CAP A EATON VANCE TX-MGD GROWTH 1.1 C EATON VANCE TX-MGD GROWTH 1.1 A EATON VANCE TX-MGD GRTH 1.1 B: CLOSED TO ALL PURCHASES AS OF /30/ EATON VANCE SHORT DURATION STRATEGIC INCOME FUND C(135) EATON VANCE SHORT DURATION STRATEGIC INCOME FUND B: CLOSED TO ALL PURCHASES AS OF 12/30/ EATON VANCE SER TR TAX MANAGED GROWTH FD 1.0 CL A EATON VANCE TAX-MANAGED GLOBAL DIV INC A EATON VANCE HIGH INCOME OPPORTUNITIES A EATON VANCE FLOATING-RATE ADVANTAGE C EATON VANCE FLOATING RATE ADVANTAGE FD B: CLOSED TO ALL PURCHASES AS OF 12/30/ EATON VANCE FLOATING-RATE ADVANTAGE A MAINSTAY U.S. SMALL CAP - I (1908) MAINSTAY U.S. SMALL CAP FUND B(1527) GE ELFUN INTERNATIONAL EQUITY FUND GE ELFUN INCOME FUND GE MUTUAL FUNDS ELFUN TAX EXEMPT INCOME FUND GE MUTUAL FUNDS ELFUN TAX EXEMPT INCOME FUND GE MUTUAL FUNDS ELFUN TRUSTS FUND AMERICAN FUNDS EUROPACIFIC GR A AMERICAN FUNDS EUROPACIFIC GR C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS EUROPACIFIC GR F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY

12 FPA CAPITAL-CLOSED TO NEW INVESTORS AS OF 07/09/ FPA NEW INCOME FPA PARAMOUNT FPA PERENNIAL FMI LARGE CAP - CLOSED TO ALL NEW INVESTORS 6/30/ FAIRHOLME FEDERATED MDT STOCK SVC FEDERATED GOVERNMENT INCOME SECS F FEDERATED GOVERNMENT INCOME SECS A FEDERATED MUNICIPAL SECURITIES A FEDERATED EQUITY INCOME A FEDERATED B EQUITY INCOME FEDERATED EQUITY INCOME C FEDERATED MI INTER MUNI INC FD A CL FEDERATED NY MUNICIPAL INCOME A FEDERATED MUNI HIGH YIELD ADV FD F FEDERATED MUNI HIGH YIELD ADV FD A FEDERATED ADJUSTABLE RATE SECS INSTL FEDERATED MDT MID CAP GR STRATS A FEDERATED CLOVER VALUE C FEDERATED CLOVER VALUE A FEDERATED PRUDENT BEAR A FEDERATED INTERCONTINENTAL A FEDERATED KAUFMANN SMALL CAP C FEDERATED KAUFMANN R-CLOSED TO NEW RETAIL PLANS FEDERATED KAUFMANN A FEDERATED ABSOLUTE RETURN A FEDERATED GLOBAL ALLOCATION A FEDERATED GLOBAL ALLOCATION C FEDERATED HIGH-INCOME BOND A FEDERATED HIGH YIELD TRUST SERVICE FEDERATED GOV INCOME TRUST INSTL-$25,000 MINIMUM INITIAL PURCHASE FOR NON-QRP FEDERATED US GOV'T BOND (86) FAM VALUE INV FIDELITY FREEDOM FIDELITY ADVISOR EQUITY GROWTH T FIDELITY ADVISOR B EQUITY GROWTH: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY ADVISOR STOCK SELECTOR MID CP T FIDELITY ADVISOR STOCK SELECTOR ALL CAP - A (721)-MERGED TO ON 10/26/ FIDELITY ADVISOR DIVIDEND GROWTH A FIDELITY ADVISOR SMALL CAP T FIDELITY ADVISOR SMALL CAP A FIDELITY ADVISOR STOCK SELECTOR MID CP C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS

13 FIDELITY ADVISOR GROWTH & INCOME C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR EQUITY GROWTH C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR GROWTH & INCOME T FIDELITY ADVISOR GROWTH & INCOME A FIDELITY ADVISOR EQUITY GROWTH A FIDELITY ADVISOR LARGE CAP A FIDELITY ADVISOR STOCK SELECTOR MID CP A FIDELITY ADVISOR GROWTH OPPORTUNITIES T FIDELITY ADVISOR HIGH INCOME ADVANTAGE T FIDELITY ADVISOR BALANCED T FIDELITY ADVISOR SHORT FXD-INC T FIDELITY ADVISOR MID CAP II A FIDELITY ADVISOR FLOATING RATE HI INC C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS P FIDELITY ADVISOR FLOATING RATE HI INC A FIDELITY ADVISOR HIGH INCOME T FIDELITY ADVISOR STRATEGIC INCOME C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR SHORT FXD-INC C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR GROWTH OPPORTUNITIES C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS P FIDELITY ADVISOR B BALANCED: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY ADVISOR SHORT FXD-INC A FIDELITY ADVISOR BALANCED A FIDELITY ADVISOR HIGH INCOME ADVANTAGE A FIDELITY ADVISOR GROWTH OPPORTUNITIES A FIDELITY ADVISOR EQUITY INCOME-CLASS I FIDELITY ADVISOR EQUITY INCOME T FIDELITY ADVISOR B EQUITY INC.: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY ADVISOR EQUITY INCOME A FIDELITY ADVISOR LIMITED TERM BOND FUND T(287) FIDELITY INSTL SHRT-INTERM GOVT FIDELITY ADVISOR LIMITED TERM BOND FUND A(261) FIDELITY MA MUNICIPAL MONEY MARKET FIDELITY MASSECHUSETS MUNICIPAL INCOME FIDELITY INTERNATIONAL DISCOVERY RETAIL FIDELITY CANADA FIDELITY ADVISOR CANADA A FIDELITY ADVISOR INTL SM CAP OPP T FIDELITY ADVISOR INTL DISCOVERY-CLASS I FIDELITY NORDIC FIDELITY JAPAN SMALLER COMPANIES FIDELITY CHINA REGION FIDELITY DIVERSIFIED INTERNATIONAL

14 FIDELITY NEW MARKETS INCOME FIDELITY LATIN AMERICA FIDELITY EMERGING ASIA FIDELITY EMERGING MARKETS FIDELITY JAPAN FIDELITY SPARTAN US BOND IDX INVESTOR FIDELITY SPARTAN 500 INDEX INV FIDELITY SPARTAN 500 INDEX ADVTG - $100M FOR QRP, $10K FOR RETAIL FIDELITY INTERMEDIATE BOND FIDELITY STOCK SELECTOR SM CP FIDELITY LARGE CAP STOCK FIDELITY SMALL CAP STOCK FIDELITY ADVISOR ENERGY T FIDELITY ADVISOR MUNICIPAL INCOME T FIDELITY ADVISOR MUNICIPAL INCOME C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR ENERGY A FIDELITY ADVISOR ENERGY CLASS B: CLOSED TO ALL BUYS AS OF 09/02/ FIDELITY ADVISOR OVERSEAS T FIDELITY ADVISOR VALUE STRATEGIES T FIDELITY ADVISOR BIOTECHNOLOGY A FIDELITY ADVISOR TECHNOLOGY C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR UTILITIES C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR OVERSEAS A FIDELITY ADVISOR TECH FD CL B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY ADVISOR HEALTH CARE B (164) (FD CLOSED TO ALL BUYS AS OF /2/10) FIDELITY ADVISOR UTILITIES A FIDELITY ADVISOR TECHNOLOGY T FIDELITY ADVISOR TECHNOLOGY A FIDELITY ADVISOR FINANCIAL SERVICES A FIDELITY ADVISOR HEALTH CARE T FIDELITY ADVISOR HEALTH CARE A FIDELITY ADVISOR INDUSTRIALS A FIDELITY ADVISOR EMERGING MARKETS INC T FIDELITY ADVISOR EMERGING MKTS-CLASS I FIDELITY ADVISOR B VALUE STRATEGIES: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY ADVISOR EMERGING ASIA A FIDELITY ADVISOR DIVERSIFIED INTL C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS FIDELITY ADVISOR DIVERSIFIED INTL A FIDELITY ADVISOR INTL CAPITAL APP A FIDELITY ADVISOR STRATEGIC INCOME A FIDELITY ADVISOR VALUE STRATEGIES A FIDELITY MUNICIPAL MONEY MARKET

15 FIDELITY CALIFORNIA MUNICIPAL INCOME FIDELITY CAPITAL & INCOME FIDELITY CAPITAL APPRECIATION FIDELITY DISCIPLINED EQUITY FIDELITY STOCK SELECTOR ALL CAP FIDELITY FOCUSED STOCK FIDELITY ADVISOR STOCK SEL ALL CP A FIDELITY CASH RESERVES FIDELITY ASSET MANAGER 50% FIDELITY ASSET MANAGER 70% FIDELITY ASSET MANAGER 20% FIDELITY ADVISOR ASSET MANAGER 70% A FIDELITY CONTRAFUND FIDELITY ADVISOR NEW INSIGHTS A FIDELITY ADVISOR NEW INSIGHTS T FIDELITY ADVISOR NEW INSIGHTS B (1278): CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 09/02/ FIDELITY NEW JERSEY MUNICIPAL INCOME FIDELITY MUNICIPAL INCOME FIDELITY DESTINY PLANS II FUND CL O FIDELITY ADVISOR DIVERSIFIED STOCK A FIDELITY ADVISOR CAPITAL DEVELOPMENT A FIDELITY TELECOM AND UTILITIES FIDELITY MID-CAP STOCK FIDELITY STOCK SELEC LG CP VAL FIDELITY EQUITY-INCOME FIDELITY REAL ESTATE INVESTMENT FIDELITY EQUITY DIVIDEND INCOME FIDELITY CONVERTIBLE SECURITIES FIDELITY INDEPENDENCE FIDELITY STRATEGIC DIVIDEND & INCOME FIDELITY INVESTMENT GRADE BOND FIDELITY SHORT-TERM BOND FIDELITY HIGH INCOME FIDELITY INFLATION-PROTECTED BOND FIDELITY ADVISOR INFL-PROT BOND A FIDELITY FIDELITY GOVERNMENT INCOME FIDELITY INSTL MM FDS TREASURY I FIDELITY INSTL MM FDS PRIME MMKT III FIDELITY INSTL MM FDS TAX-EXEMPT I FUND# FIDELITY MAGELLAN FIDELITY RETIREMENT MONEY MARKET FIDELITY MONEY: RETIREMENT GOVT MMKT FIDELITY GROWTH COMPANY-CLOSED TO NEW INVESTORS AS OF 04/28/ FIDELITY GROWTH STRATEGIES FUND FIDELITY NEW MILLENNIUM

16 FIDELITY MI MUNICIPAL MONEY MARKET FIDELITY NY MUNICIPAL MONEY MARKET FIDELITY NEW YORK MUNICIPAL INCOME FIDELITY NEW YORK AMT TAX-FREE MONEY FIDELITY ADVISOR NY MUNICIPAL INC C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS TAX EXEMPT FUND: PREMIUM CLASS FIDELITY OVERSEAS FIDELITY PACIFIC BASIN FIDELITY EUROPE FIDELITY PURITAN FIDELITY BALANCED FIDELITY LOW-PRICED STOCK FIDELITY GLOBAL BALANCED FIDELITY VALUE DISCOVERY FIDELITY OTC FIDELITY GROWTH & INCOME FIDELITY BLUE CHIP GROWTH FIDELITY DIVIDEND GROWTH FIDELITY INTERNATIONAL REAL ESTATE FIDELITY LEVERAGED COMPANY STOCK FIDELITY SELECT TECHNOLOGY FIDELITY SELECT HEALTH CARE FIDELITY SELECT MEDICAL EQUIP & SYSTEMS FIDELITY SELECT IT SERVICES FIDELITY SELECT NATURAL RESOURCES FIDELITY SELECT UTILITIES PORTFOLIO FIDELITY SELECT NATURAL GAS FIDELITY SELECT COMMUNICATIONS EQUIP FIDELITY SELECT FINANCIAL SERVICES FIDELITY SELECT BANKING FIDELITY SELECT MEDICAL DELIVERY FIDELITY SELECT LEISURE FIDELITY SELECT CONSUMER FINANCE FIDELITY SELECT ENERGY SERVICE FIDELITY SELECT BIOTECHNOLOGY FIDELITY SELECT GOLD FIDELITY SELECT AIR TRANSPORTATION FIDELITY SELECT DEFENSE & AEROSPACE FIDELITY SELECT SOFTWARE & COMP FIDELITY SELECT TELECOMMUNICATIONS FIDELITY SELECT BROKERAGE & INVMT MGMT FIDELITY SELECT ELECTRONICS FIDELITY SELECT COMPUTERS FIDELITY SELECT CHEMICALS FIDELITY TREND FIDELITY VALUE

17 FIFTH THIRD MICROCAP VAL CL A (2721)-MERGED TO 89154Q752 ON 9/7/ INTL EQUITY A (2813)-MERGED TO 89154Q661 ON 9/7/ QUALITY GROWTH FUND A (2707)-MERGED TO 89154X302 ON 9/7/ BOND FUND A (2794)-MERGED TO 89154W502 ON 9/7/ STONEBRIDGE SMALL-CAP GROWTH CLOUGH CHINA A ALPS WMC RESEARCH VALUE A FIRST INVESTOR CASH MGMT FIRST INVESTORS FUND FOR INCOME A SHARES 0IV FIRST INVESTORS INVESTMENT GRADE FUND A SHARES 33V FIRST INVESTORS INVESTMENT GRADE FUND B SHARES S3V FIRST INVESTORS GLOBAL FUND A SHARES 0NV FIRST INVESTORS NEW JERSEY TAX EXEMPT A SHARES 08V FIRST INVESTORS CONNECTICUT TAX EXEMPT A SHARES 23V FIRST INVESTORS TOTAL RETURN FUND A SHARES 0PV FIRST INVESTORS SPECIAL SITUATIONS FUND A SHARES 32V FIRST INVESTORS TOTAL RETURN FUND B SHARES BPV FIRST INVESTORS NEW YORK TAX EXEMPT A SHARES 0HV FIRSTHAND TECHNOLOGY LEADERS-MERGED TO ON 5/25/ FIRSTHAND TECHNOLOGY OPPORTUNITIES JPMORGAN MID CAP VALUE A-CLOSED TO NEW RETAIL 11/16/ JPMORGAN MID CAP VALUE C-CLOSED TO NEW RETAIL 11/16/ POLARIS GLOBAL VALUE FORWARD TOTAL MARKETPLUS INSTITUTIONAL FOREWARD COREPLUS FUND INSTITUTIONAL-LIQUIDATED 12/17/ FRANKLIN CA TAX-FREE INCOME A FRANKLIN DYNATECH A FRANKLIN INCOME A FRANKLIN UTILITIES A FRANKLIN GROWTH A FRANKLIN US GOVERNMENT SECS A FRANKLIN INCOME C FRANKLIN DYNATECH C FRANKLIN GROWTH C FRANKLIN GOLD AND PRECIOUS METALS A FRANKLIN HIGH INCOME A FRANKLIN ADJUSTABLE US GOVT SECS A FRANKLIN EQUITY INCOME A FRANKLIN ADJUSTABLE U.S. GOVERNMENT SECURITIES FUND A FRANKLIN LOW DURATION TOTAL RETURN ADV - QRPS MUST HAVE $1M IN TOTAL ASSETS, BANK/TRUST - $1M IN FRANKLIN FLOATING RATE DAILY ACCESS ADV - QRPS MUST HAVE $1M IN TOTAL ASSETS, BANK/TRUST - $1M I FRANKLIN EQUITY INCOME C FRANKLIN FLOATING RATE DAILY ACCESS A FRANKLIN TOTAL RETURN A FRANKLIN CONVERTIBLE SECURITIES C

18 FRANKLIN US GOVERNMENT MONEY A FRANKLIN CA HIGH YIELD MUNICIPAL A FRANKLIN MUTUAL FINANCIAL SERVICES FUND FRANKLIN NY INTERMEDIATE T/F INCOME A FRANKLIN NY TAX-FREE INCOME A FRANKLIN NY TAX-FREE INCOME C FRANKLIN NY TAX FREE INC FD B-CLOSED ON 2/28/ FRANKLIN RL EST SEC FD CL BCLOSED TO NEW INVESTMENTS 2/28/ FRANKLIN SMALL-MID CAP GROWTH A FRANKLIN SMALL CAP GROWTH A-CLOSED TO NEW INVESTORS 2/12/ FRANKLIN GROWTH OPPORTUNITIES A FRANKLIN BIOTECHNOLOGY DISCOVERY A-CLOSED TO NEW INVESTORS /8/ FRANKLIN INSURED TAX-FREE INCOME A: CLOSED TO ALL INVESTORS AS OF 03/01/ FRANKLIN HIGH YIELD TAX-FREE INC A FRANKLIN SMALL CAP VALUE A AMERICAN FUNDS FUNDAMENTAL INVS A AMERICAN FUNDAMENTAL INVESTORS B - CLOSED TO NEW ACCTS & ALL BUYS 4/20/09, EXCHANGES OKAY AMERICAN FUNDS FUNDAMENTAL INVS C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS FUNDAMENTAL INVS F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY FUNDX UPGRADER GABELLI ASSET AAA GABELLI SRI GREEN AAA GAMCO INTERNATIONAL GROWTH AAA DREYFUS GENERAL CA MUNICIPAL MMKT A GE MUTUAL FUNDS S AND S INCOME FUND GE MUTUAL FUNDS S AND S PROGRAM MF DREYFUS GENERAL GOVERNMENT SECS MMKT A DREYFUS GENERAL GOVERNMENT SECS MMKT B DREYFUS GENERAL MMKT A DREYFUS GENERAL MMKT B DREYFUS GENERAL NEW YORK AMT-FREE MUNICIPAL MONEY MARKET A GLENMEDE PHILADELPHIA INTERNATIONAL GREEN CENTURY EQUITY GREENSPRING AMERICAN FUNDS GROWTH FUND OF AMER A AMERICAN GROWTH OF B - CLOSED TO NEW ACCTS & ALL BUYS 4/20/09, EXCHANGES BETWEEN ACCTS OKAY AMERICAN FUNDS GROWTH FUND OF AMER C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS GROWTH FUND OF AMER F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY AMERICAN FUNDS GROWTH FUND OF AMER F-2 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY GUINNESS ATKINSON ASIA FOCUS

19 GUINNESS ATKINSON CHINA & HONG KONG-FUND GUINNESS ATKINSON GLOBAL INNOVATORS HSBC US GOVERNMENT MMKT A JHANCOCK CLASSIC VALUE C JHANCOCK CLASSIC VALUE A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JHANCOCK US GLOBAL LEADERS GROWTH A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JHANCOCK REGIONAL BANK A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JHANCOCK FINANCIAL INDUSTRIES A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JHANCOCK SMALL CAP EQUITY A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JOHN HANCOCK SMALLCAP EQUITY CL B (137): CLOSED TO NEW ACCOUNTS AS OF 04/15/ JHANCOCK SMALL CAP EQUITY C JHANCOCK BOND A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JOHN HANCOCK BOND CL B (121): CLOSED TO NEW ACCOUNTS AS OF /15/ JHANCOCK INCOME A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL JOHN HANCOCK INCOME CL B (191): CLOSED TO NEW ACCOUNTS AS OF /15/ HARBOR BOND INSTITUTIONAL - [FIXED INCOME] - $50K MIN HARBOR INTERNATIONAL INST'L [EQUITY] - $50K MIN HARBOR MONEY MARKET INSTL - $50K MIN HARBOR CAPITAL APPRECIATION INSTL - $50K MIN HARBOR LARGE CAP VALUE INSTL - $50K MIN HARBOR INTERNATIONAL INV HARBOR INTERNATIONAL GROWTH INSTL - $50K MIN HARBOR CAPITAL APPRECIATION INV HARDING LOEVNER EMERGING MARKETS ADVISOR OAKMARK I OAKMARK INTERNATIONAL I - CLOSED TO NEW INVESTORS, RETIREMENT PLANS OK OAKMARK EQUITY & INCOME I OAKMARK INTERNATIONAL SMALL CAP I - CLOSED TO NEW INVESTORS /10/14, QRPS ALLOWED OAKMARK SELECT I OAKMARK GLOBAL SELECT I OAKMARK GLOBAL I - CLOSED TO NEW INVESTORS 10/10/14, QRPS ALLOWED HARTFORD GROWTH OPPORTUNITIES A HARTFORD SMALL COMPANY A HARTFORD CAPITAL APPRECIATION A HARTFORD HIGH YIELD C HARTFORD CAPITAL APPRECIATION B: CLOSED TO ALL PURCHASES /30/ HARTFORD MIDCAP C

20 HARTFORD BALANCED C HARTFORD DIVIDEND & GROWTH C HARTFORD CAPITAL APPRECIATION C HARTFORD SMALL COMPANY C HARTFORD MIDCAP A HARTFORD TOTAL RETURN BOND A-CLOSED TO NEW QUALIFIED PLANS, OPEN TO NEW RETAIL ONLY HARTFORD ADVISERS B: CLOSED TO ALL PURCHASES 09/30/09, EXCHANGES OKAY HARTFORD BALANCED A HARTFORD DIVIDEND & GROWTH A - CLOSED TO NEW QUALIFIED PLANS, OPEN TO NEW RETAIL ONLY HARTFORD INFLATION PLUS A-CLOSED TO NEW QUALIFIED PLANS, OPEN TO NEW RETAIL ONLY HARTFORD SHORT DURATION A HARTFORD GLOBAL CAPITAL APPRECIATION FD C HARTFORD GLOBAL CAPITAL APPRECIATION B: CLOSED TO ALL PURCHASES, EXCHANGES OKAY HARTFORD GLOBAL CAPITAL APPRECIATION A HARTFORD MODERATE ALLOCATION A-CLOSED TO NEW QUALIFIED PLANS, OPEN TO NEW RETAIL ONLY HARTFORD INFLATION PLUS Y HEARTLAND VALUE PLUS - ONLY AVAILABLE TO QRPS 5/16/ HEARTLAND SELECT VALUE HEARTLAND VALUE HENDERSON EUROPEAN FOCUS A HENDERSON EUROPEAN FOCUS C HENNESSY TOTAL RETURN INVESTOR HENNESSY CORNERSTONE GROWTH INVESTOR HENNESSY CORNERSTONE VALUE INVESTOR HENSSLER EQUITY INVESTOR HIGHLAND FLOATING RATE OPPORTUNITIES C HIGHLAND FLOATING RATE OPPORTUNITIES A HUNTINGTON US TREAS MMKT INST AMERICAN FUNDS INC FUND OF AMER A AMERICAN INCOME OF B: CLOSED TO NEW ACCOUNTS AND ALL BUYS AS OF 04/20/09, EXCHANGES OKAY AMERICAN FUNDS INC FUND OF AMER C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS INC FUND OF AMER F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY AMERICAN FUNDS INTERM BOND FD OF AMER A FEDERATED INTERMEDIATE MUNICIPAL TRUST - INSTITUTIONAL KINETICS INTERNET NO LOAD AMERICAN FUNDS INVMT CO OF AMER A AMERICAN INVESTMENT CO B: CLOSED TO NEW ACCOUNTS AND ALL BUYS AS OF 04/20/09, EXCHANGES OKAY AMERICAN FUNDS INVMT CO OF AMER C - CLOSED TO OMNIBUS PLANS & GROUP QRPS

