This list includes all US listed ETFs & ETNs and is a subset
of First Bridge's ETF database. The database
includes daily holdings and granular classification data.
For more information: Call: (650) 762-9270; Email: support@firstbridgedata.com
| Fund Name |
Fund Exchange Ticker |
Fund Sponsor |
Fund CUSIP |
Fund ISIN |
Fund Inception Date |
Net Expense Ratio |
Asset Class |
Other Asset Type |
Index Name |
| SPDR S&P 500 ETF Trust |
SPY |
State Street (SPDR) |
78462F103 |
US78462F1030 |
22 Jan 1993 |
0.09 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| The SPDR S&P 500 ETF is a fund that before expenses generally corresponds to the price and yield performance of the S&P 500 Index. |
| SPDR S&P MidCap 400 ETF Trust |
MDY |
State Street (SPDR) |
78467Y107 |
US78467Y1073 |
4 May 1995 |
0.25 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| The SPDR S&P MidCap 400 ETF before expenses seeks to generally correspond to the price and yield performance of the S&P MidCap 400 IndexTM. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| iShares MSCI Singapore ETF |
EWS |
Blackrock (iShares) |
46434G780 |
US46434G7806 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Singapore 25/50 Index |
| The iShares MSCI Singapore ETF seeks to track the investment results of an index composed of Singaporean equities. The Fund seeks to track the investment results of the MSCI Singapore 25/50 Index (the Underlying Index ), which is designed to measure the performance of the large- and mid-cap segments of the Singapore market. A capping methodology is applied that limits the weight of any single component to a maximum of 25% of the Underlying Index. Additionally, the sum of the components that individually constitute more than 5% of the weight of the Underlying Index cannot exceed a maximum of 50% of the weight of the Underlying Index in the aggregate. |
| iShares MSCI Mexico ETF |
EWW |
Blackrock (iShares) |
464286822 |
US4642868222 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Mexico IMI 25/50 Index |
| The iShares MSCI Mexico ETF seeks to track the investment results of a broad-based index composed of Mexican equities. The Fund seeks to track the investment results of the MSCI Mexico IMI 25/50 Index (the Underlying Index ), which consists of stocks traded primarily on the Mexican Stock Exchange. The Underlying Index is a free float-adjusted market capitalization-weighted index with a capping methodology applied to issuer weights so that no single issuer of a component exceeds 25% of the Underlying Index weight, and all issuers with a weight above 5% do not cumulatively exceed 50% of the Underlying Index weight. The Underlying Index may include large-, mid- or small-capitalization companies. |
| iShares MSCI Malaysia ETF |
EWM |
Blackrock (iShares) |
46434G814 |
US46434G8143 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Malaysia Index |
| The iShares MSCI Malaysia ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Malaysian market as measured by the MSCI Malaysia Index. |
| iShares MSCI Australia ETF |
EWA |
Blackrock (iShares) |
464286103 |
US4642861037 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Australia Index |
| The iShares MSCI Australia ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Australian market as represented by the MSCI Australia Index. |
| iShares MSCI Switzerland ETF |
EWL |
Blackrock (iShares) |
464286749 |
US4642867497 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Switzerland 25/50 Index |
| The iShares MSCI Switzerland ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Swiss market as measured by the MSCI Switzerland 25/50 Index. |
| iShares MSCI Netherlands ETF |
EWN |
Blackrock (iShares) |
464286814 |
US4642868149 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Netherlands IMI 25/50 Index |
| The iShares MSCI Netherlands ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Dutch market as measured by the MSCI Netherlands IMI 25/50 Index. |
| iShares MSCI Hong Kong ETF |
EWH |
Blackrock (iShares) |
464286871 |
US4642868719 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Hong Kong Index |
| The iShares MSCI Hong Kong ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Hong Kong market as measured by the MSCI Hong Kong Index. |
| iShares MSCI United Kingdom ETF |
EWU |
Blackrock (iShares) |
46435G334 |
US46435G3341 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI United Kingdom Index |
| The iShares MSCI United Kingdom ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the British market as measured by the MSCI United Kingdom Index. |
| iShares MSCI Sweden ETF |
EWD |
Blackrock (iShares) |
464286756 |
US4642867562 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Sweden 25/50 Index |
| The iShares MSCI Sweden ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Swedish market as measured by the MSCI Sweden 25/50 Index. |
| iShares MSCI Germany ETF |
EWG |
Blackrock (iShares) |
464286806 |
US4642868065 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Germany index |
| The iShares MSCI Germany ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the German market as measured by the MSCI Germany Index. |
| iShares MSCI Canada ETF |
EWC |
Blackrock (iShares) |
464286509 |
US4642865095 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Canada Custom Capped Index |
| The iShares MSCI Canada ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Canadian market as measured by the MSCI Canada Custom Capped Index. |
| iShares MSCI Austria ETF |
EWO |
Blackrock (iShares) |
464286202 |
US4642862027 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Austria IMI 25/50 Index |
| The iShares MSCI Austria ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Austrian market as represented by the MSCI Austria IMI 25/50 Index. |
| iShares MSCI Belgium ETF |
EWK |
Blackrock (iShares) |
464286301 |
US4642863017 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Belgium IMI 25/50 Index |
| The iShares MSCI Belgium ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Belgian market as measured by the MSCI Belgium IMI 25/50 Index. |
| iShares MSCI France ETF |
EWQ |
Blackrock (iShares) |
464286707 |
US4642867075 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI France Index |
| The iShares MSCI France Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the French market as measured by the MSCI France Index. |
| iShares MSCI Italy ETF |
EWI |
Blackrock (iShares) |
46434G830 |
US46434G8309 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Italy 25/50 Index |
| The iShares MSCI Italy ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Italian market as measured by the MSCI Italy 25/50 Index. |
| iShares MSCI Spain ETF |
EWP |
Blackrock (iShares) |
464286764 |
US4642867646 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Spain 25/50 Index |
| The iShares MSCI Spain ETF Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Spanish market as measured by the MSCI Spain 25/50 Index. |
| iShares MSCI Japan ETF |
EWJ |
Blackrock (iShares) |
46434G822 |
US46434G8226 |
12 Mar 1996 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Japan Index |
| The iShares MSCI Japan Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Japanese market as measured by the MSCI Japan Index. |
| SPDR Dow Jones Industrial Average ETF Trust |
DIA |
State Street (SPDR) |
78467X109 |
US78467X1090 |
14 Jan 1998 |
0.17 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| SPDR Dow Jones Industrial Average ETF seeks to provide investment results that before expenses generally correspond to the price and yield performance of the Dow Jones Industrial Average (Ticker: DJITR). |
| Consumer Discretionary Select Sector SPDR Fund |
XLY |
State Street (SPDR) |
81369Y407 |
US81369Y4070 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Consumer Discretionary Select Sector Index |
| The Consumer Discretionary Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Consumer Discretionary Select Sector Index (ticker: IXY). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| Consumer Staples Select Sector SPDR Fund |
XLP |
State Street (SPDR) |
81369Y308 |
US81369Y3080 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Consumer Staples Select Sector Index |
| The Consumer Staples Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Consumer Staples Select Sector Index (ticker: IXR). |
| Energy Select Sector SPDR Fund |
XLE |
State Street (SPDR) |
81369Y506 |
US81369Y5069 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Energy Select Sector Index |
| The Energy Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Energy Select Sector Index (ticker: IXE). |
| Financial Select Sector SPDR Fund |
XLF |
State Street (SPDR) |
81369Y605 |
US81369Y6059 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Financial Select Sector Index |
| The Financial Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Financial Select Sector Index (ticker: IXM). |
| Health Care Select Sector SPDR Fund |
XLV |
State Street (SPDR) |
81369Y209 |
US81369Y2090 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Health Care Select Sector Index |
| The Health Care Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Health Care Select Sector Index (ticker: IXV). |
| Industrial Select Sector SPDR Fund |
XLI |
State Street (SPDR) |
81369Y704 |
US81369Y7040 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Industrials Select Sector Index |
| The Industrial Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Industrial Select Sector Index (ticker: IXI). |
| Materials Select Sector SPDR Fund |
XLB |
State Street (SPDR) |
81369Y100 |
US81369Y1001 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Materials Select Sector Index |
| The Materials Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Materials Select Sector Index (ticker: IXB). |
| Technology Select Sector SPDR Fund |
XLK |
State Street (SPDR) |
81369Y803 |
US81369Y8030 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Technology Select Sector Index |
| The Technology Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Technology Select Sector Index (ticker: IXT). |
| Utilities Select Sector SPDR Fund |
XLU |
State Street (SPDR) |
81369Y886 |
US81369Y8865 |
16 Dec 1998 |
0.14 % |
Equities (Stocks) |
Not Applicable |
S&P Utilities Select Sector Index |
| The Utilities Select Sector SPDR Fund before expenses seeks to closely match the returns and characteristics of the Utilities Select Sector Index (ticker: IXU). |
| Invesco QQQ Trust |
QQQ |
Invesco |
46090E103 |
US46090E1038 |
10 Mar 1999 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Nasdaq 100 Index |
| Invesco QQQ is an exchange-traded fund based on the Nasdaq-100 Index. The Fund will, under most circumstances, consist of all of stocks in the Index. The Index includes 100 of the largest domestic and international nonfinancial companies listed on the Nasdaq Stock Market based on market capitalization. The Fund and the Index are rebalanced quarterly and reconstituted annually. |
| iShares MSCI South Korea ETF |
EWY |
Blackrock (iShares) |
464286772 |
US4642867729 |
9 May 2000 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Korea 25/50 Index |
| The iShares MSCI South Korea ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the South Korean market as measured by the MSCI Korea 25/50 Index. |
| iShares Core S&P 500 ETF |
IVV |
Blackrock (iShares) |
464287200 |
US4642872000 |
15 May 2000 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| The iShares S&P 500 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. large-cap stocks as represented by the Standard & Poors 500 Index. |
| iShares Russell 1000 ETF |
IWB |
Blackrock (iShares) |
464287622 |
US4642876225 |
15 May 2000 |
0.15 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Index |
| The iShares Russell 1000 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the large capitalization sector of the U.S. equity market as represented by the Russell 1000 Index. The index represents the approximately 1000 largest companies in the Russell 3000 Index. |
| iShares US Technology ETF |
IYW |
Blackrock (iShares) |
464287721 |
US4642877215 |
15 May 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Technology Sector Index |
| The iShares Dow Jones U.S. Technology Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the largest public companies in the technology sector of the U.S. market as represented by the Dow Jones U.S. Technology Index. |
| iShares US Financials ETF |
IYF |
Blackrock (iShares) |
464287788 |
US4642877884 |
22 May 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Financials Index |
| The iShares Dow Jones U.S. Financial Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the financial and economic sectors of the U.S. equity market as represented by the Dow Jones U.S. Financials Index. |
| iShares S&P 500 Growth ETF |
IVW |
Blackrock (iShares) |
464287309 |
US4642873099 |
22 May 2000 |
0.18 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Growth Index |
| The iShares S&P 500 Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. large-cap growth stocks as represented by the S&P 500/Citigroup Growth Index. |
| iShares S&P 500 Value ETF |
IVE |
Blackrock (iShares) |
464287408 |
US4642874089 |
22 May 2000 |
0.18 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Value Index |
| The iShares S&P 500 Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. large-cap value stocks as represented by the S&P 500/Citigroup Value Index. |
| iShares Russell 1000 Value ETF |
IWD |
Blackrock (iShares) |
464287598 |
US4642875987 |
22 May 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Value Index |
| The iShares Russell 1000 Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the large capitalization value sector of the U.S. equity market as represented by the Russell 1000 Value Index. The index represents approximately 50% of the total market capitalization of the Russell 1000 Index. |
| iShares Core S&P Small-Cap ETF |
IJR |
Blackrock (iShares) |
464287804 |
US4642878049 |
22 May 2000 |
0.07 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| The iShares S&P SmallCap 600 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. small-cap stocks as represented by the Standard & Poors SmallCap 600 Index. |
| iShares Russell 1000 Growth ETF |
IWF |
Blackrock (iShares) |
464287614 |
US4642876142 |
22 May 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Growth Index |
| The iShares Russell 1000 Growth Index Fund seeks investment returns that correspond generally to the price and yield performance before fees and expenses of the large capitalization growth sector of the U.S. equity market as represented by the Russell 1000 Growth Index. The index represents approximately 50% of the total market capitalization of the Russell 1000 Index. |
| iShares Russell 3000 ETF |
IWV |
Blackrock (iShares) |
464287689 |
US4642876894 |
22 May 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 3000 Index |
| The iShares Russell 3000 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the broad U.S. equity market as represented by the Russell 3000 Index. |
| iShares Core S&P Mid-Cap ETF |
IJH |
Blackrock (iShares) |
464287507 |
US4642875078 |
22 May 2000 |
0.07 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| The iShares S&P MidCap 400 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. mid-cap stocks as represented by the Standard & Poors MidCap 400 Index. |
| iShares Russell 2000 ETF |
IWM |
Blackrock (iShares) |
464287655 |
US4642876555 |
22 May 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| The iShares Russell 2000 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the small capitalization sector of the U.S. equity market as represented by the Russell 2000 Index. The index represents the approximately 2000 smallest companies in the Russell 3000 Index. |
| iShares US Telecommunications ETF |
IYZ |
Blackrock (iShares) |
464287713 |
US4642877132 |
22 May 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Telecommunications Sector Index |
| The iShares Dow Jones U.S. Telecommunications Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Telecommunications Index. |
| iShares U.S. Consumer Services ETF |
IYC |
Blackrock (iShares) |
464287580 |
US4642875805 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Services Index |
| The iShares Dow Jones U.S. Consumer Services Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. consumer services stocks as represented by the Dow Jones U.S. Consumer Services Index. |
| iShares US Consumer Goods ETF |
IYK |
Blackrock (iShares) |
464287812 |
US4642878122 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Goods Index |
| The iShares Dow Jones U.S. Consumer Goods Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. consumer goods stocks as represented by the Dow Jones U.S. Consumer Goods Index. |
| iShares U.S. Energy ETF |
IYE |
Blackrock (iShares) |
464287796 |
US4642877967 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Oil & Gas Index |
| The iShares Dow Jones U.S. Energy Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. energy stocks as represented by the Dow Jones U.S. Oil & Gas Index. |
| iShares U.S. Financial Services ETF |
IYG |
Blackrock (iShares) |
464287770 |
US4642877702 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Financial Services Index |
| The iShares Dow Jones U.S. Financial Services Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the financial-services sector of the U.S. equity market as represented by the Dow Jones U.S. Financial Services Index. |
| iShares US Real Estate ETF |
IYR |
Blackrock (iShares) |
464287739 |
US4642877397 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Real Estate Index |
| The iShares Dow Jones U.S. Real Estate Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses to the performance of the real estate sector of the U.S. equity market as represented by the Dow Jones U.S. Real Estate Index. |
| iShares U.S. Healthcare ETF |
IYH |
Blackrock (iShares) |
464287762 |
US4642877629 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Healthcare Index |
| The iShares Dow Jones U.S. Healthcare Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. healthcare stocks as represented by the Dow Jones U.S. Health Care Index. |
| iShares U.S. Industrials ETF |
IYJ |
Blackrock (iShares) |
464287754 |
US4642877546 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Industrial Index |
| The iShares Dow Jones U.S. Industrial Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. industry stocks as represented by the Dow Jones U.S. Industrials Index. |
| iShares U.S. Basic Materials ETF |
IYM |
Blackrock (iShares) |
464287838 |
US4642878387 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Basic Materials Sector Index |
| The iShares Dow Jones U.S. Basic Materials Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the basic materials economic sector of the U.S. equity market as represented by the Dow Jones U.S. Basic Materials Index. |
| iShares Dow Jones U.S. ETF |
IYY |
Blackrock (iShares) |
464287846 |
US4642878460 |
12 Jun 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Index |
| The iShares Dow Jones U.S. Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the U.S. equity broad market as represented by the Dow Jones U.S. Index. |
| iShares US Utilities ETF |
IDU |
Blackrock (iShares) |
464287697 |
US4642876977 |
12 Jun 2000 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Utilities Sector Index |
| The iShares Dow Jones U.S. Utilities Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. utilities stocks as represented by the Dow Jones U.S. Utilities Index. |
| iShares MSCI Taiwan ETF |
EWT |
Blackrock (iShares) |
46434G772 |
US46434G7723 |
20 Jun 2000 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Taiwan 25/50 Index |
| The iShares MSCI Taiwan ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Taiwanese market as measured by the MSCI Taiwan 25/50 Index. |
| iShares MSCI Brazil ETF |
EWZ |
Blackrock (iShares) |
464286400 |
US4642864007 |
10 Jul 2000 |
0.63 % |
Equities (Stocks) |
Not Applicable |
MSCI Brazil 25/50 Index |
| The iShares MSCI Brazil ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Brazilian market as measured by the MSCI Brazil 25/50 Index. |
| iShares S&P Small-Cap 600 Growth ETF |
IJT |
Blackrock (iShares) |
464287887 |
US4642878874 |
24 Jul 2000 |
0.25 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Growth Index |
| The iShares S&P SmallCap 600 Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. small-cap growth stocks as represented by the S&P SmallCap 600/Citigroup Growth Index. |
| iShares S&P Small-Cap 600 Value ETF |
IJS |
Blackrock (iShares) |
464287879 |
US4642878791 |
24 Jul 2000 |
0.25 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Value Index |
| The iShares S&P SmallCap 600 Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. small-cap value stocks as represented by the S&P SmallCap 600/Citigroup Value Index. |
| iShares Core S&P U.S. Growth ETF |
IUSG |
Blackrock (iShares) |
464287671 |
US4642876712 |
24 Jul 2000 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 900 Growth Index |
| The iShares Core S&P U.S. Growth ETF seeks to track the investment results of an index composed of large- and mid-capitalization U.S. equities that exhibit growth characteristics. The Index measure growth stocks using three factors: sales growth, the ratio of earnings change to price, and momentum. S&P Style Indices divide the complete market capitalization of each parent index into growth and value segments. Constituents are drawn from the S&P 900 which combines the S&P 500 and S&P MidCap 400. |
| iShares Russell 2000 Growth ETF |
IWO |
Blackrock (iShares) |
464287648 |
US4642876480 |
24 Jul 2000 |
0.24 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Growth Index |
| The iShares Russell 2000 Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses the small capitalization growth sector of the U.S. equity market as represented by the Russell 2000 Growth Index. The index represents approximately 50% of the Russell 2000 Index. |
| iShares S&P Mid-Cap 400 Growth ETF |
IJK |
Blackrock (iShares) |
464287606 |
US4642876068 |
24 Jul 2000 |
0.25 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Growth Index |
| The iShares S&P MidCap 400 Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. mid-cap growth stocks as represented by the S&P MidCap 400/Citigroup Growth Index. |
| iShares Core S&P U.S. Value ETF |
IUSV |
Blackrock (iShares) |
464287663 |
US4642876639 |
24 Jul 2000 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 900 Value Index |
| The iShares Core S&P U.S. Value ETF seeks to track the investment results of an index composed of large- and mid-capitalization U.S. equities that exhibit value characteristics. The Index measure value stocks using three factors: the ratios of book value, earnings, and sales to price. S&P Style Indices divide the complete market capitalization of each parent index into growth and value indices. Constituents are drawn from the S&P 900, which combines the S&P 500 and S&P MidCap 400. |
| iShares S&P Mid-Cap 400 Value ETF |
IJJ |
Blackrock (iShares) |
464287705 |
US4642877058 |
24 Jul 2000 |
0.25 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Value Index |
| The iShares S&P MidCap 400 Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. mid-cap value stocks as represented by the S&P MidCap 400/Citigroup Value Index. |
| iShares Russell 2000 Value ETF |
IWN |
Blackrock (iShares) |
464287630 |
US4642876308 |
24 Jul 2000 |
0.24 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Pure Value Index |
| The iShares Russell 2000 Pure Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the small capitalization value sector of the U.S. equity market as represented by the Russell 2000 Pure Value Index. The index represents approximately 50% of the Russell 2000 Index. |
| iShares MSCI Eurozone ETF |
EZU |
Blackrock (iShares) |
464286608 |
US4642866085 |
25 Jul 2000 |
0.48 % |
Equities (Stocks) |
Not Applicable |
MSCI EMU Index |
| The iShares MSCI EMU Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the European Monetary Union (EMU) markets as measured by the MSCI EMU Index. |
| iShares Europe ETF |
IEV |
Blackrock (iShares) |
464287861 |
US4642878619 |
25 Jul 2000 |
0.60 % |
Equities (Stocks) |
Not Applicable |
S&P Europe 350 |
| The iShares S&P Europe 350 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of 350 stocks providing geographic and economic diversity over 10 market sectors as represented by the Standard & Poors Europe 350 Index. |
| SPDR Portfolio S&P 500 Growth ETF |
SPYG |
State Street (SPDR) |
78464A409 |
US78464A4094 |
25 Sep 2000 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Growth Index |
| The SPDR Portfolio S&P 500 Growth ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P 500 Growth Index (the "Index"). The S&P 500 Growth Index measures the performance of the large-capitalization growth sector in the U.S. equity market. The selection universe for the S&P 500 Index includes all U.S. common equities listed on the NYSE, NASDAQ Global Select Market, NASDAQ Select Market and NASDAQ Capital Market with market capitalizations of $5.3 billion or more. The Index is market capitalization weighted. |
| SPDR S&P 600 Small Cap Growth ETF |
SLYG |
State Street (SPDR) |
78464A201 |
US78464A2015 |
25 Sep 2000 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Growth Index |
| The SPDR S&P 600 Small Cap Growth ETF before expenses seeks to closely match the returns and characteristics of the S&P Small Cap 600 Growth Index (index ticker: SPTRSG). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR S&P 600 Small CapValue ETF |
SLYV |
State Street (SPDR) |
78464A300 |
US78464A3005 |
25 Sep 2000 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Value Index |
| The SPDR S&P 600 Small Cap Value ETF before expenses seeks to closely match the returns and characteristics of the S&P Small Cap 600 Value Index (index ticker: SPTRSV). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR Portfolio S&P 500 Value ETF |
SPYV |
State Street (SPDR) |
78464A508 |
US78464A5083 |
25 Sep 2000 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Value Index |
| The SPDR Portfolio S&P 500 Value ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P 500 Value Index (the "Index"). The S&P 500 Value Index measures the performance of the large-capitalization value segment in the U.S. equity market. The Index consists of those stocks in the S&P 500 Index exhibiting the strongest value characteristics based on: (i) book value to price ratio; (ii) earnings to price ratio; and (iii) sales to price ratio. The selection universe for the S&P 500 Index includes all U.S-domiciled, as determined by S&P Dow Jones Indices LLC, common equities listed on the NYSE, NYSE Arca, NYSE MKT, NASDAQ Global Select Market, NASDAQ Select Market, NASDAQ Capital Market, Bats BZX, Bats BYX, Bats EDGA, or Bats EDGX with market capitalizations generally of $5.3 billion or more at the time of inclusion. The Index is market capitalization weighted. |
| SPDR Global Dow ETF |
DGT |
State Street (SPDR) |
78464A706 |
US78464A7063 |
25 Sep 2000 |
0.50 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Global Titans Index |
| The SPDR DJ Global Titans ETF before expenses seeks to closely match the returns and characteristics of the Dow Jones Global Titans Index (ticker: DJGTR). |
| SPDR NYSE Technology ETF |
XNTK |
State Street (SPDR) |
78464A102 |
US78464A1025 |
25 Sep 2000 |
0.35 % |
Equities (Stocks) |
Not Applicable |
NYSE Technology Index |
| The SPDR NYSE Technology ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the NYSE Technology Index (the "Index"). The NYSE Technology Index is composed of 35 leading U.S.-listed technology-related companies. The investible universe of the Index comprises all stocks in the Information Technology sector and technology-related stocks in the Consumer Discretionary sector, as defined by the Index Provider that are listed on major U.S. stock exchanges. The Index is equal-dollar-weighted to ensure that each of its component securities is represented in approximate equal dollar value. |
| SPDR Portfolio Total Stock Market ETF |
SPTM |
State Street (SPDR) |
78464A805 |
US78464A8053 |
4 Oct 2000 |
0.03 % |
Equities (Stocks) |
Not Applicable |
SSGA Total Stock Market Index |
| The SPDR Portfolio Total Stock Market ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the SSGA Total Stock Market Index (the "Index"). The SSGA Total Stock Market Index is designed to measure the performance of the broad market segment of the U.S. equity market. The investible universe comprises all equity securities listed on major U.S. exchanges that are issued by companies either incorporated or headquartered in the U.S. |
| iShares S&P 100 ETF |
OEF |
Blackrock (iShares) |
464287101 |
US4642871010 |
23 Oct 2000 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P 100 Index |
| The iShares S&P 100 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S. large-cap stocks as represented by the Standard & Poors 100 Index. |
| iShares Global 100 ETF |
IOO |
Blackrock (iShares) |
464287572 |
US4642875722 |
5 Dec 2000 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Global 100 Index |
| The iShares S&P Global 100 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of global large-cap stocks as represented by the Standard & Poors Global 100 Index. The index is a subset of the S&P Global 1200 Index. |
| iShares Cohen & Steers REIT ETF |
ICF |
Blackrock (iShares) |
464287564 |
US4642875649 |
29 Jan 2001 |
0.34 % |
Equities (Stocks) |
Not Applicable |
Cohen & Steers Realty Majors Index |
| The iShares Cohen & Steers Realty Majors Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of large actively traded U.S. real estate investment trusts as represented by the Cohen & Steers Realty Majors Index. |
| iShares Nasdaq Biotechnology ETF |
IBB |
Blackrock (iShares) |
464287556 |
US4642875565 |
5 Feb 2001 |
0.47 % |
Equities (Stocks) |
Not Applicable |
NASDAQ Biotechnology Index |
| The iShares Nasdaq Biotechnology Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies primarily engaged in the biotechnology industry as represented by the NASDAQ Biotechnology Index . |
| iShares North American Tech ETF |
IGM |
Blackrock (iShares) |
464287549 |
US4642875490 |
13 Mar 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P North American Technology Sector Index |
| The iShares S&P North American Technology Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S.-traded technology companies as represented by the S&P North American Technology Sector Index |
| SPDR Dow Jones REIT ETF |
RWR |
State Street (SPDR) |
78464A607 |
US78464A6073 |
23 Apr 2001 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select REIT Index |
| The SPDR Dow Jones REIT ETF before expenses seeks to match the returns and characteristics of the Dow Jones U.S. Select REIT Index (ticker: DWRTFT). |
| Vanguard Total Stock Market ETF |
VTI |
Vanguard |
922908769 |
US9229087690 |
24 May 2001 |
0.04 % |
Equities (Stocks) |
Not Applicable |
CRSP US Total Market Index |
| Vanguard Total Stock Market ETF seeks to track the performance of a benchmark index that measures the investment return of the overall stock market. |
| iShares North American Tech-Multimedia Networking ETF |
IGN |
Blackrock (iShares) |
464287531 |
US4642875318 |
10 Jul 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P North American Technology-Multimedia Networking Index |
| The iShares S&P North American Technology-Multimedia Networking Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S.-traded multimedia networking stocks as represented by the S&P North American Technology-Multimedia Networking Index |
| iShares PHLX Semiconductor ETF |
SOXX |
Blackrock (iShares) |
464287523 |
US4642875235 |
10 Jul 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
PHLX Semiconductor Sector Index |
| The iShares PHLX SOX Semiconductor Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S.-listed semiconductor stocks as represented by the PHLX Semiconductor Sector Index (the Index). |
| iShares North American Tech-Software ETF |
IGV |
Blackrock (iShares) |
464287515 |
US4642875151 |
10 Jul 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P North American Technology-Software Index |
| The iShares S&P North American Technology-Software Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S.-traded software-related stocks as represented by the S&P North American Technology-Software Index |
| iShares Russell Mid-Cap ETF |
IWR |
Blackrock (iShares) |
464287499 |
US4642874998 |
17 Jul 2001 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Index |
| The iShares Russell Midcap Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the mid-capitalization sector of the U.S. equity market as represented by the Russell Midcap Index. The index represents the 800 smallest companies in the Russell 1000 Index. |
| iShares Russell Mid-Cap Value ETF |
IWS |
Blackrock (iShares) |
464287473 |
US4642874733 |
17 Jul 2001 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Pure Value Index |
| The iShares Russell Midcap Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the mid-capitalization value sector of the U.S. equity market as represented by the Russell Midcap Value Index. The index represents approximately 60% of the total market capitalization of the Russell Midcap Index. |
| iShares Russell Mid-Cap Growth ETF |
IWP |
Blackrock (iShares) |
464287481 |
US4642874816 |
17 Jul 2001 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Pure Growth Index |
| The iShares Russell Midcap Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the mid-capitalization growth sector of the U.S. equity market as represented by the Russell Midcap Growth Index. The index represents approximately 40% of the total market capitalization of the Russell Midcap Index. |
| iShares MSCI EAFE ETF |
EFA |
Blackrock (iShares) |
464287465 |
US4642874659 |
14 Aug 2001 |
0.32 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| The iShares MSCI EAFE Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the European Australasian and Far Eastern markets as measured by the MSCI EAFE Index. |
| iShares North American Natural Resources ETF |
IGE |
Blackrock (iShares) |
464287374 |
US4642873743 |
22 Oct 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P North American Natural Resources Index |
| The iShares S&P North American Natural Resources Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of U.S.-traded natural resource-related stocks as represented by the the S&P North American Natural Resources Sector Index |
| iShares JPX-Nikkei 400 ETF |
JPXN |
Blackrock (iShares) |
464287382 |
US4642873826 |
23 Oct 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
JPX-Nikkei 400 Net Total Return Index |
| The iShares JPX-Nikkei 400 ETF (JPXN) seeks to track the investment results of a broad-based benchmark composed of Japanese equities. The benchmark consisting of 400 Japanese securities that pass a rigorous screening process. The index uses indicators such as return on equity (ROE), cumulative operating profit, and market capitalization to select high-quality, capitally-efficient Japanese companies. |
| iShares Latin America 40 ETF |
ILF |
Blackrock (iShares) |
464287390 |
US4642873909 |
25 Oct 2001 |
0.49 % |
Equities (Stocks) |
Not Applicable |
S&P Latin America 40 Index |
| The iShares S&P Latin America 40 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies in the Mexican and South American equity markets as represented by the Standard & Poors Latin America 40 Index. |
| iShares MSCI Pacific ex Japan ETF |
EPP |
Blackrock (iShares) |
464286665 |
US4642866655 |
25 Oct 2001 |
0.49 % |
Equities (Stocks) |
Not Applicable |
MSCI Pacific ex-Japan Index |
| The iShares MSCI Pacific ex-Japan Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the Australia Hong Kong New Zealand and Singapore markets as represented by the MSCI Pacific ex-Japan Index. |
| iShares Global Energy ETF |
IXC |
Blackrock (iShares) |
464287341 |
US4642873412 |
12 Nov 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Energy Sector Index |
| The iShares S&P Global Energy Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies that Standard & Poors deems part of the energy sector of the economy and important to global markets as represented by the S&P Global Energy Sector Index. The index is a subset of the Standard & Poors Global 1200 Index. |
| iShares Global Financials ETF |
IXG |
Blackrock (iShares) |
464287333 |
US4642873339 |
12 Nov 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Financials Sector Index |
| The iShares S&P Global Financials Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies that Standard & Poors deems part of the financial sector of the economy and important to global markets as represented by the S&P Global Financials Sector Index. The index is a subset of the Standard & Poors Global 1200 Index. |
| iShares Global Tech ETF |
IXN |
Blackrock (iShares) |
464287291 |
US4642872919 |
12 Nov 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Technology Sector Index |
| The iShares S&P Global Technology Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies that Standard & Poors deems part of the information technology sector of the economy and important to global markets as represented by the Standard & Poors Global Information Technology Sector Index. The index is a subset of the Standard & Poors Global 1200 Index. |
| iShares Global Telecom ETF |
IXP |
Blackrock (iShares) |
464287275 |
US4642872752 |
12 Nov 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Telecommunications Sector Index |
| The iShares S&P Global Telecommunications Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies that Standard & Poors deems part of the telecommunications sector of the economy and important to global markets as represented by the Standard & Poors Global Telecommunications Sector Index. The index is a subset of the Standard & Poors Global 1200 Index. |
| iShares Global Healthcare ETF |
IXJ |
Blackrock (iShares) |
464287325 |
US4642873255 |
13 Nov 2001 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Healthcare Sector Index |
| The iShares S&P Global Healthcare Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of companies that Standard & Poors deems part of the healthcare sector of the economy and important to global markets as represented by the S&P Global Healthcare Sector Index. The index is a subset of the Standard & Poors Global 1200 Index. |
| Vanguard Extended Market ETF |
VXF |
Vanguard |
922908652 |
US9229086528 |
27 Dec 2001 |
0.08 % |
Equities (Stocks) |
Not Applicable |
S&P Completion Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks from small and midsize companies. Provides a convenient way to match the performance of virtually all regularly traded U.S. stocks except those in the S&P 500 Index. Passively managed using index sampling techniques. |
| iShares 20+ Year Treasury Bond ETF |
TLT |
Blackrock (iShares) |
464287432 |
US4642874329 |
22 Jul 2002 |
0.15 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| The iShares 20+ Year Treasury Bond ETF seeks to track the investment results of an index composed of U.S. Treasury bonds with remaining maturities greater than twenty years. The ICE U.S. Treasury 20+ Year Bond Index is part of a series of indices intended to assess U.S. Treasury issued debt. Only U.S. dollar denominated, fixed rate securities with minimum term to maturity greater than twenty years are included. |
| iShares iBoxx $ Investment Grade Corporate Bond ETF |
LQD |
Blackrock (iShares) |
464287242 |
US4642872422 |
22 Jul 2002 |
0.15 % |
Bonds |
Not Applicable |
iBoxx $ Liquid Investment Grade Index |
| The iShares iBoxx $ Investment Grade Corporate Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the corporate bond market as defined by the iBoxx $ Liquid Investment Grade Index. |
| iShares 1-3 Year Treasury Bond ETF |
SHY |
Blackrock (iShares) |
464287457 |
US4642874576 |
22 Jul 2002 |
0.15 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 1-3 Year Index |
| The iShares 1-3 Year Treasury Bond ETF seeks to track the investment results of an index composed of U.S. Treasury bonds with remaining maturities between one and three years. The ICE U.S. Treasury 1-3 Year Bond Index is part of a series of indices intended to assess U.S. Treasury issued debt. Only U.S. dollar denominated, fixed rate securities with minimum term to maturity greater than one year and less than or equal to three years are included. |
| iShares 7-10 Year Treasury Bond ETF |
IEF |
Blackrock (iShares) |
464287440 |
US4642874402 |
22 Jul 2002 |
0.15 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| The iShares 7-10 Year Treasury Bond ETF (IEF) seeks to track the investment results of an index composed of U.S. Treasury bonds with remaining maturities between seven and ten years. The ICE U.S. Treasury 7-10 Year Bond Index is part of a series of indices intended to assess U.S. Treasury issued debt. Only U.S. dollar denominated, fixed rate securities with minimum term to maturity greater than seven years and less than or equal to ten years are included. |
| SPDR STOXX Europe 50 ETF |
FEU |
State Street (SPDR) |
78463X103 |
US78463X1037 |
15 Oct 2002 |
0.29 % |
Equities (Stocks) |
Not Applicable |
STOXX Europe 50 Index |
| The SPDR STOXX Europe 50 ETFseeks to replicate as closely as possible before expenses the price and yield of the STOXX Europe 50 Index Fund(ticker: SX5V). |
| SPDR EURO STOXX 50 ETF |
FEZ |
State Street (SPDR) |
78463X202 |
US78463X2027 |
15 Oct 2002 |
0.29 % |
Equities (Stocks) |
Not Applicable |
EURO STOXX 50 Index |
| The SPDR EURO STOXX 50 ETF before expenses seeks to closely match the returns and characteristics of the EURO STOXX 50 Index Fund (ticker: SX5U). |