21 AMERICAN FUNDS INVMT CO OF AMER F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY ICT TREASURY PORTFOLIO - INSTITUTIONAL CLASS ICT TREASURY PORTFOLIO - INVESTMENT CLASS DEUTSCHE US TREASURY MONEY FUND S IVY GLOBAL NATURAL RESOURCES C IVY GLOBAL NATURAL RESOURCES A IVY GLOBAL GROWTH A IVY GLOBAL GROWTH C IVY BOND A IVY VALUE C IVY SMALL CAP VALUE C IVY CORE EQUITY A IVY CORE EQUITY B-CLOSED TO ALL PURCHASES 1/01/ IVY CORE EQUITY C IVY MONEY MARKET A IVY MID CAP GROWTH C IVY MID CAP GROWTH A IVY LARGE CAP GROWTH A IVY SCIENCE & TECHNOLOGY C IVY SMALL CAP GROWTH C IVY SCIENCE & TECHNOLOGY A IVY ASSET STRATEGY A IVY ASSET STRATEGY I JACOB INTERNET INV JAMES BALANCED: GOLDEN RAINBOW R JANUS T - MSCS MUST BE BD JANUS GROWTH & INCOME T - MSCS MUST BE BD JANUS GLOBAL RESEARCH T - MSCS MUST BE BD JANUS TWENTY T - CLOSED TO NEW INVESTORS, MSCS MUST BE BD JANUS VENTURE T - ONLY AVAILABLE TO RETIREMENT PLANS, MSCS MUST BE BD PERKINS MID CAP VALUE T - MSCS MUST BE BD JANUS FLEXIBLE BOND T - MSCS MUST BE BD JANUS GLOBAL SELECT T - MSCS MUST BE BD JANUS CONTRARIAN T - MSCS MUST BE BD JANUS GLOBAL TECHNOLOGY T - MSCS MUST BE BD JANUS GLOBAL LIFE SCIENCES T - MSCS MUST BE BD JANUS HIGH-YIELD T - MSCS MUST BE BD JANUS ENTERPRISE T - MSCS MUST BE BD JANUS OVERSEAS T - MSCS MUST BE BD JANUS RESEARCH T - MSCS MUST BE BD JANUS BALANCED T - MSCS MUST BE BD JANUS SHORT-TERM BOND T - MSCS MUST BE BD JENSEN QUALITY GROWTH J JHANCOCK MONEY MARKET A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL

22 JOHN HANCOCK MONEY MKT CL B (144): CLOSED TO NEW ACCOUNTS AS OF 04/15/ KEELEY SMALL CAP VALUE A KINETICS MEDICAL NO LOAD KINETICS PARADIGM NO LOAD KINETICS PARADIGM ADV C KIRR MARBACH PARTNERS VALUE QS BATTERYMARCH EMERGING MARKETS FUND CLASS C QS BATTERYMARCH INTERNATIONAL EQUITY FUND CLASS FI QS BATTERYMARCH U.S. SMALL CAPITALIZATION EQUITY FUND CLASS A CLEARBRIDGE SMALL CAP FUND CL C CLEARBRIDGE GLOBAL GROWTH C CLEARBRIDGE VALUE TRUST CL C LEUTHOLD CORE INVESTMENT RETAIL LONGLEAF PARTNERS LONGLEAF PARTNERS SMALL-CAP-CLOSED TO NEW INVESTORS LOOMIS SAYLES GROWTH A LOOMIS SAYLES STRATEGIC INCOME Y LOOMIS SAYLES STRATEGIC INCOME C NATIXIS LOOMIS SAYLES STRATEGIC INCOME - B: CLOSED TO NEW ACCOUNTS AS OF 07/30/ LOOMIS SAYLES STRATEGIC INCOME A LOOMIS SAYLES LTD TERM GOVT AND AGENCY B: CLOSED TO NEW ACCOUNTS, AS OF 7/30/ LOOMIS SAYLES LTD TERM GOVT AND AGENCY A LOOMIS SAYLES HIGH INCOME A LOOMIS SAYLES GLOBAL EQUITY AND INCOME Y-$100,000 MINIMUM INITIAL PURCHASE LOOMIS SAYLES VALUE A LOOMIS SAYLES GLOBAL BOND RETAIL LOOMIS SAYLES BOND RETAIL LOOMIS SAYLES BOND INSTL - $100 K MINIMUM PURCHASE, WAVIED FOR RETIREMENT & WRAP ACCOUNTS LORD ABBETT NATL TAX-FREE INCOME A LORD ABBETT NY A LORD ABBETT NJ A LORD ABBETT MULTI ASSET GLOBAL OPPORTUNITY A LORD ABBETT EMERGING MARKETS CURRENCY A LORD ABBETT SMALL CAP VALUE A-CLOSED TO NEW INVESTORS AS OF /29/ LORD ABBETT GROWTH LEADERS A LORD ABBETT FUNDAMENTAL EQUITY C-AVAILABLE TO FULLY DISCLOSED ACCOUNTS LORD ABBETT FUNDAMENTAL EQUITY A LORD ABBETT INCOME A LORD ABBETT INCOME C-AVAILABLE TO FULLY DISCLOSED ACCOUNTS LORD ABBETT MULTI ASSET BALANCED OPPORTUNITY C-AVAILABLE TO FULLY DISCLOSED ACCOUNTS LORD ABBETT USG & GSE MMKT A

23 LORD ABBETT MID CAP STOCK A LORD ABBETT AFFILIATED A LORD ABBETT AFFILIATED C-AVAILABLE TO FULLY DISCLOSED ACCOUNTS LORD ABBETT AFFILIATED P-CLOSED TO NEW INVESTORS AS OF 10/01/ LORD ABBETT AFFILIATED F LORD ABBETT BOND-DEBENTURE A LORD ABBETT BOND-DEBENTURE C LORD ABBETT DEVELOPING GROWTH A-CLOSED TO NEW INVESTORS AS OF 02/28/ MFS RESEARCH A MFS TOTAL RETURN A MFS B TOTAL RETURN MFS TOTAL RETURN C MFS INTERNATIONAL NEW DISCOVERY A MFS GOVERNMENT SECURITIES A MFS B GOVERNMENT SECURITIES MFS US GOV CASH RESERVE A-CLOSED TO NEW INVESTORS AS OF /27/ MFS US GOV CASH RESERVE B: CLOSED TO NEW INVESTORS AS OF /27/ MFS TECHNOLOGY A MFS NEW DISCOVERY A MFS US GOV CASH RESERVE C-CLOSED TO NEW INVESTORS AS OF /27/ MFS VALUE A MFS CORE EQUITY C MFS CORE EQUITY B MFS VALUE C MFS VALUE B MFS CORE EQUITY A MFS HIGH INCOME A MFS MUNI HIGH INC A MFS GROWTH A MFS GROWTH B MFS GROWTH C MFS GLOBAL TOTAL RETURN A MFS UTILITIES A MFS GLOBAL EQUITY A MFS UTILITIES C MFS US GOV MONEY MARKET FUND -CLOSED TO NEW INVESTORS AS OF /27/ MFS MID CAP GROWTH A MFS B MID CAP GROWTH MFS STRATEGIC INCOME A MFS B STRATEGIC INCOME MFS GLOBAL GROWTH A MP63 FUND MONEY PAPER FUND MADISON CORE BOND A

24 MADISON DIVIDEND INCOME Y MADISON DIVERSIFIED INCOME A MADISON LARGE CAP GROWTH A MADISON LARGE CAP VALUE A MANNING & NAPIER WORLD OPPORTUNITIES A MANNING & NAPIER PRO-BLEND MOD TERM S MARSICO FOCUS MARSICO GROWTH MARSICO INTERNATIONAL OPPORTUNITIES MFS MASSACHUSETTS INVESTORS GR STK A MFS B MASS INVEST GRWTH STK MFS MASSACHUSETTS INVESTORS GR STK C MFS MASSACHUSETTS INVESTORS TR A MFS B MASS INVESTORS MFS MASSACHUSETTS INVESTORS TR I MATTHEWS ASIA DIVIDEND INVESTOR MATTHEWS PACIFIC TIGER INVESTOR MATTHEWS ASIAN GROWTH & INC INVESTOR MATTHEWS KOREA INVESTOR MATTHEWS CHINA INVESTOR MATTHEWS JAPAN INVESTOR MATTHEWS PACIFIC TIGER INSTL MATTHEWS INDIA INVESTOR MATTHEWS ASIA SCIENCE AND TECH INV LARGE CAP GROWTH FUND CLASS B MEMBERS LARGE CAP VALUE FUND CLASS B MERGER MERIDIAN GROWTH FUND INC MERIDIAN FD INC CONTRARIAN FD LEGACY CL METROPOLITAN WEST TOTAL RETURN BOND M METROPOLITAN WEST LOW DURATION BOND M METROPOLITAN WEST ULTRA SHORT BOND I - $3M MIN - WAIVED FOR RETIREMENT PLANS METROPOLITAN WEST STRATEGIC INCOME I - $3M MIN - WAIVED FOR RETIREMENT PLANS MORGAN STANLEY EUROPEAN EQUITY B: CLOSED TO ALL BUYS AS OF /25/ MS GLOBAL STATEGIST FUND CL A--MERGED TO ON 10/19/ MS GLOBAL STRATEGIST CLASS B--MERGED TO ON 10/19/ MORGAN STANLEY GLOBAL FXD INC OPPS A MORGAN STANLEY MORTGAGE SECURITIES A MORGAN STANLEY LIMITED DUR US GOVT ADV MORGAN STANLEY US GOVT SECS A MORGAN STANLEY US GOVT SECS B: CLOSED TO ALL BUYS AS OF 02/25/ MORGAN STANLEY US GOVT SECS I MORGAN STANLEY CALIF TAX FREE MORGAN STANLEY LIQUID ASSET

25 MORGAN STANLEY N Y MUN MONEY MORGAN STANLEY TAX-FREE DAILY INCOME TR MORGAN STANLEY US GOVERNMENT MONEY MKT MSDW INTL VALUE EQUITY FD B--MERGED TO 61756E255 ON 10/19/ MORGAN STANLEY INST MID CAP GROWTH L-CLOSED TO NEW ACCOUNTS AND BUYS 4/30/ MORGAN STANLEY INST CORE PLUS FIXED INCOME - L ($5 MILLION MINIMUM INITIAL PURCHASE) MORGAN STANLEY INST MID CAP GROWTH I - $5 MILLION MIN (FD CLOSED TO NEW INVESTORS AS OF 6/1/14) MORGAN STANLEY INSTL GLOBAL STRAT P-$1 MILLION MINIMUM INITIAL PURCHASE MS INST MID CAP GROWTH P-$1 MILLION MIN INITIAL PURCHASE(FD CLOSED TO NEW INVESTORS AS OF 6/1/ MORGAN STANLEY INST LIMITED DURATION I-$5 MILLION MINIMUM INITIAL PURCHASE FRANKLIN MUTUAL SHARES FUND FRANKLIN MUTUAL QUEST FUND FRANKLIN MUTUAL BEACON FUND FRANKLIN MUTUAL SHARES FUND FRANKLIN MUTUAL SHARES FUND FRANKLIN MUTUAL QUEST FUND FRANKLIN MUTUAL EUROPEAN FUND FRANKLIN MUTUAL GLOBAL DISCOVERY FUND - C FRANKLIN MUTUAL BEACON FUND - A NEUBERGER BERMAN MID CAP GROWTH TR-CLOSED TO NEW INVESTORS AS OF 10/15/ NEUBERGER BERMAN SMALL CAP GROWTH TR-CLOSED TO NEW INVESTORS AS OF 10/15/ NEUBERGER BERMAN SOCIALLY RSPNS TR-CLOSED TO NEW INVESTORS AS OF 10/15/ NEUBERGER BERMAN GENESIS INV NEUBERGER BERMAN GUARDIAN INV-CLOSED TO NEW INVESTORS AS OF /16/ NEUBERGER BERMAN MID CAP GROWTH INV-CLOSED TO NEW INVESTORS AS OF 06/16/ NEUBERGER BERMAN LARGE CAP VALUE INV NEUBERGER BERMAN FOCUS INV - CLOSED TO NEW INVESTORS AS OF /26/ NEUBERGER BERMAN SOCIALLY RSPNS INV NEUBERGER BERMAN SMALL CAP GROWTH INV-CLOSED TO NEW INVESTORS AS OF 06/16/ NEUBERGER BERMAN REAL ESTATE TR-CLOSED TO NEW INVESTORS AS OF 07/26/ NEUBERGER BERMAN LGCP DISCP GR INV NEUBERGER BERMAN M/C INTRINSIC VAL INV-CLOSED TO NEW INVESTORS AS OF 07/26/ NEW ALTERNATIVES A NEW COVENANT BLNCD INC AMERICAN FUNDS NEW ECONOMY A

26 AMERICAN FUNDS NEW ECONOMY C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AGE-BASED GROWTH ASSET ALLOCATION AGE 17+ YEARS 529 PORTFOLIO CLASS B AGE YEARS CLASS A AMERICAN FUNDS NEW PERSPECTIVE A AMERICAN FUNDS NEW PERSPECTIVE C - CLOSED TO OMNIBUS PLANS & GROUP QRPS AMERICAN FUNDS NEW PERSPECTIVE F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY AMERICAN FUNDS NEW WORLD A AMERICAN FUNDS NEW WORLD C - CLOSED TO OMNIBUS PLANS & GROUP QRPS NICHOLAS NICHOLAS MONEY MARKET NICHOLAS II I NICHOLAS HIGH INCOME I NORTHEAST INVESTORS GROWTH NORTHEAST INVESTORS NORTHERN LARGE CAP EQUITY NORTHERN SMALL CAP VALUE NORTHERN INTERNATIONAL EQUITY NORTHERN MULTI-MANAGER MID CAP NORTHERN EMERGING MARKETS EQUITY INDEX NORTHERN LARGE CAP CORE FUND NORTHERN LARGE CAP VALUE NORTHERN SMALL CAP INDEX NORTHERN TECHNOLOGY NORTHERN US GOV SEL M MKT NORTHERN US GOVERNMENT MONEY MARKET - NOT ELIGIBLE FOR NSCC TRADING NORTHERN MONEY MARKET - NOT ELIGIBLE FOR NSCC TRADING NORTHERN INSTL SMALL COMPANY INDEX A-MERGED TO ON /2/ NUVEEN CORE PLUS BOND A NUVEEN EQUITY INDEX A NUVEEN SHORT-TERM BOND A NUVEEN DIVIDEND VALUE A NUVEEN SMALL CAP SELECT A NUVEEN MID CAP VALUE R NUVEEN INTERNATIONAL GROWTH I NUVEEN INTERNATIONAL GROWTH C NUVEEN INTERNATIONAL GROWTH A WHITE OAK SELECT GROWTH PIN OAK EQUITY RED OAK TECHNOLOGY SELECT BLACK OAK EMERGING TECHNOLOGY LIVE OAK HEALTH SCIENCES OBERWEIS EMERGING GROWTH

27 OBERWEIS MICRO-CAP OBERWEIS CHINA OPPORTUNITIES OLD WESTBURY FIXED INCOME-ONLY AVAILABLE TO CUSTOMERS WITH A BESSEMER RELATIONSHIP OLSTEIN ALL CAP VALUE C OPPENHEIMER CAPITAL INCOME A OPPENHEIMER CAPITAL INCOME C OPPENHEIMER EQUITY A OPPENHEIMER EQUITY B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ OPPENHEIMER LIMITED-TERM BOND FUND A OPPENHEIMER LIMITED TERM BOND FUND C OPPENHEIMER MONEY MARKET A OPPENHEIMER MONEY MARKET Y OPPENHEIMER GOLD & SPECIAL MINERALS A OPPENHEIMER GOLD SPEC MINERALS B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ OPPENHEIMER GOLD & SPECIAL MINERALS C OPPENHEIMER RO CA MUNI FD A - NOT ALLOWED IN 401K PLANS - LIMITED BLUE SKY AVAILABILITY OPPENHEIMER ROCHESTER AMT-FREE NY MUNIS A OPPENHEIMER ROCHESTER AMT-FREE NY MUNI B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ OPPENHEIMER ROCHESTER AMT-FREE NY MUNIS C OPPENHEIMER DISCOVERY A - CLOSED TO NEW INVESTORS 6/28/ OPPENHEIMER DISCOVERY C OPPENHEIMER GLOBAL A OPPENHEIMER GLOBAL B: SOCIAL CODE 12 WON'T WORK. CLLOSED TO ALL BUYS AND NEW ACCOUNTS 6/29/ OPPENHEIMER GLOBAL C OPPENHEIMER ROCHESTER HIGH YIELD MUNI A(00795) OPPENHEIMER ROCHESTER NATIONAL MUNI C OPPENHEIMER GLOBAL OPPORTUNITIES A OPPENHEIMER GLOBAL OPPORTUNITIES C OPPEN CHAMPION INCOME FD A (190)-MERGED TO 68380K102 ON 9/21/ OPPEN CHAMPION INCOME FD C (192)-MERGED TO 68380K409 ON 9/21/ OPPENHEIMER CASH RESERVES A OPPENHEIMER CASH RESERVES C OPPENHEIMER ROCHESTER LIMITED TERM MUNICIPAL A OPPENHEIMER ROCHESTER LIMITED TERM MUNICIPAL C-NOT ELIGIBLE FOR RETIREMENT PLANS OPPENHEIMER CORE BOND A OPPENHEIMER CORE BOND C OPPENHEIMER DEVELOPING MARKETS A-CLOSED TO NEW INVESTORS AS OF 04/12/ OPPENHEIMER DEVELOPING MARKETS C-CLOSED TO NEW INVESTORS AS OF 04/12/ OPPENHEIMER ROCHESTER AMT FREE MUNI A(00310) PIMCO GLOBAL BOND (USD-HEDGED) A

28 PIMCO HIGH YIELD C PIMCO HIGH YIELD A PIMCO LOW DURATION C PIMCO LOW DURATION A PIMCO TOTAL RETURN C PIMCO TOTAL RETURN A PIMCO TOTAL RETURN II INSTL-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO MODERATE DURATION INSTL-$100K MIN WAIVED IF QRP W/ PPTS OR $5M PLAN ASSETS PIMCO HIGH YIELD ADMIN-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO TOTAL RETURN INSTL-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO TOTAL RETURN ADMIN-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO SHORT-TERM ADMIN-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO LOW DURATION ADMIN-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO LONG-TERM US GOVERNMENT ADMIN-$100K MIN WAIVED IF QRP W/ PPTS OR $5M PLAN ASSETS PIMCO FOREIGN BOND (USD-HEDGED) I-$100K MIN WAIVED IF QRP W/ PPTS OR $5M PLAN ASSETS PIMCO REAL RETURN A PIMCO REAL RETURN C PIMCO MONEY MARKET A PIMCO MONEY MARKET C PIMCO LONG-TERM US GOVERNMENT A PIMCO FOREIGN BOND (USD-HEDGED) A PIMCO STOCKSPLUS A PIMCO EMERGING MARKETS BOND A PIMCO MUNICIPAL BOND A PIMCO MUNICIPAL BOND FUND C PIMCO TOTAL RETURN D PIMCO REAL RETURN D PIMCO SHORT-TERM D PIMCO HIGH YIELD D PIMCO MORTGAGE-BACKED SECURITIES D PACIFIC FUNDS PORT OPTIMIZATION MOD-AGRSV C PARNASSUS FUND PARNASSUS FIXED-INCOME INVESTOR PAX WORLD BALANCED INDIVIDUAL INV PAX WORLD GROWTH INDIVIDUAL INV PAX WORLD GLOBAL ENVRNMNTL MKTS INDV INV DREYFUS MIDCAP INDEX PERMANENT PORTFOLIO PERMANENT PORTFOLIO SHORT TERM TREASURY PERMANENT PORTFOLIO AGGRESSIVE GROWTH

29 PERRITT MICROCAP OPPORTUNITIES INVESTOR PIMCO FLOATING INCOME C PIMCO FLOATING INCOME A PIMCO FOREIGN BOND (UNHEDGED) I-$100K MIN WAIVED IF QRP W/ PPTS OR $5M PLAN ASSETS PIMCO COMMODITY REAL RET STRAT D PIMCO COMMODITY REAL RET STRAT C PIMCO COMMODITY REAL RET STRAT A PIMCO ALL ASSET INSTL-$100K MIN WAIVED IF QRP W/ 250 PPTS OR $5M PLAN ASSETS PIMCO COMMODITY REAL RET STRAT INSTL-$100K MIN WAIVED IF QRP W/ PPTS OR $5M PLAN ASSETS PIMCO EMERGING MARKETS BOND D PIONEER BOND A - $500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER BOND Y - $5M MIN, WAIVED FOR QRPS & SOME BANK/TRUST BUSINESS PIONEER EMERGING MARKETS A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER INTERNATIONAL EQUITY A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER U.S. GOVERNMENT MONEY MARKET A PIONEER STRATEGIC INCOME A PIONEER DISCIPLINED GROWTH A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER CORE EQUITY A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S PIONEER CORE EQUITY C T. ROWE PRICE MEDIA & TELECOMMUNICATIONS - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE T. ROWE PRICE CORPORATE INCOME T. ROWE PRICE GROWTH STOCK T. ROWE PRICE HEALTH SCIENCES - (FD CLOSED TO NEW INVESTORS AS OF 6/1/15) T. ROWE PRICE HIGH-YIELD-CLOSED TO NEW INVESTORS AS OF 04/27/ T. ROWE PRICE HIGH-YIELD ADV-CLOSED TO NEW INVESTORS AS OF /27/ T. ROWE PRICE TAX-FREE HIGH YIELD T. ROWE PRICE GLOBAL TECHNOLOGY - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE T. ROWE PRICE U.S. BOND ENHANCED INDEX HODGES RETAIL PROFUNDS PRECIOUS METALS ULTRASECTOR INV-MUST SIGN PROFUNDS TRADING AUTH FORM PRIOR TO SETUP PROFUNDS ULTRAJAPAN INV-CUSTOMER MUST SIGN PROFUNDS TRADING AUTHORIZATION FORM PRIOR TO SET UP PROFUNDS ULTRAMID CAP INV-CUST MUST SIGN PROFUNDS TRADING AUTH FORM PRIOR TO SETUP PROFUNDS ULTRASMALL CAP INV-CUST MUST SIGN PROFUNDS TRADING AUTH FORM PRIOR TO SETUP PROFUNDS ULTRABULL INV-CUSTOMER MUST SIGN PROFUNDS TRADING AUTHORIZATION FORM PRIOR TO SET UP

30 PROFUNDS ULTRASHORT NASDAQ-100 INV-CUST MUST SIGN PROFUNDS TRADING AUTH FORM PRIOR TO SETUP PROFUNDS MONEY MARKET INVESTOR (1)- CUSTOMER MUST SIGN PROFUNDS TRADING AUTHFORM PRIOR TO SET UP PROFUNDS ULTRANASDAQ-100 INV-CUST MUST SIGN PROFUNDS TRADING AUTH FORM PRIOR TO SETUP PROFUNDS ULTRABEAR INV-CUSTOMER MUST SIGN PROFUNDS TRADING AUTHORIZATION FORM PRIOR TO SET UP PRUDENTIAL INTERNATIONAL EQUITY A PRUDENTIAL INTERNATIONAL EQUITY C PURISIMA TOTAL RETURN PUTNAM DYNAMIC ASSET ALLOCATION GR A PUTNAM DYNAMIC ASSET ALLOCATION BAL A PUTNAM DYNAMIC ASSET ALLOCATION BAL B PUTNAM DYNAMIC ASSET ALLOCATION CNSRV A PUTNAM DYNAMIC ASSET ALLOCATION GR C PUTNAM CONVERTIBLE SECURITIES A PUTNAM DIVERSIFIED INCOME A PUTNAM DIVERSIFIED INCOME M PUTNAM EQUITY INCOME A PUTNAM EQUITY INCOME B PUTNAM EQUITY INCOME M PUTNAM EQUITY INCOME C PUTNAM EUROPE EQUITY A PUTNAM FUND FOR GROWTH & INCOME A PUTNAM FUND FOR GROWTH & INCOME B PUTNAM FUND FOR GROWTH & INCOME C PUTNAM FUND FOR GROWTH & INCOME M PUTNAM INTERNATIONAL VALUE A PUTNAM FLOATING RATE INCOME A PUTNAM GLOBAL EQUITY A PUTNAM GLOBAL EQUITY B PUTNAM GLOBAL HEALTH CARE A PUTNAM GLOBAL HEALTH CARE B PUTNAM GLOBAL HEALTH CARE C PUTNAM HIGH YIELD A PUTNAM HIGH YIELD B PUTNAM INCOME A PUTNAM INTERNATIONAL GROWTH A PUTNAM MULTI-CAP VALUE A PUTNAM INTERNATIONAL CAPITAL OPP C PUTNAM SMALL CAP VALUE C-CLOSED TO NEW INVESTORS 01/ PUTNAM SMALL CAP VALUE A PUTNAM RESEARCH C PUTNAM INTERNATIONAL GROWTH C PUTNAM GROWTH OPPORTUNITIES C PUTNAM RESEARCH B PUTNAM CAPITAL OPPORTUNITIES A

31 PUTNAM GROWTH OPPORTUNITIES M PUTNAM GROWTH OPPORTUNITIES B PUTNAM GROWTH OPPORTUNITIES A PUTNAM INTERNATIONAL CAPITAL OPP A PUTNAM RESEARCH A PUTNAM INVESTORS A PUTNAM INVESTORS B PUTNAM INVESTORS C PUTNAM INVESTORS M PUTNAM TAX EXEMPT INCOME A PUTNAM TAX EXEMPT MONEY MARKET A PUTNAM AMT - FREE MUNICIPAL A PUTNAM TAX-FREE HIGH YIELD A PUTNAM US GOVERNMENT INCOME A PUTNAM US GOVERNMENT INCOME B PUTNAM US GOVERNMENT INCOME C PUTNAM GLOBAL UTILITIES A PUTNAM NJ TAX EXEMPT INCOME A PUTNAM MULTI-CAP GROWTH A PUTNAM MULTI-CAP GROWTH B PUTNAM MULTI-CAP GROWTH C PUTNAM MULTI-CAP GROWTH M PUTNAM MONEY MARKET A PUTNAM MONEY MARKET T PUTNAM GLOBAL NATURAL RESOURCES A QUAKER STRATEGIC GROWTH A PUTNAM VOYAGER A PUTNAM VOYAGER B PUTNAM VOYAGER C PUTNAM VOYAGER M BOSTON LONG/SHORT RESEARCH INSTL-CLOSED TO ALL PURCHASES AND NEW PLANS AS OF 05/11/ BOSTON PARTNERS SM CAP VAL II INV BOSTON PARTNERS SMALL CAP VALUE II INSTL RBB M MKT I GLOBAL IPO PLUS AFTERMARKET REYNOLDS BLUE CHIP GROWTH OPPENHEIMER ROCHESTER FUND MUNICIPALS A OPPENHEIMER ROCHESTER FD MUNICIPALS B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ ROCHESTER FUND MUNICIPALS C OPPENHEIMER ROCHESTER LIMITED TERM NY MUNI A OPPENHEIMER ROCHESTER LIMITED TERM NY MUNI C T. ROWE PRICE DIVIDEND GROWTH T. ROWE PRICE EQUITY INCOME T. ROWE PRICE EQUITY INCOME ADV T. ROWE PRICE GNMA

32 T. ROWE PRICE GROWTH & INCOME T. ROWE PRICE EQUITY INDEX T. ROWE PRICE TOTAL EQUITY MARKET IDX T. ROWE PRICE MID-CAP GROWTH-HARD CLOSED TO NEW INVESTORS AS OF 05/31/10, NEW ACCOUNT FOR TIK OK T. ROWE PRICE NEW AMERICA GROWTH T. ROWE PRICE NEW ERA - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE T. ROWE PRICE NEW HORIZONS - CLOSED TO NEW INV 12/31/ T. ROWE PRICE NEW INCOME T. ROWE PRICE NY TAX-FREE BOND T. ROWE PRICE NY TAX-FREE MONEY T. ROWE PRICE SMALL-CAP STOCK - CLOSED TO NEW INV 12/31/ T. ROWE PRICE PRIME RESERVE T. ROWE PRICE TAX-EXEMPT MONEY T.ROWE FED TAX-FREE INCOME FD T. ROWE PRICE VALUE T. ROWE PRICE SPECTRUM INCOME T. ROWE PRICE SPECTRUM GROWTH T. ROWE PRICE REAL ESTATE ROYCE OPPORTUNITY SELECT INVMT ROYCE PREMIER INVMT-CLOSED TO NEW INVESTORS AS OF 05/24/ ROYCE MICRO-CAP INVMT ROYCE SMALLER-COMPANIES GROWTH SVC ROYCE LOW PRICED STOCK SVC ROYCE PENNSYLVANIA MUTUAL CONSULT ROYCE OPPORTUNITY INVMT ROYCE PENNSYLVANIA MUTUAL INVMT ROYCE HERITAGE SVC ROYCE TOTAL RETURN INVMT RYDEX NOVA INV RYDEX U.S. GOVERNMENT MONEY MARKET - CUSIP MERGED TO C679 ON ) RYDEX DYN INVERSE NASDAQ-100 2X STRAT H RYDEX INVERSE S&P 500 STRATEGY INV RYDEX INVERSE S&P 500 2X STRATEGY H RYDEX GOVT LONG BOND 1.2X STRATEGY INV RYDEX INVERSE NASDAQ-100 STRATEGY INV RYDEX NASDAQ-100 INV RYDEX INVERSE GOV LONG BOND STRATEGY INV RYDEX ELECTRONICS ADV RYDEX CONSUMER PRODUCTS INV RYDEX BIOTECHNOLOGY INV SEI SIIT INTERNATIONAL EQUITY: NO MINIMUM FOR QRP'S SSGA DYNAMIC SMALL CAP INSTITUTIONAL SSGA MONEY MARKET INSTL SSGA EMERGING MARKETS INSTL

33 SSGA INTERNATIONAL STOCK SELECTION INSTL SSGA S&P 500 INDEX INSTL SARATOGA US GOVERNMENT MONEY MKT I SARATOGA INVESTMENT QUALITY BOND I SARATOGA ADV TR MUNI BD PORT SARATOGA LARGE CAPITALIZATION VALUE I SARATOGA LARGE CAPITALIZATION GROWTH I SARATOGA MID CAPITALIZATION A SARATOGA ENERGY & BASIC MATERIALS I SARATOGA SMALL CAPITALIZATION I SARATOGA TECHNOLOGY & COMM I-MANUAL FAX SARATOGA TECHNOLOGY & COMM C SARATOGA TECHNOLOGY & COMM A SARATOGA INTERNATIONAL EQUITY I SARATOGA HEALTH AND BIOTECHNOLOGY I-MANUAL FAX SARATOGA HEALTH & BIOTECHNOLOGY C SARATOGA HEALTH & BIOTECHNOLOGY A SCHRODER INTERNATIONAL ALPHA INV SCHRODER INTERNATIONAL ALPHA ADV SCHWAB TARGET 2035-BLUE SKY IN ALL 50 STATES PLUS PR & VI SCHWAB MARKETTRACK GROWTH INVESTOR SCHWAB FDMTL EMERG MKTS LG CO IDX SCHWAB MARKETTRACK BALANCED INVESTOR SCHWAB MARKETTRACK CONSERVATIVE INVESTOR SCHWAB TARGET SCHWAB TARGET SCHWAB TARGET SCHWAB DIVIDEND EQUITY SCHWAB TOTAL STOCK MARKET INDEX SCHWAB CORE EQUITY INV SCHWAB MARKETTRACK ALL EQUITY INVESTOR LAUDUS SMALL-CAP MARKETMASTERS INV SCHWAB INTERNATIONAL INDEX SCHWAB SMALL CAP INDEX SCHWAB S&P 500 INDEX SCHWAB BALANCED LAUDUS INTERNATIONAL MARKETMASTERS INV SCHWAB 1000 INDEX SCHWAB SHORT-TERM BOND MARKET SCHWAB SCHWAB CA TAX FREE BOND: BLUE SKY IN AZ, CA, FL, IL, KY, LA, NJ, NV, OH, OR, UT SCHWAB TOTAL BOND MARKET AVE MARIA RISING DIVIDEND SELECTED AMERICAN SHARES S SELECTED AMERICAN SHARES D SELECTED DAILY GOVERNMENT S SELECTED INTERNATIONAL S

34 SENTINEL BALANCED A SENTINEL COMMON STOCK A SENTINEL MID CAP A SENTINEL MULTI ASSET INCOME FUND A SENTINEL GOVERNMENT SECURITIES A SENTINEL BALANCED C SENTINEL COMMON STOCK C SENTINEL SMALL COMPANY A SENTINEL LOW DURATION BOND FUND A SENTINEL INTERNATIONAL EQUITY A SEQUOIA SHELTON GREATER CHINA AIM TAX FREE CSH MGMT INVESCO SHORT TERM INV LIQ ASSETS CORP INVESCO SHORT TERM INV LIQ ASSETS INSTL SIT MID CAP GROWTH SIT LARGE CAP GROWTH SIT TAX FREE INCOME SERIES A SIT US GOVERNMENT SECURITIES AMERICAN FUNDS SMALLCAP WORLD A AMERICAN FUNDS SMALLCAP WORLD C - CLOSED TO OMNIBUS PLANS & GROUP QRPS SOUND SHORE INVESTOR CLASS STATE FARM GRWTH COM LIFEPATH 2020 FUND CLASS A STATE FARM BD B STATE FARM BD A NB STATE STREET INTL LIQ RESERVES STEWARD SELECT BOND INDV SUNAMERICA US GOVT SECURITIES A SUNAMERICA STRATEGIC BOND A SUNAMERICA FLEXIBLE CREDIT FUND A SUNAMERICA MONEY MARKET A SUNAMERICA INTL DIV STRAT C SUNAMERICA INTL DIV STRAT A TANAKA GROWTH PRUDENTIAL SMALL CAP VALUE FUND A AMERICAN TAX-EXEMPT A AMERICAN TAX-EX BOND FD OF AMERICA C - CLOSED TO OMNIBUS PLANS & GROUP QRPS TEMPLETON WORLD A TEMPLETON FOREIGN A TEMPLETON FOREIGN ADV - QRPS MUST HAVE $1M IN TOTAL ASSETS, BANK/TRUST - $1M IN FT FUNDS TEMPLETON GROWTH A TEMPLETON GROWTH C TEMPLETON GLOBAL BOND A

35 TEMPLETON GLOBAL BOND ADV - QRPS MUST HAVE $1M IN TOTAL ASSETS, BANK/TRUST - $1M IN FT FUNDS THIRD AVENUE VALUE INSTL THIRD AVENUE SMALL CAP VALUE INSTL THIRD AVENUE REAL ESTATE VALUE INSTL THIRD AVENUE VALUE INVESTOR THORNBURG INTERNATIONAL GROWTH A-CLOSED TO EMPLOYER SPONSORED PLANS AS OF 07/01/07, SEE R SHARES THORNBURG CAL LTD TERM MUNI A: CLOSED TO EMPLOYER SPONSORED PLANS AS OF 07/01/07, SEE R SHARES THORNBURG LTD TERM MUNI CL A: CLOSED TO EMPLOYER SPONSORED PLANS AS OF 07/01/07, SEE R SHARES THORNBURG NY INTERMEDIATE CL A: CLOSED TO EMPLOYER SPONSORED PLANS AS OF 07/01/07, SEE R SHARES THRIVENT MODERATE ALLOC A THRIVENT MODERTELY AGGRESSIVE A THRIVENT MID CAP GRWTH A THRIVENT BLNCD A THRIVENT INC A THRIVENT MUNI BD A THRIVENT MMKT A THRIVENT MID CAP STK A THRIVENT CORE BD A THRIVENT MUT FDS HIGH YIELD FD CL A THRIVENT LG CAP STK A TIAA-CREF BOND PLUS RETAIL TIAA CREF MONEY MARKET TIAA-CREF SHORT-TERM BOND RETAIL TIAA-CREF SOCIAL CHOICE EQ RETAIL TIAA-CREF EQUITY INDEX RETAIL TIAA-CREF GROWTH & INCOME RETAIL TIAA-CREF INTERNATIONAL EQ RETAIL TIAA-CREF HIGH-YIELD RETAIL TIAA-CREF MANAGED ALLC RETAIL TIAA-CREF INST TX-EXEMPT FD II TIMOTHY PLAN LARGE/MID CAP GROWTH A TOCQUEVILLE TOCQUEVILLE INTERNATIONAL VALUE TOCQUEVILLE OPPORTUNITY DELAFIELD FUND-FUND CANNOT SETUP WITH OUTSIDE DEALERS, MSCS FINANCIAL HAS TO BE ON ACCOUNT TOCQUEVILLE GOLD TORRAY TRANSAMERICA MULTI-MGD BALANCED C TRANSAMERICA MULTI-MGD BALANCED A TRANSAMERICA ASSET ALLC MODERATE C TRANSAMERICA ASSET ALLC MODERATE A TRANSAMERICA ASSET ALLC MOD GR C

36 TRANSAMERICA-IDEX ASSET ALLOC MOD CL B - CLOSED TO ALL PURCHASES AND NEW PLANS 7/15/ TRANSAMERICA ASSET ALLC MOD GR A TRANSAMERICA ASSET ALLC GROWTH C TRANSAMERICA ASSET ALLC GROWTH A TRANSAMERICA CAPITAL GROWTH A TRANSAMERICA-IDEX ASSET ALLOC MOD GRTH B CLLOSED TO ALL PURCHASES AND NEW PLANS 7/15/ TRANSAMERICA MONEY MARKET A TRANSAMERICA GROWTH OPPORTUNITIES C TRANSAMERICA-IDEX SMALL/MID CAP VALUE B: CLOSED TO ALL PURCHASES AND NEW PLANS AS OF 07/15/ TRANSAMERICA GROWTH OPPORTUNITIES A TRANSAMERICA MULTI-MGD BALANCED I-$1 MILLION MINIMUM PURCHASE TRANSAMERICA CAPITAL GROWTH I TRANSAMERICA US GROWTH I-$1 MILLION MINIMUM INITIAL PURCHASE TRANSAMERICA GROWTH OPPORTUNITIES I-$1 MILLION MINIMUM INITIAL PURCHASE TRANSAMERICA US GROWTH C TRANSAMERICA US GROWTH-CLOSED TO ALL PURCHASES AND NEW PLANS 7/15/ TRANSAMERICA US GROWTH A TRANSAMERICA ASSET ALLC MOD GR R TURNER SMALL CAP GROWTH TURNER MIDCAP GROWTH INVESTOR TWEEDY, BROWNE GLOBAL VALUE TWEEDY, BROWNE VALUE-CLOSED TO INVESTORS WITHOUT USAA PRECIOUS METALS AND MINERALS USAA CORNERSTONE MODERATELY AGRSV USAA INTERNATIONAL USAA GOVERNMENT SECURITIES USAA WORLD GROWTH USAA EMERGING MARKETS USAA CORNERSTONE MODERATE USAA INCOME USAA MONEY MARKET FUND; ONLY ELIGIBLE FOR ESCHEATMENT BUSINESS USAA AGGRESSIVE GROWTH USAA INCOME STOCK USAA SHORT-TERM BOND USAA CAPITAL GROWTH USAA INTERMEDIATE-TERM BOND USAA SMALL CAP STOCK USAA FIRST START GROWTH USAA SCIENCE & TECHNOLOGY USAA TAX EXEMPT LONG TERM FUND USAA TAX EXEMPT INTERMEDIATE TERM FUND USAA TAX EXEMPT SHORT TERM FUND

37 USAA VIRGINIA BOND FUND UTC NORTH AMERICAN FUND UNDISCOVERED MGRS BEHAVIORAL VALUE C US GLOBAL INVESTORS GLOBAL RES US GLOBAL INVESTORS ALL AMERICAN EQ US GLOBAL INVESTORS WLD PREC MINERALS US GLOBAL INVESTORS CHINA REGION-$5,000 MINIMUM PURCHASE US NEAR TERM TAX FREE US GOVERNMENT SECURITIES SAVINGS ULTRA SHORT BOND FUND US GLOBAL INVESTORS GLD AND PREC MTLS VALLEY FORGE VALUE LINE CORE BOND FUND VALUE LINE ASSET ALLOCATION U.S. GOVERNMENT MONEY MARKET FUND- HARD CLOSE VALUE LINE MID CAP FOCUSED FUND VALUE LINE INCOME & GROWTH VALUE LINE LARGER COMPANIES FOCUSED FUND VALUE LINE NY TAX EXMPT TR SBI VALUE LINE SMALL CAP OPPORTUNITIES VALUE LINE PREMIER GROWTH VALUE LINE TAX EXEMPT FUND VALUE LINE US GOVT SEC VAN ECK INTL INVESTORS GOLD A VAN ECK GLOBAL HARD ASSETS A VAN ECK EMERGING MARKETS A VANGUARD ENERGY INV VANGUARD PRECIOUS METALS AND MINING INV VANGUARD HEALTH CARE INV VANGUARD DIVIDEND GROWTH INV VANGUARD REIT INDEX INV VANGUARD ENERGY ADM VANGUARD DIVIDEND APPRECIATION IDX INV VANGUARD REIT INDEX ADM VANGUARD HEALTH CARE ADM VANGUARD STAR INV VANGUARD LIFESTRATEGY INCOME INV VANGUARD LIFESTRATEGY CNSRV GR INV VANGUARD LIFESTRATEGY MODERATE GR INV VANGUARD LIFESTRATEGY GROWTH INV VANGUARD TOTAL INTL STOCK INDEX INV VANGUARD TOTAL INTL STOCK INDEX ADMIRAL VANGUARD US GROWTH INV VANGUARD INTERNATIONAL GROWTH INV VANGUARD INTERNATIONAL GROWTH ADM VANGUARD US GROWTH ADM VANGUARD GROWTH & INCOME INV VANGUARD EQUITY-INCOME INV

38 VANGUARD PRIMECAP CORE INV-CLOSED TO ALL NEW PURCHASES VANGUARD EXPLORER INV VANGUARD MORGAN GROWTH INV VANGUARD MORGAN GROWTH ADM VANGUARD BALANCED INDEX INV VANGUARD BALANCED INDEX ADM VANGUARD ADMIRAL TREASURY MONEY MKT INV-CLOSED TO ALL PURCHASES AS OF 03/10/ VANGUARD WELLINGTON INV-CLOSED TO NEW ACCOUNTS AS OF 02/28/ VANGUARD WELLINGTON ADM-CLOSED TO NEW ACCOUNTS AS OF VANGUARD PRIMECAP INV-CLOSED TO ALL BUYS, TIK'S OKAY VANGUARD TOTAL BOND MARKET INDEX INV VANGUARD SHORT-TERM BOND INDEX INV VANGUARD INTERM-TERM BOND INDEX INV VANGUARD LONG-TERM BOND INDEX INV VANGUARD TOTAL BOND MARKET INDEX ADM VANGUARD SHORT-TERM BOND INDEX ADM VANGUARD INTERM-TERM BOND INDEX ADM VANGUARD WELLESLEY INCOME INV VANGUARD WELLESLEY INCOME ADM VANGUARD INTERNATIONAL VALUE INV VANGUARD TAX-MANAGED BALANCED ADM VANGUARD TAX-MANAGED CAPITAL APP ADM VANGUARD SELECTED VALUE INV VANGUARD WINDSOR INV VANGUARD WINDSOR II INV VANGUARD WINDSOR II ADM VANGUARD WINDSOR ADM VANGUARD US VALUE INV VANGUARD CAPITAL VALUE INV VANGUARD CONVERTIBLE SECURITIES INV --CLOSED TO NEW INVESTORS VANGUARD LONG-TERM INVESTMENT-GRADE INV VANGUARD HIGH-YIELD CORPORATE INV VANGUARD GNMA INV VANGUARD SHORT-TERM INVESTMENT-GRADE INV VANGUARD LONG-TERM TREASURY INV VANGUARD SHORT-TERM FEDERAL INV VANGUARD SHORT-TERM TREASURY INV VANGUARD INFLATION-PROTECTED SECS ADM VANGUARD HIGH-YIELD CORPORATE ADM VANGUARD GNMA ADM VANGUARD INTERM-TERM TREASURY INV VANGUARD INTERM-TERM INVESTMENT-GRDE ADM VANGUARD INTERM-TERM TREASURY ADM VANGUARD SHORT-TERM INVESTMENT-GRADE ADM VANGUARD SHORT-TERM FEDERAL ADM VANGUARD SHORT-TERM TREASURY ADM

39 VANGUARD INFLATION-PROTECTED SECS INV VANGUARD INTERM-TERM INVMT-GRADE INV VANGUARD STRATEGIC EQUITY INVESTOR VANGUARD GLOBAL EQUITY INV VANGUARD CAPITAL OPPORTUNITY INV-CLOSED TO ALL PURCHASES VANGUARD CAPITAL OPPORTUNITY ADM - CLOSED TO NEW INVESTORS / VANGUARD INSTITUTIONAL INDEX I-$5 MILLION MINIMUM PURCHASE ENFORCED ON TIKS VANGUARD PACIFIC STOCK INDEX INV VANGUARD EUROPEAN STOCK INDEX INV VANGUARD EMERGING MKTS STOCK IDX VANGUARD PACIFIC STK INDEX ADM (572) VANGUARD FTSE ALL-WORLD EX-US INDEX INV VANGUARD EMERGING MKTS STOCK IDX ADM VANGUARD PRIME MONEY MARKET INV VANGUARD FEDERAL MONEY MARKET INV VANGUARD SHORT-TERM TX-EX VANGUARD VANGUARD INTERMEDIATE TERM TAX EXEMPT FUND (42) VANGUARD LONG-TERM TAX-EXEMPT VANGUARD HIGH YIELD TAX EXEMPT FUND (44) VANGUARD TAX-EXEMPT MONEY MARKET INV VANGUARD LTD-TERM TX-EX VANGUARD SHORT-TERM TX-EX ADM VANGUARD HIGH YIELD EXEMPT ADM (5044) LONG TERM TAX EXPT ADMIRAL VANGUARD VANGUARD INTERMEDIATE TERM TAX EXPT ADM (542) VANGUARD 500 INDEX INV VANGUARD EXTENDED MARKET IDX INV VANGUARD TOTAL STOCK MKT IDX INV VANGUARD VALUE INDEX INV VANGUARD GROWTH INDEX INV VANGUARD MID-CAP VALUE INDEX INV VANGUARD MID-CAP GROWTH INDEX INV VANGUARD LARGE CAP INDEX ADM VANGUARD LARGE CAP INDEX INV VANGUARD MID CAP INDEX ADM VANGUARD GROWTH INDEX ADM VANGUARD EXTENDED MARKET IDX ADM VANGUARD SMALL CAP INDEX INV VANGUARD 500 INDEX ADMIRAL VANGUARD TOTAL STOCK MKT IDX ADM VANGUARD SMALL CAP VALUE INDEX INV VANGUARD SMALL CAP GROWTH INDEX INV VANGUARD MID CAP INDEX INV VICTORY SYCAMORE ESTABLISHED VALUE R VICTORY INCORE FUND FOR INCOME R