| Invesco BLDRS Emerging Markets 50 ADR Index Fund |
ADRE |
Invesco |
46090C305 |
US46090C3051 |
13 Nov 2002 |
0.18 % |
Equities (Stocks) |
Not Applicable |
BNY Mellon Emerging Markets 50 ADR Index |
| The Invesco BLDRS Emerging Markets 50 ADR Index Fund (Fund) seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the BNY Mellon Emerging Markets 50 ADR Index (Index). The Fund normally holds at least 95% of its total assets in depositary receipts (DR) that comprise the Index. The Index is capitalization-weighted and designed to track the performance of approximately 50 emerging market-based DRs. The Fund and the Index are rebalanced and reconstituted quarterly. The Fund is an "index fund" that holds publicly traded DRs, negotiable U.S. securities that generally represent a non-U.S. companys publicly traded equity or debt, of non-U.S. companies in a particular geographic region or market represented by a specified relevant benchmark BNY Mellon ADR Index. |
| Invesco BLDRS Asia 50 ADR Index Fund |
ADRA |
Invesco |
46090C107 |
US46090C1071 |
13 Nov 2002 |
0.30 % |
Equities (Stocks) |
Not Applicable |
BNY Mellon Asia 50 ADR Index |
| The Invesco BLDRS Asia 50 ADR Index Fund (Fund) seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the BNY Mellon Asia 50 ADR Index (Index). The Fund normally holds at least 95% of its total assets in depositary receipts (DR) that comprise the Index. The Index is capitalization-weighted and designed to track the performance of approximately 50 Asian market-based DRs. The Fund and the Index are rebalanced and reconstituted quarterly. The Fund is an "index fund" that holds publicly traded DRs, negotiable U.S. securities that generally represent a non-U.S. companys publicly traded equity or debt, of non-U.S. companies in a particular geographic region or market represented by a specified relevant benchmark BNY Mellon ADR Index. |
| Invesco BLDRS Europe Select ADR Index Fund |
ADRU |
Invesco |
46090C404 |
US46090C4042 |
13 Nov 2002 |
0.30 % |
Equities (Stocks) |
Not Applicable |
BNY Mellon Europe 100 ADR Index |
| The Invesco BLDRS Europe Select ADR Index Fund (Fund) seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the BNY Mellon Europe Select ADR Index (Index). The Fund normally holds at least 95% of its total assets in depositary receipts (DR) that comprise the Index. The Index is capitalization-weighted and designed to track the performance of approximately 100 European market-based DRs. The Fund and the Index are rebalanced and reconstituted quarterly. The Fund is an "index fund" that holds publicly traded DRs, negotiable U.S. securities that generally represent a non-U.S. companys publicly traded equity or debt, of non-U.S. companies in a particular geographic region or market represented by a specified relevant benchmark BNY Mellon ADR Index. |
| Invesco BLDRS Developed Markets 100 ADR Index Fund |
ADRD |
Invesco |
46090C206 |
US46090C2061 |
13 Nov 2002 |
0.27 % |
Equities (Stocks) |
Not Applicable |
BNY Mellon Developed Markets 100 ADR Index |
| The Invesco BLDRS Developed Markets 100 ADR Index Fund (Fund) seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the BNY Mellon Developed Markets 100 ADR Index (Index). The Fund normally holds at least 95% of its total assets in depositary receipts (DR) that comprise the Index. The Index is capitalization-weighted and designed to track the performance of approximately 100 developed market-based DRs. The Fund and the Index are rebalanced and reconstituted quarterly. The Fund is an "index fund" that holds publicly traded DRs, negotiable U.S. securities that generally represent a non-U.S. companys publicly traded equity or debt, of non-U.S. companies in a particular geographic region or market represented by a specified relevant benchmark BNY Mellon ADR Index. |
| iShares MSCI South Africa ETF |
EZA |
Blackrock (iShares) |
464286780 |
US4642867802 |
3 Feb 2003 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI South Africa 25/50 Index |
| The iShares MSCI South Africa Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in the South African equity market as measured by the MSCI South Africa 25/50 Index. |
| iShares MSCI Emerging Markets ETF |
EEM |
Blackrock (iShares) |
464287234 |
US4642872349 |
7 Apr 2003 |
0.69 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| The iShares MSCI Emerging Markets Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of publicly traded securities in emerging markets as represented by the MSCI Emerging Markets Index. |
| Invesco S&P 500 Equal Weight ETF |
RSP |
Invesco |
46137V357 |
US46137V3574 |
24 Apr 2003 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Equal Weighted Index |
| The Invesco S&P 500 Equal Weight ETF (Fund) is based on the S&P 500 Equal Weight Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index equally weights the stocks in the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco DWA NASDAQ Momentum ETF |
DWAQ |
Invesco |
46137V829 |
US46137V8292 |
1 May 2003 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Dorsey Wright NASDAQ Technical Leaders Index |
| The Invesco DWA NASDAQ Momentum ETF (Fund) is based on the Dorsey Wright NASDAQ Technical Leaders Index (DWA NASDAQ Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is comprised of approximately 100 common stocks from an eligible universe of approximately 1,000 securities of large capitalization companies from the NASDAQ Composite Index. All securities in the universe are ranked using a proprietary relative strength (momentum) measure. Each securitys score is based on intermediate and long-term price movements relative to a representative market benchmark and the other eligible securities. The top 100 securities are selected for the Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco Dynamic Market ETF |
PWC |
Invesco |
46137V712 |
US46137V7120 |
1 May 2003 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Dynamic Market Intellidex |
| The Invesco Dynamic Market ETF (Fund) is based on the Dynamic Market Intellidex Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Underlying Intellidex selection methodology seeks to identify and select companies from the US marketplace with superior risk-return profiles. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| First Trust Value Line 100 Exchange-Traded Fund |
FVL |
First Trust |
33735G107 |
US33735G1076 |
12 Jun 2003 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Value Line 100 Index |
| This exchange-traded fund seeks investment results that correspond generally to the price and yield (before the funds fees and expenses) of an equity index called the Value Line 100 Index. |
| First Trust Value Line Dividend Index Fund |
FVD |
First Trust |
33734H106 |
US33734H1068 |
19 Aug 2003 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Value Line Dividend Index |
| The First Trust Value Line Dividend Index Fund is an exchange-traded index fund. The objective of the fund is to seek investment results that correspond generally to the price and yield before fees and expenses of the Value Line Dividend Index. |
| iShares Core U.S. Aggregate Bond ETF |
AGG |
Blackrock (iShares) |
464287226 |
US4642872265 |
22 Sep 2003 |
0.05 % |
Bonds |
Not Applicable |
Bloomberg Barclays US Aggregate Bond Index |
| The iShares Barclays Aggregate Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the total United States investment grade bond market as defined by the Barclays Capital U.S. Aggregate Bond Index. |
| Fidelity NASDAQ Composite Index Tracking Stock ETF |
ONEQ |
Fidelity |
315912808 |
US3159128087 |
25 Sep 2003 |
0.21 % |
Equities (Stocks) |
Not Applicable |
NASDAQ Composite Index |
| The investment seeks to provide investment returns that closely corresponds to the price and yield performance of the Nasdaq Composite index. The fund normally invests at least 80% of assets in common stocks included in the index. Advisor uses a sampling technique based on quantitative analytic procedures to create a portfolio of securities listed in the Index that have a similar investment profile to the entire Index. |
| iShares Transportation Average ETF |
IYT |
Blackrock (iShares) |
464287192 |
US4642871929 |
6 Oct 2003 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Transportation Average Index |
| The iShares Dow Jones Transportation Average Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of Dow Jones Transportation Average Index. |
| iShares Select Dividend ETF |
DVY |
Blackrock (iShares) |
464287168 |
US4642871689 |
3 Nov 2003 |
0.39 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Select Dividend Index |
| The iShares Dow Jones Select Dividend Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Dividend Index. |
| iShares TIPS Bond ETF |
TIP |
Blackrock (iShares) |
464287176 |
US4642871762 |
4 Dec 2003 |
0.20 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Treasury Inflation Protected Securities (TIPS) Index (Series-L) |
| The iShares Barclays Treasury Inflation Protected Securities Bond Fund seeks results that correspond generally to the price and yield performance before fees and expenses of the inflation-protected sector of the United States Treasury market as defined by the Barclays Capital U.S. Treasury Inflation Protected Securities (TIPS) Index (Series-L). |
| iShares Core S&P Total U.S. Stock Market ETF |
ITOT |
Blackrock (iShares) |
464287150 |
US4642871507 |
20 Jan 2004 |
0.03 % |
Equities (Stocks) |
Not Applicable |
S&P Total Market Index |
| The iShares Core S&P Total U.S. Stock Market ETF seeks to track the investment results of S&P Total Market Index.The S&P Total Market Index (TMI) is designed to track the broad equity market, including large-, mid-, small-, and micro-cap stocks. The index includes all common equities listed on the NYSE (including NYSE Arca and NYSE MKT), the NASDAQ Global Select Market, the NASDAQ Global Market, and the NASDAQ Capital Market. The S&P 500 and the S&P Completion Index are subsets of the S&P TMI. |
| Vanguard Consumer Discretionary ETF |
VCR |
Vanguard |
92204A108 |
US92204A1088 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Consumer Discretionary 25/50 Transition Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the consumer discretionary sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that manufacture products and provide services that consumers purchase on a discretionary basis. |
| Vanguard Consumer Staples ETF |
VDC |
Vanguard |
92204A207 |
US92204A2078 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Consumer Staples 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the consumer staples sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that provide direct-to-consumer products that based on consumer spending habits are considered nondiscretionary. |
| Vanguard Financials ETF |
VFH |
Vanguard |
92204A405 |
US92204A4058 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Financials 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the financials sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that provide financial services. |
| Vanguard Health Care ETF |
VHT |
Vanguard |
92204A504 |
US92204A5048 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Healthcare 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the health care sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies involved in providing medical or health care products services technology or equipment. |
| Vanguard Materials ETF |
VAW |
Vanguard |
92204A801 |
US92204A8018 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Materials 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the materials sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that extract or process raw materials. |
| Vanguard Small-Cap ETF |
VB |
Vanguard |
922908751 |
US9229087518 |
26 Jan 2004 |
0.06 % |
Equities (Stocks) |
Not Applicable |
CRSP US Small Cap Index |
| The Fund seeks to track the performance of a benchmark index that measures the investment return of small-capitalization stocks in the United States |
| Vanguard Small-Cap Value ETF |
VBR |
Vanguard |
922908611 |
US9229086114 |
26 Jan 2004 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Small Cap Value Index |
| Seeks to track the performance of the CRSP U.S. Small Cap Value Index which measures the investment return of small-capitalization value stocks. Provides a convenient way to match the performance of a diversified group of small value companies. Follows a passively managed full-replication approach. |
| Vanguard Value ETF |
VTV |
Vanguard |
922908744 |
US9229087443 |
26 Jan 2004 |
0.06 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Large Cap Value Index |
| Seeks to track the performance of the CRSP U.S. Large Cap Value Index which measures the investment return of large-capitalization value stocks. Provides a convenient way to match the performance of many of the nation s largest value stocks. Follows a passively managed full-replication approach. |
| Vanguard Growth ETF |
VUG |
Vanguard |
922908736 |
US9229087369 |
26 Jan 2004 |
0.06 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Large Cap Growth Index |
| Seeks to track the performance of the CRSP U.S. Large Cap Growth Index. Provides a convenient way to match the performance of many of the nation s largest growth stocks. Follows a passively managed full-replication approach. |
| Vanguard Small-Cap Growth ETF |
VBK |
Vanguard |
922908595 |
US9229085959 |
26 Jan 2004 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Small Cap Growth Index |
| Seeks to track the performance of the CRSP U.S. Small Cap Growth Index which measures the investment return of small-capitalization growth stocks. Provides a convenient way to match the performance of a diversified group of small growth companies. Follows a passively managed full-replication approach. |
| Vanguard Mid-Cap ETF |
VO |
Vanguard |
922908629 |
US9229086296 |
26 Jan 2004 |
0.06 % |
Equities (Stocks) |
Not Applicable |
CRSP US Mid Cap Index |
| The Fund seeks to track the performance of a benchmark index that measures the investment return of Mid-capitalization stocks in the United States |
| Vanguard Information Technology ETF |
VGT |
Vanguard |
92204A702 |
US92204A7028 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Information Technology 25/50 Transition Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the information technology sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that serve the electronics and computer industries or that manufacture products based on the latest applied science. |
| Vanguard Utilities ETF |
VPU |
Vanguard |
92204A876 |
US92204A8760 |
26 Jan 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Utilities 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the utilities sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that distribute electricity water or gas or that operate as independent power producers. |
| Vanguard Large-Cap ETF |
VV |
Vanguard |
922908637 |
US9229086379 |
27 Jan 2004 |
0.06 % |
Equities (Stocks) |
Not Applicable |
CRSP US Large Cap Index |
| The Fund seeks to track the performance of a benchmark index that measures the investment return of large-capitalization stocks in the United States |
| iShares Morningstar Large-Cap ETF |
JKD |
Blackrock (iShares) |
464287127 |
US4642871275 |
28 Jun 2004 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Morningstar Large Core Index |
| The iShares Morningstar Large Core Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Large Core Index. |
| iShares Morningstar Large-Cap Growth ETF |
JKE |
Blackrock (iShares) |
464287119 |
US4642871192 |
28 Jun 2004 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Morningstar Large Growth Index |
| The iShares Morningstar Large Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Large Growth Index. |
| iShares Morningstar Large-Cap Value ETF |
JKF |
Blackrock (iShares) |
464288109 |
US4642881092 |
28 Jun 2004 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Morningstar Large Value Index |
| The iShares Morningstar Large Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Large Value Index. |
| iShares Morningstar Small-Cap ETF |
JKJ |
Blackrock (iShares) |
464288505 |
US4642885051 |
28 Jun 2004 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Morningstar Small Core Index |
| The iShares Morningstar Small Core Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Small Core Index. |
| iShares Morningstar Mid-Cap ETF |
JKG |
Blackrock (iShares) |
464288208 |
US4642882082 |
28 Jun 2004 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Morningstar Mid Core Index |
| The iShares Morningstar Mid Core Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Mid Core Index. |
| iShares Morningstar Mid-Cap Growth ETF |
JKH |
Blackrock (iShares) |
464288307 |
US4642883072 |
28 Jun 2004 |
0.30 % |
Equities (Stocks) |
Not Applicable |
Morningstar Mid Growth Index |
| The iShares Morningstar Mid Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Mid Growth Index. |
| iShares Morningstar Mid-Cap Value ETF |
JKI |
Blackrock (iShares) |
464288406 |
US4642884062 |
28 Jun 2004 |
0.30 % |
Equities (Stocks) |
Not Applicable |
Morningstar Mid Value Index |
| The iShares Morningstar Mid Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Mid Value Index. |
| iShares Morningstar Small-Cap Growth ETF |
JKK |
Blackrock (iShares) |
464288604 |
US4642886042 |
28 Jun 2004 |
0.30 % |
Equities (Stocks) |
Not Applicable |
Morningstar Small Growth Index |
| The iShares Morningstar Small Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Small Growth Index. |
| iShares Morningstar Small-Cap Value ETF |
JKL |
Blackrock (iShares) |
464288703 |
US4642887032 |
28 Jun 2004 |
0.30 % |
Equities (Stocks) |
Not Applicable |
Morningstar Small Value Index |
| The iShares Morningstar Small Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Morningstar Small Value Index. |
| Vanguard Energy ETF |
VDE |
Vanguard |
92204A306 |
US92204A3068 |
23 Sep 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Energy 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the energy sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies involved in the exploration and production of energy products such as oil natural gas and coal. |
| Vanguard Real Estate ETF |
VNQ |
Vanguard |
922908553 |
US9229085538 |
23 Sep 2004 |
0.12 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Real Estate 25/50 Transition Index |
| Vanguard Real Estate ETF seeks to provide a high level of income and moderate long-term capital appreciation by tracking the performance of a benchmark index that measures the performance of publicly traded equity REITs and other real estate-related investments. |
| Vanguard Industrials ETF |
VIS |
Vanguard |
92204A603 |
US92204A6038 |
23 Sep 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Industrials 25/50 Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the industrials sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that convert unfinished goods into finished durables used to manufacture other goods or provide services. |
| Vanguard Communication Services ETF |
VOX |
Vanguard |
92204A884 |
US92204A8844 |
23 Sep 2004 |
0.10 % |
Equities (Stocks) |
Not Applicable |
MSCI US Investable Market Communication Services 25/50 Transition Index |
| Seeks to track the performance of a benchmark index that measures the investment return of stocks in the telecommunication services sector. Passively managed using a full-replication strategy when possible and a sampling strategy if regulatory constraints dictate. Includes stocks of companies that provide telephone data-transmission cellular or wireless communication services. |
| iShares China Large-Cap ETF |
FXI |
Blackrock (iShares) |
464287184 |
US4642871846 |
5 Oct 2004 |
0.74 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| The iShares China Large-Cap ETF seeks to track the investment results of an index composed of large-capitalization Chinese equities that trade on the Hong Kong Stock Exchange. |
| SPDR Gold Shares |
GLD |
State Street (SPDR) |
78463V107 |
US78463V1070 |
18 Nov 2004 |
0.40 % |
Commodities & Metals |
Not Applicable |
Gold - London PM Gold Price |
| The objective of the SPDR Gold Trust is for the Shares to reflect the performance of the price of gold bullion less the Trusts expenses. |
| Invesco High Yield Equity Dividend Achievers ETF |
PEY |
Invesco |
46137V563 |
US46137V5637 |
9 Dec 2004 |
0.54 % |
Equities (Stocks) |
Not Applicable |
Dividend Achiever 50 Index |
| The Invesco High Yield Equity Dividend Achievers ETF (Fund) is based on the NASDAQ US Dividend Achievers 50 Index (Index). The Fund will normally invest at least 90% of its total assets in dividend paying common stocks that comprise the Index. The Index is comprised of 50 stocks selected principally on the basis of dividend yield and consistent growth in dividends. The Fund and the Index are reconstituted annually in March and rebalanced quarterly in March, June, September and December. |
| Invesco Golden Dragon China ETF |
PGJ |
Invesco |
46137V571 |
US46137V5710 |
9 Dec 2004 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Halter USX China Index |
| The Invesco Golden Dragon China ETF (Fund) is based on the NASDAQ Golden Dragon China Index (Index). The Fund generally will invest at least 90% of its total assets in equity securities of companies deriving a majority of their revenues from the People s Republic of China and that comprise the Underlying Index. The Underlying Index is composed of US exchange-listed companies that are headquartered or incorporated in the People s Republic of China. The Fund and the Index are rebalanced and reconstituted quarterly. |
| SPDR Bloomberg Barclays International Corporate Bond ETF |
IBND |
State Street (SPDR) |
78464A151 |
US78464A1512 |
19 May 2010 |
0.50 % |
Bonds |
Not Applicable |
Bloomberg Barclays Global Aggregate ex-USD >$1B: Corporate Bond Index |
| The SPDR Bloomberg Barclays International Corporate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays Global Aggregate ex-USD > $1B: Corporate Bond Index (the "Index"). Seeks to provide a broad exposure to the global investment grade, fixed rate, fixed income corporate markets outside the United States. The securities in the Index must have a $1 billion USD equivalent market capitalization outstanding and at least 1 year remaining. Market cap weighted and reconstituted on the last business day of the month. |
| iShares Gold Trust |
IAU |
Blackrock (iShares) |
464285105 |
US4642851053 |
21 Jan 2005 |
0.25 % |
Commodities & Metals |
Not Applicable |
LBMA Gold Price |
| The iShares Gold Trust (Trust) seeks to correspond generally to the day-to-day movement of the price of gold bullion. The objective of the Trust is for the value to reflect at any given time the price of gold owned by the Trust at that time less the expenses and liabilities of the Trust. |
| iShares MSCI USA ESG Select ETF |
SUSA |
Blackrock (iShares) |
464288802 |
US4642888022 |
24 Jan 2005 |
0.25 % |
Equities (Stocks) |
Not Applicable |
MSCI USA Extended ESG Select Index |
| The iShares MSCI USA ESG Select ETF seeks to track the investment results of an index composed of U.S. companies that have positive environmental, social and governance characteristics as identified by the index provider. |
| Invesco Dynamic Large Cap Growth ETF |
PWB |
Invesco |
46137V746 |
US46137V7468 |
3 Mar 2005 |
0.57 % |
Equities (Stocks) |
Not Applicable |
Dynamic Large Cap Growth Intellidex Index |
| The Invesco Dynamic Large Cap Growth ETF (Fund) is based on the Dynamic Large Cap Growth Intellidex Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index seeks to provide capital appreciation while maintaining consistent stylistically accurate exposure. The Style Intellidexes apply a rigorous 10-factor style isolation process to objectively segregate companies into their appropriate investment style and size universe. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Large Cap Value ETF |
PWV |
Invesco |
46137V738 |
US46137V7385 |
3 Mar 2005 |
0.57 % |
Equities (Stocks) |
Not Applicable |
Dynamic Large Cap Value Intellidex Index |
| The Invesco Dynamic Large Cap Value ETF (Fund) is based on the Dynamic Large Cap Value Intellidex Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to provide capital appreciation while maintaining consistent stylistically accurate exposure. The Style Intellidexes apply a rigorous 10 factor style isolation process to objectively segregate companies into their appropriate investment style and size universe. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco WilderHill Clean Energy ETF |
PBW |
Invesco |
46137V134 |
US46137V1347 |
3 Mar 2005 |
0.70 % |
Equities (Stocks) |
Not Applicable |
WilderHill Clean Energy Index |
| The Invesco WilderHill Clean Energy ETF (Fund) is based on the WilderHill Clean Energy Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is composed of stocks of companies that are publicly traded in the United States and engaged in the business of advancement of cleaner energy and conservation. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Vanguard FTSE Pacific ETF |
VPL |
Vanguard |
922042866 |
US9220428661 |
4 Mar 2005 |
0.10 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Asia Pacific All Cap Index |
| Vanguard FTSE Pacific ETF seeks to track the performance of a benchmark index that measures the investment return of stocks issued by companies located in the major markets of the Pacific region. The FTSE Developed Asia Pacific All Cap Index is designed to measure the broad performance of developed equity markets in the Pacific region. Vanguard FTSE Pacific ETF includes exposure to markets in Japan, Australia, South Korea, Hong Kong, New Zealand, and Singapore. |
| Vanguard FTSE Europe ETF |
VGK |
Vanguard |
922042874 |
US9220428745 |
4 Mar 2005 |
0.10 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Europe All Cap Index |
| Vanguard FTSE Europe ETF seeks to track the performance of a benchmark index that measures the investment return of stocks issued by companies located in the major markets of Europe. The FTSE Developed Europe All Cap Index is designed to measure the broad performance of developed European equity markets. The FTSE Developed Europe All Cap Index is designed to hold stocks of companies located in Austria Belgium Denmark Finland France Germany Greece Ireland Italy the Netherlands Norway Portugal Spain Sweden Switzerland and the United Kingdom. Follows a passively managed full-replication approach. |
| Vanguard FTSE Emerging Markets ETF |
VWO |
Vanguard |
922042858 |
US9220428588 |
4 Mar 2005 |
0.14 % |
Equities (Stocks) |
Not Applicable |
FTSE Emerging Markets All Cap China A Inclusion Index |
| Vanguard FTSE Emerging Markets ETF seeks to track the performance of the FTSE Emerging Markets All Cap China A Inclusion Index. The FTSE Emerging Markets All Cap China A Inclusion Index is a market-capitalization-weighted index representing large-,mid-, and small-cap stocks of companies located in emerging markets around the world. The index will gradually increase exposure to small-capitalization stocks and China A-Shares while proportionately reducing exposure to other stocks based on their weightings in the new index. Brazil, Russia, India, Taiwan, China, and South Africa are among the markets included in the index. |
| Invesco S&P 500 Top 50 ETF |
XLG |
Invesco |
46137V233 |
US46137V2337 |
4 May 2005 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Top 50 Index |
| The Invesco S&P 500 Top 50 ETF (Fund) is based on the S&P 500 Top 50 Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index is composed of 50 of the largest companies in the S&P 500 Index. The Fund and the Index are rebalanced annually. |
| Invesco Dynamic Leisure and Entertainment ETF |
PEJ |
Invesco |
46137V720 |
US46137V7203 |
23 Jun 2005 |
0.61 % |
Equities (Stocks) |
Not Applicable |
Dynamic Leisure Intellidex Index |
| The Invesco Dynamic Leisure and Entertainment ETF (Fund) is based on the Dynamic Leisure & Entertainment Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US leisure and entertainment companies. These are companies that are principally engaged in the design, production or distribution of goods or services in the leisure and entertainment industries. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Media ETF |
PBS |
Invesco |
46137V696 |
US46137V6965 |
23 Jun 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Media Intellidex Index |
| The Invesco Dynamic Media ETF (Fund) is based on the Dynamic Media Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US media companies. These are companies that are principally engaged in the development, production, sale and distribution of goods or services used in the media industry. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Food & Beverage ETF |
PBJ |
Invesco |
46137V753 |
US46137V7534 |
23 Jun 2005 |
0.58 % |
Equities (Stocks) |
Not Applicable |
Dynamic Food & Beverage Intellidex Index |
| The Invesco Dynamic Food & Beverage ETF (Fund) is based on the Dynamic Food & Beverage Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US food and beverage companies. These are companies that are principally engaged in the manufacture, sale or distribution of sale or distribution of food and beverage products, agricultural products and products related to the development of new food technologies. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Biotechnology & Genome ETF |
PBE |
Invesco |
46137V787 |
US46137V7872 |
23 Jun 2005 |
0.58 % |
Equities (Stocks) |
Not Applicable |
Dynamic Biotechnology & Genome Intellidex Index |
| The Invesco Dynamic Biotechnology & Genome ETF (Fund) is based on the Dynamic Biotech & Genome Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US biotechnology and genome companies. These are companies that are principally engaged in the research, development, manufacture and marketing and distribution of various biotechnological products, services and processes and companies that benefit significantly from scientific and technological advances in biotechnology and genetic engineering and research. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Pharmaceuticals ETF |
PJP |
Invesco |
46137V662 |
US46137V6627 |
23 Jun 2005 |
0.56 % |
Equities (Stocks) |
Not Applicable |
Dynamic Pharmaceuticals Intellidex Index |
| The Invesco Dynamic Pharmaceuticals ETF (Fund) is based on the Dynamic Pharmaceutical Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US pharmaceuticals companies. These are companies that are principally engaged in the research, development, manufacture, sale or distribution of pharmaceuticals and drugs of all types. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Networking ETF |
PXQ |
Invesco |
46137V688 |
US46137V6882 |
23 Jun 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Networking Intellidex Index |
| The Invesco Dynamic Networking ETF (Fund) is based on the Dynamic Networking Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index thoroughly evaluates companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US networking companies. These are companies that are principally engaged in the development, manufacture, sale or distribution of products, services or technologies that support the flow of electronic information, including voice, data, images and commercial transactions. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Semiconductors ETF |
PSI |
Invesco |
46137V647 |
US46137V6478 |
23 Jun 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Semiconductors Intellidex Index |
| The Invesco Dynamic Semiconductors ETF (Fund) is based on the Dynamic Semiconductor Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intelldiex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US semiconductors companies. These are companies that are principally engaged in the manufacture of semiconductors. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Software ETF |
PSJ |
Invesco |
46137V639 |
US46137V6395 |
23 Jun 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Software Index |
| The Invesco Dynamic Software ETF (Fund) is based on the Dynamic Software Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index is designed to provide capital appreciation by thoroughly evaluating companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US software companies. These are companies that are principally engaged in the research, design, production or distribution of products or processes that relate to software applications and systems and information-based services. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| iShares MSCI EAFE Growth ETF |
EFG |
Blackrock (iShares) |
464288885 |
US4642888857 |
1 Aug 2005 |
0.40 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Growth Index |
| The iShares MSCI EAFE Growth Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI EAFE Growth Index. |
| iShares MSCI EAFE Value ETF |
EFV |
Blackrock (iShares) |
464288877 |
US4642888774 |
1 Aug 2005 |
0.40 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Value Index |
| The iShares MSCI EAFE Value Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI EAFE Value Index. |
| iShares Micro-Cap ETF |
IWC |
Blackrock (iShares) |
464288869 |
US4642888691 |
12 Aug 2005 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Russell Microcap Index |
| The iShares Russell Microcap Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Russell Microcap Index. |
| Invesco Zacks Micro Cap ETF |
PZI |
Invesco |
46137Y302 |
US46137Y3027 |
18 Aug 2005 |
1.24 % |
Equities (Stocks) |
Not Applicable |
Zacks Micro Cap Index |
| The Invesco Zacks Micro Cap ETF (Fund) is based on the Zacks Micro Cap Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify a group of micro-cap stocks with the greatest potential to outperform passive benchmark micro-cap indexes and other actively managed US micro-cap strategies. Due to their low correlation to large, medium and small-sized companies, micro caps may complement existing blended portfolios by improving risk-adjusted performance. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco International Dividend Achievers ETF |
PID |
Invesco |
46137V548 |
US46137V5488 |
15 Sep 2005 |
0.56 % |
Equities (Stocks) |
Not Applicable |
International Dividend Achievers Index |
| The Invesco International Dividend Achievers ETF (Fund) is based on the NASDAQ International Dividend Achievers Index (Index). The Fund will normally invest at least 90% of its total assets in dividend-paying common stocks and other securities that comprise the Index. The Index is designed to identify an international group of American Depository Receipts, Global Depositary Receipts and non-U.S. common or ordinary stocks that have qualified as International Dividend Achievers. These companies have increased their aggregate annual regular cash dividend payments consistently for at least each of the last five consecutive years. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are reconstituted annually in March and rebalanced quarterly in March, June, September and December. |
| Invesco Dividend Achievers ETF |
PFM |
Invesco |
46137V506 |
US46137V5066 |
15 Sep 2005 |
0.55 % |
Equities (Stocks) |
Not Applicable |
Broad Dividend Achiever Index |
| The Invesco Dividend Achievers ETF (Fund) seeks to replicate, before fees and expenses, the NASDAQ US Broad Dividend Achievers Index (Index), which is designed to identify a diversified group of dividend-paying companies. The Fund will normally invest at least 90% of its total assets in dividend paying common stocks that comprise Index. These companies have increased their annual dividend for 10 or more consecutive fiscal years. The Fund and the Index are reconstituted annually in March and rebalanced quarterly in March, June, September and December. |
| First Trust Dow Jones Select Microcap Index Fund |
FDM |
First Trust |
33718M105 |
US33718M1053 |
27 Sep 2005 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Select Micro Cap Index |
| The First Trust Dow MicroCap Index Fund is an exchange-traded index fund. The investment objective of the Fund is to replicate as closely as possible before fees and expenses the price and yield of the Dow Jones Select Microcap Index. |
| Invesco Dynamic Retail ETF |
PMR |
Invesco |
46137V654 |
US46137V6544 |
26 Oct 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Retail Intellidex Index |
| The Invesco Dynamic Retail ETF (Fund) is based on the Dynamic Retail Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index thoroughly evaluates companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value.The Underlying Intellidex Index is comprised of common stocks of 30 US retailers. These are companies that are principally engaged in operating general merchandise stores such as department stores, discount stores, warehouse clubs and superstores; specialty stores, including apparel, electronics, accessories and footwear stores; and home improvement and home furnishings stores. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Oil & Gas Services ETF |
PXJ |
Invesco |
46137V670 |
US46137V6700 |
26 Oct 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Oil & Gas Services Intellidex Index |
| The Invesco Dynamic Oil & Gas Services ETF (Fund) is based on the Dynamic Oil Services Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index thoroughly evaluates companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is composed of stocks of 30 U.S. companies that assist in the production, processing and distribution of oil and gas. The Underlying Intellidex Index may include companies that are engaged in the drilling of oil and gas wells; manufacturing oil and gas field machinery and equipment; or providing services to the oil and gas industry, such as well analysis, platform and pipeline engineering and construction, logistics and transportation services, oil and gas well emergency management and geophysical data acquisition and processing. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Dynamic Energy Exploration & Production ETF |
PXE |
Invesco |
46137V761 |
US46137V7617 |
26 Oct 2005 |
0.80 % |
Equities (Stocks) |
Not Applicable |
Dynamic Energy & Exploration Intellidex Index |
| The Invesco Dynamic Energy Exploration & Production ETF (Fund) is based on the Dynamic Energy Exploration & Production Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index thoroughly evaluates companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is composed of stocks of 30 U.S. companies involved in the exploration and production of natural resources used to produce energy. These companies are engaged principally in exploration, extraction and production of crude oil and natural gas from land-based or offshore wells. These companies include petroleum refineries that process the crude oil into finished products, such as gasoline and automotive lubricants, and companies involved in gathering and processing natural gas, and manufacturing natural gas liquid. The Fund is rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco Aerospace & Defense ETF |
PPA |
Invesco |
46137V100 |
US46137V1008 |
26 Oct 2005 |
0.61 % |
Equities (Stocks) |
Not Applicable |
SPADE Defense Index |
| The Invesco Aerospace & Defense ETF (Fund) is based on the SPADE Defense Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify a group of companies involved in the development, manufacturing, operations and support of US defense, homeland security and aerospace operations. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco Dynamic Building & Construction ETF |
PKB |
Invesco |
46137V779 |
US46137V7799 |
26 Oct 2005 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Dynamic Building & Construction Index |
| The Invesco Dynamic Building & Construction ETF (Fund) is based on the Dynamic Building & Construction Intellidex Index (Intellidex Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Intellidex Index thoroughly evaluates companies based on a variety of investment merit criteria, including: price momentum, earnings momentum, quality, management action, and value. The Underlying Intellidex Index is comprised of common stocks of 30 US building and construction companies. These are companies that are primarily engaged in providing construction and related engineering services for building and remodeling residential properties, commercial or industrial buildings, or working on large-scale infrastructure projects, such as highways, tunnels, bridges, dams, power lines, and airports. The Fund and the Index are rebalanced and reconstituted quarterly in February, May, August and November. |
| Invesco DWA Utilities Momentum ETF |
PUI |
Invesco |
46137V795 |
US46137V7955 |
26 Oct 2005 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Utilities Technical Leaders Index |
| The Invesco DWA Utilities Momentum ETF (Fund) is based on the Dorsey Wright Utilities Technical Leaders Index (DWA Utilities Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| SPDR S&P Bank ETF |
KBE |
State Street (SPDR) |
78464A797 |
US78464A7972 |
8 Nov 2005 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Banks Select Industry Index |
| The SPDR KBW Bank ETF before expenses seeks to closely match the returns and characteristics of the KBW Bank Index (ticker: BKX). |
| SPDR S&P Capital Markets ETF |
KCE |
State Street (SPDR) |
78464A771 |
US78464A7717 |
8 Nov 2005 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Capital Markets Select Industry Index |
| The SPDR KBW Capital Markets ETF before expenses seeks to closely match the returns and characteristics of the KBW Capital Markets Index (ticker: KSX). |
| SPDR S&P Insurance ETF |
KIE |
State Street (SPDR) |
78464A789 |