40 VICTORY DIVERSIFIED STOCK R VICTORY INCORE INVESTMENT GRADE CONVERTIBLE A VICTORY DIVERSIFIED STOCK A VICTORY INCORE FUND FOR INCOME A VICTORY SPECIAL VALUE A JPMORGAN SHORT TERM BOND FUND IIA-CLOSED TO NEW INVESTORS, LIQUIDATING 11/29/ DELAWARE TAX-FREE COLORADO - A (339) [FIXED INCOME] DELAWARE TAX FREE NEW YORK - A (401) [TAX FREE] DELAWARE SELECT GROWTH - A (316) [EQUITY] DELAWARE SELECT GROWTH - C (318) [EQUITY] CLOSED TO NEW INVESTORS AS OF WADDELL & REED GOVERNMENT SECS A - HOLD & REDEEM ONLY, NO PURCHASES ALLOWED WADDELL & REED CORE INVESTMENT A - CLOSED TO NEW INVESTORS WADDELL & REED ASSET STRATEGY A - CLOSED TO NEW INVESTORS WADDELL & REED SMALL CAP A - UNABLE TO HOLD AT THIS TIME WADDELL & REED SCIENCE & TECH A WADDELL & REED CASH MANAGEMENT A - CLOSED TO NEW INVESTORS WADDELL & REED GLOBAL BOND A - CLOSED TO NEW INVESTORS WADDELL & REED NEW CONCEPTS A WADDELL & REED VANGUARD A - CLOSED TO NEW INVESTORS WADDELL & REED HIGH-INCOME A - HOLD & REDEEM ONLY, NO PURCHASES ALLOWED WADDELL & REED CONTINENTAL INC A - HOLD & REDEEM ONLY, NO PURCHASES ALLOWED WADDELL & REED INTERNATIONAL GR A - CLOSED TO NEW INVESTORS WADDELL & REED BOND A - CLOSED TO NEW INVESTORS WADDELL & REED ACCUMULATIVE A - CLOSED TO NEW INVESTORS WASATCH SMALL CAP GROWTH-CLOSED TO NEW RETAIL, RETIREMENT OKAY AS OF 01/31/ WASATCH CORE GROWTH WASATCH-HOISINGTON US TREASURY WASATCH ULTRA GROWTH WASATCH MICRO CAP WASATCH SMALL CAP VALUE WASATCH INTERNATIONAL GROWTH-CLOSED TO NEW INVESTORS 1/31/ WASATCH LARGE CAP VALUE INVESTOR AMERICAN FUNDS WASHINGTON MUTUAL A WASHINGTON MUTUAL INVESTORS B: CLOSED TO NEW ACCOUNTS AND ALL BUYS AS OF 04/20/09, EXCHANGES OK AMERICAN FUNDS WASHINGTON MUTUAL F-1 - SHARE CLASS FOR BANKS & TRUST COMPANIES ONLY WELLS FARGO ADVANTAGE INTL EQUITY A WELLS FARGO ADVANTAGE SMALL CAP VALUE A WELLS FARGO ADVANTAGE ENTERPRISE A WELLS FARGO ADVANTAGE COMMON STOCK A WELLS FARGO ADVANTAGE OPPORTUNITY A WELLS FARGO ADVANTAGE OPPORTUNITY ADM

41 WELLS FARGO ADVANTAGE GROWTH A-CLOSED TO NEW INVESTORS AS OF 01/31/ WELLS FARGO ADVANTAGE HERITAGE MMKT ADM WELLS FARGO ADVANTAGE NATL T/F MMKT ADM WELLS FARGO ADVANTAGE HIGH INCOME A WELLS FARGO ADVANTAGE GOVERNMENT SEC A WELLS FARGO ADVANTAGE GOVERNMENT SEC C WELLS FARGO ADVANTAGE S/T HI-YLD BD A WELLS FARGO ADVANTAGE SHORT-TERM BD A WELLS FARGO ADVANTAGE ULTRA S/T INC A WELLS FARGO ADVANTAGE MUNICIPAL BOND ADM WELLS FARGO ADVANTAGE MUNICIPAL BOND C WELLS FARGO ADVANTAGE MUNICIPAL BOND B WELLS FARGO ADVANTAGE MUNICIPAL BOND A WELLS FARGO ADVANTAGE ULT S/T MUN INC A WELLS FARGO ADVANTAGE CAPITAL GROWTH A WELLS FARGO ADVANTAGE MUNI CASH MANAGEMENT MMKT INST WELLS FARGO ADVANTAGE MONEY MARKET SVC WELLS FARGO ADVANTAGE MUNICIPAL MMKT SVC WELLS FARGO ADVANTAGE MUNICIPAL MMKT A WELLS FARGO ADVANTAGE DISCOVERY A WELLS FARGO ADVANTAGE MUNICIPAL BOND I WELLS FARGO ADVANTAGE LARGE CO VAL A WELLS FARGO ADVANTAGE SM/MD CAP VAL A WELLS FARGO ADVANTAGE EMERGING GR C-CLOSED TO NEW INVESTORS AS OF 06/20/ WELLS FARGO ADVANTAGE EMERGING GR A-CLOSED TO NEW INVESTORS AS OF 06/20/ WELLS FARGO ADVANTAGE INTRNS SMCPVAL A WELLS FARGO ADVANTAGE ENTERPRISE C WELLS FARGO ADVANTAGE OPPORTUNITY C WELLS FARGO ADVANTAGE ASIA PACIFIC A WESTERN ASSET CORE PLUS BOND C WESTERN ASSET INFLATION IDXD PLUS BD A WESTERN ASSET CORE BOND FI WESTERN ASSET CORE PLUS BOND A WESTERN ASSET CORE BOND A WESTCORE BLUE CHIP DIVIDEND RETAIL WILSHIRE LARGE COMPANY GROWTH INVMT WILSHIRE LARGE COMPANY VALUE INVMT WILSHIRE SMALL COMPANY GROWTH INVMT WILSHIRE SMALL COMPANY VALUE INVMT WRIGHT CURRENT INCOME FUND E100 PYXIS US EQUITY FUND A-MERGED TO 43090E605 ON 11/28/ E101 DREYFUS THIRD CENTURY A E101 PUTNAM INTERNATIONAL EQUITY A E102 VANGUARD TARGET RETIREMENT INCOME INV

42 36240E103 GABELLI UTILITIES AAA E103 UBS US ALLOCATION A E105 CLEARBRIDGE APPRECIATION A E107 ALLIANCEBERN SMALL CAP GROWTH A-CLOSED TO NEW INVESTORS AS OF 1/31/ E106 OPPENHEIMER FUNDAMENTAL ALTERNATIVES A E106 GUGGENHEIM RYDEX U.S. GOVERNMENT MONEY MARKET C E107 PRUDENTIAL JENNISON GROWTH A E109 AMIDEX35 ISRAEL E156 MORGAN STANLEY INSTITUTIONAL GROWTH L-CLOSED TO NEW ACCOUNTS AND BUYS 4/30/ E202 GABELLI UTILITIES A E203 BLACKROCK STRATEGIC MUNICIPAL OPPORTUNITES A1- CLOSED TO NEW INVESTORS [FIXED INCOME] 52468E204 LEGG MASON CLEARBRIDGE APPRECIATION B: FUND HARD CLOSED AS OF /01/ E206 ALLIANCEBERN SMALL CAP GROWTH B: CLOSED TO NEW INVESTORS AS OF 1/31/ E205 FEDERATED MID-CAP INDEX SVC E205 JANUS BALANCED FUND D SHARES E205 OPPENHEIMER FUNDAMENTAL ALTERNATIVES B : CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ E206 PRUDENTIAL JENNISON GROWTH FUND -CLASS B - CLOSED TO NEW INVESTORS 6/23/ E300 VANGUARD TARGET RETIREMENT 2015 INV E301 UBS US ALLOCATION C E303 CLEARBRIDGE APPRECIATION C H125 ASTON/RIVER ROAD SMALL CAP VALUE N H216 ASTON/TAMRO SMALL CAP N H273 ASTON/MONTAG & CALDWELL BALANCED N H299 ASTON/MONTAG & CALDWELL GROWTH N H323 ASTON/TCH FIXED INCOME N Y652 ASTON/LMCG SMALL CAP GROWTH N A529 INVESCO CORE PLUS BOND A A537 INVESCO U.S. QUANTITATIVE CORE Y A594 INVESCO U.S. QUANTITATIVE CORE INVESTOR A784 INVESCO U.S. QUANTITATIVE CORE C A818 INVESCO U.S. QUANTITATIVE CORE A A867 INVESCO FLOATING RATE A B204 INVESCO DIVERSIFIED DIVIDEND Y L103 INVESCO GLOBAL CORE EQUITY A L301 INVESCO GLOBAL CORE EQUITY C M135 INVESCO SMALL CAP GROWTH INV-CLOSED TO NEW INVESTORS AS OF /09/ M192 INVESCO INTERNATIONAL ALLOCATION A M424 INVESCO MODERATE ALLOCATION B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ M432 INVESCO MODERATE ALLOCATION A M549 INVESCO GROWTH ALLOCATION A

43 00141M572 INVESCO GLOBAL QUANTITATIVE CORE A M770 INVESCO SMALL CAP GROWTH A-CLOSED TO NEW INVESTORS AS OF /09/ M812 INVESCO MID CAP CORE EQUITY A T106 INVESCO GLOBAL HEALTH CARE A T171 INVESCO GLOBAL HEALTH CARE INVSTOR T254 INVESCO SELECT COMPANIES A-CLOSED TO NEW INVESTORS /16/12;CLOSED TO ALL RETAIL PURCHASES3/5/ T296 INVESCO ENDEAVOR A T544 INVESCO DEVELOPING MARKETS C-CLOSED TO NEW INVESTORS AS OF /22/ T569 INVESCO DEVELOPING MARKETS B: CLOSED TO NEW INVESTORS AS OF /09/ T577 INVESCO DEVELOPING MARKETS A-CLOSED TO NEW INVESTORS AS OF /09/ V267 INVESCO PACIFIC GROWTH A C193 INVESCO HIGH YIELD Y C300 INVESCO LIMITED MATURITY TREASURY A2-CLOSED TO NEW INVESTORS AS OF 05/09/ C342 INVESCO GLOBAL REAL ESTATE C C433 INVESCO SHORT TERM BOND A C565 INVESCO REAL ESTATE A C573 INVESCO REAL ESTATE INVESTOR C599 INVESCO MONEY MARKET INVESTOR C615 INVESCO US GOVERNMENT INVESTOR C631 INVESCO HIGH YIELD INVESTOR C706 INVESCO HIGH YIELD A C771 INVESCO MONEY MARKET CASH RESERVES C789 INVESCO MONEY MARKET C C805 INVESCO HIGH YIELD B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ C821 INVESCO US GOVERNMENT C C839 INVESCO U.S. GOVERNMENT B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ C847 INVESCO US GOVERNMENT A C888 INVESCO HIGH YIELD C F105 INVESCO ENERGY INV F204 INVESCO ENERGY A F246 INVESCO TECHNOLOGY SECTOR C-CLOSED TO NEW INVESTORS AS OF /09/ F261 INVESCO TECHNOLOGY SECTOR A-CLOSED TO NEW INVESTORS AS OF /09/ F519 INVESCO DIVIDEND INCOME C F527 INVESCO DIVIDEND B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ F535 INVESCO DIVIDEND INCOME A F543 INVESCO DIVIDEND INCOME INVESTOR F626 INVESCO TECHNOLOGY C F634 INVESCO TECHNOLOGY B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/10

44 00142F642 INVESCO TECHNOLOGY A F659 INVESCO TECHNOLOGY INVESTOR F840 INVESCO GOLD & PRECIOUS METALS B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ F857 INVESCO GOLD & PRECIOUS METALS A F865 INVESCO GOLD & PRECIOUS METALS INVSTOR J214 INVESCO SMALL CAP DISCOVERY A J255 INVESCO PENNSYLVANIA TAX FREE INCOME FUND A J339 INVESCO GROWTH AND INCOME Y J354 INVESCO GROWTH AND INCOME B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ J362 INVESCO GROWTH AND INCOME A J446 INVESCO EQUITY AND INCOME Y J453 INVESCO EQUITY AND INCOME C J461 INVESCO EQUITY AND INCOME B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ J479 INVESCO EQUITY AND INCOME A J552 INVESCO AMERICAN FRANCHISE C J560 INVESCO AMERICAN FRANCHISE FUND: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ J578 INVESCO AMERICAN FRANCHISE A J594 INVESCO S&P 500 INDEX C J610 INVESCO S&P 500 INDEX B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ J628 INVESCO S&P 500 INDEX A J776 INVESCO EQUALLY-WTD S&P 500 Y J818 INVESCO EQUALLY-WTD S&P 500 A W504 INVESCO PREMIER US GOVERNMENT MONEY INV W868 INVESCO TREASURER'S SER TR PREM INSTL M372 INVESCO VALUE OPP C M380 INVESCO VALUE OPP B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ M398 INVESCO VALUE OPP A M497 INVESCO SMALLCAPVALUE Y-CLOSED TO NEW INVESTORS AS OF 02/14/ M513 INVESCO SMALLCAPVALUE C-CLOSED TO NEW INVESTORS AS OF 02/14/ M539 INVESCO SMALLCAPVALUE A-CLOSED TO NEW INVESTORS AS OF 05/09/ M570 INVESCO MID CAP GR C M588 INVESCO MID CAP GR B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ M596 INVESCO MID CAP GR A M661 INVESCO COMSTOCK Y M687 INVESCO COMSTOCK C M695 INVESCO COMSTOCK B: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ M711 INVESCO COMSTOCK A M836 INVESCO AMERICAN VALUE FUND: CLOSED TO NEW INVESTORS AND PURCHASES AS OF 11/30/ M844 INVESCO AMERICAN VALUE A J300 AMG MANAGERS BRANDYWINE FUND

45 00170J730 AMG GW&K CORE BOND FUND J755 AMG MANAGERS EMERGING OPPORTUNITIES-SVC J771 AMG FRONTIER SMALL CAP GROWTH-SVC - CLOSED TO NEW INVESTORS /1/ K208 AMG MANAGERS SKYLINE SPECIAL EQUITIES K570 AMG YACKTMAN FOCUSED-SVC L107 AMG MANAGERS CADENCE CAPITAL APP-INV L602 AMG MANAGERS CADENCE MID CAP-INV L867 AMG MANAGERS SPECIAL EQUITY-SVC M105 AMG MANAGERS HIGH YIELD-INV M873 AMG MANAGERS INTERMEDIATE DURATION GOVT M162 ACADIAN EMERGING MARKETS INSTL-CLOSED TO NEW INVESTORS AND BUYS 10/1/ M311 TS&W EQUITY INSTITUTIONAL W0734 WESTWOOD LARGECAP VALUE INSTITUTIONAL G493 ATLANTIC TRUST DISCIPLINED EQUITY W403 INVESCO CONVERTIBLE SECURITIES A W585 INVESCO US MORTGAGE C W601 INVESCO CONVERTIBLE SECURITIES C W619 INVESCO US MORTGAGE A Y102 INVESCO BALANCED-RISK COMMODITY STRAT A Y508 INVESCO BALANCED-RISK COMMODITY STRAT Y W105 ALLIANCEBERN GLOBAL BOND A W303 ALLIANCEBERN GLOBAL BOND C M101 ALLIANCEBERN HIGH INCOME A M200 ALLIANCEBERN HIGH INCOME B: CLOSED TO NEW INVESTORS AS OF /31/ M309 ALLIANCEBERN HIGH INCOME C N109 ALLIANCEBERN UNCONSTRAINED BOND A N208 ALLIANCEBERN UNCONSTRAINED BOND B: CLOSED TO NEW INVESTORS AS OF 01/31/ N307 ALLIANCEBERN UNCONSTRAINED BOND C E706 ALLIANCEBERN MUNICIPAL INCOME VIRGINA PORTFOLIO A E805 ALLIANCEBERN MUNICIPAL INCOME NEW JERSEY PORTFOLIO A E862 ALLIANCEBERN MUNICIPAL INCOME OHIO PORTFOLIO A C101 ALLIANCEBERN LARGE CAP GROWTH A C200 ALLIANCEBERN PREM GROWTH B: CLOSED TO NEW INVESTORS AS OF /31/ C309 ALLIANCEBERN LARGE CAP GROWTH C C408 ALLIANCEBERN LARGE CAP GROWTH ADV E404 ALLIANCEBERN SMALL CAP GROWTH C-CLOSED TO NEW INVESTORS AS OF 1/31/ F401 ALLIANCEBERN GROWTH A F500 ALLIANCEBERN GROWTH B: CLOSED TO NEW INVESTORS AS OF 01/31/ F567 ALLIANCEBERN TX-MGD WLTH APPR STRAT A F591 ALLIANCEBERN CONSERVATIVE WEALTH STRATEGY B: CLOSED TO NEW INVESTORS AS OF 01/31/ F609 ALLIANCEBERN GROWTH C F617 ALLIANCEBERN CNSRV WLTH STRAT A

46 01877F633 ALLIANCEBERN BALANCE WEALTH STRAT C F641 ALLIANCEBERN BALANCED WEALTH STRATEGY B: CLOSED TO NEW INVESTORS AS OF 01/31/ F658 ALLIANCEBERN BALANCE WEALTH STRAT A F682 ALLIANCEBERN WEALTH APPRECIATION STRATEGY B : CLOSED TO NEW INVESTORS AS OF 01/31/ F690 ALLIANCEBERN WEALTH APPREC STRAT A F757 ALLIANCEBERN GROWTH ADV F807 ALLIANCEBERN TAX-MANAGED WEALTH APPRECIATION STRATEGY B : CLOSED TO NEW INVESTORS AS OF 01/31/ G102 ALLIANCEBERN GLBL REL EST INVMT A K101 ALLIANCEBERN CORE OPPORTUNITIES A K309 ALLIANCEBERN CORE OPPORTUNITIES C K705 ALLIANCEBERN CORE OPPORTUNITIES ADV M107 ALLIANCEBERN EXCHANGE RESERVES A M206 ALLIANCEBERN EXCHANGE RESERVE B: CLOSED TO NEW INVESTORS AS OF 01/31/ X103 ALLIANCEBERN INTL GROWTH A X202 ALLIANCEBERN INTERNATIONAL GROWTH B: CLOSED TO NEW INVESTORS AS OF 01/31/ A455 AMERICAN BEACON HIGH YLD BD INV-CLOSED TO NEW INVESTORS /20/15;LIQUIDATING 11/30/ A794 AMERICAN BEACON INTL EQUITY INV A810 AMERICAN BEACON LG CAP VALUE INV F886 AMERICAN CENTURY ONE CHOICE 2035 INV M105 AMERICAN CENTURY GLOBAL GOLD INV M303 AMERICAN CENTURY INCOME & GROWTH INV M600 AMERICAN CENTURY EQUITY GROWTH INV M840 AMERICAN CENTURY SMALL COMPANY INV U107 AMERICAN FUNDS MONEY MARKET A W103 AMERICAN SHORT TERM TAX-EXEMPT A F104 AMERISTOCK MUTUAL FUND A103 AQUILA TAX FREE TRUST OF ARIZONA A H105 ARTISAN SMALL CAP INVESTOR - CLOSED TO NEW INVESTORS H204 ARTISAN INTERNATIONAL INV H303 ARTISAN MID CAP INV-FUND CLOSED TO NEW INVESTORS, AVAILABLE TO TIK 04314H501 ARTISAN SMALL CAP VALUE INVESTOR-FUND CLOSED TO NEW INVESTMENTS 12/ H709 ARTISAN MID CAP VALUE INVESTOR-CLOSED TO NEW INVESTORS AS OF /08/ H808 ARTISAN INTERNATIONAL SMALL CAP INVESTOR-CLOSED TO NEW INVESTORS AS OF 12/01/ H881 ARTISAN INTERNATIONAL VALUE INVESTOR--CLOSED TO NEW INVESTORS /14/ J407 ABERDEEN SELECT INTERNATIONAL EQ A-CLOSED TO NEW INVESTORS J506 ABERDEEN SELECT INTERNATIONAL EQ I-CLOSED TO NEW INVESTORS, $ MILLION MINIMUM 05528C105 BBH MONEY MARKET REGULAR-FUND SETTLES ALL TRADES T M509 BNY MELLON MID CAP MULTI-STRATEGY M

47 05569M517 DREYFUS BNY MELLON NEW YORK INTERMIDAT M533 BNY MELLON INTERMEDIATE U.S. G--MERGED TO 05569M798 ON 2/22/ M558 BNY MELLON INTL APPRECIATION INV-$10,000 MINIMUM INITIAL PURCHASE M566 BNY MELLON INTL APPRECIATION M-$10,000 MINIMUM INITIAL PURCHASE M608 BNY MELLON MID CAP MULTI-STRATEGY INV M756 DREYFUS BNY MELLON NATL INT MUNI BD - INV SH M764 DREYFUS BNY MELLON NATL INT MUNI BD - CL M M798 BNY MELLON INTERMEDIATE BOND INV M806 BNY MELLON SMALL CAP MULTI-STRATEGY M M889 BNY MELLON SMALL CAP MULTI-STRATEGY INV M108 BARON PARTNERS RETAIL M405 BARON PARTNERS INSTL - $1M MIN, WAIVED FOR QRPS BUT ENFORCED ON TIKS 06847P108 BARRETT OPPORTUNITY G107 BLACKROCK INTERNATIONAL INV A[EQUITY] G305 BLACKROCK INTERNATIONAL INV C [EQUITY] G404 BLACKROCK INTERNATIONAL INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09250J106 BLACKROCK LARGE CAP CORE INV A[EQUITY] J205 BLACKROCK LARGE CAP CORE B: CLOSED TO ALL BUYS AS OF 07/01/09, EXCHANGES ALLOWED 09250J304 BLACKROCK LARGE CAP CORE INV C[EQUITY] J502 BLACKROCK LARGE CAP CORE INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09250J601 BLACKROCK LARGE CAP GROWTH INV A[EQUITY] J809 BLACKROCK LARGE CAP GROWTH INV C[EQUITY] J817 BLACKROCK LARGE CAP VALUE INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09250J833 BLACKROCK LARGE CAP VALUE INV C[EQUITY] J858 BLACKROCK LARGE CAP VALUE INV A[EQUITY] X105 BLACKROCK LATIN AMERICA INV A[EQUITY] C100 BLACKROCK BALANCED CAPITAL INV A[EQUITY] C209 BLACKROCK BALANCED CAPITAL B: CLOSED TO ALL PURCHASES AS OF /01/09, EXCHANGES ALLOWED 09251C308 BLACKROCK BALANCED CAPITAL INV C[EQUITY] C506 BLACKROCK BALANCED CAPITAL INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251G101 BLACKROCK BASIC VALUE INV A[EQUITY] G200 BLACKROCK BASIC VALUE B: CLOSED TO ALL PURCHASES AS OF 07/01/09, EXCHANGES ALLOWED 09251G309 BLACKROCK BASIC VALUE INV C[EQUITY] G507 BLACKROCK BASIC VALUE INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251J105 BLACKROCK EMERGING MKTS INV A[EQUITY] J303 BLACKROCK EMERGING MKTS INV C[EQUITY] J402 BLACKROCK EMERGING MKTS INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251M108 BLACKROCK EQUITY DIVIDEND INV A[EQUITY] M504 BLACKROCK EQUITY DIVIDEND INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS

48 09251N106 BLACKROCK EUROFUND INV A [EQUITY] N304 BLACKROCK EUROFUND INV C[EQUITY] N502 BLACKROCK EUROFUND INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251P101 BLACKROCK FOCUS GROWTH INV A[EQUITY] P309 BLACKROCK FOCUS GROWTH INV C[EQUITY] R107 BLACKROCK CAPITAL APPRECIATION INV A[EQUITY] R206 BLACKROCK CAPITAL APPRECIATION B: CLOSED TO ALL PURCHASES AS OF 07/01/09, EXCHANGES ALLOWED 09251R305 BLACKROCK CAPITAL APPRECIATION INV C[EQUITY] R503 BLACKROCK CAPITAL APPRECIATION INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251R602 BLACKROCK CAPITAL APPRECIATION BLACKROCK [EQUITY] - $5M MIN, WAIVED FOR DC PLANS 09251T103 BLACKROCK GLOBAL ALLOCATION INV A[EQUITY] T202 BLACKROCK GLOBAL ALLOCATION B: CLOSED TO ALL PURCHASES AS OF /01/09, EXCHANGES ALLOWED 09251T301 BLACKROCK GLOBAL ALLOCATION INV C [EQUITY] T509 BLACKROCK GLOBAL ALLOCATION INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09251W106 BLACKROCK LONG-HORIZON EQUITY INV A[EQUITY] W205 BLACKROCK LONG-HORIZON EQUITY B: CLOSED TO ALL BUYS AS OF /01/09, EXCHANGES ALLOWED 09251W403 BLACKROCK LONG-HORIZON EQUITY INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09252A103 BLACKROCK GLOBAL SMALLCAP INV A[EQUITY] H108 BLACKROCK NATURAL RESOURCES INV A[EQUITY] J104 BLACKROCK PACIFIC INV A[EQUITY] J302 BLACKROCK PACIFIC INV C [EQUITY] J500 BLACKROCK PACIFIC INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09252L109 BLACKROCK VALUE OPPORTUNITIES INV A[EQUITY] L505 BLACKROCK VALUE OPPORTUNITIES INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09252M107 BLACKROCK TOTAL RETURN INV A[FIXED INCOME] M206 BLACKROCK TOTAL RETURN INV A1-CLOSED TO NEW INVESTORS [FIXED INCOME] 09252M305 BLACKROCK TOTAL RETURN FUND B [FIXED INCOME] M602 BLACKROCK TOTAL RETURN INV C1[FIXED FIXED INCOME] CLOSED TO NEW INVESTORS [FIXED INCOME] 09252M883 BLACKROCK TOTAL RETURN INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09252X103 BLACKROCK STRATEGIC GLOBAL BOND FUND A[FIXED INCOME] X509 BLACKROCK STRATEGIC GLOBAL BOND INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09252Y200 BLACKROCK CALIFORNIA MUNICPAL OPPORTUNITIES FUND (A1) A813 BLACKROCK NY MUNI OPPORTUNITIES FD A1: CLOSED TO NEW INVESTORS [FIXED INCOME] 09253C603 BLACKROCK NATIONAL MUNICIPAL INV A[FIXED INCOME] C744 BLACKROCK NATIONAL MUNICIPAL FUND [FIXED INCOME] - $5M MIN, WAIVED FOR DC PLANS

49 09253C801 BLACKROCK NATL MUNI FD CL C [FIXED INCOME] C819 BLACKROCK SHORT-TERM MUNI INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09253C850 BLACKROCK SHORT TERM MUNICIPAL A1: CLOSED TO NEW INVESTORS [FIXED INCOME] 09253C876 BLACKROCK NATIONAL MUNICIPAL INSTL - $2M MIN, WAIVED FOR QRPS AND WRAP ACCTS 09255V104 BLACKROCK MID CAP VALUE OPPS INV A[EQUITY] V302 BLACKROCK MID CAP VALUE OPPS INV C[EQUITY] H120 BLACKROCK LOW DURATION BOND INVESTOR C3 [FIXED INCOME] H153 BLACKROCK US GOVERNMENT BOND INV C1 [FIXED INCOME] H161 BLACKROCK US GOVERNMENT BOND INV B1 [FIXED INCOME] H211 BLACKROCK FLOATING RATE FIXED INCOME INV A [FIXED INCOME] H302 BLACKROCK HIGH YIELD BOND INV B1-CLOSED TO NEW INVESTORS [FIXED INCOME] 09256H401 BLACKROCK HIGH YIELD BOND INV C1-CLOSED TO NEW INVESTORS [FIXED INCOME] 09256H856 BLACKROCK LOW DURATION BD INV A1 [FIXED INCOME] L679 BMO PRIME MONEY MARKET Y P797 CALVERT GLOBAL WATER A Y107 STEWARD SMALL-MID CAP ENHANCED IDX INDV P109 CAUSEWAY INTERNATIONAL VALUE INV H104 COHEN & STEERS INTERNATIONAL REALTY A H302 COHEN & STEERS INTERNATIONAL REALTY C P283 COLUMBIA DIVIDEND OPPORTUNITY A P390 COLUMBIA DIVERSIFIED EQUITY INCOME A P622 COLUMBIA AMT-FREE TAX-EXEMPT BOND FUND T301 COLUMBIA INCOME OPPORTUNITIES C T483 COLUMBIA LARGE VALUE QUANTITATIVE T-CLOSED TO NEW INVESTORS T558 COLUMBIA LARGE VALUE QUANTITATIVE A T640 COLUMBIA LARGE CORE QUANTITATIVE A T764 COLUMBIA SELECT GLOBAL EQUITY FUND C T780 COLUMBIA SELECT GLOBAL EQUITY FUND A T889 COLUMBIA INCOME OPPORTUNITIES Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ H198 COLUMBIA LARGE CAP GROWTH V C H263 COLUMBIA LARGE CAP GROWTH III A H271 COLUMBIA SELECT LARGE CAP EQUITY Z -(988) H313 COLUMBIA SELECT LARGE CAP EQUITY A(985) H321 COLUMBIA LARGE CAP INDEX Z - CLOSED TO NEW RETIREMENT PLANS /29/ H396 COLUMBIA SHORT TERM BOND A H503 COLUMBIA CAPITAL ALLOCATION MOD CNSRV A H677 COLUMBIA SELECT INTL EQUITY Z - CLOSED TO NEW RETIREMENT PLANS /29/ H685 COLUMBIA SELECT INTL EQUITY C H719 COLUMBIA SELECT INTL EQUITY A H750 COLUMBIA CONVERTIBLE SECURITIES A

50 19765H768 COLUMBIA CAPITAL ALLOCATION MOD AGRSV Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ H784 COLUMBIA CAPITAL ALLOCATION MOD AGRSV - B CLOSED TO NEW ACCTS AND PURCHASES 6/22/ H792 COLUMBIA CAPITAL ALLOCATION MOD AGRSV A J103 COLUMBIA LARGE CAP GROWTH II J301 COLUMBIA LARGE CAP GROWTH II C J400 COLUMBIA LARGE CAP GROWTH II Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ J772 COLUMBIA SMALL CAP VALUE FUND II C-CLOSED TO ALL PURCHASES AS OF 05/01/ J814 COLUMBIA SMALL CAP INDEX Z - CLOSED TO NEW RETIREMENT PLANS /29/ J822 COLUMBIA SMALL CAP INDEX A J830 COLUMBIA MID CAP VALUE Z - CLOSED TO NEW RETIREMENT PLANS J863 COLUMBIA MID CAP VALUE A L108 COLUMBIA CALI TAX EXEMPT FUND A(767) L181 COLUMBIA NEW YORK TAX-EXEMPT FUND-B: CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 06/22/ L199 COLUMBIA NEW YORK TAX-EXEMPT FUND-A L629 COLUMBIA TAX EXEMPT FUND Z - CLOSED TO NEW RETIREMENT PLANS /29/ L637 COLUMBIA AMT-FREE INTERMDEDIATE MUNI BOND FUND Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ L645 COLUMBIA AMT-FREE INTERMDEDIATE MUNI BOND FUND T: CLOSED TO NEW INVESTORS 19765L686 COLUMBIA AMT-FREE INTERMDEDIATE MUNI BOND FUND A L801 COLUMBIA STRATEGIC INCOME A L850 COLUMBIA TAX EXEMPT A M338 COLUMBIA OVERSEAS VALUE A N237 COLUMBIA DIVIDEND INCOME T-CLOSED TO NEW INVESTORS N278 COLUMBIA DIVIDEND INCOME A N468 COLUMBIA INTERMEDIATE BOND Z - CLOSED TO NEW RETIREMENT PLANS /29/ N492 COLUMBIA INTERMEDIATE BOND A N518 COLUMBIA CORPORATE INCOME Z - CLOSED TO NEW RETIREMENT PLANS /29/ N542 COLUMBIA CORPORATE INCOME A N591 COLUMBIA SMALL CAP VALUE FUND I A N617 COLUMBIA US TREASURY INDEX Z - CLOSED TO NEW RETIREMENT PLANS /29/ N732 COLUMBIA AMT-FREE NEW YORK INTERMEDIATE MUNI BOND FUND T: CLOSED TO NEW INVESTORS 19765N740 COLUMBIA AMT-FREE NEW YORK INTER MUNI BD FD Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ P125 COLUMBIA HIGH YIELD MUNICIPAL FUND Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ P166 COLUMBIA GLOBAL DIVIDEND OPPORTUNITY Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ P216 COLUMBIA GLOBAL DIVIDEND OPPORTUNITY A P232 COLUMBIA MID CAP GROWTH Z - CLOSED TO NEW RETIREMENT PLANS /29/13

51 19765P257 COLUMBIA MID CAP GROWTH T-CLOSED TO NEW INVESTORS P299 COLUMBIA MID CAP GROWTH A P372 COLUMBIA AMT-FREE OREGON INTERMEDIATE MUNI BOND FUND Z CLOSED TO NEW RETIREMENT PLANS 3/29/ P455 COLUMBIA BALANCED C P471 COLUMBIA BALANCED A P505 COLUMBIA CONTRARIAN CORE T-CLOSED TO NEW INVESTORS P596 COLUMBIA SMALL CAP GROWTH I Z - CLOSED TO NEW INVESTORS 4/29/ P612 COLUMBIA SMALL CAP GROWTH I C-CLOSED TO NEW INVESTORS AS OF /29/ P638 COLUMBIA SMALL CAP GROWTH I A-CLOSED TO NEW INVESTORS AS OF /29/ P653 COLUMBIA LARGE CAP GROWTH T-CLOSED TO NEW INVESTORS P661 COLUMBIA LARGE CAP GROWTH Z - CLOSED TO NEW RETIREMENT PLANS /29/ P679 COLUMBIA LARGE CAP GROWTH C P687 COLUMBIA LARGE CAP GROWTH FUND-B: CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 06/22/ P695 COLUMBIA LARGE CAP GROWTH A P794 COLUMBIA SMALL CAP CORE T-CLOSED TO NEW INVESTORS Y514 COLUMBIA VALUE AND RESTRUCTURING Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ Y688 COLUMBIA SELECT LARGE CAP GROWTH Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ Y704 COLUMBIA BOND A Y720 COLUMBIA PACIFIC/ASIA Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ Y829 COLUMBIA ENERGY & NATURAL RESOURCES Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ Y845 COLUMBIA ENERGY & NATURAL RESOURCES A Y852 COLUMBIA EMERGING MARKETS Z - CLOSED TO NEW RETIREMENT PLANS /29/ Y886 COLUMBIA BOND Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ B679 COLUMBIA CAPITAL ALLOCATION MOD AGRSV T-CLOSED TO NEW INVESTORS 19766D436 COLUMBIA BOND FUND B: CLOSED TO NEW & EXISTING F167 COLUMBIA INCOME BUILDER A F258 COLUMBIA HIGH YIELD BOND C F266 COLUMBIA HIGH YIELD BOND FUND B: CLOSED TO ALL BUYS AND NEW ACCOUNTS 09/03/ F274 COLUMBIA HIGH YIELD BOND A F571 COLUMBIA FRONTIER FUND C-CLOSED TO NEW INVESTORS 5/31/ MERGED TO 19765P612 ON 3/15/ F597 COLUMBIA A FRONTIER (005) (MIN OF $2 MILLION IN PLAN ASSETS) MERGED TO 19765P638 ON 3/15/ F779 COLUMBIA GLOBAL EQUITY VALUE Z - CLOSED TO NEW RETIREMENT PLANS 3/29/ F860 COLUMBIA GLOBAL EQUITY VALUE FUND: CLOSED TO ALL BUYS AND NEW ACCOUNTS 09/03/ F878 COLUMBIA GLOBAL EQUITY VALUE FUND A G108 COLUMBIA SMALL/MIDCAP VALUE FUND A G710 COLUMBIA MULTI-ADVISOR SM CP VAL A

52 19766G868 COLUMBIA MONEY MARKET A H221 COLUMBIA GLOBAL OPPORTUNITIES A H296 COLUMBIA SELIGMAN GLOBAL TECHNOLOGY C H320 COLUMBIA SELIGMAN GLOBAL TECHNOLOGY A H395 COLUMBIA SELIGMAN COMMS & INFO C H429 COLUMBIA SELIGMAN COMMS & INFO A H486 COLUMBIA SELECT SMALLER-CAP VALUE C J102 COLUMBIA US GOVT MORTGAGE A N600 DWS TARGET 2013 FUND (CLOSED TO PURCHASES) T102 DEUTSCHE MONEY MARKET SERIES - INSTITUTIONAL MANAGED-CLOSED TO NEW INVESTORS 23337T110 CASH MANAGEMENT FUND - INSTITUTIONAL SHARES T409 DEUTSCHE MONEY MARKET SERIES INST PS (2402): CLOSED TO NEW INVESTORS AS OF 10/ T607 DEUTSCHE MONEY MARKET SERIES INST PRS T706 TAX-EXEMPT NEW YORK MONEY MARKET FUND T805 NEW YORK TAX-FREE MONEY FUND - INVESTMENT CLASS T888 TAX-FREE MONEY FUND INVESTMENT - INSTITUTIONAL SHARES W572 DAILY INCOME FUND-US GOVT PORTFOLIO B107 DELAWARE DIVIDEND INCOME - A (129) [EQUITY] C881 DELAWARE VALUE - A (456) [EQUITY] T486 DEUTSCHE UNCONSTRAINED INCOME C T494 DEUTSCHE UNCONSTRAINED INCOME FUND-B: CLOSED TO ALL BUYS AS OF 03/01/10, EXCHANGES OKAY 25155T510 DEUTSCHE UNCONSTRAINED INCOME A T536 DEUTSCHE STRATEGIC GOVERNMENT SECURITIES S T551 DEUTSCHE STRATEGIC GOV SECURITIES-B: CLOSED TO ALL BUYS AS OF /01/10, EXCHANGES OKAY 25155T569 DEUTSCHE STRATEGIC GOVERNMENT SECURITIES A T585 DEUTSCHE SHORT DURATION S T627 DEUTSCHE SHORT DURATION A T643 DEUTSCHE HIGH INCOME C T650 DEUTSCHE HIGH INCOME FUND-B: CLOSED TO ALL BUYS AS OF 03/01/10, EXCHANGES OKAY 25155T668 DEUTSCHE HIGH INCOME A T684 DEUTSCHE GNMA S T775 DEUTSCHE CORE FIXED INCOME A T825 DEUTSCHE CORE FIXED INCOME INST T858 DEUTSCHE ULTRA SHORT DURATION C A403 DEUTSCHE GLOBAL SMALL CAP S A726 DEUTSCHE ENHANCED EMERG MKTS FIXED INC S A734 DEUTSCHE ENHANCED GLOBAL BOND A A767 DEUTSCHE ENHANCED GLOBAL BOND S A775 DEUTSCHE GLOBAL GROWTH A A833 DEUTSCHE GLOBAL GROWTH S G301 DEUTSCHE EMERGING MARKETS EQUITY C G400 DEUTSCHE EMERGING MARKETS EQUITY S G608 DEUTSCHE GLOBAL EQUITY FUND S

53 25156G657 DEUTSCHE WORLD DIVIDEND S G673 DEUTSCHE CROCI INTERNATIONAL FUND A G715 DEUTSCHE CROCI INTERNATIONAL FUND S G772 DEUTSCHE LATIN AMERICA EQUITY C G798 DEUTSCHE LATIN AMERICA EQUITY S G863 DEUTSCHE WORLD DIVIDEND A M109 DEUTSCHE CAPITAL GROWTH A M208 DEUTSCHE CAPITAL GROWTH FUND-B: CLOSED TO ALL BUYS AS OF /01/10, EXCHANGES OKAY 25157M307 DEUTSCHE CAPITAL GROWTH C M406 DEUTSCHE CAPITAL GROWTH S M604 DEUTSCHE SMALL CAP GROWTH S M679 DEUTSCHE CORE EQUITY S M695 DEUTSCHE LARGE CAP FOCUS GROWTH A M729 DEUTSCHE CORE EQUITY A M745 DEUTSCHE LARGE CAP FOCUS GROWTH S M810 DEUTSCHE SMALL CAP CORE S M828 DEUTSCHE MID CAP GROWTH A M869 DEUTSCHE MID CAP GROWTH S W107 DEUTSCHE CORE PLUS INCOME A W404 DEUTSCHE CORE PLUS INCOME S T400 DEUTSCHE STRATEGIC HIGH YIELD TAX FREE S T608 DEUTSCHE MANAGED MUNICIPAL BOND-A T848 DEUTSCHE MANAGED MUNICIPAL BOND-S W106 DEUTSCHE MULTI ASSET CONSERVATIVE ALLOCATION FUND A W403 DEUTSCHE MULTI ASSET CONSERVATIVE ALLOCATION FUND S W825 DEUTSCHE MULTI ASSET CONSERVATIVE ALLOCATION FUND 2020 S X500 DEUTSCHE NEW YORK TAX-FREE INCOME-A X807 DEUTSCHE NEW YORK TAX-FREE INCOME-S G100 DEUTSCHE LARGE CAP VALUE A G407 DEUTSCHE LARGE CAP VALUE S G746 DEUTSCHE CROCI EQUITY DIVIDEND C G787 DEUTSCHE SMALL CAP VALUE A G811 DEUTSCHE CROCI EQUITY DIVIDEND A G845 DEUTSCHE SMALL CAP VALUE INSTL G886 DEUTSCHE MID CAP VALUE S H405 DEUTSCHE INTRMDIATE TAX/AMT FREE-S J104 DEUTSCHE MMKT PRIME SERIES DEUTSCHE MONEY MARKET J203 DEUTSCHE MMKT PRIME SERIES DEUTSCHE CSH INVMT TR A J500 DEUTSCHE MMKT PRIME SERIES DEUTSCHE CSH INVMT TR S K788 DEUTSCHE GLOBAL INCOME BUILDER S K812 DEUTSCHE GLOBAL INCOME BUILDER FUND-B: CLOSED TO ALL BUYS AS OF 03/01/10, EXCHANGES OKAY 25159K820 DEUTSCHE GLOBAL INCOME BUILDER A L109 DEUTSCHE GLOBAL REAL ESTATE SECS A L539 DEUTSCHE SCIENCE AND TECHNOLOGY FUND S(2313) L562 DEUTSCHE SCIENCE AND TECHNOLOGY FUND A(1)

54 25159L588 DEUTSCHE HEALTH AND WELLNESS FUND S(2352) L646 DEUTSCHE GOLD & PRECIOUS METALS S L695 DEUTSCHE COMMUNICATIONS C L729 DEUTSCHE COMMUNICATIONS A L885 DEUTSCHE REAL ESTATE SECURITIES S-OPENED TO NEW INVESTORS AS OF 03/10// R205 DEUTSCHE EQUITY 500 INDEX S R874 DEUTSCHE S&P 500 INDEX S J206 DREYFUS CASH MANAGEMENT INSTL J305 DREYFUS CASH MANAGEMENT INV J503 DREYFUS CASH MANAGEMENT PART C205 DREYFUS STRATEGIC VALUE A C304 DREYFUS OPPORTUNISTIC MIDCAP VALUE A C403 DREYFUS OPPORTUNISTIC SMALL CAP-CLOSED TO NEW RETAIL BUSINESS AS OF 11/30/ C601 DREYFUS INTERNATIONAL VALUE A-CLOSED TO NEW INVESTORS /2/15,MERGING 1/22/ C627 DREYFUS STRATEGIC VALUE I C726 DREYFUS STRUCTURED MIDCAP A C866 DREYFUS TECHNOLOGY GROWTH C C882 DREYFUS TECHNOLOGY GROWTH A Q105 DREYFUS S&P 500 INDEX Q204 DREYFUS SMALL CAP STOCK INDEX Q303 DREYFUS INTL STOCK INDEX T109 DREYFUS INSTITUTIONAL PREFERRED MMF PRIME SHARES X209 DREYFUS INSTL PREFERRED GOVERNMENT MONEY MARKET HAMILTON X407 DREYFUS INSTITUTIONAL PREFERRED GOVERNMENT MONEY MARKET PREMIER 26200X506 DREYFUS INSTITUTIONAL PREFERRED GOVERNMENT MONEY MARKET CLASSIC 26200X845 DREYFUS INSTITUTIONAL TREASURY AND AGENCY CASH ADVANTAGE PREMIER SHARES 26201E606 DREYFUS THIRD CENTURY Z-CLOSED TO NEW INVESTORS AS OF 08/31/99, WRAP ACCOUNTS EXCEPTED 26201F108 DREYFUS INTERNATIONAL EQ A F843 DREYFUS SMALL CAP EQUITY C F868 DREYFUS SMALL CAP EQUITY A H104 DREYFUS EMERGING MARKETS A Q104 DREYFUS MUNICIPAL BOND FUND V103 DREYFUS NY AMT FREE MUNI BOND FD A Y107 DREYFUS MUNI BOND OPPORTUNITY FD A Y404 DREYFUS MUNI BOND OPPORTUNITY FD Z D540 DREYFUS MA MUNI BOND FD Z D649 DREYFUS PA MUNI BOND FD A D847 DREYFUS MA MUNI BOND FD A G105 DREYFUS US TREASURY INTERMEDIATE TERM K205 DREYFUS TAX-EXEMPT CASH MGMT INSTL # K304 DREYFUS TAX-EXEMPT CASH MGMT INV P832 DREYFUS NATURAL RESOURCES C

55 26202P857 DREYFUS NATURAL RESOURCES A T107 DREYFUS NEW JERSEY MUNI BOND FD A T404 DREYFUS PREM NJ MUNI BD FD Z V102 DREYFUS CA AMT FREE MUNI BOND FD A V409 DREYFUS CA AMT FREE MUNI BOND FD Z W100 DREYFUS BALANCED OPPORTUNITY A W407 DREYFUS BALANCED OPPORTUNITY I A107 DREYFUS GNMA A A305 DREYFUS GNMA C C863 DREYFUS BALANCED OPPORTUNITY Z E745 DREYFUS/THE BOSTON CO SM/MD CP GR A H102 DREYFUS RESEARCH GROWTH Z - CLOSED TO NEW INVESTORS H201 DREYFUS RESEARCH GROWTH A H300 DREYFUS RESEARCH GROWTH C A100 EAGLE CAPITAL APPRECIATION A A209 EAGLE CAPITAL APPRECIATION C H560 EATON VANCE NEW YORK LIMITED MATURITY MUNICIPAL INCOME FUND CLASS A 27826H594 EATON VANCE NATIONAL LIMITED MATURITY MUNICIPAL INCOME FUND CLASS A 27826L256 EATON VANCE CALIFORNIA MUNICIPAL OPPORTUNITIES FUND CLASS A L298 EATON VANCE NEW JERSEY MUNICIPAL INCOME A L322 EATON VANCE NEW YORK MUNICIPAL INCOME FUND CLASS A L330 EATON VANCE NATIONAL MUNICIPAL INCOME FUND CLASS A L595 EATON VANCE GEORGIA MUNICIPAL INCOME FUND CLASS A M882 EATON VANCE HIGH YIELD MUNICIPAL INCOME FUND CLASS A D105 ELFUN DIVERSIFIED FD FD UNIT P300 FIRST INVESTORS TAX EXEMPT OPPORTUNITY FUND A SHARES 31V T759 FPA CRESCENT P502 FEDERATED STRATEGIC INCOME A P601 FEDERATED STRATEGIC INCOME B C704 FEDERATED FUND FOR US GOVT SECS A C845 FEDERATED CAPITAL INCOME F C878 FEDERATED CAPITAL INCOME A F103 FEDERATED BOND A F202 FEDERATED BOND FD CL B R700 FEDERATED MDT LARGE CAP GROWTH A R767 FEDERATED MDT SMALL CAP GROWTH C R775 FEDERATED MDT SMALL CAP GROWTH A R833 FEDERATED MDT BALANCED C Q101 FEDERATED TOTAL RETURN BOND INSTL - $1M MINIMUM, WAIVED FOR QRP AND WRAP ACCOUNTS 31428U722 FEDERATED INTERNATIONAL SMALL-MID CO C U748 FEDERATED INTERNATIONAL SMALL-MID CO A U847 FEDERATED INTERNATIONAL LEADERS A A204 FEDERATED TOTAL RETURN GOVT BD SVC F205 FIDELITY GROWTH DISCOVERY