US78464A7899 |
8 Nov 2005 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Insurance Select Industry Index |
| The SPDR KBW Insurance ETF before expenses seeks to closely match the returns and characteristics of the KBW Insurance Index (ticker: KIX). |
| SPDR S&P 600 Small CapETF |
SLY |
State Street (SPDR) |
78464A813 |
US78464A8137 |
8 Nov 2005 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| The SPDR S&P 600 Small Cap ETF before expenses seeks to closely match the returns and characteristics of the S&P Small Cap 600 Index (index ticker: SML). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR Portfolio Large Cap ETF |
SPLG |
State Street (SPDR) |
78464A854 |
US78464A8541 |
8 Nov 2005 |
0.03 % |
Equities (Stocks) |
Not Applicable |
SSGA Large Cap Index |
| The SPDR Portfolio Large Cap ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the SSGA Large Cap Index (the "Index"). The Index is designed to measure the performance of the large-capitalization segment of the U.S. equity market. The investible universe of the Index comprises all equity securities listed on major U.S. exchanges that are listed by companies either incorporated or headquartered in the U.S. |
| SPDR S&P 400 Mid Cap Value ETF |
MDYV |
State Street (SPDR) |
78464A839 |
US78464A8392 |
8 Nov 2005 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Value Index |
| The SPDR S&P 400 Mid Cap Value ETF before expenses seeks to closely match the returns and characteristics of the S&P Mid Cap 400 Value Index (ticker: SPTRMV). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR S&P 400 Mid CapGrowth ETF |
MDYG |
State Street (SPDR) |
78464A821 |
US78464A8210 |
8 Nov 2005 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Growth Index |
| The SPDR S&P 400 Mid Cap Growth ETF before expenses seeks to closely match the returns and characteristics of the S&P Mid Cap 400 Growth Index (ticker: SPTRMG). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR Portfolio Mid Cap ETF |
SPMD |
State Street (SPDR) |
78464A847 |
US78464A8475 |
8 Nov 2005 |
0.05 % |
Equities (Stocks) |
Not Applicable |
S&P 1000 Index |
| The SPDR Portfolio Mid Cap ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P 1000 Index (the "Index"). The S&P 1000 Index combines the S&P MidCap 400 and the S&P SmallCap 600 to form an investable benchmark for the mid- to small-cap segment of the U.S. equity market. |
| SPDR S&P Dividend ETF |
SDY |
State Street (SPDR) |
78464A763 |
US78464A7634 |
8 Nov 2005 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P High Yield Dividend Aristocrats Index |
| The SPDR S&P Dividend ETF before expenses seeks to closely match the returns and characteristics of the S&P High Yield Dividend Aristocrats Index (ticker: SPHYDATR). |
| Invesco Water Resources ETF |
PHO |
Invesco |
46137V142 |
US46137V1420 |
6 Dec 2005 |
0.61 % |
Equities (Stocks) |
Not Applicable |
Nasdaq OMX US Water Index |
| The Invesco Water Resources ETF (Fund) is based on the NASDAQ OMX US Water Index (Index). The Fund generally will invest at least 90% of its total assets in common stocks and American depositary receipts (ADRs) of companies in the water industry that comprise the Underlying Index. The Underlying Index seeks to track the performance of US exchange-listed companies that create products designed to conserve and purify water for homes, businesses and industries. The Fund and the Index are rebalanced quarterly and reconstituted annually in April. |
| Invesco S&P 500 Quality ETF |
SPHQ |
Invesco |
46137V241 |
US46137V2410 |
6 Dec 2005 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Quality Index |
| The Invesco S&P 500 Quality ETF (Fund) is based on the S&P 500 Quality Index (Index).The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index tracks the performance of stocks in the S&P 500 Index that have the highest quality score, which is calculated based on three fundamental measures, return on equity, accruals ratio and financial leverage ratio. The Fund and the Index are rebalanced and reconstituted semi-annually on the third Friday of June and December. |
| Invesco CurrencyShares Euro Trust |
FXE |
Invesco |
46138K103 |
US46138K1034 |
9 Dec 2005 |
0.40 % |
Currency |
Not Applicable |
Euro |
| The Invesco CurrencyShares Euro Trust (the "trust") is designed to track the price of the euro, and trades under the ticker symbol FXE. The euro is the currency of 19 European Union countries. The Fund is rebalanced quarterly. |
| Invesco FTSE RAFI US 1000 ETF |
PRF |
Invesco |
46137V613 |
US46137V6130 |
19 Dec 2005 |
0.39 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI US 1000 Index |
| The Invesco FTSE RAFI US 1000 ETF (Fund) is based on the FTSE RAFI US 1000 Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to track the performance of the largest US equities, selected based on the following four fundamental measures of firm size: book value, cash flow, sales and dividends. The 1,000 equities with the highest fundamental strength are weighted by their fundamental scores. The Fund and the Index are reconstituted annually. |
| SPDR S&P Homebuilders ETF |
XHB |
State Street (SPDR) |
78464A888 |
US78464A8889 |
31 Jan 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Homebuilders Index |
| The SPDR S&P Homebuilders ETF before expenses seeks to closely match the returns and characteristics of the S&P Homebuilders Select Industry Index (ticker: SPSIHOTR). |
| SPDR S&P Biotech ETF |
XBI |
State Street (SPDR) |
78464A870 |
US78464A8707 |
31 Jan 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Biotech Index |
| The SPDR S&P Biotech ETF before expenses seeks to closely match the returns and characteristics of the S&P Biotechnology Select Industry Index (ticker: SPSIBITR). |
| SPDR S&P Semiconductor ETF |
XSD |
State Street (SPDR) |
78464A862 |
US78464A8624 |
31 Jan 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Semiconductor Index |
| The SPDR S&P Semiconductor ETF before expenses seeks to closely match the returns and characteristics of the S&P Semiconductor Select Industry Index (ticker: SPSISCTR). |
| Invesco DB Commodity Index Tracking Fund |
DBC |
Invesco |
46138B103 |
US46138B1035 |
3 Feb 2006 |
0.89 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Diversified Excess Return |
| The Invesco DB Commodity Index Tracking Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Diversified Commodity Index Excess Return, (DBIQ Opt Yield Diversified Comm Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on 14 of the most heavily traded and important physical commodities in the world. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco S&P SmallCap 600 Pure Value ETF |
RZV |
Invesco |
46137V167 |
US46137V1677 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Small Cap 600 Pure Value Index |
| The Invesco S&P SmallCap 600 Pure Value ETF (Fund) is based on the S&P SmallCap 600 Pure Value Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong value characteristics in the S&P SmallCap 600 Index. Value is measured by the following risk factors: book value-to-price ratio, earnings-to-price ratio and sales-to-price ratio. The Fund and the Index are rebalanced annually. |
| Invesco S&P MidCap 400 Pure Value ETF |
RFV |
Invesco |
46137V191 |
US46137V1917 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Value Index |
| The Invesco S&P MidCap 400 Pure Value ETF (Fund) is based on the S&P MidCap 400 Pure Value Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong value characteristics in the S&P MidCap 400 Index. Value is measured by the following risk factors: book value-to-price ratio, earnings-to-price ratio and sales-to-price ratio. The Fund and the Index are rebalanced annually. |
| Invesco S&P SmallCap 600 Pure Growth ETF |
RZG |
Invesco |
46137V175 |
US46137V1750 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Small Cap 600 Pure Growth Index |
| The Invesco S&P SmallCap 600 Pure Growth ETF (Fund) is based on the S&P SmallCap 600 Pure Growth Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong growth characteristics in the S&P SmallCap 600 Index. Growth is measured by the following risk factors: sales growth, earnings change to price and momentum. The Fund and the Index are rebalanced annually. |
| Invesco S&P 500 Pure Value ETF |
RPV |
Invesco |
46137V258 |
US46137V2584 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Pure Value Index |
| The Invesco S&P 500 Pure Value ETF (Fund) is based on the S&P 500 Pure Value Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong value characteristics in the S&P 500 Index. Value is measured by the following risk factors: book value-to-price ratio, earnings-to-price ratio and sales-to-price ratio. The Fund and the Index are rebalanced annually. |
| Invesco S&P MidCap 400 Pure Growth ETF |
RFG |
Invesco |
46137V217 |
US46137V2170 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Growth Index |
| The Invesco S&P MidCap 400 Pure Growth ETF (Fund) is based on the S&P MidCap 400 Pure Growth Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong growth characteristics in the S&P MidCap 400 Index. Growth is measured by the following risk factors: sales growth, earnings change to price and momentum. The Fund and the Index are rebalanced annually. |
| Invesco S&P 500 Pure Growth ETF |
RPG |
Invesco |
46137V266 |
US46137V2667 |
1 Mar 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Pure Growth Index |
| The Invesco S&P 500 Pure Growth ETF (Fund) is based on the S&P 500 Pure Growth Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index measures the performance of securities that exhibit strong growth characteristics in the S&P 500 Index. Growth is measured by the following risk factors: sales growth, earnings change to price and momentum. The Fund and the Index are rebalanced annually. |
| First Trust Morningstar Dividend Leaders Index |
FDL |
First Trust |
336917109 |
US3369171091 |
9 Mar 2006 |
0.45 % |
Equities (Stocks) |
Not Applicable |
Morningstar Dividend Leaders Index |
| The First Trust Morningstar Dividend Leaders Index Fund is an exchange-traded index fund. The investment objective of the fund is to replicate as closely as possible before fees and expenses the price and yield of the Morningstar Dividend Leaders Index. |
| United States Oil Fund LP |
USO |
United States Commodity Funds |
91232N108 |
US91232N1081 |
10 Apr 2006 |
0.84 % |
Commodities & Metals |
Not Applicable |
Crude Oil - NYMEX traded near month light sweet crude oil futures |
| The investment objective of USO is for the changes in percentage terms of its units net asset value (NAV) to reflect the changes in percentage terms of the spot price of light sweet crude oil delivered to Cushing Oklahoma as measured by the changes in the price of the futures contract for light sweet crude oil traded on the New York Mercantile Exchange (the NYMEX) less USOs expenses. |
| First Trust US Equity Opportunities ETF |
FPX |
First Trust |
336920103 |
US3369201039 |
12 Apr 2006 |
0.60 % |
Equities (Stocks) |
IPO Based |
IPOX-100 U.S. Index |
| The First Trust US Equity Opportunities ETF is an exchange-traded index fund. The investment objective of the Fund is to replicate as closely as possible, before fees and expenses, the price and yield of the IPOX-100 U.S. Index. The IPOX-100 U.S. Index is a modified value-weighted price index measuring the performance of the top 100 companies ranked quarterly by market capitalization in the IPOX Global Composite Index. |
| First Trust NASDAQ 100 Equal Weighted Index Fund |
QQEW |
First Trust |
337344105 |
US3373441050 |
19 Apr 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Equal Weighted Index |
| The First Trust NASDAQ-100 Equal Weighted Index Fund is an exchange-traded index fund. The investment objective of the fund is to replicate as closely as possible before fees and expenses the price and yield of the NASDAQ-100 Equal Weighted Index. |
| First Trust NASDAQ 100 Technology Index Fund |
QTEC |
First Trust |
337345102 |
US3373451026 |
19 Apr 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Technology Sector Index |
| The First Trust NASDAQ-100-Technology Sector Index Fund is an exchange-traded index fund. The investment objective of the fund is to replicate as closely as possible before fees and expenses the price and yield of the NASDAQ-100 Technology Sector Index. |
| iShares Silver Trust |
SLV |
Blackrock (iShares) |
46428Q109 |
US46428Q1094 |
21 Apr 2006 |
0.50 % |
Commodities & Metals |
Not Applicable |
LBMA Silver Price |
| The objective of the iShares Silver Trust is for the value of the shares of the iShares Silver Trust to reflect at any given time the price of silver owned by the iShares Silver Trust at that time less the iShares Silver Trusts expenses and liabilities. |
| Vanguard Dividend Appreciation ETF |
VIG |
Vanguard |
921908844 |
US9219088443 |
21 Apr 2006 |
0.08 % |
Equities (Stocks) |
Not Applicable |
NASDAQ US Dividend Achievers Select Index |
| Seeks to track the performance of the Dividend Achievers Select Index. Provides a convenient way to track the performance of stocks of companies with a record of growing their dividends year over year. Follows a passively managed full-replication approach. |
| iShares U.S. Home Construction ETF |
ITB |
Blackrock (iShares) |
464288752 |
US4642887529 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Home Construction Index |
| The iShares Dow Jones U.S. Home Construction Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Home Construction Index. |
| iShares U.S. Oil Equipment & Services ETF |
IEZ |
Blackrock (iShares) |
464288844 |
US4642888444 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Oil & Gas Index |
| The iShares Dow Jones U.S. Oil Equipment & Services Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Oil Equipment & Services Index. |
| iShares U.S. Oil & Gas Exploration & Production ETF |
IEO |
Blackrock (iShares) |
464288851 |
US4642888519 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Oil Equipment & Services Index |
| The iShares Dow Jones U.S. Oil & Gas Exploration & Production Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Oil Exploration & Production Index. |
| iShares US Regional Banks ETF |
IAT |
Blackrock (iShares) |
464288778 |
US4642887784 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Regional Banks Index |
| The iShares Dow Jones U.S. Regional Banks Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Regional Banks Index. |
| iShares U.S. Broker-Dealers & Securities Exchanges ETF |
IAI |
Blackrock (iShares) |
464288794 |
US4642887941 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Investment Services Index |
| The iShares U.S. Broker-Dealers & Securities Exchanges ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Investment Services Index. |
| iShares U.S. Insurance ETF |
IAK |
Blackrock (iShares) |
464288786 |
US4642887867 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Insurance Index |
| The iShares Dow Jones U.S. Insurance Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Insurance Index. |
| iShares U.S. Medical Devices ETF |
IHI |
Blackrock (iShares) |
464288810 |
US4642888105 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Medical Devices Index |
| The iShares Dow Jones U.S. Medical Devices Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Medical Equipment Index. |
| iShares U.S. Healthcare Providers ETF |
IHF |
Blackrock (iShares) |
464288828 |
US4642888287 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Healthcare Providers Index |
| The iShares Dow Jones U.S. Healthcare Providers Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Health Care Providers Index. |
| iShares US Pharmaceuticals ETF |
IHE |
Blackrock (iShares) |
464288836 |
US4642888360 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Pharmaceuticals Index |
| The iShares Dow Jones U.S. Pharmaceuticals Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Pharmaceuticals Index. |
| iShares U.S. Aerospace & Defense ETF |
ITA |
Blackrock (iShares) |
464288760 |
US4642887602 |
1 May 2006 |
0.44 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select Aerospace & Defense Index |
| The iShares Dow Jones U.S. Aerospace & Defense Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones U.S. Select Aerospace & Defense Index. |
| VanEck Vectors Gold Miners ETF |
GDX |
Van Eck Associates Corporation |
92189F106 |
US92189F1066 |
16 May 2006 |
0.53 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Gold Miners Index |
| GDX seeks to replicate as closely as possible before fees and expenses the price and yield performance of NYSE Arca Gold Miners Index. |
| Invesco Raymond James SB-1 Equity ETF |
RYJ |
Invesco |
46137V522 |
US46137V5223 |
19 May 2006 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Raymond James SB-1 Equity Index |
| The Invesco Raymond James SB-1 Equity ETF (Fund) is based on the Raymond James SB-1 Equity Index (Index). The Fund will invest at least 80% of its total assets in securities and depositary receipts that comprise the Index. The Index is composed of all equity securities rated Strong Buy 1 by Raymond James & Associates, Inc. The Fund and the Index are rebalanced semi-monthly. |
| iPath Bloomberg Commodity Index Total Return ETN |
DJP |
Barclays iPath |
06738C778 |
US06738C7781 |
6 Jun 2006 |
0.70 % |
Commodities & Metals |
Not Applicable |
Bloomberg Commodity USD Total Return Index |
| The iPath Bloomberg-UBS Commodity Index Total Return ETN is linked to the Bloomberg-UBS Commodity Index Total Returnand reflects the returns that are potentially available through an unleveraged investment in the futures contracts on physical commodities comprising the index plus the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. The commodities represented in the Bloomberg-UBS Commodity Index Total Return are rebalanced annually; however, the weightings fluctuate between rebalancings due to changes in market prices. |
| iPath GSCI Total Return Index ETN |
GSP |
Barclays iPath |
06738C794 |
US06738C7948 |
6 Jun 2006 |
0.70 % |
Commodities & Metals |
Not Applicable |
S&P GSCI Total Return Index |
| The iPath S&P GSCI Total Return Index ETN is linked to the S&P GSCI Total Return Index and provides you with exposure to the returns potentially available through an unleveraged investment in the contracts comprising the S&P GSCI plus the Treasury Bill rate of interest that could be earned on funds committed to the trading of the underlying contracts. |
| WisdomTree U.S. LargeCap Dividend Fund |
DLN |
Wisdom Tree |
97717W307 |
US97717W3079 |
16 Jun 2006 |
0.28 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. LargeCap Dividend Index |
| The WisdomTree U.S. LargeCap Dividend Index is a fundamentally weighted index that measures the performance of the large-capitalization segment of the U.S. dividend-paying market. The Index is comprised of the 300 largest companies ranked by market capitalization from the WisdomTree U.S. Dividend Index. The index is dividend weighted annually to reflect the proportionate share of the aggregate cash dividends each component company is projected to pay in the coming year, based on the most recently declared dividend per share. |
| WisdomTree Total U.S. Dividend Fund |
DTD |
Wisdom Tree |
97717W109 |
US97717W1099 |
16 Jun 2006 |
0.28 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. Dividend Index |
| The WisdomTree U.S. Dividend Index is a fundamentally-weighted index that defines the dividend-paying portion of the U.S. equity market. The Index measures the performance of U.S. companies, listed on the NYSE, NASDAQ Global Select or NASDAQ Global Market, that pay regular cash dividends and meet other liquidity and capitalization requirements established by WisdomTree. The index is dividend weighted. |
| WisdomTree U.S. Dividend ex-Financials Fund |
DTN |
Wisdom Tree |
97717W406 |
US97717W4069 |
16 Jun 2006 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. Dividend ex-Financials Index |
| WisdomTree U.S. Dividend ex-Financials Fund seeks to track the investment results of high-dividend-yielding companies outside the financial sector in the U.S. equity market. The WisdomTree U.S. Dividend ex-Financials Index measures the performance of high dividend-yielding stocks outside the financial sector. The index consists primarily of large- and mid-capitalization companies listed on major U.S. stock exchanges that pass WisdomTree Investments market capitalization, liquidity and selection requirements. |
| WisdomTree U.S. SmallCap Dividend Fund |
DES |
Wisdom Tree |
97717W604 |
US97717W6049 |
16 Jun 2006 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree SmallCap Dividend Index |
| The WisdomTree U.S. SmallCap Dividend Index is a fundamentally weighted index measuring the performance of the small-capitalization segment of the US dividend-paying market. The Index is comprised of the companies that compose the bottom 25% of the market capitalization of the WisdomTree U.S. Dividend Index after the 300 largest companies have been removed. The index is dividend weighted annually to reflect the proportionate share of the aggregate cash dividends each component company is projected to pay in the coming year. |
| WisdomTree U.S. High Dividend Fund |
DHS |
Wisdom Tree |
97717W208 |
US97717W2089 |
16 Jun 2006 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. High Dividend Index |
| The WisdomTree U.S. High Dividend Index is a fundamentally weighted index that measures the performance of companies with high dividend yields selected from the WisdomTree Dividend Index. At the index measurement date, companies within the WisdomTree Dividend Index with market capitalizations of at least $200 million and average daily trading volumes of at least $200,000 for the prior three months are ranked by dividend yield. Securities ranking in the highest 30% by dividend yield are selected for inclusion. The index is dividend weighted annually to reflect the proportionate share of the aggregate cash dividends each component company is projected to pay in the coming year. |
| WisdomTree U.S. MidCap Dividend Fund |
DON |
Wisdom Tree |
97717W505 |
US97717W5058 |
16 Jun 2006 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. MidCap Dividend Index |
| The WisdomTree U.S. MidCap Dividend Index is a fundamentally weighted index that measures the performance of the mid-capitalization segment of the US dividend-paying market. The Index is comprised of the companies that compose the top 75% of the market capitalization of the WisdomTree U.S. Dividend Index after the 300 largest companies have been removed. The index is dividend weighted annually to reflect the proportionate share of the aggregate cash dividends each component company is projected to pay in the coming year. |
| WisdomTree Asia-Pacific ex-Japan Fund |
AXJL |
Wisdom Tree |
97717W828 |
US97717W8284 |
16 Jun 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Asia Pacific ex-Japan Index |
| WisdomTree Asia Pacific ex-Japan Fund seeks investment results that closely correspond to the price and yield performance, before fees and expenses, of the WisdomTree Asia Pacific ex-Japan Index. The WisdomTree Asia Pacific ex-Japan Index is a fundamentally weighted Index that measures the performance of dividend paying companies in the Asia Pacific ex-Japan region. |
| WisdomTree International LargeCap Dividend Fund |
DOL |
Wisdom Tree |
97717W794 |
US97717W7948 |
16 Jun 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International LargeCap Dividend Index |
| WisdomTree International LargeCap Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree International LargeCap Dividend Index. |
| WisdomTree International Equity Fund |
DWM |
Wisdom Tree |
97717W703 |
US97717W7039 |
16 Jun 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International Equity Index |
| The WisdomTree International Equity Index is a fundamentally weighted Index that measures the performance of dividend-paying companies in the industrialized world, excluding Canada and the United States, that pay regular cash dividends and that meet other liquidity and capitalization requirements. It is comprised of companies incorporated in 15 developed European countries, Japan, Australia, New Zealand, Hong Kong, Israel and Singapore. Companies are weighted in the Index based on annual cash dividends paid. |
| WisdomTree Japan Hedged Equity Fund |
DXJ |
Wisdom Tree |
97717W851 |
US97717W8516 |
16 Jun 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Japan Hedged Equity Index |
| WisdomTree Japan Total Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree Japan Dividend Index. |
| WisdomTree International MidCap Dividend Fund |
DIM |
Wisdom Tree |
97717W778 |
US97717W7781 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International MidCap Dividend Index |
| WisdomTree International MidCap Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree International MidCap Dividend Index. |
| WisdomTree Global High Dividend Fund |
DEW |
Wisdom Tree |
97717W877 |
US97717W8771 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Global High Dividend Index |
| The WisdomTree Global High Dividend Index is a fundamentally weighted index that measures the performance of high dividend-yielding companies selected from the WisdomTree Global Dividend Index, which measures the performance of dividend-paying companies in the U.S., developed and emerging markets. At the index measurement date, companies with market capitalizations of at least $2 billion that rank in the top 30% by dividend yield from each region are selected for inclusion in the Index. Companies are weighted in the index based on annual cash dividends paid. Regional weights are set according to the respective float-adjusted market capitalization weights of the universe of dividend and non-dividend payers of the regional allocations to the U.S., developed and emerging markets. |
| WisdomTree Europe SmallCap Dividend Fund |
DFE |
Wisdom Tree |
97717W869 |
US97717W8698 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Europe SmallCap Dividend Index |
| WisdomTree Europe SmallCap Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree Europe SmallCap Dividend Index. |
| WisdomTree International SmallCap Dividend Fund |
DLS |
Wisdom Tree |
97717W760 |
US97717W7609 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International SmallCap Dividend Index |
| WisdomTree International SmallCap Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree International SmallCap Dividend Index. |
| WisdomTree Australia Dividend Fund |
AUSE |
Wisdom Tree |
97717W810 |
US97717W8102 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Australia Dividend Index |
| WisdomTree Australia Dividend Fund seeks investment results that closely correspond to the price and yield performance, before fees and expenses, of the WisdomTree Australia Dividend Index. The WisdomTree Australia Dividend Index is a fundamentally weighted index that measures the performance of high-dividend yielding companies in Australia. The Index is comprised of dividend paying companies incorporated in Australia with a minimum market capitalization of $1.0 billion. |
| WisdomTree Global ex U.S. Quality Dividend Growth Fund |
DNL |
Wisdom Tree |
97717W844 |
US97717W8441 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Global ex-U.S. Quality Dividend Growth Index |
| The WisdomTree Global ex-U.S. Quality Dividend Growth Index is a fundamentally weighted index that measures the performance of dividend paying stocks with growth characteristics in the developed and emerging markets outside of the United States. The primary starting screening universe for this index is the constituents of the WisdomTree Global ex-U.S. Dividend Index with market capitalization of at least $2 billion. The Index is comprised of the 300 companies in this universe that have the best combined rank of growth and quality factors. The growth factor ranking is based on long-term earnings growth expectations, while the quality factor ranking is based on three year historical averages for return on equity and return on assets. Companies are weighted in the Index based on annual cash dividends paid. |
| WisdomTree International Dividend Ex-Financials Fund |
DOO |
Wisdom Tree |
97717W786 |
US97717W7864 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International Dividend ex-Financials Index |
| WisdomTree International Dividend ex-Financials Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree International Dividend ex-Financials Index. |
| WisdomTree International High Dividend Fund |
DTH |
Wisdom Tree |
97717W802 |
US97717W8029 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International High Dividend Index |
| The WisdomTree International High Dividend Index is a fundamentally weighted Index that measures the performance of companies with high dividend yields selected from the WisdomTree International Equity Index. At the index measurement date, companies within the WisdomTree International Equity Index with market capitalizations of at least $200 million and average daily trading volumes of at least $200,000 for the prior three months are ranked by dividend yield. Securities ranking in the highest 30% by dividend yield are selected for inclusion. Companies are weighted in the Index based on annual cash dividends paid. |
| WisdomTree Japan SmallCap Dividend Fund |
DFJ |
Wisdom Tree |
97717W836 |
US97717W8367 |
16 Jun 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Japan SmallCap Dividend Index |
| WisdomTree Japan SmallCap Dividend Fund seeks investment results that closely correspond to the price and yield performance before fees and expenses of the WisdomTree Japan SmallCap Dividend Index. |
| First Trust NYSE Arca Biotechnology Index Fund |
FBT |
First Trust |
33733E203 |
US33733E2037 |
19 Jun 2006 |
0.56 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Biotechnology Index |
| The First Trust NYSE Arca Biotechnology Index Fund is an exchange-traded index fund. The investment objective of the fund is to replicate as closely as possible before fees and expenses the price and yield of the NYSE Arca Biotechnology Index. |
| First Trust Dow Jones Internet Index Fund |
FDN |
First Trust |
33733E302 |
US33733E3027 |
19 Jun 2006 |
0.54 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Internet Index |
| The First Trust Dow Jones Internet Index Fund is an exchange-traded index fund. The investment objective of the fund is to replicate as closely as possible before fees and expenses the price and yield of the Dow Jones Internet Index. |
| ProShares Short S&P500 |
SH |
ProShares |
74347B425 |
US74347B4251 |
19 Jun 2006 |
0.89 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| ProShares Short S&P500 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the S&P500 Index. |
| ProShares Ultra QQQ |
QLD |
ProShares |
74347R206 |
US74347R2067 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Index |
| ProShares Ultra QQQ seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the NASDAQ-100 Index . |
| ProShares Short Dow30 |
DOG |
ProShares |
74347B235 |
US74347B2354 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| ProShares Short Dow30 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Dow Jones Industrial Average Index. |
| ProShares Ultra MidCap400 |
MVV |
ProShares |
74347R404 |
US74347R4048 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| ProShares Ultra MidCap400 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the S&P MidCap 400 Index. |
| ProShares Short MidCap 400 |
MYY |
ProShares |
74347B250 |
US74347B2503 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| ProShares Short MidCap400 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the S&P MidCap 400 Index. |
| ProShares Short QQQ |
PSQ |
ProShares |
74347B714 |
US74347B7148 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Index |
| ProShares Short QQQ seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the NASDAQ-100 Index . |
| ProShares Ultra Dow30 |
DDM |
ProShares |
74347R305 |
US74347R3057 |
19 Jun 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| ProShares Ultra Dow30 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones Industrial Average |
| ProShares Ultra S&P500 |
SSO |
ProShares |
74347R107 |
US74347R1077 |
19 Jun 2006 |
0.89 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| ProShares Ultra S&P500 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the S&P 500 Index. |
| SPDR S&P Retail ETF |
XRT |
State Street (SPDR) |
78464A714 |
US78464A7147 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Retail Index |
| The SPDR S&P Retail ETF seeks to replicate as closely as possible before expenses the total return performance of the S&P Retail Select Industry Index (ticker: SPSIRETR). |
| SPDR S&P Oil & Gas Equipment & Services ETF |
XES |
State Street (SPDR) |
78464A748 |
US78464A7485 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Oil & Gas Equipment & Services Index |
| The SPDR S&P Oil & Gas Equipment & Services ETF seeks to replicate as closely as possible before expenses the total return performance of the S&P Oil & Gas Equipment & Services Select Industry Index (ticker:SPSIOSTR). |
| SPDR S&P Oil & Gas Exploration & Production ETF |
XOP |
State Street (SPDR) |
78464A730 |
US78464A7303 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Oil & Gas Exploration & Production Index |
| The SPDR S&P Oil & Gas Exploration & Production ETF seeks to replicate as closely as possible before expenses the total return performance of the S&P Oil & Gas Exploration & Production Select Industry Index (ticker: SPSIOPTR). |
| SPDR S&P Regional Banking ETF |
KRE |
State Street (SPDR) |
78464A698 |
US78464A6982 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Regional Banks Select Industry Index |
| The SPDR S&P Regional Banking ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P Regional Banks Select Industry Index. The S&P Regional Banks Select Industry Index is a modified equal-weighted index that seeks to reflect the performance of publicly traded companies that do business as regional banks or thrifts. The Regional Banking Index is currently comprised of common stocks of leading regional banks or thrifts listed on the NYSE or another U.S. national securities exchange, or NASDAQ/NMS. The Regional Banking Index components are selected to provide appropriate representation of the industrys sub-sectors. |
| SPDR S&P Pharmaceuticals ETF |
XPH |
State Street (SPDR) |
78464A722 |
US78464A7220 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Pharmaceuticals Index |
| The SPDR S&P Pharmaceuticals ETF seeks to replicate as closely as possible before expenses the total return performance of the S&P Pharmaceuticals Select Industry Index (ticker: SPSIPHTR). |
| SPDR S&P Metals & Mining ETF |
XME |
State Street (SPDR) |
78464A755 |
US78464A7550 |
19 Jun 2006 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Metals and Mining Index |
| The SPDR S&P Metals and Mining ETF seeks to replicate as closely as possible before expenses the total return performance of the S&P Metals and Mining Select Industry Index (ticker:SPSIMMTR). |
| Invesco CurrencyShares Australian Dollar Trust |
FXA |
Invesco |
46090N103 |
US46090N1037 |
21 Jun 2006 |
0.40 % |
Currency |
Not Applicable |
Ausralian Dollar |
| The Invesco CurrencyShares Australian Dollar Trust (the "trust") is designed to track the price of the Australian dollar and trades under the symbol FXA. The Australian dollar is the national currency of Australia and the currency of the accounts of the Reserve Bank of Australia, the Australian Central Bank. The Fund is rebalanced quarterly |
| Invesco CurrencyShares British Pound Sterling Trust |
FXB |
Invesco |
46138M109 |
US46138M1099 |
21 Jun 2006 |
0.40 % |
Currency |
Not Applicable |
British Pound |
| The Invesco CurrencyShares British Pound Sterling Trust (the "trust") is designed to track the price of the British pound sterling, and trades under the ticker symbol FXB. The British pound sterling is the official currency of the United Kingdom (England, Wales, Scotland and Northern Ireland) and has been the currency of the accounts of the Bank of England since 1694. The Fund is rebalanced quarterly. |
| Invesco CurrencyShares Canadian Dollar Trust |
FXC |
Invesco |
46138T104 |
US46138T1043 |
21 Jun 2006 |
0.40 % |
Currency |
Not Applicable |
Canadian Dollar |
| The Invesco CurrencyShares Canadian Dollar Trust (the "trust") is designed to track the price of the Canadian dollar, and trades under the ticker symbol FXC. The Canadian dollar is the national currency of Canada and the currency of the accounts of the Bank of Canada, the Canadian Central Bank. The Fund is rebalanced quarterly. |
| Invesco CurrencyShares Swiss Franc Trust |
FXF |
Invesco |
46138R108 |
US46138R1086 |
21 Jun 2006 |
0.40 % |
Currency |
Not Applicable |
Swiss Franc |
| The Invesco CurrencyShares Swiss Franc Trust (the "trust") is designed to track the price of the Swiss franc, and trades under the ticker symbol FXF. The Swiss franc is the national currency of Switzerland and Liechtenstein and the currency of the accounts of the Swiss National Bank, the central bank of Switzerland. The Fund is rebalanced quarterly |
| Invesco CurrencyShares Swedish Krona Trust |
FXS |
Invesco |
46138V109 |
US46138V1098 |
21 Jun 2006 |
0.40 % |
Currency |
Not Applicable |
Swedish Krona |
| The Invesco CurrencyShares Swedish Krona Trust (the "trust") is designed to track the price of the Swedish krona, and trades under the ticker symbol FXS. The Swedish krona is the national currency of Sweden and the currency of the accounts of the Swedish central bank, the Riksbank. The Swedish krona is referred to as the "krona" and the plural is "kronor." It is locally abbreviated as kr and is sometimes informally referred to as the "Swedish crown." The Fund is rebalanced quarterly. |
| First Trust Capital Strength ETF |
FTCS |
First Trust |
33733E104 |
US33733E1047 |
6 Jul 2006 |
0.61 % |
Equities (Stocks) |
Not Applicable |
Capital Strength Index |
| The First Trust Capital Strength ETF seeks investment results that correspond generally to the price and yield (before the funds fees and expenses) of an equity index called The Capital Strength Index. |
| iShares S&P GSCI Commodity Indexed Trust |
GSG |
Blackrock (iShares) |
46428R107 |
US46428R1077 |
10 Jul 2006 |
0.75 % |
Commodities & Metals |
Not Applicable |
S&P GSCI Total Return Index |
| The investment objective of the iShares S&P GSCI Commodity-Indexed Trust (the Trust) is to seek investment results through the Trusts investment in the iShares S&P GSCI Commodity-Indexed Investing Pool (Investing Pool) that correspond generally to the performance of the S&P GSCI Total Return Index (the Index) before payment of the Trusts and the Investing Pools expenses and liabilities. The Index is intended to reflect the performance of a diversified group of commodities. |
| ProShares UltraShort S&P500 |
SDS |
ProShares |
74347B383 |
US74347B3832 |
11 Jul 2006 |
0.89 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| ProShares UltraShort S&P500 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P500 Index. |
| ProShares UltraShort Dow30 |
DXD |
ProShares |
74347B276 |
US74347B2768 |
11 Jul 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| ProShares UltraShort Dow30 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones Industrial Average Index. |
| ProShares UltraShort MidCap400 |
MZZ |
ProShares |
74348A343 |
US74348A3436 |
11 Jul 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| ProShares UltraShort MidCap400 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P MidCap 400 Index. |
| ProShares UltraShort QQQ |
QID |
ProShares |
74347B243 |
US74347B2438 |
11 Jul 2006 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Index |
| ProShares UltraShort QQQ seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the NASDAQ-100 Index . |
| Vanguard Mid-Cap Value ETF |
VOE |
Vanguard |
922908512 |
US9229085124 |
17 Aug 2006 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Mid Cap Value Index |
| Seeks to track the performance of the CRSP U.S. Mid Cap Value Index which measures the investment return of mid-capitalization value stocks. Provides a convenient way to match the performance of a diversified group of midsize value companies. Follows a passively managed full-replication approach. |
| Vanguard Mid-Cap Growth ETF |
VOT |
Vanguard |
922908538 |
US9229085389 |
17 Aug 2006 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Mid Cap Growth Index |
| Seeks to track the performance of the CRSP U.S. Mid Cap Growth Index which measures the investment return of mid-capitalization growth stocks. Provides a convenient way to match the performance of a diversified group of midsize growth companies. Follows a passively managed full-replication approach. |
| iShares Global Consumer Discretionary ETF |
RXI |
Blackrock (iShares) |
464288745 |
US4642887453 |
12 Sep 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Consumer Discretionary Sector Index |
| The iShares S&P Global Consumer Discretionary Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Consumer Discretionary Index. |
| iShares Global Consumer Staples ETF |
KXI |
Blackrock (iShares) |
464288737 |
US4642887370 |
12 Sep 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Consumer Staples Sector Index |
| The iShares S&P Global Consumer Staples Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Consumer Staples Index. |
| iShares Global Industrials ETF |
EXI |
Blackrock (iShares) |
464288729 |
US4642887297 |
12 Sep 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Industrials Sector Index |
| The iShares S&P Global Industrials Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Industrials Index. |
| iShares Global Materials ETF |
MXI |