56 31617H102 FIDELITY GOVERNMENT MONEY MARKET H201 FIDELITY MONEY MARKET - $25,000 MINIMUM PURCHASE H300 FIDELITY TREASURY ONLY MONEY MARKET H508 FIDELITY GOVERNMENT MMKT CPTL RSRVS H607 FIDELITY GOVERNMENT MMKT DLY MNY H706 FIDELITY GOVERNMENT MMKT PRM H805 FIDELITY MONEY MARKET PREMIUM K105 FIDELITY GNMA FUND K204 FIDELITY MORTGAGE SECS K303 FIDELITY INTERMEDIATE GOVERNMENT INC K402 FIDELITY ADVISOR MORTGAGE SECURITIES A K600 FIDELITY ADVISOR MORTGAGE SECURITIES T K758 FIDELITY ADVISOR GOVERNMENT INCOME T K766 FIDELITY ADVISOR GOVERNMENT INCOME C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLAN 31617K782 FIDELITY ADVISOR GOVERNMENT INCOME A K857 FIDELITY ADVISOR TOTAL BOND C - ACCOUNTS MUST BE FULLY DISCLOSED OR OMNI RETIREMENTS PLANS 31617R308 FIDELITY FREEDOM INCOME R506 FIDELITY FREEDOM R704 FIDELITY FREEDOM H457 FIDELITY ADVISOR EUROPE FUND CLASS A H655 FIDELITY ADVISOR JAPAN A H713 FIDELITY ADVISOR LATIN AMERICA A R109 FIDELITY FOUR-IN-ONE INDEX R204 FIDELITY INTERMEDIATE TERM MUNICIPAL R303 FIDELITY STRATEGIC INCOME V104 FIRST AMERICAN PRIME OBLIGATION Y-BLUE SKY IN ALL STATES V500 FIRST AMERICAN PRIME OBLIGATION A-BLUE SKY IN ALL STATES V708 FIRST AMERICAN PRIME OBLIGATION D F101 FIRST EAGLE OVERSEAS A - CLOSED TO NEW INVESTORS 5/9/ F200 FIRST EAGLE OVERSEAS I - CLOSED TO NEW INVESTORS 5/9/14, CLOSED TO ALL NEW ACCOUNTS 32008F408 FIRST EAGLE GOLD A F507 FIRST EAGLE GLOBAL A F705 FIRST EAGLE GLOBAL C F788 FIRST EAGLE GOLD C F838 FIRST EAGLE FUND OF AMERICA Y-CLOSED TO NEW INVESTORS AS OF /31/ H102 FIRST INVESTORS GOVERNMENT FUND A SHARES 0JV M101 FIRST INVESTORS TAX EXEMPT INCOME FUND A SHARES 0EV M200 FIRST INVESTORS TAX EXEMPT INCOME FUND B SHARES BEV M209 FIRST INVESTORS OPPORTUNITY FUND A SHARES 35V M308 FIRST INVESTORS EQUITY INCOME FUND A SHARES 36V M407 FIRST INVESTORS GROWTH & INCOME FUND A SHARES 37V M506 FIRST INVESTORS GROWTH & INCOME FUND B SHARES S7V M704 FIRST INVESTORS OPPORTUNITY FUND B SHARES S5V M852 FIRST INVESTORS INTERNATIONAL FUND A SHARES 43V

57 32061M860 FIRST INVESTORS SELECT GROWTH FUND A SHARES 42V M878 FIRST INVESTORS SELECT GROWTH FUND B SHARES T2V T402 MERK HARD CURRENCY INV P200 FORWARD TACTICAL GROWTH C A210 FORWARD INTERNATIONAL REAL ESTATE A D103 FRANKLIN FLEX CAP GROWTH A P604 FRANKLIN GROWTH ALLOCATION FUND P778 FRANKLIN COREFOLIO ALLOCATION FD CL BCLOSED TO NEW INVESTMENTS 2/28/ P786 FRANKLIN COREFOLIO ALLOCATION FUND P828 FRANKLIN FOUNDING FUNDS ALLOCATION FUND P844 FRANKLIN FOUNDING FUNDS ALLOCATION FUND P106 FUNDS FOR INST TREAS R107 GABELLI GOLD AAA T103 GABELLI SMALL CAP GROWTH AAA T202 GABELLI EQUITY INCOME AAA T830 GABELLI SMALL CAP GROWTH I W106 GABELLI US TREASURY MMKT AAA D105 GABELLI DIVIDEND GROWTH AAA E400 GABELLI UTILITIES C H106 GABELLI VALUE 25 FUND A(409) T109 GAMCO GLOBAL TELECOMMUNICATIONS AAA T505 GAMCO GLOBAL OPPORTUNITY AAA T844 GAMCO GLOBAL GROWTH AAA T885 GABELLI GLOBAL RISING INCOME AND DIV AAA V104 GAMCO GROWTH AAA W102 GAMCO MATHERS AAA H101 DREYFUS GENERAL MUNICIPAL MMKT A M108 GEORGE PUTNAM BALANCED A M207 GEORGE PUTNAM BALANCED B M306 GEORGE PUTNAM BALANCED C M405 GEORGE PUTNAM BALANCED M W109 GOLDMAN SACHS GLOBAL INCOME A W208 GOLDMAN SACHS HI QUALITY FLOAT RT INSTL W216 GS FINANCIAL SQ MONEY MKT FD - SERVICE CLNON NSCC ELIGIBLE (476) W232 GOLDMAN SACHS FS MONEY MARKET FST W406 GOLDMAN SACHS ENHANCED DIVIDEND GLOBAL EQUIT W562 GOLDMAN SACHS INCOME BUILDER A W570 GOLDMAN SACHS ASIA EQUITY A W588 GOLDMAN SACHS GROWTH AND INC A W596 GOLDMAN SACHS FOCUSED INTL EQ A W604 GOLDMAN SACHS GOVERNMENT INCOME A W612 GOLDMAN SACHS SMALL CAP VALUE A-CLOSED TO NEW RETAIL OPEN TO APPROVED WRAP ACCOUNTS 38141W620 GOLDMAN SACHS US EQUITY INSIGHTS A W638 GOLDMAN SACHS CAPITAL GROWTH A W810 GOLDMAN SACHS CORE FXD-INC INSTL

58 38142B146 GOLDMAN SACHS CAPITAL GROWTH INSTL B179 GOLDMAN SACHS HIGH YIELD C B278 GOLDMAN SACHS US EQUITY INSIGHTS C B310 GOLDMAN SACHS GROWTH AND INC C B344 GOLDMAN SACHS CAPITAL GROWTH C B435 GOLDMAN SACHS LG CAP GR INSIGHTS A B476 GOLDMAN SACHS TR SHORT DURATION B567 GOLDMAN SACHS TAX EXEMPT PORT NYS MM V571 GOLDMAN SACHS EQUITY GROWTH STRATEGY A V597 GOLDMAN SACHS GROWTH STRAT C V621 GOLDMAN SACHS GROWTH STRAT A V654 GOLDMAN SACHS GROWTH & INC STRAT A V688 GOLDMAN SACHS BALANCED STRAT A V720 GOLDMAN SACHS MID CAP VALUE A Y104 GOLDMAN SACHS GROWTH OPPORTUNITIES A Y781 GOLDMAN SACHS LARGE CAP VALUE C Y815 GOLDMAN SACHS LARGE CAP VALUE A Y823 GOLDMAN SACHS TECHNOLOGY OPPORTUNITIES A Y849 GOLDMAN SACHS TECHNOLOGY OPPORTUNITIES C Y856 GOLDMAN SACHS TECHNOLOGY OPPORTUNITIES INSTL H191 GOLDMAN SACHS SM CAP GR INSIGHTS C H225 GOLDMAN SACHS SM CAP GR INSIGHTS A H266 GOLDMAN SACHS SM CAP VAL INSIGHTS C H282 GOLDMAN SACHS SM CAP VAL INSIGHTS A H423 GOLDMAN SACHS BOND FUND C H779 GOLDMAN SACHS SMALL/MID CAP GROWTH A H886 GOLDMAN SACHS EMERGING MKT DEBT INSTL C315 GOLDMAN SACHS RISING DIVIDEND GR A W103 GUGGENHEIM STYLEPLUS - LG CORE FD A W434 GUGGENHEIM STYLEPLUS - MID GROWTH A W475 GUGGENHEIM LARGE CAP VALUE A W574 GUGGENHEIM MUNICIPAL INCOME W657 GUGGENHEIM INVESTMENT GRADE BOND A W749 GUGGENHEIM MID CAP VALUE A H750 HIRTLE CALLAGHAN TST INTL EQTY: NO BLUE SKY IN AK, AR, GU, ID, MO, MS, MT, ND, NE, OK, PR, VI 40428X206 HSBC US TREASURY MONEY MARKET I X701 HSBC GROWTH A P103 JHANCOCK LARGE CAP EQUITY A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 41013P301 JHANCOCK LARGE CAP EQUITY C Y104 JOHN HANCOCK TAX-FREE BOND CL A (52):CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 41014P102 JHANCOCK INVESTMENT GRADE BOND A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 41014P797 JHANCOCK GOVERNMENT INCOME C P839 JHANCOCK FOCUSED HIGH YIELD A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL

59 41014P854 JHANCOCK GOVERNMENT INCOME A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 41014R108 JOHN HANCOCK CA TAX-FREE INCOME CL A (53): CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 42588P205 HENNESSY CORNERSTONE LARGE GROWTH INV P502 HENNESSY LARGE VALUE INVESTOR P700 HENNESSY FOCUS INVESTOR P833 HENNESSY GAS UTILITY INDEX INVESTOR P874 HENNESSY SMALL CAP FINANCIAL INVESTOR P882 HENNESSY LARGE CAP FINANCIAL INVESTOR E381 PYXIS MONEY MARKET FUND II CLASS A-LIQUIDATED 12/21/ E456 HIGHLAND TOTAL RETURN A E498 HIGHLAND TAX EXEMPT A E589 PYXIS GOV SECURITIES FUND CLASS A-MERGED TO 43090E647 ON E605 HIGHLAND GLOBAL ALLOCATION A E647 HIGHLAND FIXED INCOME A E696 HIGHLAND INTERNATIONAL EQUITY A E753 HIGHLAND GLOBAL SELECT EQUITY A E811 HIGHLAND SMALL-CAP EQUITY A E860 HIGHLAND PREMIER GROWTH EQUITY A R206 HOTCHKIS AND WILEY MID-CAP VALUE A-CLOSED TO NEW INVESTORS /1/ R503 HOTCHKIS AND WILEY LARGE CAP VALUE I R750 HOTCHKIS AND WILEY DIVERSIFIED VALUE A R768 HOTCHKIS AND WILEY DIVERSIFIED VALUE I-$1 MILLION MINIMUM INITIAL PURCHASE, INCLUDES TRANSFERS 44134R867 SMALL CAP VALUE I-CLOSED TO NEW INVESTORS 11/1/13-$1 MILLION MINIMUM INITIAL PURCHASE 44929K101 ICON MATERIALS S K309 ICON CONSUMER DISCRETIONARY S K507 ICON ENERGY S K606 ICON FINANCIAL S K705 ICON HEALTHCARE S K804 ICON CONSUMER STAPLES S K861 ICON INDUSTRIALS S K879 ICON UTILITIES S K887 ICON INFORMATION TECHNOLOGY S R870 ING EMERGING COUNTRIES FD A-MERGED TO 44984B798 ON 7/20/ M656 ING INDEX PLUS LARGE CAP B-CLOSED TO ALL PURCHASES AND ACCTS C846 INTEGRITY GROWTH & INCOME A G109 INVESCO SENIOR LOAN A G307 INVESCO SENIOR LOAN C G406 INVESCO SENIOR LOAN IB - CLOSED-END FUND G505 INVESCO SENIOR LOAN IC - CLOSED-END FUND A633 JANUS FORTY S A674 JANUS FORTY A - ONLY ALLOWED IN QRPS A716 INTECH U.S. MANAGED VOLATILITY FUND- I SHARES - MSCS MUST BE BD E304 JANUS CONTRARIAN FUND D SHARES

60 47103E403 JANUS ENTERPRISE FUND D SHARES E502 JANUS FLEXIBLE BOND FUND D SHARES E601 JANUS FUND D SHARES E650 JANUS PERKINS MID CAP VALUE FUND D SHARES E668 JANUS WORLDWIDE FUND D SHARES E676 JANUS VENTURE FUND D SHARES E684 JANUS TWENTY FUND D SHARES E700 JANUS GLOBAL LIFE SCIENCES FUND D SHARES E742 JANUS SHORT TERM BOND FUND D SHARES E759 JANUS RESEARCH FUND D SHARES E775 JANUS OVERSEAS FUND D SHARES E783 JANUS GLOBAL SELECT FUND D SHARES E791 JANUS MONEY MARKET FUND D SHARES E841 JANUS GROWTH AND INCOME FUND D SHARES E858 JANUS GOVERNMENT MONEY MARKET FUND D SHARES E866 JANUS GLOBAL TECHNOLOGY FUND D SHARES M788 JHANCOCK2 RETIRE LIVING THROUGH 2030 A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 47803P104 JHANCOCK BALANCED A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 47803P708 JHANCOCK BALANCED C T486 JHANCOCK3 INTERNATIONAL CORE A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 47803U681 JOHN HANCOCK SELECT GROWTH FUND T-CLOSED TO NEW INVESTORS U715 JOHN HANCOCK SELECT GROWTH FUND A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 47803U806 JOHN HANCOCK SELECT GROWTH FUND C V317 JHANCOCK2 LIFESTYLE GROWTH C W109 JHANCOCK3 SMALL COMPANY A - CLOSED TO GROUP RETIREMENT PLANS, OK FOR INDIVIDUAL 48121L593 JPMORGAN TAX AWARE EQUITY A A0219 JPMORGAN INTREPID AMERICA C A0367 JPMORGAN PRIME MONEY MARKET CAPITAL A0466 JPMORGAN INTL OPP A A0482 JPMORGAN INTL OPP SEL - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP A0508 JPMORGAN INTERNATIONAL EQ A A0565 JPMORGAN INTERNATIONAL VAL S - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812A0607 JPMORGAN EMERGING MKTS EQ A A0623 JPMORGAN EMERGING MKTS EQ SEL - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812A0664 JPMORGAN INTREPID EUROPEAN C A0755 JPMORGAN NY TAX FREE BOND A A0771 JPMORGAN NY TAX FREE BOND C A0813 JPMORGAN NY MUNICIPAL MMKT MORGAN A0839 JPMORGAN INTREPID INTERNATIONAL A A1159 JPMORGAN US EQUITY SEL - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812A1183 JPMORGAN US EQUITY A

61 4812A1365 JPMORGAN SMALL CAP EQUITY A A1456 JPMORGAN GROWTH & INCOME A A1464 JPMORGAN GROWTH & INCOME SEL - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812A1498 JPMORGAN DYNAMIC SMALL CAP GROWTH A A1795 JPMORGAN DIVERSIFIED A A1829 JPMORGAN DIVERSIFIED SEL - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812A2413 JPMORGAN US LARGE CAP CORE PLUS A - CLOSED TO NEW RETAIL ACCOUNTS 4/17/ A2504 JPMORGAN PRIME MONEY MARKET AGENCY A2512 JPMORGAN TAX AWARE REAL C A2603 JPMORGAN PRIME MONEY MARKET INST-$10,000 MINIMUM INITIAL PURCHASE 4812A2702 JPMORGAN PRIME MONEY MARKET MORGAN A2728 JPMORGAN TAX-FREE MONEY MARKET MORGAN A2769 JPMORGAN FEDERAL MONEY MARKET MORGAN A2777 JPMORGAN FEDERAL MONEY MARKET PREMIER A2785 JPMORGAN FEDERAL MMKT INST A2801 JPMORGAN PRIME MONEY MARKET PREM A2819 JPMORGAN 100% US TR SEC MM PREM A2827 JPMORGAN 100% U.S. TR SEC MM FD A4377 JPMORGAN STRATEGIC INCOME OPPS C C0134 JPMORGAN CORE PLUS BOND R C0308 JPMORGAN LIQUID ASSETS MONEY MKT AGENCY C0316 JPMORGAN LIQUID ASSETS MONEY MARKET CAP C0324 JPMORGAN LIQUID ASSETS MONEY MKT MORGAN C0357 JPMORGAN CORE BOND A C0373 JPMORGAN CORE BOND C C0381 JPMORGAN CORE BOND SELECT - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812C0399 JPMORGAN GOVERNMENT BOND A C0415 JPMORGAN GOVERNMENT BOND C C0464 JPMORGAN EQUITY INCOME A C0506 JPMORGAN LARGE CAP GROWTH A C0530 JPMORGAN LARGE CAP GROWTH SELECT - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812C0548 JPMORGAN SMALL CAP GROWTH A-CLOSED TO NEW INVESTORS AS OF /12/ C0688 JPMORGAN US GOVT MMKT PREM C0803 JPMORGAN HIGH YIELD SELECT - $1M MIN, WAIVED FOR GROUP RETIRE & WRAP 4812C0811 JPMORGAN CORE PLUS BOND A C0837 JPMORGAN CORE PLUS BOND C C1413 JPMORGAN LIMITED DURATION BD A C1488 JPMORGAN INTREPID MID CAP A C1520 JPMORGAN EQUITY INDEX A C1561 JPMORGAN LARGE CAP VALUE A C1686 JPMORGAN MID CAP GROWTH A

62 4812C1769 JPMORGAN SMALL CAP VALUE A C1843 JPMORGAN INTERNATIONAL RESEARCH ENHANCED EQUITY A C1884 JPMORGAN INVESTOR BALANCED A C2205 JPMORGAN INVESTOR BALANCED C C2403 JPMORGAN INVESTOR CONSERVATIVE GROWTH A C2601 JPMORGAN INVESTOR CONSERVATIVE GROWTH C C2676 JPMORGAN US GOVT MMKT MORGAN C2718 JPMORGAN US TREASURY PLUS MMKT PREM-CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 12/10/ C2726 JPMORGAN US TREASURY PLUS MMKT MORGAN-CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 12/10/ C2734 JPMORGAN US TREASURY PLUS MMKT INST-CLOSED TO NEW ACCOUNTS AND PURCHASES AS OF 12/10/ C2809 JPMORGAN INVESTOR GROWTH A C2833 JPMORGAN INVESTOR GROWTH & INCOME C C2858 JPMORGAN INVESTOR GROWTH & INCOME A N400 LAZARD INTERNATIONAL EQUITY INSTL - $100K MIN N509 LAZARD US SMALL-MID CAP EQUITY INSTL - $100K MIN N699 LAZARD US CORPORATE INCOME INSTL - $100K MIN N715 LAZARD US MID CAP EQUITY OPEN N764 LAZARD EMERGING MARKETS EQUITY OPEN-CLOSED TO NEW INVESTORS /19/ N889 LAZARD EMERGING MARKETS EQUITY INSTL-CLOSED TO NEW INVESTORS AS OF 07/19/ P754 QS LEGG MASON GROWTH FUND CLASS B - CLOSED TO NEW INVESTORS AS OF 07/01/ P762 QS LEGG MASON GROWTH FUND CLASS A P796 QS LEGG MASON MODERATE GROWTH FUND CLASS B - CLOSED TO NEW INVESTORS AS OF 07/01/ P804 QS LEGG MASON CONSERVATIVE GROWTH FUND CLASS A P812 QS LEGG MASON MODERATE GROWTH FUND CLASS A P846 QS LEGG MASON DEFENSIVE GROWTH FUND CLASS B - CLOSED TO NEW INVESTORS AS OF 07/01/ P853 QS LEGG MASON DEFENSIVE GROWTH FUND CLASS A P887 QS LEGG MASON CONSERVATIVE GROWTH FUND CLASS B - CLOSED TO NEW INVESTORS AS OF 07/01/ A806 WESTERN ASSET ADJUSTABLE RATE INCOME C C109 CLEARBRIDGE AGGRESSIVE GROWTH A C208 CLEARBRIDGE AGGRESSIVE GROWTH B - CLOSED TO NEW INVESTORS C307 CLEARBRIDGE AGGRESSIVE GROWTH C T102 WESTERN ASSET CALIFORNIA MUNICIPALS A W105 LEGG MASON WESTERN ASSET CORE PLUS BOND FUND-MERGED TO ON 10/5/ C108 CLEARBRIDGE ALL CAP VALUE A C207 LEGG MASON CLEARBRIDGE ALL CAP VALUE B: CLOSED TO NEW INVESTORS AS OF 07/01/ C306 CLEARBRIDGE ALL CAP VALUE C E500 WESTERN ASSET SHORT-TERM BOND A F168 LEGG MASON WESTERN ASSET GLOBAL INFLATION MANAGEMENT FUND MERGED TO ON 10/5/12

63 52469F226 WESTERN ASSET INTERMEDIATE MATURITY NY MUNI C F234 WESTERN ASSET INTERMEDIATE MATURITY NY MUNI A F283 WESTERN ASSET CORPORATE BOND C F291 LEGG MASON WESTERN ASSET CORPORATE BOND B: CLOSED TO NEW INVESTORS AS OF 07/01/ F317 WESTERN ASSET CORPORATE BOND A F341 WESTERN ASSET MORTGAGE BACKED SEC C F366 WESTERN ASSET MORTGAGE BACKED SEC A F432 WESTERN ASSET GLOBAL HIGH YIELD BD I - $1M MIN, WAIVED FOR QRP AND FEE BASED PLANS 52469F440 WESTERN ASSET GLOBAL HIGH YIELD BD C F465 WESTERN ASSET GLOBAL HIGH YIELD BD A F580 WESTERN ASSET MUNICIPAL HIGH INCOME - A F614 WESTERN ASSET SHORT DURATION HIGH INC C1-FUND SOFT CLOSED ON /01/ F630 WESTERN ASSET SHORT DURATION HIGH INC A F739 WESTERN ASSET GLOBAL STRATEGIC INCOME C F747 LEGG MASON WESTERN ASSET STRATEGIC INCOME B: CLOSED TO NEW INVESTORS AS OF 07/01/ F754 WESTERN ASSET GLOBAL STRATEGIC INCOME A G489 CLEARBRIDGE SMALL CAP VALUE C G513 CLEARBRIDGE SMALL CAP VALUE A H115 LEGG MASON CLRBRDG EQ INC H156 CLEARBRIDGE LARGE CAP VALUE FD CL A H461 QS BATTERYMARCH GLOBAL EQUITY FUND CLASS C H487 QS BATTERYMARCH GLOBAL EQUITY FUND CLASS A H545 CLEARBRIDGE TACTICAL DIVIDEND INCOME A H610 CLEARBRIDGEDIVIDEND STRATEGY FUND C H628 CLEARBRIDGE DIVIDEND STRATEGY FUND B: FUND HARD CLOSED AS OF /01/ H636 CLEARBRIDGE DIVIDEND STRATEGY FUND A H727 QS BATTERYMARCH S&P 500 INDEX FUND CLASS A H735 CLEARBRIDGE MID CAP CORE I - $1M MIN, WAIVED FOR QRP AND FEE BASED PLANS 52469H743 CLEARBRIDGE MID CAP CORE C H750 LEGG MASON CLEARBRIDGE MID CAP CORE B: CLOSED TO NEW INVESTORS AS OF 07/01/ H768 CLEARBRIDGE MID CAP CORE A H792 CLEARBRIDGE LARGE CAP GROWTH C H818 LEGG MASON CLEARBRIDGE LARGE CAP GROWTH B: FUND HARD CLOSED AS OF 07/01/ H826 CLEARBRIDGE LARGE CAP GROWTH A J103 LEGG MASON PARTNERS INCOME TR MUNS FD INC CL J202 WESTERN ASSET MANAGED MUNICIPALS C J301 LEGG MASON WESTERN ASSET MANAGED MUNICIPALS B: CLOSED TO NEW INVESTORS AS OF 07/01/ J400 WESTERN ASSET MANAGED MUNICIPALS C L751 WESTERN ASSET NEW YORK MUNICIPALS I - $1M MIN, WAIVED FOR QRP AND FEE BASED PLANS 52469L769 WESTERN ASSET NEW YORK MUNICIPALS C