Blackrock (iShares) |
464288695 |
US4642886950 |
12 Sep 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Materials Sector Index |
| The iShares S&P Global Materials Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Materials Index. |
| iShares Global Utilities ETF |
JXI |
Blackrock (iShares) |
464288711 |
US4642887115 |
12 Sep 2006 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global 1200 Utilities Sector Index |
| The iShares S&P Global Utilities Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Utilities Index. |
| Invesco DB G10 Currency Harvest Fund |
DBV |
Invesco |
46139B102 |
US46139B1026 |
18 Sep 2006 |
0.80 % |
Currency |
Not Applicable |
Deutsche Bank G10 Currency Future Harvest Index - Excess Return |
| The Invesco DB G10 Currency Harvest Fund seeks to track changes, whether positive or negative, in the level of the Deutsche Bank G10 Currency Future Harvest Index, Excess Return (DB G10 Currency Future Harvest Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost effective and convenient way to invest in currency futures. The Index is composed of currency futures contracts on certain G10 currencies and is designed to exploit the trend that currencies associated with relatively high interest rates, on average, tend to rise in value relative to currencies associated with relatively low interest rates. The G10 currency universe from which the Index selects currently includes U.S. dollars, euros, Japanese yen, Canadian dollars, Swiss francs, British pounds, Australian dollars, New Zealand dollars, Norwegian krone and Swedish krona. The Fund seeks to track the Index, which is designed to reflect the return from investing up to a 2:1 leveraged basis (immediately upon rebalancing, which may then increase or decrease) in long currency futures positions for certain currencies associated with relatively high yielding interest rates and in short currency futures positions for certain currencies associated with relatively low yielding interest rates. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco FTSE RAFI US 1500 Small-Mid ETF |
PRFZ |
Invesco |
46137V597 |
US46137V5975 |
20 Sep 2006 |
0.39 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI US 1500 Small-Mid Index |
| The Invesco FTSE RAFI US 1500 Small-Mid ETF (Fund) is based on the FTSE RAFI US 1500 Small-Mid Index (index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to track the performance of the equity securities of small and medium-sized US companies. Companies in the index are selected based on the following four fundamental measures of size: book value, cash flow, sales and dividends. Each of the equities with a fundamental size ranking of 1,001 to 2,500 in the universe of 3,000 is then selected and assigned a weight equal to its fundamental value. The Portfolio and the Index are reconstituted annually. |
| Invesco Wilshire Micro-Cap ETF |
WMCR |
Invesco |
18383M308 |
US18383M3088 |
21 Sep 2006 |
0.58 % |
Equities (Stocks) |
Not Applicable |
Wilshire US Micro-Cap Index |
| The Invesco Wilshire Micro-Cap ETF (Fund) is based on the Wilshire US Micro-Cap Index, (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index uses a rules-based approach to select micro-capitalization companies. The Fund does not purchase all of the securities in the Index; instead, the Fund utilizes a "sampling" methodology to seek to achieve its investment objective. The Fund and the Index are rebalanced monthly. |
| Invesco BRIC ETF |
EEB |
Invesco |
46137V209 |
US46137V2097 |
21 Sep 2006 |
0.64 % |
Equities (Stocks) |
Not Applicable |
BNY Mellon BRIC Select DR Index |
| The Invesco BRIC ETF (Fund) is based on the BNY Mellon BRIC Select DR Index (Index). The Fund will invest at least 80% of its total assets in securities and American depositary receipts (ADRs) and global depositary receipts (GDRs) that are constituents of the Index. The Index is comprised of ADRs, GDRs and China H-Shares of Chinese equities, based on liquidity, from all depositary receipts of companies from four major emerging markets and China H-shares incorporated in mainland China and listed on the Hong Kong Stock Exchange. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly. |
| Invesco Insider Sentiment ETF |
NFO |
Invesco |
46137V555 |
US46137V5553 |
21 Sep 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Nasdaq US Insider Sentiment Index |
| The Invesco Insider Sentiment ETF (Fund) is based on the Nasdaq US Insider Sentiment Index (Index). The Fund will invest at least 90% of its total assets in securities and depositary receipts that comprise the Index. The Index provides exposure to US companies from the starting universe, the Nasdaq US Large Mid Cap Index. The top 100 constituents are selected using a rules-based ,three-step screening process based on favorable corporate insider buying trends based on: insider buying trends, momentum and volatility. The securities are equally weighted and subject to industry specific constraints. The Index is computed using the gross total return, which reflects dividends paid. The Fund and the Index are rebalanced semiannually. |
| Invesco Zacks Multi-Asset Income ETF |
CVY |
Invesco |
46137Y500 |
US46137Y5006 |
21 Sep 2006 |
0.79 % |
Equities (Stocks) |
Not Applicable |
Zacks Multi-Asset Income Index |
| The Invesco Zacks Multi-Asset Income ETF (Fund) is based on the Zacks Multi-Asset Income Index (Index). The Fund will invest at least 90% of its total assets in securities and depositary receipts that comprise the Index. The Index is comprised of domestic and international companies, including US listed common stocks, American depositary receipts (ADRs) paying dividends, real estate investment trusts (REITs), master limited partnerships (MLPs), closed-end funds and traditional preferred stocks. The Index is computed using the gross total return, which reflects dividends paid. The Fund and the Index are rebalanced quarterly. |
| VanEck Vectors Steel Index Fund |
SLX |
Van Eck Associates Corporation |
92189F205 |
US92189F2056 |
10 Oct 2006 |
0.55 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Steel Index |
| The Steel ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the NYSE Arca Steel Index. |
| VanEck Vectors Environmental Services ETF |
EVX |
Van Eck Associates Corporation |
92189F304 |
US92189F3047 |
10 Oct 2006 |
0.55 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Environmental Services Index |
| The Environmental Services ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the NYSE Arca Environmental Services Index. |
| Invesco DWA Consumer Cyclicals Momentum ETF |
PEZ |
Invesco |
46137V803 |
US46137V8037 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Consumer Cyclicals Technical Leaders Index |
| The Invesco DWA Consumer Cyclicals Momentum ETF (Fund) is based on the Dorsey Wright Consumer Cyclicals Technical Leaders Index (DWA Consumer Cyclicals Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Consumer Staples Momentum ETF |
PSL |
Invesco |
46137V886 |
US46137V8862 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Consumer Staples Technical Leaders Index |
| The Invesco DWA Consumer Staples Momentum ETF (Fund) is based on the Dorsey Wright Consumer Staples Technical Leaders Index (DWA Consumer Staples Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Energy Momentum ETF |
PXI |
Invesco |
46137V878 |
US46137V8789 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Energy Technical Leaders Index |
| The Invesco DWA Energy Momentum ETF (Fund) is based on the Dorsey Wright Energy Technical Leaders Index (DWA Energy Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Financial Momentum ETF |
PFI |
Invesco |
46137V860 |
US46137V8607 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Financials Technical Leaders Index |
| The Invesco DWA Financial Momentum ETF (Fund) is based on the Dorsey Wright Financials Technical Leaders Index (DWA Financials Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Healthcare Momentum ETF |
PTH |
Invesco |
46137V852 |
US46137V8524 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Healthcare Technical Leaders Index |
| The Invesco DWA Healthcare Momentum ETF (Fund) is based on the Dorsey Wright Healthcare Technical Leaders Index (DWA Healthcare Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Industrials Momentum ETF |
PRN |
Invesco |
46137V845 |
US46137V8458 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Industrials Technical Leaders Index |
| The Invesco DWA Industrials Momentum ETF (Fund) is based on the Dorsey Wright Industrials Technical Leaders Index (DWA Industrials Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Basic Materials Momentum ETF |
PYZ |
Invesco |
46137V704 |
US46137V7047 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Basic Materials Technical Leaders Index |
| The Invesco DWA Basic Materials Momentum ETF (Fund) is based on the Dorsey Wright Basic Materials Technical Leaders Index (DWA Basic Materials Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Technology Momentum ETF |
PTF |
Invesco |
46137V811 |
US46137V8110 |
12 Oct 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
DWA Technology Technical Leaders Index |
| The Invesco DWA Technology Momentum ETF (Fund) is based on the Dorsey Wright Technology Technical Leaders Index (DWA Technology Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to identify companies that are showing relative strength (momentum), and is composed of at least 30 common stocks from the NASDAQ US Benchmark Index. Relative strength is the measurement of a securitys performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco WilderHill Progressive Energy ETF |
PUW |
Invesco |
46137V126 |
US46137V1263 |
24 Oct 2006 |
0.70 % |
Equities (Stocks) |
Not Applicable |
WilderHill Progressive Energy Index |
| The Invesco WilderHill Progressive Energy ETF (Fund) is based on the WilderHill Progressive Energy Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is comprised of companies in transitional energy technologies significant in improving the use of fossil fuels and nuclear power. The Index is composed of companies focused on the following areas: alternative energy, better efficiency, emission reduction, new energy activity, greener utilities, innovative materials and energy storage. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco Cleantech ETF |
PZD |
Invesco |
46137V407 |
US46137V4077 |
24 Oct 2006 |
0.67 % |
Equities (Stocks) |
Not Applicable |
Clean Tech Index |
| The Invesco Cleantech, ETF (Fund) is based on the Cleantech Index, (Index). The Fund will normally invest at least 90% of its total assets in stocks of clean technology (or cleantech) companies that comprise the Index and American Depository Receipts based on the stocks in the Index. The Index is designed to track the leading cleantech companies, from a broad range of industry sectors that offer the best investment returns. The Cleantech Index is a modified equally weighted index composed of stocks (and ADRs of such stocks) of publicly traded cleantech companies. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco Global Listed Private Equity ETF |
PSP |
Invesco |
46137V589 |
US46137V5892 |
24 Oct 2006 |
2.31 % |
Other Asset Types |
Private Equity |
Global Listed Private Equity Index |
| The Invesco Global Listed Private Equity ETF (Fund) is based on the Red Rocks Global Listed Private Equity Index (Index). The Fund will normally invest at least 90% of its total assets in securities, which may include American depository receipts and global depository receipts, that comprise the Index. The Index includes securities, ADRs and GDRs of 40 to 75 private equity companies, including business development companies (BDCs), master limited partnerships (MLPs) and other vehicles whose principal business is to invest in, lend capital to or provide services to privately held companies (collectively, listed private equity companies). The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco S&P 500 Equal Weight Consumer Discretionary ETF |
RCD |
Invesco |
46137V381 |
US46137V3814 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Consumer Discretionary Index |
| The Invesco S&P 500 Equal Weight Consumer Discretionary ETF (Fund) is based on the S&P 500 Equal Weight Consumer Discretionary Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the consumer discretionary sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Consumer Staples ETF |
RHS |
Invesco |
46137V373 |
US46137V3731 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Consumer Staples Index |
| The Invesco S&P 500 Equal Weight Consumer Staples ETF (Fund) is based on the S&P 500 Equal Weight Consumer Staples Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the consumer staples sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Energy ETF |
RYE |
Invesco |
46137V365 |
US46137V3657 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Energy Index |
| The Invesco S&P 500 Equal Weight Energy ETF (Fund) is based on the S&P 500 Equal Weight Energy Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the energy sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Financials ETF |
RYF |
Invesco |
46137V340 |
US46137V3400 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Financials Index |
| The Invesco S&P 500 Equal Weight Financials ETF (Fund) is based on the S&P 500 Equal Weight Financials Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the financials sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Health Care ETF |
RYH |
Invesco |
46137V332 |
US46137V3327 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Healthcare Index |
| The Invesco S&P 500 Equal Weight Health Care ETF (Fund) is based on the S&P 500 Equal Weight Health Care Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the health care sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Industrials ETF |
RGI |
Invesco |
46137V324 |
US46137V3244 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Industrials Index |
| The Invesco S&P 500 Equal Weight Industrials ETF (Fund) is based on the S&P 500 Equal Weight Industrials Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the industrials sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Materials ETF |
RTM |
Invesco |
46137V316 |
US46137V3160 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Materials Index |
| The Invesco S&P 500 Equal Weight Materials ETF (Fund) is based on the S&P 500 Equal Weight Materials Index (Index). The Fund will invest at least 90% of its total assets in common stocks that comprise the Index. The Index equally weights stocks in the materials sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Technology ETF |
RYT |
Invesco |
46137V282 |
US46137V2824 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Technology Index |
| The Invesco S&P 500 Equal Weight Technology ETF (Fund) is based on the S&P 500 Equal Weight Information Technology Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index equally weights stocks in the information technology sector of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P 500 Equal Weight Utilities ETF |
RYU |
Invesco |
46137V274 |
US46137V2741 |
1 Nov 2006 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Equal Weight Utilities Index |
| The Invesco S&P 500 Equal Weight Utilities ETF (Fund) is based on the S&P 500 Equal Weight Telecommunication Services & Utilities Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index equally weights stocks found in the utilities and telecommunication services sectors of the S&P 500 Index. The Fund and the Index are rebalanced quarterly. |
| Vanguard High Dividend Yield ETF |
VYM |
Vanguard |
921946406 |
US9219464065 |
10 Nov 2006 |
0.08 % |
Equities (Stocks) |
Not Applicable |
FTSE High Dividend Yield Index |
| Seeks to track the performance of the FTSE High Dividend Yield Index which measures the investment return of common stocks of companies characterized by high dividend yields. Provides a convenient way to track the performance of stocks with histories of above-average dividend yields. Follows a passively managed full-replication approach. |
| iShares MSCI KLD 400 Social ETF |
DSI |
Blackrock (iShares) |
464288570 |
US4642885705 |
14 Nov 2006 |
0.25 % |
Equities (Stocks) |
Not Applicable |
MSCI KLD 400 Social Index |
| The iShares MSCI KLD 400 Social Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI KLD 400 Social Index. |
| Invesco Financial Preferred ETF |
PGF |
Invesco |
46137V621 |
US46137V6213 |
1 Dec 2006 |
0.63 % |
Other Asset Types |
Preferred Stock |
Wells Fargo Hybrid and Preferred Securities Financial Index |
| The Invesco Financial Preferred ETF (Fund) is based on the Wells Fargo Hybrid and Preferred Securities Financial Index (WHPSF Index). The Fund generally will invest at least 90% of its total assets in preferred securities of financial institutions that comprise the Index. The Index is a market capitalization weighted index designed to track the performance of preferred securities traded in the US market by financial institutions. The Index is composed of preferred securities with either fixed or floating rate dividends issued by financial institutions that have received an industrial sector classification of "financial" from the Bloomberg Professional Service. The Fund and the Index are rebalanced and reconstituted monthly. |
| Invesco Russell MidCap Pure Growth ETF |
PXMG |
Invesco |
46137V464 |
US46137V4648 |
3 Mar 2005 |
0.39 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Pure Growth Index |
| The Invesco Russell MidCap Pure Growth ETF (Fund) is based on the Russell Midcap Pure Growth Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Index is composed of securities with strong growth characteristics selected from the Russell Midcap Index. Securities are weighted based on their style score. The Fund and the Index are rebalanced and reconstituted annually. |
| Invesco Russell 2000 Pure Growth ETF |
PXSG |
Invesco |
46137V498 |
US46137V4986 |
3 Mar 2005 |
0.39 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Pure Growth Index |
| The Invesco Russell 2000 Pure Growth ETF (Fund) is based on the Russell 2000 Pure Growth Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Index is composed of securities with strong growth characteristics selected from the Russell 2000 Index. Securities are weighted based on their style score. The Fund and the Index are rebalanced and reconstituted annually. |
| Invesco Russell MidCap Pure Value ETF |
PXMV |
Invesco |
46137V456 |
US46137V4564 |
3 Mar 2005 |
0.39 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Pure Value Index |
| The Invesco Russell MidCap Pure Value ETF (Fund) is based on the Russell Midcap Pure Value Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Index is composed of securities with strong value characteristics selected from the Russell Midcap Index. Securities are weighted based on their style score. The Fund and the Index are rebalanced and reconstituted annually. |
| Invesco Russell 2000 Pure Value ETF |
PXSV |
Invesco |
46137V480 |
US46137V4804 |
3 Mar 2005 |
0.39 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Pure Value Index |
| The Invesco Russell 2000 Pure Value ETF (Fund) is based on the Russell 2000 Pure Value Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Index is composed of securities with strong value characteristics selected from the Russell 2000 Index. Securities are weighted based on their style score. The Fund and the Index are rebalanced and reconstituted annually. |
| Invesco Russell MidCap Equal Weight ETF |
EQWM |
Invesco |
46137V472 |
US46137V4721 |
1 Dec 2006 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Russell Midcap Equal Weight Index |
| The Invesco Russell MidCap Equal Weight ETF (Fund) is based on the Russell Midcap Equal Weight Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Underlying Index is designed to provide equal-weighted exposure to approximately 800 securities of mid-cap US companies in the larger US equity market. The Fund and the Index are rebalanced quarterly and reconstituted annually. |
| Invesco Russell 2000 Equal Weight ETF |
EQWS |
Invesco |
46137V514 |
US46137V5140 |
1 Dec 2006 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Equal Weight Index |
| The Invesco Russell 2000 Equal Weight ETF (Fund) is based on the Russell 1000 Low Beta Equal Weight Index (Index). The Fund generally will invest at least 90% of its total assets in common stocks that comprise the Index. The Index tracks the performance of stocks in the Russell 1000 Index exhibiting low beta characteristics. The Fund and Index are reconstituted and rebalanced twice year in June and December. |
| Invesco Russell Top 200 Equal Weight ETF |
EQWL |
Invesco |
46137V449 |
US46137V4499 |
1 Dec 2006 |
0.25 % |
Equities (Stocks) |
Not Applicable |
Russell Top 200 Equal Weight Index |
| The Invesco Russell Top 200 Equal Weight ETF (Fund) is based on the Russell Top 200 Equal Weight Index (Index). The Fund will invest at least 90% of its total assets in the component securities that comprise the Index. The Index is designed to provide equal-weighted exposure to the securities of the largest 200 companies in the US equity market. The Fund and the Index are rebalanced quarterly and reconstituted annually. |
| First Trust Total US Market AlphaDEX ETF |
TUSA |
First Trust |
33733E708 |
US33733E7085 |
5 Dec 2006 |
0.70 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Total US Market Index |
| The First Trust Total US Market AlphaDEX ETF is an exchange-traded index fund. The objective of the Fund is to seek investment results that correspond generally to the price and yield (before the Funds fees and expenses) of an equity index called the NASDAQ AlphaDEX Total US Market Index. The NASDAQ AlphaDEX Total US Market Index is an "enhanced" index created and administered by The NASDAQ OMX Group, Inc. ("NASDAQ") which employs the AlphaDEX stock selection methodology to select stocks that meet certain criteria from three indices - the NASDAQ US Large Cap Index, the NASDAQ US Mid Cap Index and the NASDAQ US Small Cap Index. |
| SPDR Dow Jones International Real Estate ETF |
RWX |
State Street (SPDR) |
78463X863 |
US78463X8636 |
15 Dec 2006 |
0.59 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Global ex-U.S. Select Real Estate Securities Index |
| The SPDR Dow Jones International Real Estate ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the Dow Jones Global ex-U.S. Select Real Estate Securities Index (ticker: DWXRSN) an equity index based upon the global (ex-US) real estate market. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| Invesco S&P Spin-Off ETF |
CSD |
Invesco |
46137V159 |
US46137V1594 |
15 Dec 2006 |
0.62 % |
Equities (Stocks) |
Not Applicable |
S&P U.S. Spin-Off Index |
| The Invesco S&P Spin-Off ETF (Fund) is based on the S&P U.S. Spin-Off Index (Index). The Fund will invest at least 80% of its total assets in securities and depositary receipts that comprise the Index. The Index is composed of companies that have been spun off from larger corporations within the past four years. The Index is computed using the gross total return, which reflects dividends paid. The Fund and the Index are rebalanced monthly. |
| Invesco Defensive Equity ETF |
DEF |
Invesco |
46138J775 |
US46138J7752 |
15 Dec 2006 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Guggenheim Defensive Equity Index |
| The Invesco Defensive Equity ETF (Fund) is based on the Invesco Defensive Equity Index (Index). The Fund will invest at least 80% of its total assets in securities that comprise the Index. The Index is designed to provide exposure to securities of large-cap US issuers. The Index uses a rules-based approach to select companies that potentially have superior risk-return profiles during periods of stock market weakness while still offering the potential for gains during periods of market strength. The Index is computed using the gross total return, which reflects dividends paid. The Fund and the Index are rebalanced quarterly. |
| Invesco BuyBack Achievers ETF |
PKW |
Invesco |
46137V308 |
US46137V3087 |
20 Dec 2006 |
0.63 % |
Equities (Stocks) |
Not Applicable |
Share BuyBack Achievers Index |
| The Invesco BuyBack Achievers, ETF (Fund) is based on the NASDAQ US BuyBack Achievers, Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to track the performance of companies that meet the requirements to be classified as BuyBack Achievers,. The NASDAQ US BuyBack Achievers Index is comprised of US securities issued by corporations that have effected a net reduction in shares outstanding of 5% or more in the trailing 12 months. The Fund and the Index are reconstituted annually in January and rebalanced quarterly in January, April, July and October |
| iShares 3-7 Year Treasury Bond ETF |
IEI |
Blackrock (iShares) |
464288661 |
US4642886612 |
5 Jan 2007 |
0.15 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 3-7 Year Bond Index |
| The iShares Barclays 3-7 Year Treasury Bond Fund seeks results that correspond generally to the price and yield performance before fees and expense of the intermediate sector of the United States Treasury market as defined by the ICE U.S. Treasury 3-7 Year Bond Index. The ICE U.S. Treasury 3-7 Year Bond Index is part of a series of indices intended to assess U.S. Treasury issued debt. Only U.S. dollar denominated, fixed rate securities with minimum term to maturity greater than three years and less than or equal to seven years are included. |
| iShares 10-20 Year Treasury Bond ETF |
TLH |
Blackrock (iShares) |
464288653 |
US4642886539 |
5 Jan 2007 |
0.15 % |
Bonds |
Not Applicable |
ICE US Treasury 10-20 Year Index |
| The iShares 10-20 Year Treasury Bond ETF seeks to track the investment results of an index composed of U.S. Treasury bonds with remaining maturities between ten and twenty years. |
| iShares Short Treasury Bond ETF |
SHV |
Blackrock (iShares) |
464288679 |
US4642886794 |
5 Jan 2007 |
0.15 % |
Bonds |
Not Applicable |
ICE US Treasury Short Term Index |
| The iShares Short Treasury Bond ETF seeks to track the investment results of an index composed of U.S. Treasury bonds with remaining maturities between one month and one year. Exposure to U.S. Treasury bonds that mature in less than 1 year. |
| iShares Government/Credit Bond ETF |
GBF |
Blackrock (iShares) |
464288596 |
US4642885960 |
5 Jan 2007 |
0.20 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Government/Credit Bond Index |
| The iShares Barclays Government/Credit Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the U.S. government and investment grade U.S corporate securities of the U.S. bond market as defined by the Barclays Capital U.S. Government/Credit Bond Index. |
| iShares Intermediate Government/Credit Bond ETF |
GVI |
Blackrock (iShares) |
464288612 |
US4642886125 |
5 Jan 2007 |
0.20 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Intermediate Government/Credit Bond Index |
| The iShares Barclays Intermediate Government/Credit Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the investment grade credit sector of the United States bond market and the total United States Treasury market as defined by the Barclays Capital U.S. Intermediate Government/Credit Bond Index. |
| iShares Intermediate-Term Corporate Bond ETF |
IGIB |
Blackrock (iShares) |
464288638 |
US4642886380 |
5 Jan 2007 |
0.06 % |
Bonds |
Not Applicable |
ICE BofAML 5-10 Year US Corporate Index |
| The iShares Intermediate-Term Corporate Bond ETF seeks to track the investment results of an index composed of U.S. dollar-denominated investment-grade corporate bonds with remaining maturities between five and ten years. |
| iShares Broad USD Investment Grade Corporate Bond ETF |
USIG |
Blackrock (iShares) |
464288620 |
US4642886208 |
5 Jan 2007 |
0.06 % |
Bonds |
Not Applicable |
ICE BofAML US Corporate Index |
| The iShares Broad USD Investment Grade Corporate Bond ETF seeks to track the investment results of an index composed of U.S. dollar-denominated investment-grade corporate bonds. |
| iShares Short-Term Corporate Bond ETF |
IGSB |
Blackrock (iShares) |
464288646 |
US4642886463 |
5 Jan 2007 |
0.06 % |
Bonds |
Not Applicable |
ICE BofAML 1-5 Year US Corporate Index |
| The iShares Short-Term Corporate Bond ETF seeks to track the investment results of an index composed of U.S. dollar-denominated investment-grade corporate bonds with remaining maturities between one and five years. |
| Invesco DB Precious Metals Fund |
DBP |
Invesco |
46140H502 |
US46140H5028 |
5 Jan 2007 |
0.78 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index - Optimum Yield Precious Metals |
| The Invesco DB Precious Metals Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Precious Metals Index Excess Return, (DBIQ Opt Yield Precious Metals Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on two of the most important precious metals gold and silver. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco DB Gold Fund |
DGL |
Invesco |
46140H601 |
US46140H6018 |
5 Jan 2007 |
0.78 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index - Optimum Yield Gold Excess Return |
| The Invesco DB Gold Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Gold Index Excess Return, (DBIQ Opt Yield Gold Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on gold. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco DB Base Metals Fund |
DBB |
Invesco |
46140H700 |
US46140H7008 |
5 Jan 2007 |
0.82 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Industrial Metals Excess Return |
| The Invesco DB Base Metals Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Industrial Metals Index Excess Return, (DBIQ Opt Yield Industrial Metals Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on some of the most liquid and widely used base metals aluminum, zinc and copper (grade A). You cannot invest directly in the Index. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco DB Oil Fund |
DBO |
Invesco |
46140H403 |
US46140H4039 |
5 Jan 2007 |
0.78 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index - Optimum Yield Oil Excess Return |
| The Invesco DB Oil Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Crude Oil Index Excess Return, (DBIQ Opt Yield Crude Oil Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on light sweet crude oil (WTI). You cannot invest directly in the Index. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco DB Silver Fund |
DBS |
Invesco |
46140H205 |
US46140H2058 |
5 Jan 2007 |
0.79 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index - Optimum Yield Silver Excess Return |
| The Invesco DB Silver Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Silver Index Excess Return, (DBIQ Opt Yield Silver Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on silver. |
| Invesco DB Energy Fund |
DBE |
Invesco |
46140H304 |
US46140H3049 |
5 Jan 2007 |
0.78 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index-Optimum Yield Energy Excess Return |
| The Invesco DB Energy Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Optimum Yield Energy Index Excess Return, (DBIQ Opt Yield Energy Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on some of the most heavily traded energy commodities in the world light sweet crude oil (WTI), heating oil, Brent crude oil, RBOB gasoline and natural gas. You cannot invest directly in the Index. The Fund and the Index are rebalanced and reconstituted annually in November. |
| Invesco DB Agriculture Fund |
DBA |
Invesco |
46140H106 |
US46140H1068 |
5 Jan 2007 |
0.89 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Diversified Agriculture Excess Return |
| The Invesco DB Agriculture Fund seeks to track changes, whether positive or negative, in the level of the DBIQ Diversified Agriculture Index Excess Return, (DBIQ Diversified Agriculture Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost-effective and convenient way to invest in commodity futures. The Index is a rules-based index composed of futures contracts on some of the most liquid and widely traded agricultural commodities. You cannot invest directly in the Index. The Fund and the Index are rebalanced and reconstituted annually in November. |
| SPDR MSCI ACWI ex-US ETF |
CWI |
State Street (SPDR) |
78463X848 |
US78463X8487 |
10 Jan 2007 |
0.30 % |
Equities (Stocks) |
Not Applicable |
MSCI ACWI ex-US Index |
| The SPDR MSCI ACWI ex-US ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the MSCI ACWI ex USA Index (ticker: NDUEACWZ) |
| ProShares Ultra Russell2000 |
UWM |
ProShares |
74347R842 |
US74347R8429 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| ProShares Ultra Russell2000 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Russell 2000 Index. |
| ProShares Ultra SmallCap600 |
SAA |
ProShares |
74347R818 |
US74347R8189 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| ProShares Ultra SmallCap600 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the S&P SmallCap 600 Index. |
| ProShares Short SmallCap600 |
SBB |
ProShares |
74348A376 |
US74348A3766 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| ProShares Short SmallCap600 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the S&P SmallCap 600 Index. |
| ProShares UltraShort SmallCap600 |
SDD |
ProShares |
74348A327 |
US74348A3279 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| ProShares UltraShort SmallCap600 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the S&P SmallCap 600 Index. |
| ProShares Short Russell2000 |
RWM |
ProShares |
74348A210 |
US74348A2107 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| ProShares Short Russell2000 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Russell 2000 Index. |
| ProShares UltraShort Russell2000 |
TWM |
ProShares |
74348A319 |
US74348A3196 |
23 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| ProShares UltraShort Russell2000 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Russell 2000 Index. |
| SPDR S&P Global Infrastructure ETF |
GII |
State Street (SPDR) |
78463X855 |
US78463X8552 |
25 Jan 2007 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Global Infrastructure Index |
| The SPDR FTSE/Macquarie Global Infrastructure 100 ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the Macquarie Global Infrastructure 100 Index (ticker: MCGIGIDT) an equity index based upon the global infrastructure industry market. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| ProShares UltraShort Consumer Services |
SCC |
ProShares |
74348A236 |
US74348A2362 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Services Index |
| ProShares Ultra Consumer Services seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Consumer Services Index. |
| ProShares Ultra Consumer Services |
UCC |
ProShares |
74347R750 |
US74347R7504 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Services Index |
| ProShares Ultra Consumer Services seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Consumer Services Index. |
| ProShares UltraShort Consumer Goods |
SZK |
ProShares |
74347R115 |
US74347R1150 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Goods Index |
| ProShares UltraShort Consumer Goods seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Consumer Goods Index. |
| ProShares Ultra Consumer Goods |
UGE |
ProShares |
74347R768 |
US74347R7686 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Consumer Goods Index |
| ProShares Ultra Consumer Goods seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Consumer Goods Index. |
| ProShares UltraShort Oil & Gas |
DUG |
ProShares |
74348A525 |
US74348A5258 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Oil & Gas Index |
| ProShares UltraShort Oil & Gas seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Oil & Gas Index |
| ProShares Ultra Oil & Gas |
DIG |
ProShares |
74347R719 |
US74347R7199 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Oil & Gas Index |
| ProShares Ultra Oil & Gas seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Oil & Gas Index |
| ProShares Ultra Financials |
UYG |
ProShares |
74347X633 |
US74347X6334 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Financial Sector Index |
| ProShares Ultra Financials seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Financials Index. |
| ProShares Ultra Real Estate |
URE |
ProShares |
74347X625 |
US74347X6250 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Real Estate Index |
| ProShares Ultra Real Estate seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Real Estate Index. |
| ProShares UltraShort Real Estate |
SRS |
ProShares |
74348A244 |
US74348A2446 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Real Estate Index |
| ProShares UltraShort Real Estate seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Real Estate Index. |
| ProShares Ultra Health Care |
RXL |
ProShares |
74347R735 |
US74347R7355 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Healthcare Index |
| ProShares Ultra Health Care seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Health Care Index. |
| ProShares UltraShort Health Care |
RXD |
ProShares |
74348A228 |
US74348A2289 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Healthcare Index |
| ProShares UltraShort Health Care seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Health Care Index. |
| ProShares UltraShort Industrials |
SIJ |
ProShares |
74348A368 |
US74348A3683 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Industrial Index |
| ProShares Ultra Short Industrials seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Industrials Index. |
| ProShares Ultra Industrials |
UXI |
ProShares |
74347R727 |
US74347R7272 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Industrial Index |
| ProShares Ultra Industrials seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Industrials Index. |
| ProShares UltraShort Basic Materials |
SMN |
ProShares |
74347B177 |
US74347B1778 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Basic Materials Sector Index |
| ProShares UltraShort Basic Materials seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Basic Materials Index. |
| ProShares Ultra Basic Materials |
UYM |
ProShares |
74347R776 |
US74347R7769 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Basic Materials Sector Index |
| ProShares Ultra Basic Materials seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Basic Materials Index. |
| ProShares Ultra Technology |
ROM |
ProShares |
74347R693 |
US74347R6936 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Technology Sector Index |
| ProShares Ultra Technology seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Technology Index. |
| ProShares UltraShort Technology |
REW |
ProShares |
74347B730 |
US74347B7304 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Technology Sector Index |
| ProShares UltraShort Technology seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Technology Index |
| ProShares Ultra Semiconductors |
USD |
ProShares |
74347R669 |
US74347R6696 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Semiconductors Index |
| ProShares Ultra Semiconductors seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Semiconductors Index. |
| ProShares UltraShort Semiconductors |
SSG |
ProShares |
74347B219 |
US74347B2198 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Semiconductors Index |
| ProShares UltraShort Semiconductors seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Semiconductors Index. |
| ProShares Ultra Utilities |
UPW |
ProShares |
74347R685 |
US74347R6852 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Utilities Sector Index |
| ProShares Ultra Utilities seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Utilities Index. |
| ProShares UltraShort Utilities |
SDP |
ProShares |
74347B722 |
US74347B7221 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Utilities Sector Index |
| ProShares UltraShort Utilities seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Utilities Index. |
| First Trust NASDAQ Clean Edge Green Energy Index Fund |
QCLN |
First Trust |
33733E500 |
US33733E5006 |
8 Feb 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
NASDAQ Clean Edge Green Energy Index |
| The First Trust NASDAQ Clean Edge Green Energy Index Fund is an exchange-traded index fund. The objective of the Fund is to seek investment results that correspond generally to the price and yield (before the Funds fees and expenses) of an equity index called the NASDAQ Clean Edge Green Energy Index. |
| First Trust NASDAQ 100 Ex-Technology Sector IndexSM Fund |
QQXT |
First Trust |
33733E401 |
US33733E4017 |
8 Feb 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Ex-Tech Sector Index |
| The First Trust NASDAQ-100 Ex-Technology Sector Index Fund is an exchange-traded index fund. The objective of the Fund is to seek investment results that correspond generally to the price and yield (before the Funds fees and expenses) of an equity index called the NASDAQ-100 Ex-Tech Sector Index. |
| Invesco CurrencyShares Japanese Yen Trust |
FXY |
Invesco |
46138W107 |
US46138W1071 |
12 Feb 2007 |
0.40 % |
Currency |
Not Applicable |
Japanese Yen |
| The Invesco CurrencyShares Japanese Yen Trust (the "trust") is designed to track the price of the Japanese yen, and trades under the ticker symbol FXY. The Japanese yen is the national currency of Japan and the currency of the accounts of the Bank of Japan, the Japanese central bank. The Fund is rebalanced quarterly. |
| Invesco DB US Dollar Index Bullish Fund |
UUP |
Invesco |
46141D203 |
US46141D2036 |
20 Feb 2007 |
0.80 % |
Currency |
Not Applicable |
Deutsche Bank Long US Dollar Index |
| The Invesco DB US Dollar Index Bullish Fund (Symbol: UUP) seeks to track changes, whether positive or negative, in the level of the Deutsche Bank Long USD Currency Portfolio Index - Excess ReturnTM (DB Long USD Currency Portfolio Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost effective and convenient way to track the value of the U.S. dollar relative to a basket of the six major world currencies - the euro, Japanese yen, British pound, Canadian dollar, Swedish krona and Swiss franc (collectively, the "Basket Currencies"). The Index is a rules-based index composed solely of long U.S. Dollar Index futures contracts that trade on the ICE futures exchange (USDX futures contracts). The USDX futures contract is designed to replicate the performance of being long the U.S. dollar against the Basket Currencies. |
| Invesco DB US Dollar Index Bearish Fund |
UDN |
Invesco |
46141D104 |
US46141D1046 |
20 Feb 2007 |
0.80 % |
Currency |
Not Applicable |
Deutsche Bank Short US Dollar Index (USDX) Futures Index |
| The Invesco DB US Dollar Index Bearish Fund (Symbol: UDN) seeks to track changes, whether positive or negative, in the level of the Deutsche Bank Short USD Currency Portfolio Index - Excess Return, (DB Short USD Currency Portfolio Index ER) plus the interest income from the Funds holdings of primarily US Treasury securities and money market income less the Funds expenses. The Fund is designed for investors who want a cost effective and convenient way to track the value of the U.S. dollar relative to a basket of the six major world currencies the euro, Japanese yen, British pound, Canadian dollar, Swedish krona and Swiss franc (collectively, the "Basket Currencies"). The Index is a rules-based index composed solely of short U.S. Dollar Index futures contracts that trade on the ICE futures exchange (USDX futures contracts). The USDX futures contract is designed to replicate the performance of being short the U.S. dollar against the Basket Currencies. |
| ProShares UltraShort Financials |
SKF |
ProShares |
74347B748 |
US74347B7486 |
30 Jan 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Financial Sector Index |
| ProShares UltraShort Financials seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the Dow Jones U.S. Financials Index. |
| WisdomTree U.S. Earnings 500 Fund |
EPS |
Wisdom Tree |
97717W588 |
US97717W5884 |
23 Feb 2007 |
0.28 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. Earnings 500 Index |
| The WisdomTree U.S. Earnings 500 Index is a fundamentally weighted index that measures the performance of earnings-generating companies within the large-capitalization segment of the U.S. Stock Market. Companies in the index are incorporated and listed in the U.S and have generated positive cumulative earnings over their most recent four fiscal quarters prior to the index measurement date. The index is comprised of the 500 largest companies ranked by market capitalization in the WisdomTree U.S. Earnings Index. The index is earnings-weighted in December of each year to reflect the proportionate share of the aggregate earnings each component company has generated. Companies with greater earnings generally have larger weights in the index. |
| WisdomTree U.S. Total Earnings Fund |
EXT |
Wisdom Tree |
97717W596 |
US97717W5967 |
23 Feb 2007 |
0.28 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. Earnings Index |
| The WisdomTree U.S. Earnings Index is a fundamentally weighted index that measures the performance of earnings-generating companies within the broad U.S. Stock Market. Companies in the index are incorporated and listed in the U.S and have generated positive cumulative earnings over their most recent four fiscal quarters prior to the index measurement date. The index is earnings-weighted in December to reflect the proportionate share of the aggregate earnings each component company has generated. Companies with greater earnings generally have larger weights in the index. |
| WisdomTree U.S. Quality Shareholder Yield Fund |
QSY |
Wisdom Tree |
97717W547 |
US97717W5470 |
23 Feb 2007 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. LargeCap Value Index |
| The WisdomTree U.S. Quality Shareholder Yield Fund seeks income and capital appreciation by investing primarily in U.S. equity securities that provide a high total shareholder yield with favorable relative quality characteristics. The WisdomTree U.S. LargeCap Value Index is a fundamentally weighted index that measures the performance of large-cap value companies. The Index consists of U.S. companies that have positive cumulative earnings over the past four fiscal quarters and that meet WisdomTree s requirements as of the Index measurement date. WisdomTree Investments uses "Core Earnings", computed by Standard & Poor s, as the weighting metric. Core Earnings is a standardized calculation of earnings developed by Standard & Poor s designed to include expenses, incomes and activities that reflect the actual profitability of an enterprises ongoing operations. WisdomTree creates a "value" score for each company based on the company s Price to Earnings Ratio, Price to Sales Ratio, and Price to Book Value and 1-year change in stock price. Companies are weighted in the Index annually based on earnings. |
| WisdomTree U.S. SmallCap Earnings Fund |
EES |
Wisdom Tree |
97717W562 |
US97717W5629 |
23 Feb 2007 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. SmallCap Earnings Index |
| The WisdomTree U.S. SmallCap Earnings Index is a fundamentally weighted index that measures the performance of earnings-generating companies within the small-capitalization segment of the U.S. Stock Market. The index is comprised of the companies in the bottom 25% of the market capitalization of the WisdomTree U.S. Earnings Index after the 500 largest companies have been removed. Companies must be incorporated and listed in the U.S. and have generated positive cumulative earnings over their most recent four fiscal quarters prior to the index measurement date. The index is earnings-weighted in December to reflect the proportionate share of the aggregate earnings each component company has generated. Companies with greater earnings generally have larger weights in the index. |
| WisdomTree U.S. MidCap Earnings Fund |
EZM |
Wisdom Tree |
97717W570 |
US97717W5702 |
23 Feb 2007 |
0.38 % |
Equities (Stocks) |
Not Applicable |
WisdomTree U.S. MidCap Earnings Index |
| The WisdomTree U.S. MidCap Earnings Index is a fundamentally weighted index that measures the performance of earnings-generating companies within the mid-capitalization segment of the U.S. Stock Market. The index is comprised of the companies in the top 75% of the market capitalization of the WisdomTree U.S. Earnings Index after the 500 largest companies have been removed. Companies in the index are incorporated and listed in the U.S. and have generated positive cumulative earnings over their most recent four fiscal quarters prior to the index measurement date. The index is earnings-weighted in December of each year to reflect the proportionate share of the aggregate earnings each component company has generated. Companies with greater earnings generally have larger weights in the index. |
| Invesco DWA Momentum ETF |
PDP |
Invesco |
46137V837 |
US46137V8375 |
1 Mar 2007 |
0.64 % |
Equities (Stocks) |
Not Applicable |
Dorsey Wright Technical Leaders Index |
| The Invesco DWA Momentum ETF (Fund) is based on the Dorsey Wright Technical Leaders Index (DWA Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index includes approximately 100 US companies from the NASDAQ US Benchmark Index. The Index is constructed pursuant to Dorsey, Wright & Associates, LLCs proprietary methodology that is designed to identify companies that demonstrate powerful relative strength characteristics. Relative strength is the measurement of a security s performance in a given universe over time as compared to the performance of all other securities in that universe. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Vanguard FTSE All-World ex-US ETF |
VEU |
Vanguard |
922042775 |
US9220427754 |
2 Mar 2007 |
0.11 % |
Equities (Stocks) |
Not Applicable |
FTSE All-World ex US Index |
| Seeks to track the performance of the FTSE All-World ex US Index. Provides a convenient way to get broad exposure across developed and emerging non-U.S. equity markets around the world. Passively managed using index sampling. |
| iShares MBS ETF |
MBB |
Blackrock (iShares) |
464288588 |
US4642885887 |
13 Mar 2007 |
0.09 % |
Bonds |
Not Applicable |
Bloomberg Barclays US Mortgage Backed Securities Index |
| The iShares Barclays MBS Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the investment grade agency mortgage-backed securities sector of the United States as defined by the Barclays Capital U.S. MBS Index. |
| SPDR S&P China ETF |
GXC |
State Street (SPDR) |
78463X400 |
US78463X4007 |
19 Mar 2007 |
0.59 % |
Equities (Stocks) |
Not Applicable |
S&P China BMI Index |
| The SPDR S&P China ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the S&P China BMI Index (ticker: STBCCNU). |
| SPDR Portfolio Emerging Markets ETF |
SPEM |
State Street (SPDR) |
78463X509 |
US78463X5095 |
19 Mar 2007 |
0.11 % |
Equities (Stocks) |
Not Applicable |
S&P Emerging BMI Index |
| The SPDR Portfolio Emerging Markets ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P Emerging BMI Index (the "Index"). The S&P Emerging BMI Index is a market capitalization weighted index designed to define and measure the investable universe of publicly traded companies domiciled in emerging markets. The Index component securities are a subset, based on region, of component securities included in the S&P Global BMI (Broad Market Index) ("Global Equity Index"). The Global Equity Index is a comprehensive, float-weighted, rules-based benchmark that is readily divisible and customizable. The Index is "float-adjusted," meaning that only those shares publicly available to investors are included in the Index calculation. |
| SPDR S&P Emerging Asia Pacific ETF |
GMF |
State Street (SPDR) |
78463X301 |
US78463X3017 |
19 Mar 2007 |
0.49 % |
Equities (Stocks) |
Not Applicable |
S&P Emerging Asia Pacific Index |
| The SPDR S&P Emerging Asia Pacific ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the S&P Asia Pacific Emerging BMI Index (ticker: STBMAEU). |
| iShares US Preferred Stock ETF |
PFF |
Blackrock (iShares) |
464288687 |
US4642886877 |
26 Mar 2007 |
0.47 % |
Other Asset Types |
Preferred Stock |
S&P U.S. Preferred Stock Index |
| The iShares S&P U.S. Preferred Stock Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P U.S. Preferred Stock Index. |
| Invesco Zacks Mid-Cap ETF |
CZA |
Invesco |
46137Y401 |
US46137Y4017 |
2 Apr 2007 |
0.65 % |
Equities (Stocks) |
Not Applicable |
Zacks Mid-Cap Core Index |
| The PowerShares Zacks Mid-Cap Portfolio (Fund) is based on the Zacks Mid-Cap Core Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index selects securities from a universe of mid-capitalization securities, including master limited partnerships (MLPs) and American depositary receipts (ADRs)and business development companies (BDCs). The Fund and the Index are rebalanced quarterly. |
| Vanguard Long-Term Bond ETF |
BLV |
Vanguard |
921937793 |
US9219377937 |
3 Apr 2007 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Long Government/Credit Float Adjusted Index |
| Seeks to track the performance of the Barclays Capital U.S. Long Government/Credit Float Adjusted Index. Exchange-traded share class. Passively managed using index sampling. Diversified exposure to the long-term investment-grade U.S. bond market. Provides high current income with high credit quality. |
| Vanguard Intermediate-Term Bond ETF |
BIV |
Vanguard |
921937819 |
US9219378190 |
3 Apr 2007 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 5 10 Year Government/Credit Float Adjusted Index |
| Seeks to track the investment return of the Barclays Capital U.S. 5 10 Year Government/Credit Float Adjusted Index a market-weighted bond index that covers investment-grade bonds with a dollar-weighted average maturity of 5 to 10 years. Invests in U.S. government high-quality (investment grade) corporate and investment-grade international dollar-denominated bonds. Passively managed using index sampling. |
| Vanguard Total Bond Market ETF |
BND |
Vanguard |
921937835 |
US9219378356 |
3 Apr 2007 |
0.05 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Aggregate Float Adjusted Index |
| Invests in more than 3000 bonds representative of the broad U.S. investment-grade market. Goal is to keep pace with U.S. bond market returns. Offers relatively high potential for investment income; share value tends to rise and fall modestly. More appropriate for medium- or long-term goals where you re looking for a reliable income stream. Appropriate for diversifying the risks of stocks in a portfolio. |
| Vanguard Short-Term Bond ETF |
BSV |
Vanguard |
921937827 |
US9219378273 |
3 Apr 2007 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 1 5 Year Government/Credit Float Adjusted Index |
| Seeks to track the performance of the Barclays Capital U.S. 1 5 Year Government/Credit Float Adjusted Index a market-weighted bond index that covers investment-grade bonds with a dollar-weighted average maturity of 1 to 5 years. Invests in U.S. government high-quality (investment-grade) corporate and investment-grade international dollar-denominated bonds. Follows a passively managed index sampling approach. |
| iShares iBoxx $ High Yield Corporate Bond ETF |
HYG |
Blackrock (iShares) |
464288513 |
US4642885135 |
4 Apr 2007 |
0.49 % |
Bonds |
Not Applicable |
iBoxx $ Liquid High Yield Index |
| The iShares iBoxx $ High Yield Corporate Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the iBoxx $ Liquid High Yield Index a corporate bond market index compiled by the International Index Company Limited. |
| United States Natural Gas Fund LP |
UNG |
United States Commodity Funds |
912318300 |
US9123183009 |
18 Apr 2007 |
1.30 % |
Commodities & Metals |
Not Applicable |
Natural Gas - NYMEX traded near month futures |
| The investment objective of UNG is for the changes in percentage terms of the units net asset value to reflect the changes in percentage terms of the price of natural gas delivered at the Henry Hub Louisiana as measured by the changes in the price of the futures contract on natural gas traded on the New York Mercantile Exchange that is the near month contract to expire except when the near month contract is within two weeks of expiration in which case it will be measured by the futures contract that is the next month contract to expire less UNGs expenses. |
| SPDR Portfolio Developed World ex-US ETF |
SPDW |
State Street (SPDR) |
78463X889 |
US78463X8891 |
20 Apr 2007 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P Developed Ex-U.S. BMI Index |
| The SPDR Portfolio Developed World ex-US ETF seeks to provide investment results that, before fees and expenses, correspond generally to the total return performance of the S&P Developed Ex-U.S. BMI Index (the "Index"). One of the low cost core SPDR Portfolio ETFs, a suite of portfolio building blocks designed to provide broad, diversified exposure to core asset classes. A low cost ETF that seeks to offer broad exposure to developed international equities outside the United States. |
| SPDR S&P International Small Cap ETF |
GWX |
State Street (SPDR) |
78463X871 |
US78463X8719 |
20 Apr 2007 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Developed Ex-U.S. Under USD2 Billion |
| The SPDR S&P International Small Cap ETF before expenses seeks to closely match the returns and characteristics of the total return performance of the S&P Developed Ex-U.S. Under USD2 Billion (ticker: STBMWUU2) an equity index based upon the world (ex-US) small cap composite market. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| VanEck Vectors Russia ETF |
RSX |
Van Eck Associates Corporation |
92189F403 |
US92189F4037 |
24 Apr 2007 |
0.67 % |
Equities (Stocks) |
Not Applicable |
MVIS Russia Index |
| VanEck Vectors Russia ETF (RSX) seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the MVIS Russia Index (MVRSXTR), which includes companies that are incorporated in Russia or that generate at least 50% of their revenues (or, where applicable, have at least 50% of their assets) in Russia. |
| iShares Core U.S. REIT ETF |
USRT |
Blackrock (iShares) |
464288521 |
US4642885218 |
1 May 2007 |
0.08 % |
Equities (Stocks) |
Not Applicable |
FTSE NAREIT Equity REITS Index |
| The iShares Core U.S. REIT ETF seeks to track the investment results of an index composed of U.S. real estate equities. The FTSE NAREIT US Real Estate Index Series is designed to present investors with a comprehensive family of REIT performance indexes that spans the commercial real estate space across the US economy. The index series provides investors with exposure to all investment and property sectors. In addition, the more narrowly focused property sector and sub-sector indexes provide the facility to concentrate commercial real estate exposure in more selected markets. The FTSE NAREIT All Equity REITs index contains all tax-qualified REITs with more than 50 percent of total assets in qualifying real estate assets other than mortgages secured by real property that also meet minimum size and liquidity criteria. |
| iShares Residential Real Estate ETF |
REZ |
Blackrock (iShares) |
464288562 |
US4642885622 |
1 May 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
FTSE NAREIT All Residential Capped Index |
| The iShares Residential Real Estate ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE NAREIT All Residential Capped Index. |
| iShares Mortgage Real Estate Capped ETF |
REM |
Blackrock (iShares) |
46435G342 |
US46435G3424 |
1 May 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
FTSE NAREIT All Mortgage Capped Index |
| The iShares FTSE NAREIT Mortgage Plus Capped Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE NAREIT All Mortgage Capped Index. |
| VanEck Vectors Global Alternative Energy ETF |
GEX |
Van Eck Associates Corporation |
92189F502 |
US92189F5026 |
3 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
Ardour Global Index |
| The Global Alternative Energy ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Ardour Global IndexSM (Extra Liquid). |
| First Trust Consumer Discretionary AlphaDEX Fund |
FXD |
First Trust |
33734X101 |
US33734X1019 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Consumer Discretionary Index |
| The First Trust Consumer Discretionary AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Consumer Discretionary Index. |
| First Trust Consumer Staples AlphaDEX Fund |
FXG |
First Trust |
33734X119 |
US33734X1191 |
8 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Consumer Staples Index |
| The First Trust Consumer Staples AlphaDEX Fund is an exchange-traded Fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Consumer Staples Index. |
| First Trust Energy AlphaDEX Fund |
FXN |
First Trust |
33734X127 |
US33734X1274 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Energy Index |
| The First Trust Energy AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Energy Index |
| First Trust Natural Gas ETF |
FCG |
First Trust |
33733E807 |
US33733E8075 |
8 May 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
ISE- REVERE Natural Gas Index |
| The First Trust Natural Gas ETF is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the ISE-Revere Natural Gas Index. The ISE-Revere Natural Gas Index is comprised of exchange-listed companies that derive a substantial portion of their revenues from the exploration and production of natural gas. |
| First Trust Financial AlphaDEX Fund |
FXO |
First Trust |
33734X135 |
US33734X1357 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Financials Index |
| The First Trust Financials AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Financials Index. |
| First Trust S&P REIT Index Fund |
FRI |
First Trust |
33734G108 |
US33734G1085 |
8 May 2007 |
0.49 % |
Equities (Stocks) |
Not Applicable |
S&P US REIT Index |
| The First Trust S&P REIT Index Fund is an exchange-traded fund. This exchange-traded fund seeks investment results that correspond generally to the price and yield (before the funds fees and expenses) of an equity index called the S&P United States REIT Index. |
| First Trust Health Care AlphaDEX Fund |
FXH |
First Trust |
33734X143 |
US33734X1431 |
8 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Healthcare Index |
| The First Trust Health Care AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Health Care Index. |
| First Trust Industrials/Producer Durables AlphaDEX Fund |
FXR |
First Trust |
33734X150 |
US33734X1506 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Industrials Index |
| The First Trust Industrials/Producer Durables AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Industrials Index. |
| First Trust Materials AlphaDEX Fund |
FXZ |
First Trust |
33734X168 |
US33734X1688 |
8 May 2007 |
0.65 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Materials Index |
| The First Trust Materials AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Materials Index. |
| First Trust Chindia ETF |
FNI |
First Trust |
33733A102 |
US33733A1025 |
8 May 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
ISE Chindia Index |
| The First Trust Chindia ETF is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the ISE Chindia Index. |
| First Trust Water ETF |
FIW |
First Trust |
33733B100 |
US33733B1008 |
8 May 2007 |
0.57 % |
Equities (Stocks) |
Not Applicable |
ISE Water Index |
| The First Trust Water ETF is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the ISE Water Index. |
| First Trust MultiCap Growth AlphaDEX Fund |
FAD |
First Trust |
33733F101 |
US33733F1012 |
8 May 2007 |
0.70 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Multi Cap Growth Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Multi Cap Growth Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Multi Cap Growth Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks that meet certain criteria from the three indices NASDAQ US 500 Large Cap Index, NASDAQ US 600 Mid Cap Index and NASDAQ US 700 Small Cap Index. Nasdaq constructs the NASDAQ AlphaDEX Multi Cap Growth Index by ranking the eligible stocks within each index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 187 stocks from the NASDAQ US 500 Large Cap Growth Index, 225 stocks from the NASDAQ US 600 Mid Cap Growth Index and 262 stocks from the NASDAQ US 700 Small Cap Growth Index based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings within their size class and the top ranked quintiles receive a higher weight within the index. The NASDAQ AlphaDEX Multi Cap Growth Index is comprised of the selected stocks in the following weights: the stocks selected from the NASDAQ US 500 Large Cap Growth Index comprise 50%, the stocks selected from the NASDAQ US 600 Mid Cap Growth Index comprise 30%, and the stocks selected from the NASDAQ US 700 Small Cap Growth Index comprise 20%. The index is reconstituted and rebalanced quarterly. |
| First Trust Multi Cap Value AlphaDEX Fund |
FAB |
First Trust |
33733C108 |
US33733C1080 |
8 May 2007 |
0.66 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Multi Cap Value Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Multi Cap Value Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Multi Cap Value Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks that meet certain criteria from the three indices NASDAQ US 500 Large Cap Index, NASDAQ US 600 Mid Cap Index and NASDAQ US 700 Small Cap Index. Nasdaq constructs the NASDAQ AlphaDEX Multi Cap Value Index by ranking the eligible stocks within each index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 187 stocks from the NASDAQ US 500 Large Cap Value Index, 225 stocks from the NASDAQ US 600 Mid Cap Value Index and 262 stocks from the NASDAQ US 700 Small Cap Value Index based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings within their size class and the top ranked quintiles receive a higher weight within the index. The NASDAQ AlphaDEX Multi Cap Value Index is comprised of the selected stocks in the following weights: the stocks selected from the NASDAQ US 500 Large Cap Value Index comprise 50%, the stocks selected from the NASDAQ US 600 Mid Cap Value Index comprise 30%, and the stocks selected from the NASDAQ US 700 Small Cap Value Index comprise 20%. The index is reconstituted and rebalanced quarterly. |
| First Trust Small Cap Core AlphaDEX Fund |
FYX |
First Trust |
33734Y109 |
US33734Y1091 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Small Cap Core Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Small Cap Core Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Small Cap Core Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ US 700 Small Cap Index that meet certain criteria. Nasdaq constructs the NASDAQ AlphaDEX Small Cap Core Index by ranking the eligible stocks from the NASDAQ US 700 Small Cap Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 525 stocks based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings and the top ranked quintiles receive a higher weight within the index. The stocks are equally-weighted within each quintile. The index is reconstituted and rebalanced quarterly. |
| First Trust Mid Cap Core AlphaDEX Fund |
FNX |
First Trust |
33735B108 |
US33735B1089 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Mid Cap Core Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Mid Cap Core Index (the New Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Mid Cap Core Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ US 600 Mid Cap Index that meet certain criteria. Nasdaq constructs the NASDAQ AlphaDEX Mid Cap Core Index by ranking the eligible stocks from the NASDAQ US 600 Mid Cap Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 450 stocks based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings and the top ranked quintiles receive a higher weight within the index. The stocks are equally-weighted within each quintile. The index is reconstituted and rebalanced quarterly. |
| First Trust Large Cap Growth AlphaDEX Fund |
FTC |
First Trust |
33735K108 |
US33735K1088 |
8 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Large Cap Growth Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Large Cap Growth Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Large Cap Growth Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ US 500 Large Cap Growth Index that meet certain criteria. Nasdaq constructs the NASDAQ AlphaDEX Large Cap Growth Index by ranking the eligible stocks from the NASDAQ US 500 Large Cap Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 187 stocks based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings and the top ranked quintiles receive a higher weight within the index. The stocks are equally-weighted within each quintile. The index is reconstituted and rebalanced quarterly. |
| First Trust Large Cap Value AlphaDEX Fund |
FTA |
First Trust |
33735J101 |
US33735J1016 |
8 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Large Cap Value Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Large Cap Value Index (the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. The NASDAQ AlphaDEX Large Cap Value Index is an enhanced index created and administered by Nasdaq, Inc. ( Nasdaq ) which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ US 500 Large Cap Value Index that meet certain criteria. Nasdaq constructs the NASDAQ AlphaDEX Large Cap Value Index by ranking the eligible stocks from the NASDAQ US 500 Large Cap Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. Each stock receives either its growth or value score as it s selection score based on it s style designation as determined by Nasdaq. The top 187 stocks based on the selection score determined in the previous step comprise the selected stocks . The selected stocks are divided into quintiles based on their rankings and the top ranked quintiles receive a higher weight within the index. The stocks are equally-weighted within each quintile. The index is reconstituted and rebalanced quarterly. |
| First Trust Large Cap Core AlphaDEX Fund |
FEX |
First Trust |
33734K109 |
US33734K1097 |
8 May 2007 |
0.61 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Large Cap Core Index |
| The Fund will seek investment results that correspond generally to the price and yield (before the Fund s fees and expenses) of an equity index called the NASDAQ AlphaDEX Large Cap Core Index(the Index ). The Index is a modified equal dollar-weighted index developed and maintained by The NASDAQ OMX Group, Inc. that is designed to generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX selection methodology. |
| First Trust Technology AlphaDEX Fund |
FXL |
First Trust |
33734X176 |
US33734X1761 |
8 May 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Technology Index |
| The First Trust Technology AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Technology Index. |
| First Trust Utilities AlphaDEX Fund |
FXU |
First Trust |
33734X184 |
US33734X1845 |
8 May 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
StrataQuant Utilities Index |
| The First Trust Utilities AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the StrataQuant Utilities Index. |
| Invesco S&P Global Water Index ETF |
CGW |
Invesco |
46138E263 |
US46138E2634 |
14 May 2007 |
0.61 % |
Equities (Stocks) |
Not Applicable |
S&P Global Water Index |
| The Invesco S&P Global Water Index ETF (Fund) is based on the S&P Global Water Index (Index). The Fund will invest at least 90% of its total assets in stock and American depositary receipts (ADRs) that comprise the Index. The Index is comprised of developed market securities including water utilities, infrastructure, equipment, instruments and materials. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced semiannually. |
| SPDR Bloomberg Barclays 1-3 Month T-Bill ETF |
BIL |
State Street (SPDR) |
78468R663 |
US78468R6633 |
25 May 2007 |
0.14 % |
Bonds |
Not Applicable |
Bloomberg Barclays 1-3 Month U.S. Treasury Bill Index |
| The SPDR Bloomberg Barclays 1-3 Month T-Bill ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays 1-3 Month U.S. Treasury Bill Index (the "Index"). Seeks to provide exposure to zero coupon U.S. Treasury securities that have a remaining maturity of 1-3 months. Short duration fixed income is less exposed to fluctuations in interest rates than longer duration securities. |
| SPDR Bloomberg Barclays Intermediate Term Treasury ETF |
ITE |
State Street (SPDR) |
78464A672 |
US78464A6727 |
23 May 2007 |
0.10 % |
Bonds |
Not Applicable |
Bloomberg Barclays 3-10 Year U.S. Treasury Index |
| The SPDR Bloomberg Barclays Intermediate Term Treasury ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays 3-10 Year U.S.Treasury Index (the "Index"). The Bloomberg Barclays Intermediate U.S. Treasury Index (the "Index) is designed to measure the performance of public obligations of the U.S. Treasury that have a remaining maturity of greater than or equal to 1 year and less than 10 years. The Index includes all publicly issued, U.S. Treasury securities that have a remaining maturity of greater than or equal to 1 year and less than 10 years, are rated 17 investment grade, and have $300 million or more of outstanding face value. In addition, the securities must be denominated in U.S. dollars and must be fixed rate and non-convertible. Excluded from the Index are certain special issues, such as flower bonds, targeted investor notes, state and local government series bonds, inflation protected public obligations of the U.S. Treasury, commonly known as "TIPS," and coupon issues that have been stripped from bonds included in the Index. The Index is market capitalization weighted. |
| SPDR Portfolio Long Term Treasury ETF |
SPTL |
State Street (SPDR) |
78464A664 |
US78464A6644 |
23 May 2007 |
0.06 % |
Bonds |
Not Applicable |
Barclays Capital Long U.S. Treasury Index |
| The SPDR Portfolio Long Term Treasury ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays Long U.S. Treasury Index (the "Index"). The Bloomberg Barclays Long U.S. Treasury Index includes all publicly issued, U.S. Treasury securities that have a remaining maturity of 10 or more years, are rated investment grade, and have $250 million or more of outstanding face value. In addition, the securities must be denominated in U.S. dollars and must be fixed rate and non convertible. Excluded from the Long U.S. Treasury Index are certain special issues, such as flower bonds, TINs, state and local government series bonds, TIPS, and coupon issues that have been stripped from bonds included in the index. The Long U.S. Treasury Index is market capitalization weighted and the securities in the index are updated on the last business day of each month. |
| SPDR Portfolio Aggregate Bond ETF |
SPAB |
State Street (SPDR) |
78464A649 |
US78464A6495 |
23 May 2007 |
0.04 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Aggregate Bond Index |
| The SPDR Portfolio Aggregate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays U.S. Aggregate Index (the "Index"). The Bloomberg Barclays U.S. Aggregate Index provides a measure of the performance of the U.S. dollar denominated investment grade bond market, which includes investment grade (must be Baa3/BBB- or higher using the middle rating of Moodys Investor Service, Inc., Standard & Poors, and Fitch Inc.) government bonds, investment grade corporate bonds, mortgage pass through securities, commercial mortgage backed securities and asset backed securities that are publicly for sale in the United States. The securities in the U.S. Aggregate Index must have at least 1 year remaining to maturity and must have $250 million or more of outstanding face value. Asset backed securities must have a minimum deal size of $500 million and a minimum tranche size of $25 million. For commercial mortgage backed securities, the original aggregate transaction must have a minimum deal size of $500 million, and a minimum tranche size of $25 million; the aggregate outstanding transaction sizes must be at least $300 million to remain in the index. In addition, the securities must be U.S. dollar denominated, fixed rate, non convertible, and taxable. Certain types of securities, such as flower bonds, TINs, and state and local government series bonds are excluded from the U.S. Aggregate Index. Also excluded from the U.S. Aggregate Index are structured notes with embedded swaps or other special features, private placements, floating rate securities and Eurobonds. The U.S. Aggregate Index is market capitalization weighted and the securities in the Index are updated on the last business day of each month. |
| SPDR Bloomberg Barclays TIPS ETF |
IPE |
State Street (SPDR) |
78464A656 |
US78464A6560 |
23 May 2007 |
0.15 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Government Inflation-linked Bond Index |
| The SPDR Bloomberg Barclays TIPS ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays U.S. Government Inflation-linked Bond Index (the "Index"). Seeks to provide exposure to U.S. Treasury inflation protected securities (TIPS). TIPS are securities issued by the U.S. Treasury that are designed to provide inflation protection to investors. |
| WisdomTree Global ex-US Real Estate Fund |
DRW |
Wisdom Tree |
97717W331 |
US97717W3319 |
5 Jun 2007 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree International Real Estate Index |
| WisdomTree International Real Estate Fund seeks investment results that correspond to the price and yield performance before fees and expenses of the WisdomTree International Real Estate Index. |
| iShares International Select Dividend ETF |
IDV |
Blackrock (iShares) |
464288448 |
US4642884484 |
11 Jun 2007 |
0.50 % |
Equities (Stocks) |
Not Applicable |
Dow Jones EPAC Select Dividend Index |
| The iShares Dow Jones International Select Dividend Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Dow Jones EPAC Select Dividend Index. |
| Invesco Global Clean Energy ETF |
PBD |
Invesco |
46138G847 |
US46138G8472 |
13 Jun 2007 |
0.75 % |
Equities (Stocks) |
Not Applicable |
WilderHill New Energy Global Innovation Index |
| The Invesco Global Clean Energy ETF (Fund) is based on the WilderHill New Energy Global Innovation Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American Depository Receipts (ADRs) based on the securities in the Index. The Index seeks to deliver capital appreciation and is composed of companies that focus on greener and generally renewable sources of energy and technologies facilitating cleaner energy. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco S&P International Developed Quality ETF |
IDHQ |
Invesco |
46138E214 |
US46138E2147 |
13 Jun 2007 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P Quality Developed ex-U.S. LargeMidCap Index |
| The Invesco S&P International Developed Quality ETF (Fund) is based on the S&P Quality Developed ex-U.S. LargeMidCap Index (Index). The Fund generally will invest at least 90% of its total assets in common stocks that comprise the Index. The Index tracks the performance of stocks in the S&P Developed ex-U.S. LargeMidCap Index that have the highest quality score, which is calculated based on three fundamental measures, return on equity, accruals ratio and financial leverage ratio. The Fund and the Index are rebalanced and reconstituted semi-annually on the third Friday of June and December. |
| Invesco Global Water ETF |
PIO |
Invesco |
46138E651 |
US46138E6510 |
13 Jun 2007 |
0.76 % |
Equities (Stocks) |
Not Applicable |
Nasdaq OMX US Global Water Index |
| The Invesco Global Water ETF (Fund) is based on the NASDAQ OMX Global Water Index. The Fund generally will invest at least 90% of its total assets in companies listed on a global exchange that create products designed to conserve and purify water for homes, businesses and industries. The Fund and the Index are rebalanced quarterly and reconstituted annually in April. |
| Invesco S&P Global Dividend Opportunities Index ETF |
LVL |
Invesco |
46138E271 |
US46138E2717 |
25 Jun 2007 |
0.64 % |
Equities (Stocks) |
Not Applicable |
S&P Global Dividend Opportunities Index |
| The Invesco S&P Global Dividend Opportunities Index ETF (Fund) is based on the S&P Global Dividend Opportunities Index (Index). The Fund will invest at least 90% of its total assets in common stocks, American depositary receipts (ADRs) and depositary receipts that comprise the Index. The Index is composed of securities that offer high dividend yields chosen from a universe consisting of the stocks listed in on the exchanges of those countries included in the S&P Global Broad Market Index. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced semiannually. |
| Invesco FTSE RAFI Developed Markets ex-U.S. ETF |
PXF |
Invesco |
46138E743 |
US46138E7435 |
25 Jun 2007 |
0.45 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI Developed Markets ex-U.S. Index |
| The Invesco FTSE RAFI Developed Markets ex-U.S. ETF (Fund) is based on the FTSE RAFI Developed ex U.S. 1000 Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American Depository Receipts (ADRs) based on the securities in the Index. The Index is designed to track the performance of the largest developed market equities (excluding the US), selected based on the following four fundamental measures of firm size: book value, cash flow, sales and dividends. The equities with the highest fundamental strength are weighted according to their fundamental scores. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are reconstituted annually. |
| Invesco FTSE RAFI Asia Pacific ex-Japan ETF |
PAF |
Invesco |
46138E750 |
US46138E7500 |
25 Jun 2007 |
0.49 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI Developed Asia Pacific ex Japan Index |
| The Invesco FTSE RAFI Asia Pacific ex-Japan ETF is based on the FTSE RAFI Developed Asia Pacific ex-Japan Index. The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts based on the securities in the Index. The Index is designed to track the performance of the Asia Pacific companies (excluding Japan) with the largest fundamental value, selected from the constituents of the FTSE Developed All Cap Index as determined by FTSE International Ltd. The equities are selected and weighted based on the following four fundamental measures of firm size: book value, cash flow, sales and dividends. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are reconstituted annually. |
| Invesco Canadian Energy Income ETF |
ENY |
Invesco |
46138E305 |
US46138E3053 |
3 Jul 2007 |
0.66 % |
Equities (Stocks) |
Not Applicable |
S&P/TSX High Income Energy Index |
| The Invesco Canadian Energy Income ETF (Fund) is based on the S&P/TSX High Income Energy Index (Index). The Fund will invest at least 80% of its total assets in securities that comprise the Index. The Index is composed of "high yielding" Canadian securities (with dividend yields generally higher than 1.5-2%) in the energy sector that meet size and liquidity requirements. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly. |
| Invesco Zacks International Multi-Asset Income ETF |
HGI |
Invesco |
46138G854 |
US46138G8548 |
11 Jul 2007 |
0.85 % |
Equities (Stocks) |
Not Applicable |
Zacks International Multi-Asset Income Index |
| The Invesco Zacks International Multi-Asset Income ETF (Fund) is based on the Zacks International Multi-Asset Income Index (Index). The Fund will invest at least 90% of its total assets in stocks that comprise the Index. The Index is comprised of international companies, global real estate investment trusts, master limited partnerships, Canadian royalty trusts, American depositary receipts (ADRs) of emerging market companies and US listed closed-end funds that invest in international companies and at all times is at least 40% non-US securities. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced semiannually |