64 52469L777 LEGG MASON WESTERN ASSET NEW YORK MUNICIPALS B: CLOSED TO NEW INVESTORS AS OF 07/01/ L785 WESTERN ASSET NEW YORK MUNICIPALS A X607 CLEARBRIDGE INTERNATIONAL VALUE FUND A X805 CLEARBRIDGE INTERNATIONAL VALUE FUND C B206 LEGG MASON OPPORTUNITY C G791 WESTERN ASSET INSTL GOV RSRVS INSTL-FORMERLY CLASS A G841 WESTERN ASSET INSTL US TRS RSRVS INSTL G882 WESTERN ASSET INSTL LIQD RSRVS INSTL H781 CLEARBRIDGE SMALL CAP GROWTH C-CLOSED TO NEW INVESTORS H799 LEGG MASON CLEARBRIDGE SMALL CAP GROWTH B: CLOSED TO NEW INVESTORS AS OF 07/01/ H815 CLEARBRIDGE SMALL CAP GROWTH A - CLOSED TO NEW INVESTORS /1/ J100 CLEARBRIDGE LARGE CAP VALUE A J308 CLEARBRIDGE LARGE CAP VALUE C J407 CLEARBRIDGE LARGE CAP VALUE I - $1M MIN, WAIVED FOR QRP AND FEE BASED PLANS 52470M103 WESTERN ASSET PRM LIQD RSRVS A M202 WESTERN ASSET PRM US TRS RSRVS A R201 WESTERN ASSET LIQUID RSRVS N R441 WESTERN ASSET LIQUID RESERVES A R607 WESTERN ASSET NY TX FR MMKT N R763 WESTERN ASSET NEW YORK MUNICIPAL MONEY MARKET FUND R805 WESTERN ASSET US TRS RSRVS N R847 WESTERN ASSET GOVERNMENT RESERVES A R888 LEGG MASON WESTERN ASSET MONEY MARKET FUND-LIQUIDATED 6/22/ R390 CLEARBRIDGE LARGE CAP GROWTH FUND CLASS O R689 LEGG MASON PARTNERS EQUITY TR CLEARBRIDGE LARGE CAP VALUE FD CL T108 LITMAN GREGORY MASTERS EQUITY INSTL R103 LORD ABBETT GROWTH OPPORTUNITIES A R301 LORD ABBETT GROWTH OPPORTUNITIES C-AVAILABLE TO FULLY DISCLOSED ACCOUNTS 55272P109 MFS LIMITED MATURITY A P208 MFS CORPORATE BOND A P638 MFS MID CAP VALUE A G322 MFS INTERNATIONAL DIVERSIFICATION B G330 MFS INTERNATIONAL DIVERSIFICATION A G686 MFS AGGRESSIVE GROWTH ALLOCATION A G728 MFS GROWTH ALLOCATION B G736 MFS GROWTH ALLOCATION A G769 MFS MODERATE ALLOCATION B G777 MFS MODERATE ALLOCATION A G827 MFS CONSERVATIVE ALLOCATION A N400 MFS AR MUNI BD A N442 MFS MUNI INCOME B1: CLOSED TO NEW INVESTORS-CLOSED TO NEW INVESTORS 55273N459 MFS MUNI INCOME A1-: CLOSED TO NEW INVESTORS-CLOSED TO NEW INVESTORS

65 55273N467 MFS NY MUNI BD C N574 MFS MUNI INCOME A N608 MFS GA MUNI BD A N889 MFS NY MUNI BD A F186 MAINSTAY MAP C F194 MAINSTAY MAP B F210 MAINSTAY MAP A-CLOSED TO QRP'S SET UP AFTER 12/31/ F228 MAINSTAY MAP I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56062F244 MAINSTAY GLOBAL HIGH INCOME C F400 MAINSTAY HIGH YIELD CORPORATE BOND B F541 MAINSTAY COMMON STOCK A-CLOSED TO QRP'S SET UP AFTER 12/31/ F608 MAINSTAY MONEY MARKET B F681 MAINSTAY INTERNATIONAL EQUITY A-CLOSED TO QRP'S SET UP AFTER /31/ F723 MAINSTAY MONEY MARKET A-CLOSED TO QRP'S SET UP AFTER 12/31/ F772 MAINSTAY HIGH YIELD CORPORATE BOND A F780 MAINSTAY CONVERTIBLE A F798 MAINSTAY INCOME BUILDER A-CLOSED TO QRP'S SET UP AFTER 12/31/ F830 MAINSTAY INTERNATIONAL EQUITY B F848 MAINSTAY EQUITY INDEX FD A - CLOSED TO QRPS SET UP AFTER F889 MAINSTAY INCOME BUILDER B X369 MAINSTAY INCOME BUILDER INV X377 MAINSTAY TAX-FREE BOND - INVESTOR X419 MAINSTAY MONEY MARKET INV X443 MAINSTAY MAP INV X450 MAINSTAY LARGE CAP GROWTH INV X468 MAINSTAY INTERNATIONAL EQUITY INV X476 MAINSTAY HIGH YIELD CORPORATE BOND INV X484 MAINSTAY GOVERNMENT INV X492 MAINSTAY GLOBAL HIGH INCOME INV X526 MAINSTAY CONVERTIBLE INV X559 MAINSTAY GLOBAL HIGH INCOME I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56062X658 MAINSTAY LARGE CAP GROWTH C X666 MAINSTAY LARGE-CAP GROWTH B: X674 MAINSTAY LARGE CAP GROWTH A X716 MAINSTAY COMMON STOCK I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56062X849 MAINSTAY INCOME BUILDER I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56063J179 MAINSTAY S&P 500 INDEX A J187 MAINSTAY S&P 500 INDEX INV J310 MAINSTAY GROWTH EQUIT CLASS B-MERGED TO 56064B811 ON 1/18/ J328 MAINSTAY GROWTH EQUITY CLASS-MERGED TO 56064B829 ON 1/18/ J336 MAINSTAY GROWTH EQUITY INVESTO-MERGED TO 56064B837 ON 1/18/ J351 MAINSTAY FLOATING RATE C J427 MAINSTAY EPOCH US ALL CAP A

66 56063J526 MAINSTAY ICAP EQUITY A J575 MAINSTAY ICAP SELECT EQUITY I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56063J583 MAINSTAY ICAP SELECT EQUITY C J591 MAINSTAY ICAP SELECT EQUITY B J617 MAINSTAY ICAP SELECT EQUITY A - $25K MIN J625 MAINSTAY ICAP SELECT EQUITY INV U117 MAINSTAY BALANCED INV U125 MAINSTAY US SMALL CAP INV U166 MAINSTAY BALANCED I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56063U182 MAINSTAY BALANCED B U190 MAINSTAY BALANCED A-CLOSED TO QRP'S SET UP AFTER 12/31/ U307 MAINSTAY CONSERVATIVE ALLOCATION B U802 MAINSTAY GROWTH ALLOCATION B U836 MAINSTAY MODERATE ALLOCATION C U869 MAINSTAY MODERATE ALLOCATION INV B100 MAINSTAY US SMALL CAP A-$25,000 MINIMUM PURCHASE, CLOSED TO QRP'S SET UP AFTER 12/31/ B209 MAINSTAY US SMALL CAP B B407 MAINSTAY US SMALL CAP I - $5M MIN, WAIVED FOR GROUP RETIREMENT PLANS AND WRAP ACCOUNTS 56064B779 MAINSTAY CORNERSTONE GROWTH R B811 MAINSTAY CORNERSTONE GROWTH B B829 MAINSTAY CORNERSTONE GROWTH A B837 MAINSTAY CORNERSTONE GROWTH INVESTOR V205 MAIRS & POWER GROWTH INV Y438 MUHLENKAMP Y875 COVE STREET CAPITAL SMALL CAP VALUE FUND INSTITUTIONAL T102 MATRIX ADVISORS VALUE R200 MEEDER MONEY MARKET RETAIL C109 MIDAS J103 MIDAS PERPETUAL PORTFOLIO P109 MIDAS MAGIC G802 MONETTA N104 FEDERATED GOVT OBLIGS INSTL FUND# N211 FEDERATED MONEY MARKET MANAGEMENT EAGLE-CLOSED TO NEW INVESTORS AS OF 12/21/ N294 FEDERATED NY MUNICIPAL CASH SVC N310 FEDERATED NY MUNICIPAL CASH CASH II N476 FEDERATED NJ MUNICIPAL CASH INSTL N575 FEDERATED PRIME VALUE OBLIGS SVC N674 FEDERATED US TREASURY CASH RESERVES SVC N708 FEDERATED PRIME OBLIGS INSTL SVC N732 FEDERATED LIBERTY US GOVERNMENT MMKT A N864 FEDERATED AUTOMATED CASH MGMT INSTL SVC-$25,000 MINIMUM PURCHASE, WAIVED FOR QRP'S 60934N872 FEDERATED TREASURY OBLIGS SVC-$500,000 MINIMUM, WAIVED FOR QUALIFIED PLANS

67 61744J283 INST GLBL FRANCHISE I-$5 MILLION MIN INITIAL BUY J499 MORGAN STANLEY INST INTERNATIONAL EQ P-$1 MILLION MINIMUM INITIAL PURCHASE 61744J564 MORGAN STANLEY INSTITUTIONAL GROWTH A J614 MS INST SMALL CO GR P-$1 MILLION MIN INITIAL PURCHASE, (FD CLOSED TO NEW INVESTORS AS OF 6/1/ J655 MORGAN STANLEY INST ACT INTL ALLC P-$1 MILLION MINIMUM INITIAL PURCHASE 61744J671 MORGAN STANLEY INST US REAL ESTATE I-$5 MILLION MINIMUM INITIAL PURCHASE 61744J689 MORGAN STANLEY AGGR EQUITY I5 MILLION DOLLAR INITIAL -MERGED TO ON 10/19/ J846 MORGAN STANLEY INST ACT INTL ALLC I-$5 MILLION MINIMUM INITIAL PURCHASE 61744J861 MORGAN STANLEY INSTITUTIONAL GROWTH I-$5 MILLION MINIMUM INITIAL PURCHASE 61746F305 MORGAN STANLEY DW INTL FD C--MERGED TO 61756E313 ON 10/19/ F404 MORGAN STANLEY DW INTL FD CL I--MERGED TO 61744J846 ON 10/19/ T106 MORGAN STANLEY MULTI CAP GROWTH A T205 MORGAN STANLEY MULTI CAP GROWTH B: CLOSED TO ALL BUYS AS OF /25/ T304 MORGAN STANLEY MULTI CAP GROWTH L-CLOSED TO NEW ACCOUNTS AND BUYS 4/30/ T403 MORGAN STANLEY MULTI CAP GROWTH I E313 MORGAN STANLEY INST ACT INTL ALLC L-CLOSED TO NEW ACCOUNTS AND BUYS 4/30/ E537 MORGAN STANLEY INST GLBL DISCOVERY P-$1 MILLION MINIMUM INITIAL PURCHASE 61756E644 MORGAN STANLEY INST SEL GLBL INFRAS P - $1 MILLION MINIMUM INITIAL PURCHASE 61756E719 MORGAN STANLEY INST OPPORTUNITY L-CLOSED TO NEW ACCOUNTS AND BUYS 4/30/ E735 MORGAN STANLEY INST OPPORTUNITY P-$1 MILLION MINIMUM INITIAL PURCHASE 61757K102 MS MID CAP GROWTH FUND A - MERGED TO ON 10/29/ K300 MS MID CAP GROWTH FUND C - - MERGED TO ON 12/29/ K409 MS MID CAP GROWTH FUND I - - MERGED TO ON 12/29/ X836 MORGAN STANLEY INST FRONTIER EM MKTS I M483 JPMORGAN GROWTH ADVANTAGE A L104 CATALYST SMALL CAP INSIDER BUYING FUND A M284 CATALYST TIME VALUE TRADING C M672 CATALYST MACRO STRATEGY FUND CLASS I M862 EMPIRIC 2500 FUND CLASS A R258 NATIONWIDE GROWTH INSTITUTIONAL R407 NATIONWIDE BOND INSTITUTIONAL SERVICE R621 NATIONWIDE INSTITUTIONAL SERVICE-FUND CLOSED TO INITIAL PURCHASES 63867R654 NATIONWIDE A T833 NATIONWIDE INV DESTINATIONS AGRSV C U756 NATIONWIDE MONEY MARKET PRIME A U764 NATIONWIDE MONEY MARKET PRIME D

68 63867V119 NATIONWIDE HIGH YIELD BOND INSTITUTIONAL Y V135 NATIONWIDE HIGH YIELD BOND C V143 NATIONWIDE HIGH YIELD BOND A V176 NATIONWIDE GLOBAL EQUITY C V184 NATIONWIDE GLOBAL EQUITY A B377 NATIONWIDE ZIEGLER NYSE ARCA TECH 100 INDEX FUND A(6244) B518 NATIONWIDE HIGHMARK SMALL CAP CORE FUND A(6251) B732 NATIONWIDE GENEVA MID CAP GROWTH FUND A(6223) C102 NATIONWIDE HIGHMARK BOND FUND A(6204) R103 NATIXIS CGM ADVISOR TARGETED EQUITY A R202 NATIXIS CGM ADVISOR TARGETED EQUITY B: CLOSED TO NEW ACCOUNTS AS OF 07/30/ R756 NATIXIS VAUGHAN NELSON SMALL CAP VALUE A-CLOSED TO NEW INVESTORS AS OF 07/31/ R764 LOOMIS SAYLES CORE PLUS BOND Y R798 LOOMIS SAYLES CORE PLUS BOND A R848 NATIXIS US MULTI-CAP EQUITY FD CL Y R855 NATIXIS US MULTI-CAP EQUITY FD CL C R863 NATIXIS US EQUITY OPPORTUNITIES FD- B: CLOSED TO NEW ACCOUNTS AS OF 07/30/ R871 NATIXIS US EQUITY OPPRTUNITIES FD CL A T109 NATIXIS HARRIS ASSOCIATES LARGE CP VAL A T208 HARRIS ASSOCIATES LARGE CAP VALUE B - NO NEW ACCTS, 7/30/ CLOSED TO PURCHASES AS OF 10/12/ W102 NATIXIS AEW REAL ESTATE A W201 NATIXIS AEW REAL ESTATE B Q556 NEUBERGER BERMAN INTERNATIONAL EQ TRST Q564 NEUBERGER BERMAN INTERNATIONAL EQ INV K504 NEUBERGER BERMAN CORE BOND INV K587 NEUBERGER NY MUNI INCOME INSTL K819 NEUBERGER BERMAN SHORT DURATION BD INV-CLOSED TO NEW INVESTORS AS OF 07/26/ K850 NEUBERGER BERMAN HIGH INCOME BOND INV-CLOSED TO NEW INVESTORS AS OF 06/16/ P106 NORTH COUNTRY EQUITY GROWTH - ESCHEATED ASSETS ONLY, NO PURCHASES ALLOWED 66538A356 AL FRANK INV Y503 NUVEEN LARGE-CAP VALUE A Y669 NUVEEN TRADEWINDS VALUE OPPORTUNITIES A L104 ARIZONA MUNI BOND FUND A L666 NUVEEN VA MUNICIPAL BOND I N647 NUVEEN NY MUNICIPAL BOND I N670 NUVEEN FLAGSHIP NJ MUN BD A N811 NUVEEN MA MUNICIPAL BOND I N845 NUVEEN MASS MUN BD FD A Q202 NUVEEN MUNICIPAL BD FD A Q400 NUVEEN INTERMEDIATE DURATION MUNI BOND I Q830 NUVEEN LTD MUNI BOND FUND C2-CLOSED TO NEW ACCOUNTS AND BUYS /10/14

69 67065Q855 NUVEEN ALL-AMERICAN MUNICIPAL BOND I Q889 NUVEEN ALL AMERICAN MUNI BD FD A R812 NUVEEN MISSOURI MUNI BOND FUND A W571 NUVEEN SYMPHONY MID-CAP CORE A W647 NUVEEN SANTA BARBARA DIVIDEND GROWTH C W662 NUVEEN SANTA BARBARA DIVIDEND GROWTH A W779 NUVEEN TRADEWINDS GLOBAL ALL-CAP C V606 NUVEEN STRATEGY BALANCED ALLC A V853 NUVEEN STRATEGY AGGRESSIVE GR ALLC R T103 NYSA F101 PIA OCM GOLD INV A107 OPPENHEIMER CAPITAL APPRECIATION A A206 OPPENHEIMER CAPITAL APPRECIATION B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ A305 OPPENHEIMER CAPITAL APPRECIATION C Y105 OPPENHEIMER DISCOVERY MID CAP GROWTH A D108 OPPENHEIMER MAIN STREET A D207 OPPENHEIMER MAIN STREET C D801 OPPENHEIMER MAIN STREET B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ D876 OPPENHEIMER MAIN STREET SELECT A E304 OPPENHEIMER FUNDAMENTAL ALTERNATIVES C E403 OPPENHEIMER GLOBAL ALLOCATION A E502 OPPENHEIMER GLOBAL ALLOCATION B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ E601 OPPENHEIMER GLOBAL ALLOCATION C E700 OPPENHEIMER MID CAP VALUE A E809 OPPENHEIMER MID CAP VALUE B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ E882 OPPENHEIMER MID CAP VALUE C F103 OPPENHEIMER LIMITED-TERM GOVERNMENT A F301 OPPENHEIMER LIMITED-TERM GOVERNMENT C G101 OPPENHEIMER INTERNATIONAL VALUE A H109 OPPENHEIMER RISING DIVIDENDS A H208 OPPENHEIMER RISING DIVIDENDS B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ J303 OPPENHEIMER VALUE A K102 OPPENHEIMER GLOBAL STRATEGIC INC A K201 OPPENHEIMER GLOBAL STRAT INC B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ K409 OPPENHEIMER GLOBAL STRATEGIC INC C L100 OPPENHEIMER INTERNATIONAL GROWTH A L209 OPPENHEIMER INTERNATIONAL GROWTH B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ T103 OPPENHEIMER INTERNATIONAL BOND A T301 OPPENHEIMER INTERNATIONAL BOND C U100 OPPENHEIMER INTERNATIONAL SMALL CO A Y102 OPPENHEIMER COMMODITY STRAT TOTAL RET A Y300 OPPENHEIMER COMMODITY STRAT TOTAL RET C

70 68381A103 OPPENHEIMER EQUITY INCOME A F102 OPPENHEIMER MAIN STREET MID CAP A F300 OPPENHEIMER MAIN STREET MID CAP C K101 OPPENHEIMER SENIOR FLOATING RATE A K200 OPPENHEIMER SENIOR FLOATING RATE B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ K309 OPPENHEIMER SENIOR FLOATING RATE C F101 OPPENHEIMER REAL ESTATE A H107 OPPENHEIMER DIVIDEND OPPORTUNITY FUND A(00600) P109 OPPENHEIMER CONSERVATIVE INV A P307 OPPENHEIMER CONSERVATIVE INV C P505 OPPENHEIMER MODERATE INV A P604 OPPENHEIMER MODERATE INV B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ P869 OPPENHEIMER ACTIVE ALLC C P877 OPPENHEIMER ACTIVE ALLC B: CLOSED TO ALL BUYS AND NEW ACCOUNTS AS OF 06/29/ P885 OPPENHEIMER ACTIVE ALLC A C107 OPPENHEIMER INTERNATIONAL DIVERSIFIED A C305 OPPENHEIMER INTERNATIONAL DIVERSIFIED C J108 PNC INTERNATIONAL EQUITY I J447 PNC MULTI FACTOR SMALL CAP GR I W103 PACE INTERNATIONAL FIXED INCOME A W178 PACE INTERNATIONAL EM MKTS EQ A W228 PACE LARGE CO GROWTH EQUITY A W244 PACE INTERNATIONAL EQUITY P W251 PACE INTERNATIONAL EQUITY C W277 PACE INTERNATIONAL EQUITY A W293 PACE INTERNATIONAL EM MKTS EQ P W350 PACE INTERMEDIATE FIXED INCOME P W368 PACE INTERMEDIATE FIXED INCOME C W384 PACE INTERMEDIATE FIXED INCOME A W418 PACE MORTGAGE BACKED SECURITIES FIXED INCOME INVESTMENTS C W442 PACE LARGE CO GROWTH EQUITY P W459 PACE LARGE CO VALUE EQUITY A W475 PACE LARGE CO VALUE EQUITY C W491 PACE LARGE CO VALUE EQUITY P W517 PACE MORTGAGE BACKED SECURITIES FIXED INCOME INVESTMENTS A W525 PAINE WEBBER PACE MUNICIPAL FIXED INCOME - A W574 PACE SMALL/MEDIUM CO GROWTH EQUITY A W624 PACE INTERNATIONAL FIXED INCOME P W632 PACE SMALL/MEDIUM CO GROWTH EQUITY P W640 PACE SMALL/MEDIUM CO VALUE EQUITY A W673 PACE SMALL/MEDIUM CO VALUE EQUITY Y - CLOSED TO NEW INVESTORS /28/ W681 PACE SMALL/MEDIUM CO VALUE EQUITY P W772 PACE MORTGAGE BACKED SECURITIES FIXED INCOME INVESTMENTS P CLOSED TO ALL PURCHASES

71 70422T208 PAX ELLEVATE GLBL WOMEN'S INDEX FD, IND INV Q500 PEAR TREE POLARIS FGN VAL SM CAP INSTL - $1M MIN Q609 PEAR TREE POLARIS FGN VAL SM CAP ORD Q708 PEAR TREE POLARIS FOREIGN VALUE ORD Q807 PEAR TREE POLARIS FOREIGN VALUE INSTL W203 WIRELESS Q620 PIMCO STOCKSPLUS ABSOLUTE RETURN A Q711 PIMCO ALL ASSET A F102 PIMCO EMERGING MARKETS CURRENCY A F888 PIMCO RAE FUNDAMENTAL PLUS A M552 PIMCO TOTAL RETURN P M867 PIMCO ALL ASSET P U455 PIMCO TRENDS MANAGED FUTURES STRAT INSTL - $100K MIN, WAIVED IF QRP W/250 PPTS OR $5MML IN ASSET 72366V108 PIONEER EQUITY INCOME A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72369B109 PIONEER HIGH YIELD A B505 PIONEER HIGH YIELD R G108 PIONEER GLOBAL HIGH YIELD A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72375Q108 PIONEER MID-CAP VALUE A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387N705 PIONEER GLOBAL EQUITY A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387P106 PIONEER CLASSIC BALANCED A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387P304 PIONEER CLASSIC BALANCED C P726 PIONEER GOVERNMENT INCOME A- $500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387U105 PIONEER SHORT TERM INCOME A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387W408 PIONEER SELECT MID CAP GROWTH A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387W705 PIONEER AMT-FREE MUNICIPAL A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387X109 PIONEER DISCIPLINED VALUE A-$500,000 MINIMUM PLAN ASSET REQUIRED FOR QRP'S 72387X307 PIONEER DISCIPLINED VALUE C X505 PIONEER DISCIPLINED VALUE R P200 T. ROWE PRICE RETIREMENT P408 T. ROWE PRICE RETIREMENT P507 T. ROWE PRICE RETIREMENT BALANCED FD P762 T. ROWE PRICE RETIREMENT Q663 PRINCIPAL FUNDS MONEY MARKET FUND CL J T161 PRINCIPAL MONEY MARKET A T245 PRINCIPAL CORE PLUS BOND A T294 PRINCIPAL INTL EMERGING MARKETS A T328 PRINCIPAL DIVERSIFIED INTL A T369 PRINCIPAL SMALLCAP FUND A T443 PRINCIPAL MIDCAP A-CLOSED TO NEW INVESTORS AS OF 06/14/