| WisdomTree Emerging Markets High Dividend Fund |
DEM |
Wisdom Tree |
97717W315 |
US97717W3152 |
13 Jul 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Emerging Markets High Dividend Index |
| The WisdomTree Emerging Markets High Dividend Index is a fundamentally weighted index that measures the performance of the highest dividend yielding stocks selected from the WisdomTree Emerging Markets Dividend Index. At the index measurement date, companies within the WisdomTree Emerging Markets Dividend Index are ranked by dividend yield. Securities ranking in the highest 30% by dividend yield are selected for inclusion. Companies are weighted in the Index based on annual cash dividends paid. |
| Vanguard FTSE Developed Markets ETF |
VEA |
Vanguard |
921943858 |
US9219438580 |
20 Jul 2007 |
0.07 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed All Cap ex US Index |
| Vanguard FTSE Developed Markets ETF seeks to track the performance of a benchmark index that measures the investment return of stocks issued by companies located in Canada and the major markets of Europe and the Pacific region. The FTSE Developed All Cap ex US Index is a market-capitalization-weighted index that is made up of approximately 3,700 common stocks of large-, mid-, and small-cap companies located in Canada and the major markets of Europe and the Pacific region. The top countries represented include Japan, United Kingdom, Canada, France, Germany, Switzerland, and Australia. |
| iShares International Developed Property ETF |
WPS |
Blackrock (iShares) |
464288422 |
US4642884229 |
30 Jul 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Developed ex-US Property Index |
| The iShares S&P Developed ex-U.S. Property Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Developed ex US Property Index. |
| GS Connect S&P GSCI Enhanced Commodity Total Return Strategy Index ETN |
GSC |
Goldman Sachs |
38144L852 |
US38144L8524 |
31 Jul 2007 |
1.25 % |
Commodities & Metals |
Not Applicable |
S&P GSCI Enhanced Commodity Total Return Strategy Index |
| The Claymore CEF Index-Linked GS Connect ETN provides a way forinvestors to gain broad-based exposure to a portfolio of CEFs that meet a predefined set of criteria. The screening process by which CEFs are selected for inclusion in the Index is used to identify desirable CEFs within the universe of eligible CEFs. These measures include, but are not limited to, tests for the CEFs longevity, liquidity, distributions and market price |
| ELEMENTS SPECTRUM ETN |
EEH |
ELEMENTS |
870297504 |
US8702975041 |
1 Aug 2007 |
0.75 % |
Equities (Stocks) |
Not Applicable |
SPECTRUM Large Cap U.S. Sector Momentum Index |
| The Index applies the methodology of momentum investing to the ten component sub-Indices of the S&P 500 Index (the Sub-indices and each a Sub-index ). Each of the component stocks of the S&P 500 Index (the Index Components ) belongs to one of the ten Sub-indices. According to the index calculation methodology, the Index is rebalanced daily in two steps to account for the different performances of the Sub-indices relative to the S&P 500 Total Return Index (the SPTR ).. |
| VanEck Vectors Uranium+Nuclear Energy ETF |
NLR |
Van Eck Associates Corporation |
92189F601 |
US92189F6016 |
13 Aug 2007 |
0.61 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Global Uranium and Nuclear Energy Index |
| The Nuclear Energy ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Global Uranium and Nuclear Energy Index. |
| First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund |
FFR |
First Trust |
33736N101 |
US33736N1019 |
27 Aug 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
FTSE EPRA/NAREIT Developed Index |
| First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the FTSE EPRA/NAREIT Developed Index. |
| First Trust Stoxx European Select Dividend Index Fund |
FDD |
First Trust |
33735T109 |
US33735T1097 |
27 Aug 2007 |
0.60 % |
Equities (Stocks) |
Not Applicable |
STOXX Europe Select Dividend 30 Index |
| First Trust STOXX European Select Dividend Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the STOXX Europe Select Dividend 30 Index. The Index is a dividend weighted index of 30 stocks selected from the STOXX Europe 600 Index which includes high-dividend yielding companies across 18 European countries. |
| VanEck Vectors Agribusiness ETF |
MOO |
Van Eck Associates Corporation |
92189F700 |
US92189F7006 |
31 Aug 2007 |
0.53 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Global Agribusiness Index |
| The Agribusiness ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the DAXglobal Agribusiness Index. |
| iShares National Muni Bond ETF |
MUB |
Blackrock (iShares) |
464288414 |
US4642884146 |
7 Sep 2007 |
0.07 % |
Bonds |
Not Applicable |
S&P National AMT-Free Municipal Bond Index |
| The iShares S&P National AMT-Free Municipal Bond Fund seeks results that correspond generally to the price and yield performance before fees and expenses of the municipal bond sector of the United States as defined by the S&P National AMT-Free Municipal Bond Index. |
| SPDR Nuveen Barclays Municipal Bond ETF |
TFI |
State Street (SPDR) |
78468R721 |
US78468R7219 |
11 Sep 2007 |
0.23 % |
Bonds |
Not Applicable |
Barclays Capital Municipal Managed Money Index |
| The SPDR Nuveen Barclays Capital Municipal Bond ETF seeks to provide investment results that before fees and expenses correspond generally to the price and yield performance of the Barclays Capital Municipal Managed Money Index (ticker: LMMITR). |
| Invesco FTSE RAFI Developed Markets ex-U.S. Small-Mid ETF |
PDN |
Invesco |
46138E735 |
US46138E7351 |
27 Sep 2007 |
0.49 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI Developed Markets ex-U.S. Mid-Small 1500 Index |
| The Invesco FTSE RAFI Developed Markets ex-U.S. Small-Mid ETF (Fund) is based on the FTSE RAFI Developed ex U.S. Mid-Small 1500 Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American Depository Receipts (ADRs) based on the securities in the Index. The Index is designed to track the performance of small and mid-capitalization equities of companies in developed international markets (excluding the US), selected based on the following four fundamental measures of firm size: book value, cash flow, sales and dividends. The equities are based on their fundamental strength and are weighted according to their fundamental scores. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are reconstituted annually. |
| Invesco FTSE RAFI Emerging Markets ETF |
PXH |
Invesco |
46138E727 |
US46138E7278 |
27 Sep 2007 |
0.50 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI Emerging Markets Index |
| The Invesco FTSE RAFI Emerging Markets ETF (Fund) is based on the FTSE RAFI Emerging Markets Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American Depository Receipts (ADRs) based on the securities in the Index. The Index is designed to track the performance of the largest emerging market equities, selected based on the following four fundamental measures of firm size: book value, cash flow, sales and dividends. The equities with the highest fundamental strength are weighted according to their fundamental scores. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are reconstituted annually. |
| SPDR Bloomberg Barclays International Treasury Bond ETF |
BWX |
State Street (SPDR) |
78464A516 |
US78464A5166 |
2 Oct 2007 |
0.50 % |
Bonds |
Not Applicable |
Bloomberg Barclays Global Treasury ex-US Capped Index |
| The SPDR Bloomberg Barclays International Treasury Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays Global Treasury ex-US Capped Index (the "Index"). Seeks to provide exposure to fixed-rate local currency sovereign debt of investment grade countries outside the United States. Index includes government bonds issued by investment grade countries outside the United States, in local currencies, that have a remaining maturity of one year or more and are rated investment grade. |
| iShares California Muni Bond ETF |
CMF |
Blackrock (iShares) |
464288356 |
US4642883569 |
4 Oct 2007 |
0.25 % |
Bonds |
Not Applicable |
S&P California AMT-Free Municipal Bond Index |
| The iShares S&P California AMT-Free Municipal Bond Fund seeks results that correspond generally to the price and yield performance before fees and expenses of the California municipal bond sector of the U.S. municipal bond market as defined by the S&P California AMT-Free Municipal Bond Index. |
| iShares New York Muni Bond ETF |
NYF |
Blackrock (iShares) |
464288323 |
US4642883239 |
4 Oct 2007 |
0.25 % |
Bonds |
Not Applicable |
S&P New York AMT-Free Municipal Bond Index |
| The iShares S&P New York AMT-Free Municipal Bond Fund seeks results that correspond generally to the price and yield performance before fees and expenses of the New York municipal bond sector of the U.S. municipal bond market as defined by the S&P New York AMT-Free Municipal Bond Index. |
| SPDR Nuveen Barclays Short Term Municipal Bond ETF |
SHM |
State Street (SPDR) |
78468R739 |
US78468R7391 |
10 Oct 2007 |
0.20 % |
Bonds |
Not Applicable |
Barclays Capital Managed Money Municipal Short Term Index |
| The SPDR Nuveen Barclays Capital Short Term Municipal Bond ETF seeks to provide investment results that before fees and expenses correspond generally to the price and yield performance of the Barclays Capital Managed Money Municipal Short Term Index (ticker: LMM1TR). |
| Invesco 1-30 Laddered Treasury ETF |
PLW |
Invesco |
46138E107 |
US46138E1073 |
11 Oct 2007 |
0.25 % |
Bonds |
Not Applicable |
Ryan/Mergent 1-30 Year Treasury Laddered Index |
| The Invesco 1-30 Laddered Treasury ETF (Fund) is based on the Ryan/NASDAQ U.S. 1-30 Year Treasury Laddered Index (Index). The Fund will normally invest at least 80% of its total assets in securities that comprise the Index. The Index measures the potential returns of the U.S. Treasury yield curve based on approximately 30 equally weighted U.S. Treasury issues with fixed coupons, scheduled to mature in a proportional, annual sequential ("laddered") structure. The Fund does not participate in Treasury Bills, Treasury Inflation Protected Securities (TIPS), or zero-coupon securities (STRIPS). The Fund and the Index are rebalanced and reconstituted annually in February. |
| Invesco California AMT-Free Municipal Bond ETF |
PWZ |
Invesco |
46138E206 |
US46138E2063 |
11 Oct 2007 |
0.28 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch California Long-Term Core Plus Municipal Securities Index |
| The Invesco California AMT-Free Municipal Bond ETF (Fund) is based on the ICE BofAML California Long-Term Core Plus Municipal Securities Index (Index). The Fund generally will invest at least 80% of its total assets in municipal securities that comprise the Index and that also are exempt from the federal alternative minimum tax. The Index is composed of US dollar-denominated, investment grade, tax-exempt debt publicly issued by California or any US territory, or their political subdivisions, in the US domestic market with a term of at least 15 years remaining to final maturity. The Index is adjusted monthly and its constituents are capitalization-weighted based on their current amount outstanding. The Fund and the Index are rebalanced and reconstituted monthly. |
| Invesco New York AMT-Free Municipal Bond ETF |
PZT |
Invesco |
46138E529 |
US46138E5298 |
11 Oct 2007 |
0.28 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch New York Long-Term Core Plus Municipal Securities Index |
| The Invesco New York AMT-Free Municipal Bond ETF (Fund) is based on The ICE BofAML New York Long-Term Core Plus Municipal Securities Index (Index). The Fund generally will invest at least 80% of its total assets in municipal securities that comprise the Index and that also are exempt from the federal alternative minimum tax. The Index is composed of US dollar-denominated, investment grade, tax-exempt debt publicly issued by New York or any US territory, or their political subdivisions, in the US domestic market with a term of at least 15 years remaining to final maturity. The Index is adjusted monthly and its constituents are capitalization-weighted based on their current amount outstanding. The Fund and the Index are rebalanced and reconstituted monthly. |
| Invesco National AMT-Free Municipal Bond ETF |
PZA |
Invesco |
46138E537 |
US46138E5371 |
11 Oct 2007 |
0.28 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch National Long-Term Core Plus Municipal Securities Index |
| The Invesco National AMT-Free Municipal Bond ETF (Fund) is based on The ICE BofAML National Long-Term Core Plus Municipal Securities Index (Index). The Fund generally will invest at least 80% of its total assets in municipal securities that comprise the Index and that also are exempt from the federal alternative minimum tax. The Index is composed of US dollar-denominated, investment grade, tax-exempt debt publicly issued by US. states and territories, or their political subdivisions, in the US domestic market with a term of at least 15 years remaining to final maturity. The Index is adjusted monthly and its constituents are capitalization-weighted based on their current amount outstanding. The Fund and the Index are rebalanced and reconstituted monthly. |
| Invesco Emerging Markets Sovereign Debt ETF |
PCY |
Invesco |
46138E784 |
US46138E7849 |
11 Oct 2007 |
0.50 % |
Bonds |
Not Applicable |
DB Emerging Market USD Liquid Balanced Index |
| The Invesco Emerging Markets Sovereign Debt ETF is based on the DBIQ Emerging Market USD Liquid Balanced Index. The Fund will normally invest at least 80% of its total assets in securities that comprise the Index. The Index tracks the potential returns of a theoretical portfolio of liquid emerging markets US dollar-denominated government bonds issued by more than 20 emerging-market countries. The countries in the Index are selected annually pursuant to a proprietary index methodology. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Claymore CEF GS Connect ETN |
GCE |
Goldman Sachs |
362273104 |
US3622731046 |
10 Dec 2007 |
0.95 % |
Other Asset Types |
Hedge Fund Replication |
Claymore CEF Index |
| The Claymore CEF Index-Linked GS Connect ETN provides a way for investors to gain broad-based exposure to a portfolio of CEFs that meet a predefined set of criteria. The screening process by which CEFs are selected for inclusion in the Index is used to identify desirable CEFs within the universe of eligible CEFs. These measures include, but are not limited to, tests for the CEFs longevity, liquidity, distributions and market price. |
| ELEMENTS Linked to the Rogers International Commodity Index - Agri Tot Return |
RJA |
ELEMENTS |
870297603 |
US8702976031 |
17 Oct 2007 |
0.75 % |
Commodities & Metals |
Not Applicable |
Rogers International Commodity Index Agriculture Total Return |
| The Index represents the value of a basket of 20 agricultural commodity futures contracts and is a sub-index of the Rogers International Commodity Index |
| ELEMENTS Linked to the Rogers International Commodity Index - Total Return |
RJI |
ELEMENTS |
870297801 |
US8702978011 |
17 Oct 2007 |
0.75 % |
Commodities & Metals |
Not Applicable |
Rogers International Commodity Index Total Return |
| The Index represents the value of a basket of 36 commodity futures contracts. The Index is a composite, United States dollar based, total return index, launched by James B. Rogers on July 31, 1998. The Index represents the value of a basket of futures contracts on commodities consumed in the global economy, ranging from agricultural to energy and metals products. |
| ELEMENTS Linked to the Rogers International Commodity Index - Energy To Return |
RJN |
ELEMENTS |
870297306 |
US8702973061 |
17 Oct 2007 |
0.75 % |
Commodities & Metals |
Not Applicable |
Rogers International Commodity Index Energy Total Return |
| The Index represents the value of a basket of 6 energy commodity futures contracts and is a sub-index of the Rogers International Commodity Index |
| ELEMENTS Linked to the Rogers International Commodity Index - Metals Tot Return |
RJZ |
ELEMENTS |
870297405 |
US8702974051 |
17 Oct 2007 |
0.75 % |
Commodities & Metals |
Not Applicable |
Rogers International Commodity Index Metals Total Return |
| The Index represents the value of a basket of 10 metals commodity futures contracts and is a sub-index of the Rogers International Commodity Index |
| ELEMENTS Linked to the Morningstar Wide Moat Focus Total Return Index |
WMW |
ELEMENTS |
25153Q708 |
US25153Q7088 |
17 Oct 2007 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Morningstar Wide Moat Focus Total Return Index |
| The Index is derived from the universe of companies that Morningstar determines have wide moats. A wide-moat company is one that has a maintainable return on invested capital exceeding cost of capital and a sustainable competitive advantage. The Index is comprised of the common stocks of the twenty eligible companies within the Morningstar Wide Moat universe that have the highest ratio of fair value to stock price. The Index is a subset of the Morningstar US Market Index, a market index representing approximately 97% of U.S. equity market capitalization. |
| ProShares Short MSCI EAFE |
EFZ |
ProShares |
74347R370 |
US74347R3701 |
23 Oct 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| Short MSCI EAFE ProShares seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the MSCI EAFE Index. |
| ProShares UltraShort MSCI EAFE |
EFU |
ProShares |
74348A475 |
US74348A4756 |
23 Oct 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| ProShares UltraShort MSCI EAFE seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI EAFE Index. |
| ProShares UltraShort MSCI Emerging Markets |
EEV |
ProShares |
74347B284 |
US74347B2842 |
30 Oct 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| ProShares UltraShort MSCI Emerging Markets seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI Emerging Markets Index. |
| ProShares Short MSCI Emerging Markets |
EUM |
ProShares |
74347R396 |
US74347R3966 |
30 Oct 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| ProShares Short MSCI Emerging Markets seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the MSCI Emerging Markets Index. |
| WisdomTree Emerging Markets SmallCap Dividend Fund |
DGS |
Wisdom Tree |
97717W281 |
US97717W2816 |
30 Oct 2007 |
0.63 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Emerging Markets SmallCap Dividend Index |
| WisdomTree Emerging Markets SmallCap Dividend Fund seeks investment results that correspond to the price and yield performance before fees and expenses of the WisdomTree Emerging Markets SmallCap Dividend Index. |
| ProShares UltraShort MSCI Japan |
EWV |
ProShares |
74348A459 |
US74348A4590 |
6 Nov 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Japan Index |
| ProShares UltraShort MSCI Japan seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the MSCI Japan Index. |
| ProShares UltraShort FTSE China 50 |
FXP |
ProShares |
74347B227 |
US74347B2271 |
6 Nov 2007 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| ProShares UltraShort FTSE/Xinhua China 50 seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the FTSE/Xinhua China 50 Index. |
| ELEMENTS - Dogs of the Dow Linked to the DJ High Yield Select TR Index |
DOD |
ELEMENTS |
25153Q658 |
US25153Q6585 |
7 Nov 2007 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Dow Jones High Yield Select 10 Total Return Index |
| The Index is a market index constructed as a subset of the Dow Jones Industrial Average. Each December, the thirty stocks in the Dow Jones Industrial Average are ranked by indicated annual dividend yield. The ten stocks with the highest indicated annual dividend yield are then selected as Index components. |
| Invesco MSCI Global Timber ETF |
CUT |
Invesco |
46138E545 |
US46138E5454 |
9 Nov 2007 |
0.55 % |
Equities (Stocks) |
Not Applicable |
MSCI ACWI IMI Timber Select Capped Index |
| The Invesco MSCI Global Timber ETF (Fund) is based on the MSCI ACWI IMI Timber Select Capped Index (Index). The Fund will invest at least 90% of its total assets in stock, American depositary receipts (ADRs), global depositary receipts (GDRs) and depositary receipts that comprise the Index. The Index measures the performance of securities engaged in the ownership and management of forests, timberlands and production of products using timber as raw materials. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly. |
| iShares Europe Developed Real Estate ETF |
IFEU |
Blackrock (iShares) |
464288471 |
US4642884716 |
12 Nov 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
FTSE EPRA/NAREIT Developed Europe Index |
| The iShares FTSE EPRA/NAREIT Developed Europe Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE EPRA/NAREIT Developed Europe Index. |
| iShares International Developed Real Estate ETF |
IFGL |
Blackrock (iShares) |
464288489 |
US4642884898 |
12 Nov 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
FTSE EPRA/NAREIT Developed Real Estate ex-U.S. Index |
| The iShares FTSE EPRA/NAREIT Developed Real Estate ex-U.S. Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE EPRA/NAREIT Developed Real Estate ex-U.S. Index. |
| iShares MSCI Europe Small-Cap ETF |
IEUS |
Blackrock (iShares) |
464288497 |
US4642884971 |
12 Nov 2007 |
0.40 % |
Equities (Stocks) |
Not Applicable |
MSCI Europe Small Cap Index |
| The iShares MSCI Europe Small-Cap ETF seeks to track the investment results of an index composed of small-capitalization developed market equities in Europe. Exposure to small public companies in developed European markets. |
| iShares MSCI Chile ETF |
ECH |
Blackrock (iShares) |
464286640 |
US4642866408 |
12 Nov 2007 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Chile IMI 25/50 Index |
| The iShares MSCI Chile ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Chile IMI 25/50 Index. The iShares MSCI Chile ETF seeks to track the investment results of a broad-based index composed of Chilean equities. |
| iShares MSCI BRIC ETF |
BKF |
Blackrock (iShares) |
464286657 |
US4642866572 |
12 Nov 2007 |
0.70 % |
Equities (Stocks) |
Not Applicable |
MSCI BRIC Index |
| The iShares MSCI BRIC Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI BRIC Index. |
| iShares Asia 50 ETF |
AIA |
Blackrock (iShares) |
464288430 |
US4642884302 |
13 Nov 2007 |
0.50 % |
Equities (Stocks) |
Not Applicable |
S&P Asia 50 Index |
| The iShares S&P Asia 50 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Standard & Poors Asia 50 Index. |
| Invesco VRDO Tax-Free Weekly ETF |
PVI |
Invesco |
46138G862 |
US46138G8621 |
15 Nov 2007 |
0.25 % |
Bonds |
Not Applicable |
Bloomberg US Municipal AMT-Free Weekly VRDO Index |
| The Invesco VRDO Tax-Free Weekly ETF (Fund) is based on the Bloomberg US Municipal AMT-Free Weekly VRDO Index (Index). The Fund generally will invest at least 80% of its total assets in variable rate demand obligation (VRDO) bonds that are exempt from federal income tax with interest rates that reset weekly, which comprise the Underlying Index. The Index is comprised of municipal securities issued in the primary market as VRDOs. |
| Invesco Fundamental High Yield Corporate Bond ETF |
PHB |
Invesco |
46138E719 |
US46138E7195 |
15 Nov 2007 |
0.50 % |
Bonds |
Not Applicable |
RAFI Bonds US High Yield 1-10 Index |
| The Invesco Fundamental High Yield Corporate Bond ETF (Fund) is based on the RAFI Bonds US High Yield 1-10 Index (Index). The Fund will normally invest at least 80% of its total assets in high-yield corporate bonds that comprise the Index. The Index is comprised of US dollar-denominated bonds that are registered with the SEC or that are Rule 144A securities that provide for registration rights and whose issuers are public companies listed on a major US stock exchange. Only investible non-convertible, non-exchangeable, non-zero, fixed coupon high-yield corporate bonds qualify for inclusion in the Index. Based on the Fundamental Index methodology developed by Research Affiliates, LLC, the Index is compiled and calculated by ALM Research Solutions, LLC. The Fund and the Index are rebalanced monthly and reconstituted annually in March. |
| First Trust DJ Global Select Dividend Index Fund |
FGD |
First Trust |
33734X200 |
US33734X2009 |
21 Nov 2007 |
0.58 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Global Select Dividend Index |
| First Trust Dow Jones Global Select Dividend Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before fees and expenses of an equity index called the Dow Jones Global Select Dividend Index. |
| SPDR Bloomberg Barclays High Yield Bond ETF |
JNK |
State Street (SPDR) |
78464A417 |
US78464A4177 |
28 Nov 2007 |
0.40 % |
Bonds |
Not Applicable |
Bloomberg Barclays High Yield Very Liquid Index |
| The SPDR Bloomberg Barclays High Yield Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays High Yield Very Liquid Index (the "Index"). Seeks to provide a a diversified exposure to US dollar-denominated high yield corporate bonds with above-average liquidity. A more cost efficient way to implement a high yield exposure than via individual bonds. |
| VanEck Vectors Intermediate Municipal ETF |
ITM |
Van Eck Associates Corporation |
92189H201 |
US92189H2013 |
4 Dec 2007 |
0.24 % |
Bonds |
Not Applicable |
Barclays Capital AMT-Free Intermediate Continuous Municipal Index |
| The VanEck Vectors Intermediate Municipal ETF (ITM) seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Barclays Capital AMT-Free Intermediate Continuous Municipal Index . The Index provides broad exposure to investment-grade municipal bonds with a nominal maturity of 6-17 years. |
| United States 12 Month Oil Fund LP |
USL |
United States Commodity Funds |
91288V103 |
US91288V1035 |
6 Dec 2007 |
0.86 % |
Commodities & Metals |
Not Applicable |
Crude Oil - NYMEX traded light sweet crude oil next 12 months average futures contracts |
| The investment objective of USL is to have the changes in percentage terms of the units net asset value reflect the changes in percentage terms of the price of light sweet crude oil delivered to Cushing Oklahoma as measured by the changes in the average of the prices of 12 Futures Contracts on crude oil traded on the New York Mercantile Exchange (the Benchmark Futures Contracts) consisting of the near month contract to expire and the contracts for the following eleven months for a total of 12 consecutive months contracts except when the near month contract is within two weeks of expiration in which case it will be measured by the futures contracts that are the next month contract to expire and the contracts for the following eleven consecutive months less USLs expenses. When calculating the daily movement of the average price of the 12 contracts each contract month will be equally weighted. |
| Vanguard Extended Duration Treasury ETF |
EDV |
Vanguard |
921910709 |
US9219107094 |
6 Dec 2007 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Treasury STRIPS 20 30 Year Equal Par Bond Index |
| Seeks to track the performance of the Barclays Capital U.S. Treasury STRIPS 20 30 Year Equal Par Bond Index. Passively managed using index sampling. Diversified exposure to the long-term Treasury STRIPS market. Provides high current income with high credit quality. |
| iShares MSCI Kokusai ETF |
TOK |
Blackrock (iShares) |
464288265 |
US4642882652 |
10 Dec 2007 |
0.25 % |
Equities (Stocks) |
Not Applicable |
MSCI Kokusai Index |
| The iShares MSCI Kokusai Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses as measured by the MSCI Kokusai Index. |
| iShares MSCI EAFE Small-Cap ETF |
SCZ |
Blackrock (iShares) |
464288273 |
US4642882736 |
10 Dec 2007 |
0.40 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Small Cap Index |
| The iShares MSCI EAFE Small Cap Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses as represented by the MSCI EAFE Small Cap Index. |
| iShares Global Infrastructure ETF |
IGF |
Blackrock (iShares) |
464288372 |
US4642883726 |
10 Dec 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global Infrastructure Index |
| The iShares S&P Global Infrastructure Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Infrastructure Index. |
| iShares JP Morgan USD Emerging Markets Bond ETF |
EMB |
Blackrock (iShares) |
464288281 |
US4642882819 |
17 Dec 2007 |
0.40 % |
Bonds |
Not Applicable |
J.P. Morgan EMBI Global Core Index |
| The iShares JPMorgan USD Emerging Markets Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the JPMorgan EMBI Global Core Index. |
| Vanguard Mega Cap ETF |
MGC |
Vanguard |
921910873 |
US9219108738 |
17 Dec 2007 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP US Mega Cap Index |
| The Fund seeks to track the performance of a benchmark index that measures the investment return of large-capitalization stocks in the United States |
| Vanguard Mega Cap Growth ETF |
MGK |
Vanguard |
921910816 |
US9219108167 |
17 Dec 2007 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Mega Cap Growth Index |
| Seeks to track the performance of the CRSP U.S. Mega Cap Growth Index. Employs a passively managed full-replication approach. Provides a convenient way to get diversified exposure to the largest growth stocks in the U.S. market. |
| Vanguard Mega Cap Value ETF |
MGV |
Vanguard |
921910840 |
US9219108407 |
17 Dec 2007 |
0.07 % |
Equities (Stocks) |
Not Applicable |
CRSP U.S. Mega Cap Value Index |
| Seeks to track the performance of the CRSP U.S. Mega Cap Value Index. Employs a passively managed full-replication approach. Provides a convenient way to get diversified exposure to the largest value stocks in the U.S. market. |
| Invesco China Real Estate ETF |
TAO |
Invesco |
46138E602 |
US46138E6023 |
18 Dec 2007 |
0.70 % |
Equities (Stocks) |
Not Applicable |
AlphaShares China Real Estate Index |
| The Invesco China Real Estate ETF (Fund) is based on the AlphaShares China Real Estate Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts (ADRs), American depositary shares (ADSs), global depositary receipts (GDRs) and international depositary receipts (IDRs) based on securities in the Index. The Index is designed to measure and monitor the performance of the investable universe of publicly-traded companies and real estate investment trusts ("REITs") deriving a majority of their revenues from real estate development, management and/or ownership of property in China or Hong Kong and Macau. The Fund and the Index are rebalanced annually. |
| iShares MSCI Japan Small-Cap ETF |
SCJ |
Blackrock (iShares) |
464286582 |
US4642865822 |
20 Dec 2007 |
0.48 % |
Equities (Stocks) |
Not Applicable |
MSCI Japan Small Cap Index |
| The iShares MSCI Japan Small Cap Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses as represented by the MSCI Japan Small Cap Index. |
| Invesco S&P 500 BuyWrite ETF |
PBP |
Invesco |
46137V399 |
US46137V3996 |
20 Dec 2007 |
0.49 % |
Equities (Stocks) |
Not Applicable |
CBOE S&P 500 BuyWrite Index |
| The The Invesco S&P 500 BuyWrite ETF (Fund) is based on the CBOE S&P 500 BuyWrite Index, (Index). The Fund generally will invest at least 90% of its total assets in securities that comprise the Index and will write (sell) call options thereon. The Index is a total return benchmark index that is designed to track the performance of a hypothetical "buy-write" strategy on the S&P 500 Index. The Index measures the total rate of return of an S&P 500 covered call strategy. This strategy consists of holding a long position indexed to the S&P 500 Index and selling a succession of covered call options, each with an exercise price at or above the prevailing price level of the S&P 500 Index. Dividends paid on the component stocks underlying the S&P 500 and the dollar value of option premiums received from written options are reinvested. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Developed Markets Momentum ETF |
PIZ |
Invesco |
46138E875 |
US46138E8755 |
28 Dec 2007 |
0.81 % |
Equities (Stocks) |
Not Applicable |
Dorsey Wright Developed Markets Technical Leaders Index |
| The Invesco DWA Developed Markets Momentum ETF (Fund) is based on the Dorsey Wright Developed Markets Technical Leaders Index (DWA Developed Markets Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in securities of developed economies within Dorsey Wright & Associates classification definition, as well as American depositary receipts (ADRs) and global depositary receipts (GDRs) based on securities in the Index. This Index includes approximately 100 companies from the NASDAQ Developed Markets Ex United States Index that possess powerful relative strength characteristics and are domiciled in developed markets including, but not limited to Australia, Canada, Finland, France, Germany, Hong Kong, Italy, Japan, Norway, Portugal, Singapore, Spain and Switzerland. The Index excludes US companies listed on a US stock exchange. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco DWA Emerging Markets Momentum ETF |
PIE |
Invesco |
46138E867 |
US46138E8672 |
28 Dec 2007 |
0.90 % |
Equities (Stocks) |
Not Applicable |
Dorsey Wright Emerging Markets Technical Leaders Index |
| The Invesco DWA Emerging Markets Momentum ETF (Fund) is based on the Dorsey Wright Emerging Markets Technical Leaders Index (DWA Emerging Markets Technical Leaders Index). The Fund will normally invest at least 90% of its total assets in securities of emerging economies within Dorsey Wright & Associates classification definition, as well as American depositary receipts (ADRs) and global depositary receipts (GDRs) based on securities in the Index. The Index includes approximately 100 companies from the NASDAQ Emerging Markets Index that possess powerful relative strength characteristics and are domiciled in emerging market countries including, but not limited to Brazil, Chile, China, India, Indonesia, Philippines, South Africa, Thailand and Turkey. The Index excludes US companies listed on a US stock exchange. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced and reconstituted quarterly. |
| VanEck Vectors Long Municipal Index ETF |
MLN |
Van Eck Associates Corporation |
92189F536 |
US92189F5364 |
2 Jan 2008 |
0.24 % |
Bonds |
Not Applicable |
Barclays Capital AMT-Free Long Continuous Municipal Index |
| The VanEck Vectors Long Municipal Index ETF (MLN) seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Barclays Capital AMT-Free Long Continuous Municipal Index. The Index provides broad exposure to investment-grade municipal bonds with a nominal maturity of 17 years or more. |
| VanEck Vectors Coal ETF |
KOL |
Van Eck Associates Corporation |
92189F809 |
US92189F8095 |
10 Jan 2008 |
0.59 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Global Coal Index |
| The Coal ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Stowe Coal Index |
| VanEck Vectors Gaming ETF |
BJK |
Van Eck Associates Corporation |
92189F882 |
US92189F8822 |
22 Jan 2008 |
0.65 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Global Gaming Index |
| The Gaming ETF seeks to replicate before fees and expenses the price and yield performance of the S-Network Global Gaming Index |
| WisdomTree Continuous Commodity Index Fund |
GCC |
Wisdom Tree |
97718W108 |
US97718W1080 |
24 Jan 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Continuous Commodity Index-Total Return |
| The WisdomTree Continuous Commodity Index Fund (GCC) provides an innovative and efficient way to deliver broad based, diversified commodity exposure. It aims to achieve this by using futures contracts to track the Thomson Reuters Equal Weight Continuous Commodity Total Return Index (CCITR). It aims to achieve this by using futures contracts to track the Continuous Commodity Index-Total Return (CCI-TR). The CCI-TR is an equal weighted index of 17 commodities plus an additional Treasury Bill yield. Because of the equal weighting GCC offers significant exposure to grains livestock and soft commodities and a lower energy weighting than many of its peers. In addition GCC is rebalanced every day in order to maintain each commodity s weight as close to 1/17th of the total as possible. |
| Invesco China Small Cap ETF |
HAO |
Invesco |
46138E701 |
US46138E7013 |
30 Jan 2008 |
0.75 % |
Equities (Stocks) |
Not Applicable |
AlphaShares China Small Cap Index |
| The Invesco China Small Cap ETF is based on the AlphaShares China Small Cap Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts (ADRs), American depositary shares (ADSs), global depositary receipts (GDRs) and international depositary receipts (IDRs) that comprise the Index. The Index is designed to measure and monitor the performance of publicly-traded mainland China-based small-cap companies with a maximum $1.5 billion float adjusted market capitalization. The Fund and the Index are rebalanced annually. |
| Invesco Preferred ETF |
PGX |
Invesco |
46138E511 |
US46138E5116 |
31 Jan 2008 |
0.51 % |
Other Asset Types |
Preferred Stock |
ICE BofA Merrill Lynch Core Fixed Rate Preferred Securities Index |
| The Invesco Preferred ETF is based on The ICE BofAML Core Plus Fixed Rate Preferred Securities Index. The Fund will normally invest at least 80% of its total assets in fixed rate US dollar-denominated preferred securities that comprise the Index. The Index tracks the performance of fixed rate US dollar-denominated preferred securities issued in the US domestic market. (Securities must be rated at least B3, based on an average of three leading ratings agencies: Moody s, S&P and Fitch) and must have an investment-grade country risk profile (based on an average of Moody s, S&P and Fitch foreign currency long-term sovereign debt ratings). The Fund and the Index are rebalanced and reconstituted on a monthly basis. |
| ELEMENTS Linked to the MLCX Biofuels Index Total Return |
FUE |
ELEMENTS |
870297199 |
US8702971990 |
5 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
MLCX Biofuels Index (Exchange Series) Total Return |
| The index is designed to provide a benchmark for the biofuels sector and for investment in commodities as an asset class. The Index comprises futures contracts on physical commodities that are either biofuels themselves or feedstock commonly used in the production of biofuels. The Index is a total return index; thus it is designed to reflect the performance of a fully collateralized investment in the index components |
| ELEMENTS Linked to the MLCX Grains Index Total Return |
GRU |
ELEMENTS |
870297215 |
US8702972154 |
5 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
MLCX Grains Index Total Return |
| The index is designed to provide a benchmark for the grains sector and for investment in commodities as an asset class. The Index comprises futures contracts on four physical commodities: corn, soybeans, soybean oil and wheat. The Index is a total return index; thus it is designed to reflect the performance of a fully collateralized investment in the index components. |
| Invesco Ultra Short Duration ETF |
GSY |
Invesco |
18383M654 |
US18383M6545 |
12 Feb 2008 |
0.25 % |
Bonds |
Not Applicable |
Not Applicable |
| The Invesco Ultra Short Duration ETF (Fund) is an actively managed exchange-traded fund (ETF) that seeks to provide returns in excess of cash equivalents while also seeking to provide preservation of capital and daily liquidity. The Fund will invest at least 80% of its total assets in fixed income securities of varying maturities, but with an average duration of less than one year. |
| SPDR S&P International Dividend ETF |
DWX |
State Street (SPDR) |
78463X772 |
US78463X7729 |
13 Feb 2008 |
0.45 % |
Equities (Stocks) |
Not Applicable |
S&P International Dividend Opportunities Index |
| The SPDR S&P International Dividend ETF seeks to replicate as closely as possible before expenses the price and yield performance of the S&P International Dividend Opportunities Index (ticker: SPGTDOU). |
| Oppenheimer S&P 500 Revenue ETF |
RWL |
Oppenheimer Funds |
68386C104 |
US68386C1045 |
22 Feb 2008 |
0.39 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Revenue-Weighted Index |
| The Fund seeks to achieve its investment objective of outperforming the total return performance of the S&P 500 Index (S&P 500) by attempting to replicate the RevenueShares Large Cap Index, a custom index that is constructed by re-weighting the constituent securities of the S&P 500 according to revenue earned, subject to certain asset diversification requirements. The RevenueShares Large Cap Index generally contains the same securities as the S&P 500, but in different proportions. The S&P 500 is a stock market index comprised of a representative sample of common stocks of 500 leading companies in leading industries of the United States economy selected by S&P Dow Jones Indices LLC. |
| Oppenheimer S&P SmallCap 600 Revenue ETF |
RWJ |
Oppenheimer Funds |
68386C302 |
US68386C3025 |
22 Feb 2008 |
0.39 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Revenue-Weighted Index |
| The Fund seeks to achieve its investment objective of outperforming the total return performance of the S&P Small Cap 600 Index (S&P Small Cap 600) by attempting to replicate the RevenueShares Small Cap Index, a custom index constructed by re-weighting the constituent securities of the S&P Small Cap 600 according to revenue earned, subject to certain asset diversification requirements. The RevenueShares Small Cap Index generally contains the same securities as the S&P Small Cap 600, but in different proportions. The S&P Small Cap 600 is a stock market index comprised of 600 common stocks of small-cap companies selected by S&P Dow Jones Indices LLC based on inclusion criteria to ensure that they are investable and financially viable. |
| Oppenheimer S&P MidCap 400 Revenue ETF |
RWK |
Oppenheimer Funds |
68386C203 |
US68386C2035 |
22 Feb 2008 |
0.39 % |
Equities (Stocks) |
Not Applicable |
S&P MidCap 400 Revenue-Weighted Index |
| The Fund seeks to achieve its investment objective of outperforming the total return performance of the S&P Mid Cap 400 Index (S&P Mid Cap 400) by attempting to replicate the RevenueShares Mid Cap Index, a custom index constructed by re-weighting the constituent securities of the S&P Mid Cap 400 by revenue earned, subject to certain asset diversification requirements. The RevenueShares Mid Cap Index generally contains the same securities as the S&P Mid Cap 400, but in different proportions. The S&P Mid Cap 400 is a stock market index comprised of common stock of 400 mid-sized companies selected by S&P Dow Jones Indices LLC. |
| VanEck Vectors Short Municipal ETF |
SMB |
Van Eck Associates Corporation |
92189F528 |
US92189F5281 |
22 Feb 2008 |
0.20 % |
Bonds |
Not Applicable |
Barclays Capital AMT-Free Short Continuous Municipal Index |
| The VanEck Vectors Short Municipal ETF (SMB) seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Barclays Capital AMT-Free Short Continuous Municipal Index . The Index provides broad exposure to investment-grade municipal bonds with a nominal maturity of 1-6 years. |
| WisdomTree India Earnings Fund |
EPI |
Wisdom Tree |
97717W422 |
US97717W4226 |
22 Feb 2008 |
0.84 % |
Equities (Stocks) |
Not Applicable |
WisdomTree India Earnings Index |
| WisdomTree India Earnings Fund seeks investment results that correspond to the price and yield performance before fees and expenses of the WisdomTree India Earnings Index. |
| United States Gasoline Fund LP |
UGA |
United States Commodity Funds |
91201T102 |
US91201T1025 |
26 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Gasoline - NYMEX traded unleaded gasoline near month futures contract |
| The investment objective of UGA is for the changes in percentage terms of the units net asset value to reflect the changes in percentage terms of the price of gasoline as measured by the changes in the price of the futures contract on unleaded gasoline delivered to the New York harbor traded on the New York Mercantile Exchange that is the near month contract to expire except when the near month contract is within two weeks of expiration in which case it will be measured by the futures contract that is the next month contract to expire less UGAs expenses. |
| DB Gold Double Long ETN |
DGP |
DWS |
25154H749 |
US25154H7492 |
27 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Gold |
| All of the DB Gold ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Optimum Yield GoldTM , which is intended to track the long or short performance of a single unfunded gold futures contract. |
| DB Gold Short ETN |
DGZ |
DWS |
25154H731 |
US25154H7310 |
27 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Gold |
| All of the DB Gold ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Optimum Yield GoldTM , which is intended to track the long or short performance of a single unfunded gold futures contract. |
| DB Gold Double Short ETN |
DZZ |
DWS |
25154H756 |
US25154H7567 |
27 Feb 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Gold |
| All of the DB Gold ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Optimum Yield GoldTM , which is intended to track the long or short performance of a single unfunded gold futures contract. |
| Invesco India ETF |
PIN |
Invesco |
46137R109 |
US46137R1095 |
5 Mar 2008 |
0.79 % |
Equities (Stocks) |
Not Applicable |
Indus India Index |
| The Invesco India ETF (Fund) is based on the Indus India Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index, as well as American depositary receipts and global depositary receipts based on the securities in the Index. The Index is designed to replicate the Indian equity markets as a whole, through a group of 50 Indian stocks selected from a universe of the largest companies listed on two major Indian exchanges. The India Index has 50 constituents, spread among the following sectors: Information Technology, Health Services, Financial Services, Heavy Industry, Consumer Products and Other. The India Index is supervised by an index committee, comprised of representatives of the Index Provider and members of academia specializing in emerging markets. The Fund and the Index are rebalanced and reconstituted quarterly in January, April, July and October. |
| SPDR FTSE International Government Inflation-Protected Bond ETF |
WIP |
State Street (SPDR) |
78464A490 |
US78464A4904 |
13 Mar 2008 |
0.50 % |
Bonds |
Not Applicable |
FTSE International Inflation-Linked Securities Select Index |
| The FTSE International Inflation-Linked Securities Select Index is designed to measure the total return performance of inflation-linked bonds outside the United States with fixed-rate coupon payments that are linked to an inflation index. Inflation-protected public obligations of the inflation-linked government bond markets of developed and emerging market countries, commonly known in the United States as TIPS, are securities issued by such governments that are designed to provide inflation protection to investors. The Index includes government debt (direct obligations of the issuer country) but does not include quasi-government debt or corporate debt. |
| VanEck Vectors Renminbi/USD ETN |
CNY |
Van Eck Associates Corporation |
61747W257 |
US61747W2576 |
14 Mar 2008 |
0.55 % |
Currency |
Not Applicable |
S&P Chinese Renminbi Total Return Index |
| VanEck Vectors Currency Exchange Traded Notes are senior, unsecured debt securities issued by Morgan Stanley that deliver exposure to the exchange rate of foreign currencies. The VanEck Vectors-Chinese Renminbi/USD ETN seeks to track the performance of the S&P Chinese Renminbi Total Return Index (SPCBCNY), less investor fees(1). Investors may trade the ETN on an exchange at market price or receive, at maturity or upon early redemption(2), a cash payment from the issuer based on Index performance, less investor fees(1).The index is based on the performance of a rolling investment in three-month non-deliverable forward contracts. |
| VanEck Vectors Rupee/USD ETN |
INR |
Van Eck Associates Corporation |
61747W265 |
US61747W2659 |
14 Mar 2008 |
0.55 % |
Currency |
Not Applicable |
S&P Indian Rupee Total Return Index |
| VanEck Vectors Currency Exchange Traded Notes are senior, unsecured debt securities issued by Morgan Stanley that deliver exposure to the exchange rate of a specific foreign currency. The VanEck Vectors-Indian Rupee/USD ETN seeks to track the performance of the S&P Indian Rupee Total Return Index (SPCBINR), less investor fees(1). Investors may trade the ETN on an exchange at market price or receive, at maturity or upon early redemption(2), a cash payment from the issuer based on Index performance, less investor fees(1). |
| ProShares Ultra Telecommunications |
LTL |
ProShares |
74347R263 |
US74347R2638 |
25 Mar 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Telecommunications Sector Index |
| ProShares Ultra Telecommunications seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the Dow Jones U.S. Select Telecommunications Index |
| iShares MSCI ACWI ex US ETF |
ACWX |
Blackrock (iShares) |
464288240 |
US4642882405 |
26 Mar 2008 |
0.32 % |
Equities (Stocks) |
Not Applicable |
MSCI ACWI ex-US Index |
| The iShares MSCI ACWI ex US Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Country World Index ex USA. |
| iShares MSCI ACWI ETF |
ACWI |
Blackrock (iShares) |
464288257 |
US4642882579 |
26 Mar 2008 |
0.32 % |
Equities (Stocks) |
Not Applicable |
MSCI ACWI Index |
| The iShares MSCI ACWI Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Country World Index. |
| iShares MSCI Turkey ETF |
TUR |
Blackrock (iShares) |
464286715 |
US4642867158 |
26 Mar 2008 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Turkey Investable Market Index |
| The iShares MSCI Turkey Investable Market Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Turkey Investable Market Index. |
| iShares MSCI Israel ETF |
EIS |
Blackrock (iShares) |
464286632 |
US4642866325 |
26 Mar 2008 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Israel Capped Investable Market Index |
| The iShares MSCI Israel ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Israel Capped Investable Market Index. The iShares MSCI Israel ETF seeks to track the investment results of a broad-based index composed of Israeli equities. |
| iShares MSCI Thailand ETF |
THD |
Blackrock (iShares) |
464286624 |
US4642866242 |
26 Mar 2008 |
0.63 % |
Equities (Stocks) |
Not Applicable |
MSCI Thailand IMI 25/50 Index |
| The iShares MSCI Thailand ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Thailand IMI 25/50 Index. The iShares MSCI Thailand ETF seeks to track the investment results of a broad-based index composed of Thai equities. |
| ETRACS CMCI Food Total Return ETN |
FUD |
UBS |
902641737 |
US9026417371 |
1 Apr 2008 |
0.65 % |
Commodities & Metals |
Not Applicable |
UBS Bloomberg CMCI Food Total Return Index |
| ETRACS CMCI Food Total Return is designed to track the performance of the UBS Bloomberg CMCI Food Index Total Return (the "Index"), less investor fees. The Index measures the collateralized returns from a basket of 11 futures contracts from the agricultural and livestock sectors. The commodity futures contracts are diversified across three constant maturities from three months up to one year. |
| ETRACS CMCI Agriculture Total Return ETN |
UAG |
UBS |
902641760 |
US9026417603 |
1 Apr 2008 |
0.65 % |
Commodities & Metals |
Not Applicable |
UBS Bloomberg CMCI Agriculture Total Return |
| The ETRACS CMCI Food Total Return exchange-traded note is designed to track the performance of the UBS Bloomberg CMCI Food Index Total Return (the Index ), less investor fees. The CMCI Food TR is the first investable commodity index to provide direct exposure to food.The Index measures the collateralized returns from a basket of 11 futures contracts from the agricultural and livestock sectors. The commodity futures contracts are diversified across three constant maturities from three months up to one year. |
| ETRACS CMCI Gold Total Return ETN |
UBG |
UBS |
902641810 |
US9026418106 |
1 Apr 2008 |
0.30 % |
Commodities & Metals |
Not Applicable |
UBS Bloomberg CMCI Gold Total Return Index |
| ETRACS CMCI Gold Total Return is designed to track the performance of the UBS Bloomberg CMCI Gold Total Return (the "Index"), less investor fees. The Index measures the collateralized returns from a basket of gold futures contracts. The commodity futures contracts are diversified across five constant maturities from three months up to three years. |
| ETRACS CMCI Total Return ETN |
UCI |
UBS |
902641778 |
US9026417785 |
1 Apr 2008 |
0.55 % |
Commodities & Metals |
Not Applicable |
UBS Bloomberg CMCI Composite USD Total Return Index |
| ETRACS CMCI Total Return is designed to track the performance of the UBS Bloomberg Constant Maturity Commodity Index Total Return (the "Index"), less investor fees. The Index is the first benchmark commodity index to diversify across both commodities and maturities. The Index measures the collateralized returns from a basket of 26 commodity futures contracts representing the energy, precious metals, industrial metals, agricultural and livestock sectors. In addition, the commodity futures contracts are diversified across five constant maturities from three months up to three years. |
| ETRACS CMCI Silver Total Return ETN |
USV |
UBS |
902641794 |
US9026417942 |
1 Apr 2008 |
0.40 % |
Commodities & Metals |
Not Applicable |
UBS Bloomberg CMCI Silver Total Return Index |
| ETRACS CMCI Silver Total Return is designed to track the performance of the UBS Bloomberg CMCI Silver Total Return (the "Index"), less investor fees. The Index measures the collateralized returns from a basket of silver futures contracts. The commodity futures contracts are diversified across five constant maturities from three months up to three years. |
| DB Agriculture Long ETN |
AGF |
DWS |
25154H533 |
US25154H5330 |
14 Apr 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Agriculture |
| The Agriculture Short ETN offers investors exposure to the monthly performance of the Deutsche Bank Liquid Commodity Index Optimum Yield Agriculture index, plus the monthly TBill index return, subject to the investor fee. The index is intended to track the long or short performance of the underlying futures contracts relating to corn, wheat, soybeans and sugar. |
| DB Agriculture Double Long ETN |
DAG |
DWS |
25154H558 |
US25154H5587 |
14 Apr 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Agriculture |
| All of the DB Agriculture ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Optimum Yield AgricultureTM, which is intended to track the long or short performance of the underlying futures contracts relating to corn, wheat, soybeans and sugar. |
| Invesco Solar ETF |
TAN |
Invesco |
46138G706 |
US46138G7060 |
15 Apr 2008 |
0.70 % |
Equities (Stocks) |
Not Applicable |
MAC Global Solar Energy Index |
| The Invesco Solar ETF (Fund) is based on the MAC Global Solar Energy Index (Index). The Fund will invest at least 90% of its total assets in stock, American depositary receipts (ADRs) and global depositary receipts (GDRs) that comprise the Index. The Index is comprised of companies in the solar energy industry. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly. |
| DB Commodity Short ETN |
DDP |
DWS |
25154H467 |
US25154H4671 |
28 Apr 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Excess Return |
| The index is intended to track the long or short performance of the underlying futures contracts relating to six commodities: wheat, corn, light sweet crude oil, heating oil, gold and aluminum. |
| DB Commodity Double Long ETN |
DYY |
DWS |
25154H475 |
US25154H4754 |
28 Apr 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Excess Return |
| All of the DB Commodity ETNs are based on a total return version of the Deutsche Bank Liquid Commodity IndexTM. The Long and Double Long ETNs are based on the Optimum YieldTM version of the Index. The Short and Double Short ETNs are based on the standard version of the Index. |
| ProShares UltraShort Lehman 7-10 Year Treasury |
PST |
ProShares |
74347R313 |
US74347R3131 |
29 Apr 2008 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| ProShares UltraShort 7-10 Year Treasury seeks daily investment results, before fees and expenses that correspond to two times the inverse (-2x) of the daily performance of the ICE U.S. Treasury 7-10 Year Bond Index. The ICE U.S. Treasury 7-10 Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| ProShares UltraShort 20+ Year Treasury |
TBT |
ProShares |
74347B201 |
US74347B2016 |
29 Apr 2008 |
0.90 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| ProShares UltraShort 20+ Year Treasury seeks daily investment results, before fees and expenses, that correspond to two times the inverse (-2x) of the daily performance of the ICE U.S. Treasury 20+ Year Bond Index. The ICE U.S. Treasury 20+ Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity greater than twenty years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| VanEck Vectors Double Short Euro ETN |
DRR |
Van Eck Associates Corporation |
617480280 |
US6174802800 |
6 May 2008 |
0.65 % |
Currency |
Not Applicable |
Double Short Euro Index |
| VanEck Vectors Currency Exchange-Traded Notes are senior, unsecured debt securities issued by Morgan Stanley that deliver exposure to the exchange rate of foreign currencies. The VanEck Vectors-Double Short Euro ETN seeks to track the performance of the Double Short Euro Index (DSHRTEUR), less investor fees(1). As the Index is two-times leveraged, for every 1% weakening of the euro relative to the U.S. dollar, the level of the Index will generally increase by 2%, while for every 1% strengthening of the euro relative to the U.S. dollar, the Index will generally decrease by 2%. Investors may trade the ETN on an exchange at market price or receive, at maturity (including upon acceleration of the ETNs) or upon early redemption(2), a cash payment from the issuer based on Index performance, less investor fees(1). |
| VanEck Vectors Double Long Euro ETN |
URR |
Van Eck Associates Corporation |
617480272 |
US6174802727 |
6 May 2008 |
0.65 % |
Currency |
Not Applicable |
Double Long Euro Index |
| VanEck Vectors Currency Exchange-Traded Notes are senior, unsecured debt securities issued by Morgan Stanley that deliver exposure to the exchange rate of foreign currencies. The VanEck Vectors-Double Long Euro ETN seeks to track the performance of the Double Long Euro Index (DLONGEUR), less investor fees(1). As the Index is two-times leveraged, for every 1% strengthening of the euro relative to the U.S. dollar, the level of the Index will generally increase by 2%, while for every 1% weakening of the euro relative to the U.S. dollar, the Index will generally decrease by 2%. Investors may trade the ETN on an exchange at market price or receive, at maturity (including upon acceleration of the ETNs) or upon early redemption(2), a cash payment from the issuer based on Index performance, less investor fees(1). |
| Cohen & Steers Global Realty Majors ETF |
GRI |
ALPS |
00162Q106 |
US00162Q1067 |
7 May 2008 |
0.55 % |
Equities (Stocks) |
Not Applicable |
Cohen & Steers Global Realty Majors Index |
| The fund seeks investment results that correspond generally to the performance before the funds fees and expenses of the Cohen & Steers Global Realty Majors Index. |
| SPDR Dow Jones Global Real Estate ETF |
RWO |
State Street (SPDR) |
78463X749 |
US78463X7497 |
7 May 2008 |
0.50 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Global Select Real Estate Securities Index |
| The SPDR Dow Jones Global Real Estate ETF seeks to replicate as closely as possible before expenses the price and yield performance of the Dow Jones Global Select Real Estate Securities Index(ticker: DWGRST) an index based upon the global real estate market. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR S&P Emerging Markets SmallCap ETF |
EWX |
State Street (SPDR) |
78463X756 |
US78463X7562 |
12 May 2008 |
0.65 % |
Equities (Stocks) |
Not Applicable |
S&P Emerging Markets Under USD2 Billion Index |
| The SPDR S&P Emerging Markets Small Cap ETF seeks to provide investment results that before fees and expenses correspond generally to the total return performance of the S&P Emerging Markets Under USD2 Billion Index (ticker: SPBMKSUP). |
| WisdomTree Chinese Yuan Fund |
CYB |
Wisdom Tree |
97717W182 |
US97717W1826 |
14 May 2008 |
0.45 % |
Currency |
Not Applicable |
Chinese yuan |
| WisdomTree Dreyfus Chinese Yuan Fund seeks to achieve total returns reflective of both money market rates in China available to foreign investors and changes in value of the Chinese Yuan relative to the U.S. dollar. |
| WisdomTree Brazilian Real Fund |
BZF |
Wisdom Tree |
97717W240 |
US97717W2402 |
14 May 2008 |
0.45 % |
Currency |
Not Applicable |
Brazilian Real |
| WisdomTree Dreyfus Brazilian Real Fund seeks to achieve total returns reflective of both money market rates in Brazil available to foreign investors and changes in value of the Brazilian Real relative to the U.S. dollar. Although this fund invests in very short-term investment grade instruments the fund is not a money market fund and it is not the objective of the fund to maintain a constant share price. |
| ProShares Short Oil & Gas |
DDG |
ProShares |
74347R222 |
US74347R2224 |
10 Jun 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Oil & Gas Index |
| ProShares Short Oil & Gas seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Dow Jones U.S. Oil & Gas Index |
| ProShares Short Financials |
SEF |
ProShares |
74347B185 |
US74347B1851 |
10 Jun 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Financial Sector Index |
| ProShares Short Financials seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Dow Jones U.S. Financials Index. |
| Invesco Frontier Markets ETF |
FRN |
Invesco |
46138E776 |
US46138E7765 |
12 Jun 2008 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Bank of New York Mellon New Frontier DR Index |
| The Invesco Frontier Markets ETF (Fund) is based on the BNY Mellon New Frontier Index (Index). The Fund will invest at least 90% of its total assets in American depositary receipts (ADRs), global depositary receipts (GDRs) and local securities that comprise the Index or in the securities underlying such ADRs and GDRs. The Index is composed of all liquid American depositary receipts (ADRs), global depositary receipts (GDRs) and equity securities of issuers in Frontier Market countries. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly. |
| Invesco NASDAQ Internet ETF |
PNQI |
Invesco |
46137V530 |
US46137V5306 |
12 Jun 2008 |
0.60 % |
Equities (Stocks) |
Not Applicable |
NASDAQ Internet Index |
| The Invesco NASDAQ Internet ETF (Fund) is based on the NASDAQ Internet Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to track the performance of the largest and most liquid US-listed companies engaged in internet-related businesses and that are listed on one of the major US stock exchanges. The Underlying Index employs a modified market capitalization-weighted methodology based on the market capitalization ranking of the Underlying Index securities. The Fund and the Index are rebalanced and reconstituted quarterly. |
| DB Base Metals Double Long ETN |
BDD |
DWS |
25154K841 |
US25154K8412 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Industrial Metals |
| The Base Metals Double Long ETNs offer investors exposure to two times the monthly performance of the industrial metals index, plus the monthly TBill index return, subject to the investor fee. |
| DB Base Metals Double Short ETN |
BOM |
DWS |
25154K858 |
US25154K8586 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Industrial Metals |
| The Base Metals Double Short ETNs offer investors exposure to two times the monthly inverse performance of the Deutsche Bank Liquid Commodity Index Optimum Yield Industrial MetalsTM ( Index ). The return on the Index is derived by combining the returns on two component indices: the DB 3-Month T-Bill Index ( TBill index ) and the Deutsche Bank Liquid Commodity Index Optimum Yield Industrial MetalsTM Excess Return ( industrial metals index ). |
| DB Base Metals Short ETN |
BOS |
DWS |
25154K833 |
US25154K8339 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Industrial Metals |
| The Base Metals Short ETNs offer investors exposure to the monthly inverse performance of the Deutsche Bank Liquid Commodity Index Optimum Yield Industrial MetalsTM ( Index ). The return on the Index is derived by combining the returns on two component indices: the DB 3-Month T-Bill Index ( TBill index ) and the Deutsche Bank Liquid Commodity Index Optimum Yield Industrial MetalsTM Excess Return ( industrial metals index ). |
| DB Crude Oil Double Short ETN |
DTO |
DWS |
25154K809 |
US25154K8099 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Light CrudeExcess Return |
| The DB Crude Oil ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Oil, which is intended to track the long or short performance of the underlying futures contracts of a basket of oil futures contracts. The Long ETN is based on the Optimum YieldTM version of the Index, and the Short and Double Short ETNs are based on the standard version of the Index. |
| DB Crude Oil Long ETN |
OLO |
DWS |
25154K866 |
US25154K8669 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Optimum Yield Crude OilExcess Return |
| DB Crude Oil ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Oil, which is intended to track the long or short performance of the underlying futures contracts of a basket of oil futures contracts. The Long ETN is based on the Optimum YieldTM version of the Index, and the Short and Double Short ETNs are based on the standard version of the Index. |
| DB Crude Oil Short ETN |
SZO |
DWS |
25154K874 |
US25154K8743 |
16 Jun 2008 |
0.75 % |
Commodities & Metals |
Not Applicable |
Deutsche Bank Liquid Commodity Index Light CrudeExcess Return |
| The DB Crude Oil ETNs are based on a total return version of the Deutsche Bank Liquid Commodity Index Oil, which is intended to track the long or short performance of the underlying futures contracts of a basket of oil futures contracts. The Long ETN is based on the Optimum YieldTM version of the Index, and the Short and Double Short ETNs are based on the standard version of the Index. |
| First Trust Global Wind Energy ETF |
FAN |
First Trust |
33736G106 |
US33736G1067 |
16 Jun 2008 |
0.60 % |
Equities (Stocks) |
Not Applicable |
ISE Global Wind Energy Index |
| First Trust ISE Global Wind Energy Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before the Funds fees and expenses of an equity index called the ISE Global Wind Energy Index. |
| iPath Bloomberg Lead Subindex Total Return ETN |
LD |
Barclays iPath |
06739H263 |
US06739H2638 |
24 Jun 2008 |
0.70 % |
Commodities & Metals |
Not Applicable |
Bloomberg Lead Subindex Total Return |
| The iPath Dow Jones-UBS Lead Subindex Total Return ETN is designed to provide investors with exposure to the Dow Jones-UBS Lead Subindex Total Return. The Dow Jones-UBS Lead Subindex Total Return (the "Index") reflects the returns that are potentially available through an unleveraged investment in the futures contracts on lead. The Index currently consists of one futures contract on the commodity of lead which is included in the Dow Jones-UBS Commodity Index Total Return |
| iPath Bloomberg Cocoa Subindex Total Return ETN |
NIB |
Barclays iPath |
06739H313 |
US06739H3131 |
24 Jun 2008 |
0.70 % |
Commodities & Metals |
Not Applicable |
Bloomberg Cocoa Subindex Total Return |
| The Bloomberg-UBS Cocoa Subindex Total ReturnSM is a sub-index of the Bloomberg-UBS Commodity Index Total ReturnSM and is intended to reflect the returns that are potentially available through an unleveraged investment in the futures contracts on physical commodities comprising the index as well as the rate of interest that could be earned on cash collateral invested in specified Treasury Bills. The Bloomberg-UBS Cocoa Subindex Total ReturnSM is a single-commodity sub-index currently consisting of one futures contract on the commodity of cocoa, which is included in the Bloomberg-UBS Commodity Index Total ReturnSM |
| iShares Global Clean Energy ETF |
ICLN |
Blackrock (iShares) |
464288224 |
US4642882249 |
24 Jun 2008 |
0.48 % |
Equities (Stocks) |
Not Applicable |
S&P Global Clean Energy Index |
| The iShares S&P Global Clean Energy Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Clean Energy Index. |
| iShares Global Timber & Forestry ETF |
WOOD |
Blackrock (iShares) |
464288174 |
US4642881746 |
24 Jun 2008 |
0.46 % |
Equities (Stocks) |
Not Applicable |
S&P Global Timber & Forestry Index |
| The iShares S&P Global Timber & Forestry Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Global Timber & Forestry Index. |
| Vanguard Total World Stock ETF |
VT |
Vanguard |
922042742 |
US9220427424 |
24 Jun 2008 |
0.11 % |
Equities (Stocks) |
Not Applicable |
FTSE Global All Cap Index |
| Invests in more than 3000 stocks representative of the whole U.S. market. Goal is to keep pace with U.S. stock market returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| VanEck Vectors Africa Index ETF |
AFK |
Van Eck Associates Corporation |
92189F866 |
US92189F8665 |
10 Jul 2008 |
0.84 % |
Equities (Stocks) |
Not Applicable |
Market Vectors GDP Africa Index |
| The Africa Index ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Dow Jones Africa Titans 50 Index |
| WisdomTree Middle East Dividend Fund |
GULF |
Wisdom Tree |
97717X305 |
US97717X3052 |
16 Jul 2008 |
0.88 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Middle East Dividend Index |
| WisdomTree Middle East Dividend Fund seeks investment results that correspond to the price and yield performance before fees and expenses of the WisdomTree Middle East Dividend Index. |
| iShares MSCI All Country Asia ex Japan ETF |
AAXJ |
Blackrock (iShares) |
464288182 |
US4642881829 |
13 Aug 2008 |
0.70 % |
Equities (Stocks) |
Not Applicable |
MSCI All Country Asia ex Japan Index |
| The iShares MSCI All Country Asia ex Japan Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Country Asia ex Japan Index. |
| VanEck Vectors Natural Resources ETF |
HAP |
Van Eck Associates Corporation |
92189F841 |
US92189F8418 |
29 Aug 2008 |
0.50 % |
Equities (Stocks) |
Not Applicable |
Rogers-Van Eck Natural Resources Index |
| HAP seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Rogers-Van Eck Natural Resources Index a rules-based index which gives investors a means of tracking the performance of a global universe of listed companies engaged in the production and distribution of hard assets and related products and services. |
| Invesco Global Gold and Precious Metals ETF |
PSAU |
Invesco |
46138E677 |
US46138E6775 |
18 Sep 2008 |
0.75 % |
Equities (Stocks) |
Not Applicable |
NASDAQ OMX Global Gold and Precious Metals Index |
| The Invesco Global Gold and Precious Metals ETF (Fund) is based on the NASDAQ OMX Global Gold and Precious Metals Index, (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts and Global depositary receipts based on the securities in the Index. The Index is designed to measure the overall performance of the most liquid, globally traded companies involved in gold and other precious metals mining-related activities. The Fund and the Index are rebalanced quarterly and reconstituted annually in September. |
| Invesco Global Agriculture ETF |
PAGG |
Invesco |
46138E685 |
US46138E6858 |
18 Sep 2008 |
0.77 % |
Equities (Stocks) |
Not Applicable |
NASDAQ OMX Global Agriculture Index |
| The Invesco Global Agriculture ETF (Fund) is based on the NASDAQ OMX Global Agriculture Index, (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts and global depositary receipts based on the securities in the Index. The Index is designed to measure the overall performance of the largest, most liquid, globally traded companies involved in agriculture and farming-related activities. The Index is rebalanced quarterly using a modified, market-cap-weighted methodology. The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced quarterly and reconstituted annually with Junes rebalance. |
| First Trust Global Engineering and Construction ETF |
FLM |
First Trust |
33736M103 |
US33736M1036 |
13 Oct 2008 |
0.70 % |
Equities (Stocks) |
Not Applicable |
ISE Global Engineering and Construction Index |
| First Trust Global Engineering and Construction Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before the Funds fees and expenses of the ISE Global Engineering and Construction Index. |
| Invesco Emerging Markets Infrastructure ETF |
PXR |
Invesco |
46138E792 |
US46138E7922 |
16 Oct 2008 |
0.75 % |
Equities (Stocks) |
Not Applicable |
S-Network Emerging Infrastructure Builders Index |
| The Invesco Emerging Markets Infrastructure ETF (Fund) is based on the S-Network Emerging Infrastructure Builders Index, (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index and American depositary receipts and global depositary receipts based on the securities in the Index. The Index is designed to measure the overall performance of securities of companies involved in infrastructure construction and development in emerging market countries. Industries include, but are not limited to, construction and engineering, construction machinery, construction materials, diversified metals and mining, heavy electrical equipment, industrial machinery and steel. The Fund and the Index are rebalanced and reconstituted quarterly. |
| iShares Core Conservative Allocation ETF |
AOK |
Blackrock (iShares) |
464289883 |
US4642898831 |
4 Nov 2008 |
0.25 % |
Target Date / Multi-Asset |
Not Applicable |
S&P Target Risk Conservative Index |
| The iShares S&P Conservative Allocation Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Target Risk Conservative Index. |
| iShares Core Moderate Allocation Fund |
AOM |
Blackrock (iShares) |
464289875 |
US4642898757 |
4 Nov 2008 |
0.25 % |
Target Date / Multi-Asset |
Not Applicable |
S&P Target Risk Moderate Index |
| The iShares S&P Moderate Allocation Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Target Risk Moderate Index. |
| iShares Core Growth Allocation ETF |
AOR |
Blackrock (iShares) |
464289867 |
US4642898674 |
4 Nov 2008 |
0.25 % |
Target Date / Multi-Asset |
Not Applicable |
S&P Target Risk Growth Index |
| The iShares S&P Growth Allocation Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Target Risk Growth Index. |
| iShares Core Aggressive Allocation ETF |
AOA |
Blackrock (iShares) |
464289859 |
US4642898591 |
4 Nov 2008 |
0.25 % |
Target Date / Multi-Asset |
Not Applicable |
S&P Target Risk Aggressive Index |
| The iShares S&P Aggressive Allocation Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Target Risk Aggressive Index. |
| iShares Agency Bond ETF |
AGZ |
Blackrock (iShares) |
464288166 |
US4642881662 |
5 Nov 2008 |
0.20 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Agency Bond Index |
| The iShares Barclays Agency Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the agency sector of the U.S. government bond market as defined by the Barclays Capital U.S. Agency Bond Index. |
| iShares Short-Term National Muni Bond ETF |
SUB |
Blackrock (iShares) |
464288158 |
US4642881589 |
5 Nov 2008 |
0.07 % |
Bonds |
Not Applicable |
S&P Short Term National AMT-Free Municipal Bond Index |
| The iShares S&P Short Term National AMT-Free Municipal Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the municipal bond sector of the U.S. market as defined by the S&P Short Term National AMT-Free Municipal Bond Index. |
| Direxion Daily Small Cap Bull 3X Shares |
TNA |
Direxion Shares |
25459W847 |
US25459W8477 |
5 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| The Small Cap Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the Russell 2000 Index (Small Cap Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily S&P 500 Bull 3X |
SPXL |
Direxion Shares |
25459W862 |
US25459W8626 |
5 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| The Large Cap Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the Russell 1000 Index (Large Cap Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily S&P 500 Bear 3X Shares |
SPXS |
Direxion Shares |
25460E885 |
US25460E8856 |
5 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| The Large Cap Bear 3X EFT seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Russell 1000 Index (Large Cap Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Small Cap Bear 3X Shares |
TZA |
Direxion Shares |
25490K521 |
US25490K5213 |
5 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| The Small Cap Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Russell 2000 (Small Cap Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Energy Bull 3X Shares |
ERX |
Direxion Shares |
25459W888 |
US25459W8881 |
6 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Energy Select Sector Index |
| The Energy Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the Russell 1000 Energy Index (Energy Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Energy Bear 3X Shares |
ERY |
Direxion Shares |
25460E554 |
US25460E5548 |
6 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Energy Select Sector Index |
| The Energy Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Energy Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Financial Bull 3X Shares |
FAS |
Direxion Shares |
25459Y694 |
US25459Y6941 |
6 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Financial Services Index |
| The Financial Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the Russell 1000 Financial Services Index (Financial Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Financial Bear 3X Shares |
FAZ |
Direxion Shares |
25490K539 |
US25490K5395 |
6 Nov 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Financial Services Index |
| The Financial Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Russell 1000 Financial Services Index (Financial Index). There is no guarantee the fund will meet its stated investment objective. |
| Oppenheimer S&P Financials Revenue ETF |
RWW |
Oppenheimer Funds |
68386C807 |
US68386C8073 |
13 Nov 2008 |
0.45 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Financials Sector Revenue-Weighted Index |
| The Fund seeks to achieve its investment objective of outperforming the total return performance of the S&P 500 Financials Index by attempting to replicate the RevenueShares Financials Sector Index, a custom index constructed by re-weighting the constituent securities of the S&P 500 Financials Index by revenue earned, subject to certain asset diversification requirements. The RevenueShares Financials Sector Index generally contains the same securities as the S&P 500 Financials Index, but in different proportions. The S&P 500 Financials Index is a stock market index comprised of large cap companies that S&P Dow Jones Indices LLC deems to be part of the Financials sector of the United States economy, using the GICS |
| Invesco Active U.S. Real Estate ETF |
PSR |
Invesco |
46090A101 |
US46090A1016 |
20 Nov 2008 |
0.35 % |
Equities (Stocks) |
Not Applicable |
Not Applicable |
| The Invesco Active U.S. Real Estate ETF (Fund) structures and selects its investments primarily from a universe of securities that are included within the FTSE NAREIT All Equity REITs Index at the time of purchase. The selection methodology uses quantitative and statistical metrics to identify attractively priced securities and manage risk. The Fund will invest principally in equity real estate investment trusts (REITs). Portfolio management generally conducts a security and portfolio evaluation monthly. |
| ProShares UltraShort Bloomberg Crude Oil |
SCO |
ProShares |
74347W668 |
US74347W6681 |
24 Nov 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
Bloomberg WTI Crude Oil Subindex |
| ProShares UltraShort Bloomberg Crude Oil seeks daily investment results, before fees and expenses, that correspond to two times the inverse (-2x) of the daily performance of the Bloomberg WTI Crude Oil Subindex |
| ProShares UltraShort Euro |
EUO |
ProShares |
74347W882 |
US74347W8828 |
24 Nov 2008 |
0.95 % |
Currency |
Not Applicable |
EUR/USD Exchange Rate |
| ProShares UltraShort Euro seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the U.S. Dollar price of the Euro. |
| ProShares Ultra Euro |
ULE |
ProShares |
74347W874 |
US74347W8745 |
24 Nov 2008 |
0.95 % |
Currency |
Not Applicable |
EUR/USD Exchange Rate |
| ProShares Ultra Euro seeks daily investment results before fees and expenses that correspond to twice (200%) the U.S. Dollar price of the Euro. |
| ProShares Ultra Yen |
YCL |
ProShares |
74347W270 |
US74347W2706 |
24 Nov 2008 |
0.95 % |
Currency |
Not Applicable |
JPY/USD Exchange Rate |
| ProShares Ultra Yen seeks daily investment results before fees and expenses that correspond to twice (200%) the U.S. Dollar price of the Yen. |
| ProShares Ultra Bloomberg Crude Oil |
UCO |
ProShares |
74347W247 |
US74347W2474 |
24 Nov 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
Bloomberg WTI Crude Oil Subindex |
| ProShares Ultra Bloomberg Crude Oil seeks daily investment results, before fees and expenses, that correspond to two times (2x) the daily performance of the Bloomberg WTI Crude Oil Subindex. |
| ProShares UltraShort Yen |
YCS |
ProShares |
74347W569 |
US74347W5691 |
24 Nov 2008 |
0.95 % |
Currency |
Not Applicable |
JPY/USD Exchange Rate |
| ProShares UltraShort Yen seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the U.S. Dollar price of the Yen. |
| ProShares UltraShort Gold |
GLL |
ProShares |
74347W395 |
US74347W3951 |
1 Dec 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
LBMA PM Gold Price |
| ProShares UltraShort Gold seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of gold bullion as measured by the U.S. Dollar fixing price for delivery in London. |
| ProShares Ultra Gold |
UGL |
ProShares |
74347W601 |
US74347W6012 |
1 Dec 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
LBMA PM Gold Price |
| ProShares Ultra Gold seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of gold bullion as measured by the U.S. Dollar p.m. fixing price for delivery in London. |
| ProShares UltraShort Silver |
ZSL |
ProShares |
74347W114 |
US74347W1146 |
1 Dec 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
London Silver Fix Price |
| ProShares UltraShort Silver seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of silver bullion as measured by the U.S. Dollar fixing price for delivery in London. |
| ProShares Ultra Silver |
AGQ |
ProShares |
74347W353 |
US74347W3530 |
1 Dec 2008 |
0.95 % |
Commodities & Metals |
Not Applicable |
London Silver Fix Price |
| ProShares Ultra Silver seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of silver bullion as measured by the U.S. Dollar fixing price for delivery in London. |
| Direxion Daily Developed Markets Bull 3X Shares |
DZK |
Direxion Shares |
25459W789 |
US25459W7891 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| The Developed Markets Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the MSCI EAFE Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily MSCI Emerging Markets Bull 3X Shares |
EDC |
Direxion Shares |
25490K281 |
US25490K2814 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| The Direxion Daily MSCI Emerging Markets Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the MSCI Emerging Markets Index. |
| Direxion Daily MSCI Emerging Markets Bear 3X Shares |
EDZ |
Direxion Shares |
25460E547 |