72 74254T534 PRINCIPAL LARGE CAP GROWTH A T625 PRINCIPAL LARGE CAP VALUE A U614 PRINCIPAL PREFERRED SECURITIES C U721 PRINCIPAL MIDCAP C-CLOSED TO NEW INVESTORS AS OF 06/14/ U754 PRINCIPAL INTL EMERGING MARKETS C V216 PRINCIPAL GLOBAL DIV INC C V323 PRINCIPAL CAPITAL APPRECIATION C V349 PRINCIPAL CAPITAL APPRECIATION A V356 PRINCIPAL GOVERNMENT & HIGH QUAL BD C V372 PRINCIPAL GOVERNMENT & HIGH QUAL BD A V414 PRINCIPAL SAM STRATEGIC GROWTH A V448 PRINCIPAL SAM FLEXIBLE INCOME A V471 PRINCIPAL SAM CONSERVATIVE GROWTH A V489 PRINCIPAL SAM CONSERVATIVE BAL C V547 PRINCIPAL SAM BALANCED A V554 PRINCIPAL SHORT-TERM INCOME C V562 PRINCIPAL SHORT-TERM INCOME A V612 PRINCIPAL INCOME C V638 PRINCIPAL INCOME A V695 PRIN INV CALI MUNICIPAL A V802 PRIN INV TAX EXEMPT BOND I A V836 PRINCIPAL LARGE CAP GROWTH C V844 PRINCIPAL EQUITY INCOME C V869 PRINCIPAL EQUITY INCOME A L613 PRINCIPAL SMALL-MIDCAP DIVIDEND INC C A190 PROFUNDS FALLINGS U.S. DOLLARS FUND E503 PRUDENTIAL JENNISON EQUITY OPP A E883 PRUDENTIAL BALANCED FUND A A103 PRUDENTIAL GLOBAL TOTAL RETURN A V107 PRUDENTIAL GOVERNMENT INCOME A B108 PRUDENTIAL TOTAL RETURN BOND FUND A G107 PRUDENTIAL JENNISON 20/20 FOCUS A G305 PRUDENTIAL JENNISON 20/20 FOCUS C K504 PRUDENTIAL JENNISON SELECT GROWTH A K702 PRUDENTIAL JENNISON SELECT GROWTH C K801 PRUDENTIAL JENNISON SELECT GROWTH FUND -CLASS L (CLOSED TO PURCHASES, EXCHANGES OK) 74440N102 PRUDENTIAL JENNISON VALUE A V104 PRUDENTIAL JENNISON CONSERVATIVE GR A V203 PRUDENTIAL JENNISON CONSERVATIVE GROWTH FUND - CLASS B CLOSED TO NEW INVESTORS 6/23/ V302 PRUDENTIAL JENNISON CONSERVATIVE GR C W409 PRUDENTIAL MONEYMART ASSETS, INC. A Y108 PRUDENTIAL HIGH-YIELD A C105 PRUDENTIAL JENNISON MID CAP GROWTH A-CLOSED TO NEW INVESTORS AS OF 04/08/ C204 PRUDENTIAL JENNISON MID CAP GROWTH B: CLOSED TO NEW INVESTORS AS OF 04/08/13

73 74441C303 PRUDENTIAL JENNISON MID CAP GROWTH C-CLOSED TO NEW INVESTORS AS OF 04/08/ F306 PRUDENTIAL STOCK INDEX C K107 PRUDENTIAL JENNISON NATURAL RESOURCES A L105 PRUDENTIAL MID CAP VALUE A L808 PRUDENTIAL JENNISON EQUITY INCOME A L865 PRUDENTIAL JENNISON EQUITY INCOME FUND -CLASS L (CLOSED TO PURCHASES, EXCHANGES OK) 74441L873 PRUDENTIAL JENNISON EQUITY INCOME C N101 PRUDENTIAL JENNISON SMALL COMPANY A N200 PRUDENTIAL JENNISON SMALL COMPANY B - CLOSED TO NEW INVESTORS /23/ P106 PRUDENTIAL FINANCIAL SERVICES A P304 PRUDENTIAL FINANCIAL SERVICES C P502 PRUDENTIAL JENNISON HEALTH SCIENCES A-CLOSED TO NEW INVESTORS AS OF 06/29/ P700 PRUDENTIAL JENNISON HEALTH SCIENCES C-CLOSED TO NEW INVESTORS AS OF 06/29/ P833 PRUDENTIAL JENNISON UTILITY C P858 PRUDENTIAL JENNISON UTILITY A T108 PRUDENTIAL JENNISON BLEND A T306 PRUDENTIAL JENNISON BLEND C U105 PRUDENTIAL NATIONAL MUNICIPALS A X108 PRUDENTIAL INCOME BUILDER FUND A X785 PRUDENTIAL DEFENSIVE EQUITY B - CLOSED TO NEW INVESTORS 6/23/ X793 PRUDENTIAL DEFENSIVE EQUITY C X868 PRUDENTIAL DEFENSIVE EQUITY A B102 PUTNAM AMERICAN GOVERNMENT INCOME A A301 PUTNAM CA TAX EXEMPT INCOME A Q109 PUTNAM GLOBAL INCOME A J104 PUTNAM HIGH YIELD ADVANTAGE A H309 PUTNAM MA TAX EXEMPT INCOME A L300 PUTNAM MI TAX EXEMPT INCOME A M506 PUTNAM MN TAX EXEMPT INCOME Y Q309 PUTNAM NY TAX EXEMPT INCOME A Q408 PUTNAM NY TAX EXEMPT INCOME B K102 SCHNEIDER VALUE K706 WPG SMALL/MICRO CAP VALUE INSTL P100 RBC SMID CAP GROWTH A P357 RBC SMALL CAP CORE I P753 PRIME MONEY MARKET RBC INSTL P803 RBC ENTERPRISE I P837 RBC SMALL CAP CORE FUND S-MERGED TO 74926P357 ON 11/27/ H101 RS SMALL CAP GROWTH A-CLOSED TO NEW ACCOUNTS 4/30/ H200 RS GROWTH A H218 RS CAPITAL APPRECIATION - A (CUSIP MERGED TO 74972H200 ON 3/22/13) H309 RS VALUE A H408 RS PARTNERS A - CLOSED TO RETAIL AS OF 07/03/04, OPEN TO QRP'S

74 74972H606 RS TECHNOLOGY A H705 RS GLOBAL NATURAL RESOURCES A H804 RS SELECT GROWTH A K500 RS SMALL CAP EQUITY A-CLOSED TO NEW INVESTORS AS OF 04/16/ K625 RS HIGH YIELD A K716 RS INVESTMENT QUALITY BOND A K757 RS EMERGING MARKETS A K799 RS INTERNATIONAL GROWTH A K849 RS S&P 500 INDEX FUND A-CLOSED TO NEW INVESTORS, LIQUIDATED K864 RS LARGE CAP ALPHA C K880 RS LARGE CAP ALPHA A T876 RIDGEWORTH SEIX CORE BOND FUND I G108 T. ROWE PRICE BALANCED M105 T. ROWE PRICE CAPITAL APPRECIATION-CLOSED TO NEW INVESTORS /30/ N103 T. ROWE PRICE FINANCIAL SERVICES P108 T. ROWE PRICE CAPITAL OPPORTUNITY Q106 T. ROWE PRICE BLUE CHIP GROWTH H104 T. ROWE PRICE INTERNATIONAL BOND H203 T. ROWE PRICE INTERNATIONAL STOCK FD H302 T. ROWE PRICE INTERNATIONAL DISCOVERY - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE 77956H401 T. ROWE PRICE EUROPEAN STOCK H500 T. ROWE PRICE NEW ASIA H708 T. ROWE PRICE JAPAN H815 T. ROWE PRICE EMERGING EUROPE FUND H831 T. ROWE PRICE INTERNATIONAL BOND ADV H856 T. ROWE PRICE GLOBAL STOCK H864 T. ROWE PRICE EMERGING MARKETS STOCK - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE 77956H872 T. ROWE PRICE EMERGING MARKETS BOND H880 T. ROWE PRICE LATIN AMERICA K106 T. ROWE PRICE SUMMIT CASH RESERVES L104 T. ROWE PRICE PERSONAL STRAT BALANCED L203 T. ROWE PRICE PERSONAL STRAT GROWTH M102 T. ROWE PRICE SCIENCE & TECH - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE 77957N209 T. ROWE PRICE SUMMIT MUNICIPAL INTM- $25K MIN P105 T. ROWE PRICE SHORT-TERM BOND Q103 T. ROWE PRICE SMALL-CAP VALUE - CUSTOMER MUST GET PRIOR APPROVAL FROM FUND TO TRADE 77957T107 T. ROWE PRICE US TREASURY INTERM T206 T. ROWE PRICE US TREASURY LONG-TERM T305 T. ROWE PRICE US TREASURY MONEY Y106 T. ROWE PRICE MID-CAP VALUE-HARD CLOSED TO NEW INVESTORS AS OF /31/ E395 GUGGENHEIM RYDEX U.S. GOVERNMENT MONEY MARKET A E510 GUGGENHEIM LONG SHORT EQUITY A(758)

75 78356C679 RYDEX US GOVERNMENT MONEY MKT MMKT R109 SEI INSTL INTL TR INTERNATIONAL EQUITY A R307 SEI INSTL INTL TR INTL FIXED-INCOME A-NO MINIMUM FOR QRP'S U305 SCOUT SMALL CAP U503 SCOUT INTERNATIONAL U834 SCOUT CORE BOND I - $100K MIN, NOT AGGREGATED FOR MULTI FUNDS B684 SENTINEL SUSTAINABLE MID CAP OPP A B726 SENTINEL SUSTAINABLE CORE OPP A Q759 SHELTON CORE VALUE DIRECT Q767 SHELTON S&P MIDCAP INDEX DIRECT Q775 SHELTON S&P 500 INDEX DIRECT A102 AMERICAN FUNDS ST BD FD OF AMERICA A K100 SIT MINNESOTA TAX FREE INC D202 SIT BALANCED FUND SERIES B D301 SIT SMALL CAP GROWTH SERIES D D400 SIT DEVELOPING MARKETS GROWTH P200 NEUBERGER BERMAN STATE STREET INSTL RESERVES K546 STERLING CAPITAL STRATTON SMALL-CAP VALUE FD I K553 STERLING CAPITAL STRATTON REAL ESTATE FD I K561 STERLING CAPITAL STRATTON MID CAP VALUE FD I L213 STERLING CAPITAL STRATEGIC ALLC GR A L601 STERLING BEHAVIORAL LARGE CAP VALUE EQUITY FUND A L874 STERLING CAPITAL MID CAP VALUE A F107 DREYFUS ACTIVE MIDCAP A F651 DREYFUS MODERATE ALLOCATION Y153 SUNAMERICA FOCUSED MULTI-ASSET STRAT A Y534 SUN AM STYLE SEL FOC TECHNET 2-MERGED TO 86704E883 ON 8/10/ Y591 SUN AM STYLE SEL FOC TECHNET A-MERGED TO 86704E800 ON 8/10/ Y625 SUNAMERICA FOCUSED GRWTH & INCOME A-MERGED TO 86704E503 ON /10/ Y856 SUNAMERICA STRATEGIC VALUE A B103 SUNAMERICA FOCUSED BALANCED STRATEGY A B822 SUNAMERICA FOCUSED DIVIDEND STRATEGY A E503 SUNAMERICA FOCUSED ALPHA LARGE-CAP A E602 SUNAMERICA FOCUSED ALPHA LARGE-CAP C E800 SUNAMERICA FOCUSED ALPHA GROWTH A E883 SUNAMERICA FOCUSED ALPHA GROWTH C N583 TCW RELATIVE VALUE MID CAP FUND N N666 TCW SMALL CAP GROWTH N-CLOSED TO NEW INVESTORS AS OF 04/29/ W342 TIAA-CREF LARGE-CAP GROWTH RETAIL W474 TIAA-CREF INFLATION LINK BD RETAIL W813 TIAA-CREF SMALL-CAP EQUITY RETAIL-$2 MILLION MINIMUM INITIAL PURCHASE 87244W870 TIAA-CREF MID-CAP GROWTH RETAIL R862 TURNER CONCENTRATED GROWTH FUND-MERGED TO ON W104 TEMPLETON DEVELOPING MARKETS A W203 TEMPLETON DEVELOPING MARKETS C

76 88018W302 TEMPLETON DEVELOPING MARKETS ADV - QRPS MUST HAVE $1M IN TOTAL ASSETS, BANK/TRUST - $1M IN FT FU 88018X201 TEMPLETON CHINA WORLD A R757 TEMPLETON BRIC A L102 TEMPLETON GLOBAL SMALLER COMP A L108 TETON WESTWOOD EQUITY AAA L504 TETON WESTWOOD BALANCED AAA L652 TETON WESTWOOD MIGHTY MITES AAA L751 TETON WESTWOOD INTERMEDIATE BOND AAA Q406 DYNAMIC GLOBAL ALLOCATION FUND C Q521 TOUCHSTONE LARGE CAP Y -CLOSED TO NEW INVESTORS 4/30/ Q661 TOUCHSTONE INTERNATIONAL VALUE A Q752 TOUCHSTONE SMALL CAP GROWTH A V702 TOUCHSTONE OHIO TAX-FREE BOND - C W502 TOUCHSTONE ACTIVE BOND A X179 TOUCHSTONE DYNAMIC EQUITY Y X229 TOUCHSTONE FOCUSED Y X260 TOUCHSTONE SMALL CAP VALUE OPP Y X302 TOUCHSTONE SUSTAINABILITY AND IMPACT EQUITY FUND A-NO BLUE SKY IN NM 89154X393 TOUCHSTONE INTERNATIONAL SMALL CAP Y X708 TOUCHSTONE GROWTH OPPORTUNITIES A-NO BLUE SKY IN PR H371 TOUCHSTONE MID CAP VALUE Y H678 TOUCHSTONE ULTRA SHORT DUR F/I Z H819 TOUCHSTONE SANDS CAPITAL SELECT GROWTH Z-CLOSED TO NEW INVESTORS 4/8/ T664 TOUCHSTONE ULTRA SHORT DUR F/I Y J508 TRANSAMERICA US GROWTH T P SOCIALLY RESPONSIVE BALANCED C P SOCIALLY RESPONSIVE BALANCED FD A P FINANCIAL SVCS A H353 UBS DYNAMIC ALPHA A H395 UBS INTERNATIONAL SUSTAINABLE EQUITY A H403 UBS CORE PLUS BOND P H585 UBS GLOBAL ALLOCATION P H593 UBS GLOBAL ALLOCATION C H627 UBS GLOBAL ALLOCATION A H775 UBS US EQUITY OPPORTUNITY C H791 UBS US EQUITY OPPORTUNITY A H817 UBS US LARGE CAP EQUITY P H841 UBS US LARGE CAP EQUITY A L105 US GLOBAL INVESTORS HOLMES MACROTRENDS FD L402 US GLOBAL INVESTORS EMERGING EUROPE E508 VANGUARD TARGET RETIREMENT 2035 INV E607 VANGUARD TARGET RETIREMENT 2045 INV F107 VANGUARD NJ TAX-EXEMPT MONEY MARKET INV-FUND# F206 VAN NJ TAX FREE LONG TERM PORT(14)

77 92204H103 VAN NY INSURED TAX FREE FUND(76) H202 VANGUARD NY TAX-EXEMPT MONEY MARKET INV-FUND# H301 VANGUARD NY INSURED LT TAX EXMPT ADMIR L104 VAN PA LONG TERM TAX EXEMPT FUND(77) L203 VANGUARD PA TAX-EXEMPT MONEY MARKET INV J107 DEVELOPED MARKETS INDEX FUND INVESTOR SHARES A179 VICTORY TRIVALENT MUNDER INTERNATIONAL FUND CORE EQUITY FUND A252 VICTORY MUNDER INDEX 500 FUND A A286 VICTORY MUNDER MULTI-CAP FUND C A294 VICTORY MUNDER MULTI-CAP FUND A K606 VICTORY INTEGRITY DISCOVERY FUND A K705 VICTORY INTEGRITY DISCOVERY FUND C K820 VICTORY INTEGRITY SMALL-CAP VALUE FUND A K879 VICTORY MUNDER MID-CAP CORE GROWTH FUND A N403 VIRTUS BALANCED A N460 VIRTUS QUALITY LARGE-CAP VALUE A N510 VIRTUS STRATEGIC GROWTH A N627 VIRTUS SMALL-CAP SUSTAINABLE GROWTH A N676 VIRTUS QUALITY SMALL-CAP C N684 VIRTUS QUALITY SMALL-CAP A N767 VIRTUS MID-CAP GROWTH A N791 VIRTUS TACTICAL ALLOCATION A N874 VIRTUS GROWTH & INCOME A R107 VIRTUS BOND A R446 VIRTUS GLOBAL OPPORTUNITIES A R586 VIRTUS REAL ESTATE SECURITIES A R594 VIRTUS MULTI-SECTOR S/T BD T R628 VIRTUS MULTI-SECTOR S/T BD C R644 VIRTUS MULTI-SECTOR S/T BD A R677 VIRTUS MULTI-SECTOR FIXED INTERM BD A R784 VIRTUS HIGH YIELD A R859 VIRTUS FOREIGN OPPORTUNITIES A M105 VOYA CORPORATE LEADERS TRUST SERIES B F109 VOYA SENIOR INCOME FUND CLASS A - CLOSED END FUND K207 VOYA SMALLCAP OPPORTUNITIES FUND CLASS C K405 VOYA SMALLCAP OPPORTUNITIES FUND CLASS A K645 VOYA LARGE CAP VALUE FUND CLASS A K678 VOYA LARGE CAP VALUE FUND CLASS C K702 VOYA GROWTH OPPORTUNITIES FUND CLASS B K801 VOYA LARGE- CAP GROWTH FUND CLASS A K868 VOYA MIDCAP OPPORTUNITIES FUND CLASS C K884 VOYA MIDCAP OPPORTUNITIES FUND CLASS A L627 VOYA HIGH YIELD BOND FUND CLASS A L692 VOYA GNMA INCOME FUND CLASS A R483 VOYA CAPITAL ALLOCATION FUND CLASS C R517 VOYA CAPITAL ALLOCATION FUND CLASS A R533 VOYA MONEY MARKET FUND CLASS A

78 92913R558 VOYA MONEY MARKET FUND CLASS I - $250K MIN, WAIVED FOR GROUP QRPS 92913R681 VOYA CORPORATE LEADERS 100 FUND CLASS A W714 VOYA MULTI-MANAGER EMERGING MARKETS EQUITY FUND CLASS A X308 VOYA GLOBAL EQUITY DIVIDEND FUND CLASS A X811 VOYA GLOBAL VALUE ADVANTAGE FUND A X837 VOYA GLOBAL VALUE ADVANTAGE FUND C X886 VOYA RUSSIA FUND CLASS A A307 VOYA MULTI-MANAGER INTERNATIONAL SMALL CAP FUND CLASS W A604 VOYA GLOBAL REAL ESTATE FUND CLASS W A711 VOYA DIVERSIFIED INTERNATIONAL FUND CLASS A V304 WALL STREET STREET FUND TRUST P203 WEITZ VALUE INVESTOR P500 WEITZ HICKORY P609 WEITZ PARTNERS VALUE - INVESTOR G108 WELLS FARGO ADVANTAGE DIVERSIFIED EQ A G140 WELLS FARGO ADVANTAGE DJ TARGET 2040 A G181 WELLS FARGO ADVANTAGE DJ TARGET 2030 A G678 WELLS FARGO ADVANTAGE DIVERS INTL A G686 WELLS FARGO ADVANTAGE INDEX ADM H106 WELLS FARGO ADVANTAGE MOD BALANCED ADM H148 WELLS FARGO ADVANTAGE SPECIALIZED TECH A H205 WELLS FARGO ADVANTAGE WB GROWTH BALANCED H247 WELLS FARGO ADVANTAGE IDX ASST ALLO A H312 WELLS FARGO ADVANTAGE TREAS PLUS MM SVC H320 WELLS FARGO ADVANTAGE TREAS PLUS MMKT A H429 WELLS FARGO ADVANTAGE MONEY MARKET A H445 WELLS FARGO ADVANTAGE CASH INV MMKT SVC H460 WELLS FARGO ADVANTAGE CA MUNI MM SVC H676 WELLS FARGO ADVANTAGE CA TAX-FREE ADM H791 WELLS FARGO ADVANTAGE INCOME PLUS A J128 WELLS FARGO ADVANTAGE WB GR ALLOCATION J540 WELLS FARGO ADVANTAGE SH DUR GOVT BD ADM J573 WELLS FARGO ADVANTAGE SH DUR GOVT BD A J581 WELLS FARGO ADVANTAGE CORE BOND I J599 WELLS FARGO ADVANTAGE CORE BOND AD J615 WELLS FARGO ADVANTAGE CORE BOND C J631 WELLS FARGO ADVANTAGE CORE BOND A J797 WELLS FARGO EQUITY VALUE ADMIN CL-MERGED TO 94975P538 ON 3/1/ P462 WELLS FARGO ADVANTAGE LARGE CAP GR A P538 WELLS FARGO ADVANTAGE INTRINSIC VAL ADM P819 WELLS FARGO ADVANTAGE S/T MUNI BD ADM B173 WELLS FARGO ADVANTAGE DISCP US CORE A B223 WELLS FARGO ADVANTAGE INTRINSIC VAL A B348 WELLS FARGO ADVANTAGE INTL EQUITY I B389 WELLS FARGO ADVANTAGE EMERG MKTS EQ A B421 WELLS FARGO ADVANTAGE SPEC SMCP VAL B

79 94984B439 WELLS FARGO ADVANTAGE SPEC SMCP VAL A B488 WELLS FARGO ADVANTAGE PREM LG CO GR B B496 WELLS FARGO ADVANTAGE PREM LG CO GR A B553 WELLS FARGO ADVANTAGE LG CP CORE A B561 WELLS FARGO ADVANTAGE INDEX C B694 WELLS FARGO ADVANTAGE INCOME PLUS I B751 WELLS FARGO ADVANTAGE S/T MUNI BD A B777 WELLS FARGO ADVANTAGE INDEX A D103 WELLS FARGO ADVANTAGE OMEGA GROWTH A D178 WELLS FARGO ADVANTAGE HIGH YLD BOND ADM D186 WELLS FARGO ADVANTAGE HIGH YLD BOND C D202 WELLS FARGO ADVANTAGE OMEGA GROWTH B D210 WELLS FARGO ADVANTAGE HIGH YLD BOND A D251 WELLS FARGO ADVANTAGE TRDTL SM CP GR A D301 WELLS FARGO ADVANTAGE OMEGA GROWTH C D319 WELLS FARGO ADVANTAGE DIVERS INC BLDR I D327 WELLS FARGO ADVANTAGE DIVERS INC BLDR C D343 WELLS FARGO ADVANTAGE DIVERS INC BLDR A D350 WELLS FARGO ADVANTAGE DIVERS CPTL BLDR I D368 WELLS FARGO ADVANTAGE DIVERS CPTL BLDR C D376 WELLS FARGO ADVANTAGE DIVERS CPTL BLDR B D384 WELLS FARGO ADVANTAGE DIVERS CPTL BLDR A D400 WELLS FARGO ADVANTAGE OMEGA GROWTH ADM D418 WELLS FARGO ADVANTAGE ASSET ALLOC ADM D426 WELLS FARGO ADVANTAGE ASSET ALLOC C D434 WELLS FARGO ADVANTAGE ASSET ALLOC B D442 WELLS FARGO ADVANTAGE ASSET ALLOC A D483 WELLS FARGO ADVANTAGE UTILITY&TELECOM A D533 WELLS FARGO ADVANTAGE PRECIOUS METALS A D640 WELLS FARGO ADVANTAGE ADJ RATE GOVT C D665 WELLS FARGO ADVANTAGE ADJ RATE GOVT A D731 WELLS FARGO ADVANTAGE NC TAX-FREE A D756 WELLS FARGO ADVANTAGE STRAT MUNI BD C D772 WELLS FARGO ADVANTAGE STRAT MUNI BD A D814 WELLS FARGO ADVANTAGE INTRNS WLD EQ A D855 WELLS FARGO ADVANTAGE GLOBAL OPPS A C100 WILMINGTON PRIME MONEY MARKET SVC C209 WILMINGTON PRIME MONEY MARKET INSTL C308 WILMINGTON PRIME MONEY MARKET SEL C464 WILMINGTON MUNICIPAL BOND FUND A C514 WILMINGTON US TREASURY MONEY MKT SEL C589 WILMINGTON NEW YORK MUNI BOND A C597 WILMINGTON SHORT-TERM BOND INSTL C621 WILMINGTON SHORT-TERM BOND A C746 WILMINGTON STRATEGIC ALLC MOD A C795 WILMINGTON MULTI-MANAGER INTL A C829 WILMINGTON BROAD MARKET BOND A

80 97181C878 WILMINGTON TAX-EXEMPT MONEY MARKET SVC W102 WINTERGREEN INVESTOR A410 REMS REAL ESTATE INCOME 50/50 P A428 REMS REAL ESTATE INCOME 50/50 INSTL A444 EUROPEAN EQUITY A DABCZ94 DOMINI DEPOSIT ACCOUNT AT PNC BANK CUSIP XXXDOM