US25460E5472 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| The Direxion Daily MSCI Emerging Markets Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the MSCI Emerging Markets Index. |
| Direxion Daily Developed Markets Bear 3X Shares |
DPK |
Direxion Shares |
25459Y355 |
US25459Y3559 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| The Developed Markets Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the MSCI EAFE Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Technology Bull 3X Shares |
TECL |
Direxion Shares |
25459W102 |
US25459W1027 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Technology Select Sector Index |
| The Direxion Daily Technology Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the S&P Technology Select Sector Index. There is no guarantee the funds will meet their stated investment objectives. The Index is calculated by the using a modified market capitalization methodology, which is a hybrid between equal weighting and conventional capitalization weighting with the weighting capped for the largest stocks included in the Index. Each stock in the S&P 500 Index is allocated to one and only one of the Select Sector Indexes & each of the component securities in the Index is a constituent company of the S&P 500. |
| Direxion Daily Technology Bear 3X Shares |
TECS |
Direxion Shares |
25460E562 |
US25460E5621 |
17 Dec 2008 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Technology Select Sector Index |
| The Direxion Daily Technology Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the S&P Technology Select Sector Index. There is no guarantee the funds will meet their stated investment objectives. The Index is calculated by the using a modified market capitalization methodology, which is a hybrid between equal weighting and conventional capitalization weighting with the weighting capped for the largest stocks included in the Index. Each stock in the S&P 500 Index is allocated to one and only one of the Select Sector Indexes & each of the component securities in the Index is a constituent company of the S&P 500. |
| Direxion Daily Mid Cap Bull 3X Shares |
MIDU |
Direxion Shares |
25459W730 |
US25459W7305 |
8 Jan 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| The Mid Cap Bull 3X ETF seeks daily investment results before fees and expenses of 300% of the price performance of the Russell Midcap Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Mid Cap Bear 3x Shares |
MIDZ |
Direxion Shares |
25490K810 |
US25490K8100 |
8 Jan 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| The Mid Cap Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Russell Midcap Index. There is no guarantee the fund will meet its stated investment objective. |
| SPDR Bloomberg Barclays Mortgage Backed Bond ETF |
MBG |
State Street (SPDR) |
78464A383 |
US78464A3831 |
15 Jan 2009 |
0.06 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. MBS Index |
| The SPDR Bloomberg Barclays Mortgage Backed Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays U.S. MBS Index (the "Index"). The Bloomberg Barclays U.S. MBS Index (the "MBS Index") measures the performance of the U.S. agency mortgage pass-through segment of the U.S. investment grade bond market. The term "U.S. agency mortgage pass-through security" refers to a category of pass-through securities backed by pools of mortgages and issued by one of the following U.S. government-sponsored enterprises. |
| SPDR Bloomberg Barclays Short Term International Treasury Bond ETF |
BWZ |
State Street (SPDR) |
78464A334 |
US78464A3344 |
15 Jan 2009 |
0.35 % |
Bonds |
Not Applicable |
Bloomberg Barclays 1-3 Year Global Treasury ex-US Capped Index |
| The SPDR Bloomberg Barclays Short Term International Treasury Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays 1-3 Year Global Treasury ex-US Capped Index (the "Index"). The Bloomberg Barclays 1-3 Year Global Treasury ex-US Capped index is designed to measure the performance of fixed-rate local currency sovereign debt of investment grade countries outside the United States that have remaining maturities of one to three years. The Index includes government bonds issued by investment grade countries outside the United States, in local currencies, that have remaining maturities of one to three years and are rated investment grade. |
| VanEck Vectors Indonesia Index ETF |
IDX |
Van Eck Associates Corporation |
92189F833 |
US92189F8335 |
15 Jan 2009 |
0.58 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Indonesia Index |
| The Indonesia Index ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Indonesia Index. |
| iShares 1-3 Year International Treasury Bond ETF |
ISHG |
Blackrock (iShares) |
464288125 |
US4642881258 |
21 Jan 2009 |
0.35 % |
Bonds |
Not Applicable |
S&P/Citigroup International Treasury Bond Index Ex-US 1-3 Year |
| The iShares S&P/Citigroup 1-3 Year International Treasury Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P/Citigroup International Treasury Bond Index Ex-US 1-3 Year. |
| iShares International Treasury Bond ETF |
IGOV |
Blackrock (iShares) |
464288117 |
US4642881175 |
21 Jan 2009 |
0.35 % |
Bonds |
Not Applicable |
S&P/Citigroup International Treasury Bond Index Ex-US |
| The iShares S&P/Citigroup International Treasury Bond Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the S&P/Citigroup International Treasury Bond Index Ex-US. |
| iPATH S&P 500 VIX Short-Term Futures ETN |
VXX |
Barclays iPath |
06746L422 |
US06746L4225 |
29 Jan 2009 |
0.89 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Short-Term Futures Index Total Return |
| The S&P 500 VIX Short-Term Futures Index TR is designed to provide access to equity market volatility through CBOE Volatility Index (the "VIX Index") futures. Specifically, the S&P 500 VIX Short-Term Futures Index TR offers exposure to a daily rolling long position in the first and second month VIX futures contracts and reflects the implied volatility of the S&P 500 Index at various points along the volatility forward curve. The index futures roll continuously throughout each month from the first month VIX futures contract into the second month VIX futures contract. A direct investment in VIX (commonly referred to as spot VIX) is not possible. The S&P 500 VIX Short-Term Futures Index TR holds VIX futures contracts, which could involve roll costs and exhibit different risk and return characteristics. Investments offering volatility exposure can have various uses within a portfolio including hedging, directional, or arbitrage strategies and are typically short or medium-term in nature. |
| iPATH S&P 500 VIX Mid-Term Futures ETN |
VXZ |
Barclays iPath |
06740Q260 |
US06740Q2600 |
29 Jan 2009 |
0.89 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Mid-Term Futures Index Total Return |
| The S&P 500 VIX Mid-Term Futures Index TR is designed to provide access to equity market volatility through CBOE Volatility Index (the "VIX Index") futures. Specifically, the S&P 500 VIX Mid-Term Futures Index TR offers exposure to a daily rolling long position in the fourth, fifth, sixth and seventh month VIX futures contracts and reflects the implied volatility of the S&P 500 Index at various points along the volatility forward curve. The Index futures roll continuously throughout each month from the fourth month VIX futures contract into the seventh month VIX futures contract. A direct investment in VIX (commonly referred to as spot VIX) is not possible. The S&P 500 VIX Mid-Term Futures Index TR holds VIX futures contracts, which could involve roll costs and exhibit different risk and return characteristics. Investments offering volatility exposure can have various uses within a portfolio including hedging, directional, or arbitrage strategies and are typically short or medium-term in nature. |
| VanEck Vectors Pre-Refunded Municipal Index ETF |
PRB |
Van Eck Associates Corporation |
92189F510 |
US92189F5109 |
2 Feb 2009 |
0.24 % |
Bonds |
Not Applicable |
Barclays Capital Municipal Pre-Refunded Treasury-Escrowed Index |
| The Pre-Refunded Municipal Index ETF (PRB) seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Barclays Capital Municipal Pre-Refunded Treasury-Escrowed Index. The bonds included in this index have been refinanced by their issuers and their principal and interest are secured by Treasury obligations backed by the full faith and credit of the U.S. government. As such PRB combines the credit quality of Treasuries with the tax advantages of munis to potentially meet the needs of today s risk-averse investor. |
| JPMorgan Alerian MLP Index ETN |
AMJ |
JPMorgan Chase |
46625H365 |
US46625H3654 |
2 Apr 2009 |
0.85 % |
Other Asset Types |
MLP |
Alerian MLP Index |
| Alerian MLP Index Exchange Traded Notes ("ETNs") provide investors a convenient way to gain exposure to midstream energy MLPs. The ETNs pay a variable quarterly coupon linked to the cash distributions paid on the MLPs in the index, less accrued tracking fees1. The ETN coupons are reported on Form 1099s. Investors can trade the ETNs on the NYSE, Arca exchange or receive a cash payment at the scheduled maturity or upon early repurchase2, based on the performance of the index less accrued tracking fees and, if applicable, the repurchase fee. The ETNs are senior, unsecured obligations of JPMorgan Chase & Co. |
| VanEck Vectors High Yield Municipal Index ETF |
HYD |
Van Eck Associates Corporation |
92189H409 |
US92189H4092 |
4 Feb 2009 |
0.35 % |
Bonds |
Not Applicable |
Barclays Capital Municipal Custom High Yield Composite Index |
| The VanEck Vectors High-Yield Municipal Index ETF (HYD) seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Barclays Capital Municipal Custom High Yield Composite Index. HYD is the nation s first ETF to focus on high-yield munis and tracks an index that has a 25% weighting in investment-grade triple-B bonds and 75% weighting in non-investment grade bonds. In addition 75% of the index is in bonds issued as part of transactions of at least $100 million in size. |
| Global X MSCI Colombia ETF |
GXG |
Global X |
37950E200 |
US37950E2000 |
5 Feb 2009 |
0.61 % |
Equities (Stocks) |
Not Applicable |
MSCI All Colombia Select 25/50 Index |
| The Global X MSCI Colombia ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Colombia Select 25/50 Index. The MSCI All Colombia Select 25/50 Index is designed to represent the performance of the Broad Colombian Equity Universe, while including constituents with minimum level of liquidity and applying the MSCI 25/50 Indexes methodology. The Broad Colombia Equity Universe includes securities that are classified in Colombia according to the MSCI Global Investable Market Index Methodology, together with companies that are headquartered or listed in Colombia and carry out the majority of their operations in Colombia. Further, the Index only includes new securities with a minimum liquidity threshold of 6-month Annualized Traded Value (ATV) greater than or equal to USD 25,000,000 and 6-month Frequency of Trading (FOT) greater than or equal to 95%. |
| SPDR Portfolio Intermediate Term Corporate Bond ETF |
SPIB |
State Street (SPDR) |
78464A375 |
US78464A3757 |
10 Feb 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital Intermediate U.S. Corporate Index |
| The SPDR Portfolio Intermediate Term Corporate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays Intermediate US Corporate Index (the "Index"). The Bloomberg Barclays U.S. Intermediate Corporate Bond Index is designed to measure the performance of U.S. corporate bonds that have a maturity of greater than or equal to 1 year and less than 10 years. The Index is a component of the Barclays U.S. Corporate Index and includes investment grade, fixed-rate, taxable, U.S. dollar-denominated debt with $250 million or more par amount outstanding, issued by U.S. and non-U.S. industrial, utility, and financial institutions. |
| SPDR Portfolio Long Term Corporate Bond ETF |
SPLB |
State Street (SPDR) |
78464A367 |
US78464A3674 |
10 Mar 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital Long U.S. Corporate Index |
| The SPDR Portfolio Long Term Corporate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays Long U.S. Corporate index (the "Index"). The Bloomberg Barclays U.S. Long Term Corporate Bond Index is designed to measure the performance of U.S. corporate bonds that have a maturity of greater than or equal to 10 years. The Index is a component of the Bloomberg Barclays U.S. Corporate Index and includes investment grade, fixed-rate, taxable, U.S. dollar-denominated debt with $250 million or more par amount outstanding, issued by U.S. and non-U.S. industrial, utility, and financial institutions. The Index is rebalanced monthly, on the last day business day of the month. |
| IndexIQ ETF Trust - IQ Hedge Multi-Strategy Tracker ETF |
QAI |
Index IQ |
45409B107 |
US45409B1070 |
25 Mar 2009 |
0.76 % |
Other Asset Types |
Hedge Fund Replication |
IQ Hedge Multi-Strategy Index |
| The IQ Hedge Multi-Strategy Tracker ETF seeks to track before fees and expenses the performance of the IQ Hedge Multi-Strategy Index. The Index attempts to replicate the risk-adjusted return characteristics of hedge funds using various hedge fund investment styles including long/short equity global macro market neutral event-driven fixed income arbitrage and emerging markets. |
| Vanguard FTSE All World ex-US Small-Cap ETF |
VSS |
Vanguard |
922042718 |
US9220427184 |
2 Apr 2009 |
0.13 % |
Equities (Stocks) |
Not Applicable |
FTSE Global Small Cap ex US Index |
| Attempts to track the performance of the FTSE Global Small Cap ex US Index. Provides a convenient way to get broad exposure across developed and emerging non-U.S. small-cap equity markets around the world. Passively managed using index sampling. |
| SPDR Bloomberg Barclays Convertible Securities ETF |
CWB |
State Street (SPDR) |
78464A359 |
US78464A3591 |
14 Apr 2009 |
0.40 % |
Bonds |
Not Applicable |
Bloomberg Barclays US Convertible Liquid Bond Index |
| The SPDR Bloomberg Barclays Convertible Securities ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays US Convertible Liquid Bond Index (the "Index"). Seeks to provide exposure to the market of U.S. convertible securities with an issue amount of at least $350 million and a par amount outstanding of at least $250 million. |
| Direxion Daily 7-10 Year Treasury Bull 3x Shares |
TYD |
Direxion Shares |
25459W565 |
US25459W5655 |
16 Apr 2009 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| The Direxion Daily 7-10 Year Treasury Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 7-10 Year Bond Index. There is no guarantee the funds will meet their stated investment objectives. These leveraged ETFs seek a return that is +300% 0r -300% of the return of their benchmark index for a single day. The funds should not be expected to provide three times or negative three times the return of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 7-10 Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| Direxion Daily 20 Year Plus Treasury Bull 3x Shares |
TMF |
Direxion Shares |
25459W540 |
US25459W5408 |
16 Apr 2009 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| The Direxion Daily 20+ Year Treasury Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 20+ Year Bond Index. There is no guarantee the funds will meet their stated investment objectives. These leveraged ETFs seek a return that is +300% or -300% of the return of their benchmark index for a single day. The funds should not be expected to provide three times or negative three times the return of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 20+ Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than 20 years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| Direxion Daily 7-10 Year Treasury Bear 3x Shares |
TYO |
Direxion Shares |
25459W557 |
US25459W5572 |
16 Apr 2009 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| The Direxion Daily 7-10 Year Treasury Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 7-10 Year Bond Index. There is no guarantee the funds will meet their stated investment objectives. These leveraged ETFs seek a return that is +300% 0r -300% of the return of their benchmark index for a single day. The funds should not be expected to provide three times or negative three times the return of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 7-10 Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| Direxion Daily 20 Year Plus Treasury Bear 3x Shares |
TMV |
Direxion Shares |
25459Y678 |
US25459Y6784 |
16 Apr 2009 |
0.90 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| The Direxion Daily 20+ Year Treasury Bull & Bear 3x Shares seek daily investment results, before fees and expenses, of 300% or 300% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 20+ Year Bond Index. There is no guarantee the funds will meet their stated investment objectives. These leveraged ETFs seek a return that is +300% or -300% of the return of their benchmark index for a single day. The funds should not be expected to provide three times or negative three times the return of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 20+ Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than 20 years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| WisdomTree Emerging Currency Fund |
CEW |
Wisdom Tree |
97717W133 |
US97717W1339 |
6 May 2009 |
0.55 % |
Currency |
Not Applicable |
Emerging Market Currencies |
| The Fund seeks to achieve total returns reflective of both money market rates in selected emerging market countries available to foreign investors and changes to the value of these currencies relative to the U.S. dollar. Since the Funds investment objective has been adopted as a non-fundamental investment policy the Funds investment objective may be changed without a vote of shareholders. Constituent currencies at launch: Mexican Peso Brazilian Real Chilean Peso South African Rand Polish Zloty Israeli Shekel Turkish New Lira Chinese Yuan South Korean Won Taiwanese Dollar and Indian Rupee. |
| VanEck Vectors Brazil Small-Cap ETF |
BRF |
Van Eck Associates Corporation |
92189F825 |
US92189F8251 |
12 May 2009 |
0.60 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Brazil Small-Cap Index |
| The Brazil Small-Cap ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Brazil Small-Cap Index. |
| PIMCO 1-3 Year U.S. Treasury Index Exchange-Traded Fund |
TUZ |
PIMCO |
72201R106 |
US72201R1068 |
1 Jun 2009 |
0.15 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch 1-3 US Year Treasury Index |
| The objective of the PIMCO 1-3 Year U.S. Treasury Index Fund is to provide total return that closely corresponds before fees and expenses to the total return of ICE BofA Merrill Lynch 1-3 Year US Treasury Index. |
| ProShares Ultra MSCI Emerging Markets |
EET |
ProShares |
74347X302 |
US74347X3026 |
2 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Index |
| ProShares Ultra MSCI Emerging Markets seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the MSCI Emerging Markets Index. |
| ProShares Ultra MSCI EAFE |
EFO |
ProShares |
74347X500 |
US74347X5005 |
2 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI EAFE Index |
| ProShares Ultra MSCI EAFE seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the MSCI EAFE Index. |
| ProShares Ultra MSCI Japan |
EZJ |
ProShares |
74347X708 |
US74347X7084 |
2 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Japan Index |
| ProShares Ultra MSCI Japan seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the MSCI Japan Index. |
| ProShares Ultra FTSE China 50 |
XPP |
ProShares |
74347X880 |
US74347X8801 |
2 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| ProShares Ultra FTSE / Xinhua China 50 seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the FTSE/Xinhua China 25 Index. |
| IQ Hedge Macro Tracker ETF |
MCRO |
Index IQ |
45409B206 |
US45409B2060 |
9 Jun 2009 |
1.00 % |
Other Asset Types |
Hedge Fund Replication |
IQ Hedge Macro Index |
| The IQ Hedge Macro Tracker ETF seeks to track before fees and expenses the performance of the IQ Hedge Macro Index. The Index attempts to replicate the risk-adjusted return characteristics of a combination of hedge funds pursuing a macro strategy and hedge funds pursuing an emerging markets strategy. |
| iShares Emerging Markets Infrastructure ETF |
EMIF |
Blackrock (iShares) |
464288216 |
US4642882165 |
16 Jun 2009 |
0.75 % |
Equities (Stocks) |
Not Applicable |
S&P Emerging Markets Infrastructure Index |
| The iShares S&P Emerging Markets Infrastructure Index Fund seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the S&P Emerging Markets Infrastructure Index. |
| ProShares UltraShort FTSE Europe |
EPV |
ProShares |
74348A434 |
US74348A4343 |
16 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Europe All Cap Index |
| ProShares UltraShort FTSE Europe seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the FTSE Developed Europe All Cap Index. The FTSE Developed Europe All Cap Index is a market-capitalization weighted index representing the performance of large, mid and small cap companies in Developed European markets, including the UK. The index is comprised of approximately 1250 securities from 16 countries, and derived from the FTSE Global Equity Index Series (GEIS), which covers over 7,400 securities in 47 different countries and captures 98% of the worlds investable market capitalization. |
| ProShares UltraShort MSCI Brazil Capped |
BZQ |
ProShares |
74347B292 |
US74347B2925 |
16 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Brazil 25/50 Capped Index |
| ProShares UltraShort MSCI Brazil Capped seeks daily investment results, before fees and expenses, that correspond to two times the inverse (-2x) of the daily performance of the MSCI Brazil 25/50 Index. The MSCI Brazil 25/50 Index is a free-float-adjusted, market capitalization weighted index that is designed to measure the equity market performance of the Brazilian market. The Index is divided into large- and mid-cap segments and targets approximately 85% of free-float-adjusted market capitalization of the region. |
| iShares MSCI Peru ETF |
EPU |
Blackrock (iShares) |
464289842 |
US4642898427 |
19 Jun 2009 |
0.63 % |
Equities (Stocks) |
Not Applicable |
MSCI All Peru Capped Index |
| The iShares MSCI All Peru Capped Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Peru Capped Index. |
| ProShares UltraPro Short S&P 500 |
SPXU |
ProShares |
74347B268 |
US74347B2685 |
23 Jun 2009 |
0.90 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| ProShares UltraPro Short S&P500 seeks daily investment results before fees and expenses that correspond to triple (300%) the inverse (opposite) of the daily performance of the S&P 500 |
| ProShares UltraPro S&P 500 |
UPRO |
ProShares |
74347X864 |
US74347X8645 |
23 Jun 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| ProShares UltraPro S&P500 seeks daily investment results before fees and expenses that correspond to triple (300%) the daily performance of the S&P 500 |
| First Trust NASDAQ ABA Community Bank Index Fund |
QABA |
First Trust |
33736Q104 |
US33736Q1040 |
29 Jun 2009 |
0.60 % |
Equities (Stocks) |
Not Applicable |
NASDAQ OMX ABA Community Bank Index |
| The First Trust NASDAQ ABA Community Bank Index Fund seeks investment results that correspond generally to the price and yield before the Funds fees and expenses of an equity index called the NASDAQ OMX ABA Community Bank Index. |
| ALPS Equal Sector Weight ETF |
EQL |
ALPS |
00162Q205 |
US00162Q2057 |
7 Jul 2009 |
0.48 % |
Equities (Stocks) |
Not Applicable |
NYSE Select Sector Equal Weight Index |
| The ALPS Equal Sector Weight ETF (Ticker Symbol: EQL) is an ETF of ETFs that delivers exposure to the US Large Cap Equity market by investing equal proportions in each of the 9 Select Sector SPDRs. |
| ProShares Large Cap Core Plus |
CSM |
ProShares |
74347R248 |
US74347R2489 |
13 Jul 2009 |
0.45 % |
Other Asset Types |
Hedge Fund Replication |
Credit Suisse 130/30 Large-Cap Index |
| ProShares Credit Suisse 130/30 seeks investment results before fees and expenses that track the performance of the Credit Suisse 130/30 Large-Cap Index. |
| Direxion Daily Real Estate Bull 3x Shares |
DRN |
Direxion Shares |
25459W755 |
US25459W7552 |
16 Jul 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI US REIT Index |
| The Direxion Daily Real Estate Bull 3x ETF seeks daily investment results before fees and expenses of 300% of the price performance of the MSCI US REIT Index (Real Estate Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Real Estate Bear 3x Shares |
DRV |
Direxion Shares |
25459Y363 |
US25459Y3633 |
16 Jul 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI US REIT Index |
| The Direxion Daily Real Estate Bear 3X ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the Real Estate Index. There is no guarantee the fund will meet its stated investment objective. |
| Aberdeen Standard Physical Silver Shares ETF |
SIVR |
Aberdeen |
003264108 |
US0032641088 |
24 Jul 2009 |
0.30 % |
Commodities & Metals |
Not Applicable |
London Silver Fix Price |
| Aberdeen Standard Physical Silver Shares ETF (SIVR) is designed to offer investors a simple cost-efficient and secure way to access the precious metals market. SIVR is intended to provide investors with a return equivalent to movements in the silver spot price less fees. |
| VanEck Vectors Vietnam ETF |
VNM |
Van Eck Associates Corporation |
92189F817 |
US92189F8178 |
11 Aug 2009 |
0.66 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Vietnam Index |
| The Vietnam ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Vietnam Index. |
| Global X FTSE Nordic Region ETF |
GXF |
Global X |
37950E101 |
US37950E1010 |
17 Aug 2009 |
0.55 % |
Equities (Stocks) |
Not Applicable |
FTSE Nordic 30 Index |
| The Global X FTSE Nordic 30 ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE Nordic 30 Index. |
| ProShares Short 20+ Year Treasury |
TBF |
ProShares |
74347X849 |
US74347X8496 |
18 Aug 2009 |
0.92 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| ProShares Short 20+ Year Treasury seeks daily investment results, before fees and expenses, that correspond to the inverse (-1x) of the daily performance of the ICE U.S. Treasury 20+ Year Bond Index. The ICE U.S. Treasury 20+ Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity greater than twenty years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund |
STPZ |
PIMCO |
72201R205 |
US72201R2058 |
20 Aug 2009 |
0.20 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch 1-5 Year US Inflation-Linked Treasury Index |
| The objective of the PIMCO 1-5 Year U.S. TIPS Index Fund is to provide total return that closely corresponds before fees and expenses to the total return of ICE BofA Merrill Lynch 1-5 Year US Inflation-Linked Treasury Index. |
| PIMCO 15+ Year U.S. TIPS Index Exchange-Traded Fund |
LTPZ |
PIMCO |
72201R304 |
US72201R3049 |
3 Sep 2009 |
0.20 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch 15+ Year US Inflation-Linked Treasury Index |
| The objective of the PIMCO 15+ Year U.S. TIPS Index Fund is to provide total return that closely corresponds before fees and expenses to the total return of ICE BofA Merrill Lynch 15+ Year US Inflation-Linked Treasury Index. |
| PIMCO Broad U.S. TIPS Index Exchange-Traded Fund |
TIPZ |
PIMCO |
72201R403 |
US72201R4039 |
3 Sep 2009 |
0.20 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch US Inflation-Linked Treasury Index |
| The objective of the PIMCO Broad U.S. TIPS Index Fund is to provide total return that closely corresponds before fees and expenses to the total return of ICE BofA Merrill Lynch US Inflation-Linked Treasury Index. |
| Aberdeen Standard Physical Swiss Gold Shares ETF |
SGOL |
Aberdeen |
00326A104 |
US00326A1043 |
9 Sep 2009 |
0.17 % |
Commodities & Metals |
Not Applicable |
Gold - London PM Gold Price |
| Aberdeen Standard Physical Swiss Gold Shares ETF (SGOL) is designed to offer investors a simple cost-efficient and secure way to access the precious metals market. SGOL is intended to provide investors with a return equivalent to movements in the gold spot price less fees. |
| SPDR Wells Fargo Preferred Stock ETF |
PSK |
State Street (SPDR) |
78464A292 |
US78464A2924 |
16 Sep 2009 |
0.45 % |
Other Asset Types |
Preferred Stock |
Wells Fargo Hybrid and Preferred Securities Aggregate Index |
| The SPDR Wells Fargo Preferred Stock ETF seeks to replicate as closely as possible before fees and expenses the total return of the Wells Fargo Hybrid and Preferred Securities Aggregate Index. |
| iShares Russell Top 200 ETF |
IWL |
Blackrock (iShares) |
464289446 |
US4642894467 |
22 Sep 2009 |
0.15 % |
Equities (Stocks) |
Not Applicable |
Russell Top 200 Index |
| The iShares Russell Top 200 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Russell Top 200 Index. |
| iShares Russell Top 200 Value ETF |
IWX |
Blackrock (iShares) |
464289420 |
US4642894202 |
22 Sep 2009 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell Top 200 Value Index |
| The iShares Russell Top 200 Value Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Russell Top 200® Value Index. |
| iShares Russell Top 200 Growth ETF |
IWY |
Blackrock (iShares) |
464289438 |
US4642894384 |
22 Sep 2009 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell Top 200 Pure Growth Index |
| The iShares Russell Top 200 Growth Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the Russell Top 200® Growth Index. |
| Columbia Beyond BRICs ETF |
BBRC |
Columbia Management |
19762B103 |
US19762B1035 |
15 Aug 2012 |
0.58 % |
Equities (Stocks) |
Not Applicable |
FTSE Beyond BRICs Index |
| Columbia Beyond BRICs ETF seeks investment results that correspond (before fees and expenses) to the price and yield performance of the FTSE Beyond BRICs Index. The FTSE Beyond BRICs Index is a market capitalization-weighted index designed to represent the performance of a diversified basket of 90 liquid companies in emerging and frontier markets excluding Brazil, Russia, India, China (BRIC), Taiwan and Argentina as defined by FTSEs Country Classification System. The index has 75% exposure to emerging markets and 25% to frontier markets at rebalance. |
| Invesco China All-Cap ETF |
YAO |
Invesco |
46138E503 |
US46138E5033 |
19 Oct 2009 |
0.70 % |
Equities (Stocks) |
Not Applicable |
AlphaShares China All-Cap Index |
| The Invesco China All-Cap ETF (Fund) is based on the AlphaShares China All-Cap Index (Index). The Fund will invest at least 90% of its total assets in stocks, American depositary receipts (ADRs), American depositary shares (ADSs), global depositary receipts (GDRs) and international depositary receipts (IDRs) that comprise the Index. The Index is composed of designed to measure and monitor the performance of the investable universe of publicly-traded companies based in mainland China. The Fund and the Index are rebalanced annually. |
| IQ Real Return ETF |
CPI |
Index IQ |
45409B602 |
US45409B6020 |
27 Oct 2009 |
0.66 % |
Target Date / Multi-Asset |
Not Applicable |
IQ Real Return Index |
| The IQ Real Return ETF seeks investment results that correspond before fees and expenses to the price and yield performance of the IQ Real Return Index. The Index seeks to provide a hedge against the U.S. inflation rate by providing a real return or a return above the rate of inflation as represented by the Consumer Price Index which is published by the Bureau of Labor Statistics and is a measure of the average change in prices over time of goods and services purchased by households. |
| IQ Global Resources ETF |
GRES |
Index IQ |
45409B883 |
US45409B8836 |
27 Oct 2009 |
0.77 % |
Equities (Stocks) |
Not Applicable |
IQ Global Resources Index |
| The IQ Global Resources ETF seeks investment results that correspond before fees and expenses to the price and yield performance of the IQ Global Resources Index. The Index uses momentum and valuation factors to identify global companies that operate in commodity-specific market segments and whose equity securities trade in developed markets including the U.S. These segments include the major commodity sectors (Precious Metals Industrial Metals Livestock Energy and Grains Food & Fiber) plus Timber Water and Coal. The Index also includes short exposure to global equities as a partial equity market hedge. |
| ETRACS Bloomberg Commodity Index Total Return ETN |
DJCI |
UBS |
902641679 |
US9026416795 |
28 Oct 2009 |
0.50 % |
Commodities & Metals |
Not Applicable |
Bloomberg Commodity USD Total Return Index |
| The ETRACS Bloomberg-UBS Commodity Index Total Return is designed to track the performance of the Bloomberg-UBS Commodity Index Total ReturnSM (the "Index") less investor fees. The Index is designed to provide diversified commodity exposure with weightings based on each underlying commoditys liquidity and economic significance. The Index measures the collateralized returns from a basket of 19 commodity futures contracts representing the energy, precious metals, industrial metals, grains, softs and livestock sectors. In addition, the Index is rebalanced once a year to ensure that no commodity sector may constitute more than 33% of the Index as of the date of such rebalancing. |
| PIMCO 25+ Year Zero Coupon U.S. Treasury Index Exchange-Traded Fund |
ZROZ |
PIMCO |
72201R882 |
US72201R8824 |
30 Oct 2009 |
0.15 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch Long US Treasury Principal STRIPS Index |
| The objective of the PIMCO 25+ Year Zero Coupon U.S. Treasury Index Fund is to provide total return that closely corresponds before fees and expenses to the total return of ICE BofA Merrill Lynch Long Treasury Principal STRIPS Index. |
| Schwab US Broad Market ETF |
SCHB |
Schwab |
808524102 |
US8085241029 |
3 Nov 2009 |
0.03 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Broad Stock Market Index |
| The fund offers diversified exposure across large- and small-cap U.S. stocks. It seeks investment results that track performance before fees and expenses of the approximately 2500-stock Dow Jones U.S. Broad Stock Market Index?. |
| Schwab US Large-Cap ETF |
SCHX |
Schwab |
808524201 |
US8085242019 |
3 Nov 2009 |
0.03 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Large Cap Total Stock Market Index |
| The fund provides exposure to large-cap U.S. companies. It seeks investment results that track the performance before fees and expense of the Dow Jones U.S. Large-Cap Total Stock Market Index? made up of approximately the largest 750 U.S. stocks. |
| Schwab International Equity ETF |
SCHF |
Schwab |
808524805 |
US8085248057 |
3 Nov 2009 |
0.06 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Countries ex US Index |
| The fund provides broad exposure to international large-and mid-cap companies in over 20 developed international markets. It seeks investment returns that track the performance before fees and expenses of the FTSE Developed ex U.S. Index made up of approximately 1400 international stocks. |
| Schwab US Small-Cap ETF |
SCHA |
Schwab |
808524607 |
US8085246077 |
3 Nov 2009 |
0.05 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Small-Cap Total Stock Market Index |
| The fund offers exposure to small-cap U.S. companies. It seeks investment results that track the performance before fees and expenses of the Dow Jones U.S. Small-Cap Total Stock Market Index? made up of approximately 1750 U.S. small cap stocks. |
| VanEck Vectors Junior Gold Miners ETF |
GDXJ |
Van Eck Associates Corporation |
92189F791 |
US92189F7915 |
10 Nov 2009 |
0.54 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Junior Gold Miners Index |
| The Junior Gold Miners ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Junior Gold Miners Index. The Market Vectors Junior Gold Miners Index is a rules-based modified market capitalization-weighted float-adjusted index intended to investors exposure to small- and medium-capitalization companies in the gold or silver mining industry. |
| PIMCO Enhanced Short Maturity Exchange-Traded Fund |
MINT |
PIMCO |
72201R833 |
US72201R8337 |
16 Nov 2009 |
0.35 % |
Bonds |
Not Applicable |
Not Applicable |
| PIMCO Enhanced Short Maturity Strategy Fund (MINT) is an actively managed exchange-traded fund (ETF) that seeks greater income and total return potential than money market funds and may be appropriate for non-immediate cash allocations. MINT will primarily invest in short duration investment grade debt securities. The average portfolio duration of MINT will vary based on PIMCO s economic forecasts and active investment process decisions and will not normally exceed one year. MINT will disclose all portfolio holdings on a daily basis and will not use options futures or swaps. |
| First Trust NASDAQ Clean Edge Smart Grid Infrastructure Index Fund |
GRID |
First Trust |
33737A108 |
US33737A1088 |
16 Nov 2009 |
0.70 % |
Equities (Stocks) |
Not Applicable |
NASDAQ OMX Clean Edge Smart Grid Infrastructure Index |
| This exchange-traded fund seeks investment results that correspond generally to the price and yield before the Funds fees and expenses of an equity index called the NASDAQ OMX Clean Edge Smart Grid Infrastructure Index. |
| IQ Merger Arbitrage ETF |
MNA |
Index IQ |
45409B800 |
US45409B8000 |
17 Nov 2009 |
0.77 % |
Other Asset Types |
Hedge Fund Replication |
IQ Merger Arbitrage Index |
| The IQ Merger Arbitrage ETF seeks to track before fees and expenses the performance of the IQ Merger Arbitrage Index. The Index seeks to achieve capital appreciation by investing in global companies for which there has been a public announcement of a takeover by an acquirer. This differentiated approach is based on a passive strategy of owning certain announced takeover targets with the goal of generating returns that are representative of global merger arbitrage activity. The Index also includes short exposure to global equities as a partial equity market hedge. Merger arbitrage is a directional hedge fund strategy. The IQ Merger Arbitrage ETF is not a hedge fund and does not invest in hedge funds. |
| Invesco Taxable Municipal Bond ETF |
BAB |
Invesco |
46138G805 |
US46138G8050 |
17 Nov 2009 |
0.28 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch US Taxable Municipal Securities Plus Index |
| The Invesco Taxable Municipal Bond ETF (Fund) is based on the ICE BofAML US Taxable Municipal Securities Plus Index (Index). The Fund will normally invest at least 80% of its total assets in the securities that comprise the Index. The Index is designed to track the performance of US dollar-denominated taxable municipal debt publicly issued by US states and territories, and their political subdivisions, in the US market. The Fund and the Index are rebalanced and reconstituted monthly. |
| iShares India 50 ETF |
INDY |
Blackrock (iShares) |
464289529 |
US4642895290 |
18 Nov 2009 |
0.93 % |
Equities (Stocks) |
Not Applicable |
CNX Nifty Index |
| The iShares India Nifty 50 Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the CNX Nifty Index. |
| United States 12 Month Natural Gas Fund LP |
UNL |
United States Commodity Funds |
91288X109 |
US91288X1090 |
18 Nov 2009 |
0.90 % |
Commodities & Metals |
Not Applicable |
Natural Gas - NYMEX traded next 12 months average futures contracts |
| The investment objective of UNL is to have the changes in percentage terms of the units net asset value reflect the changes in percentage terms of the spot price of natural gas delivered at the Henry Hub Louisiana as measured by the changes in the average of the prices of 12 futures contracts on natural gas traded on the New York Mercantile Exchange consisting of the near month contact to expire and the contracts for the following eleven months for a total of 12 consecutive months contracts except when the near month contract is within two weeks of expiration in which case it will be measured by the futures contract that is the next month contract to expire and the contracts for the following eleven consecutive months less UNLs expenses. |
| Vanguard Long-Term Government Bond ETF |
VGLT |
Vanguard |
92206C847 |
US92206C8477 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Long Government Float Adjusted Index |
| Seeks to provide a high and sustainable level of current income. Invests primarily in government bonds. Maintains a dollar-weighted average maturity of 10 to 25 years. |
| Vanguard Long-Term Corporate Bond ETF |
VCLT |
Vanguard |
92206C813 |
US92206C8139 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays US 10+ Year Corp Index |
| Seeks to provide a high and sustainable level of current income. Invests primarily in high-quality (investment-grade) corporate bonds. Maintains a dollar-weighted average maturity of 10 to 25 years. |
| Vanguard Short-Term Government Bond ETF |
VGSH |
Vanguard |
92206C102 |
US92206C1027 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 1 3 Year Government Float Adjusted Index |
| Seeks to provide current income with modest price fluctuation. Invests primarily in high-quality (investment-grade) U.S. government bonds. Maintains a dollar-weighted average maturity of 1 to 3 years. |
| Vanguard Intermediate-Term Government Bond ETF |
VGIT |
Vanguard |
92206C706 |
US92206C7065 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 3 10 Year Government Float Adjusted Index |
| Seeks to provide a moderate and sustainable level of current income. Invests primarily in government bonds. Moderate interest rate risk with a dollar-weighted average maturity of 5 to 10 years. |
| Vanguard Mortgage-Backed Securities ETF |
VMBS |
Vanguard |
92206C771 |
US92206C7719 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. MBS Float Adjusted Index |
| Seeks to provide a moderate and sustainable level of current income. Invests primarily in U.S. agency mortgage-backed pass-through securities issued by Ginnie Mae (GNMA) Fannie Mae (FNMA) and Freddie Mac (FHLMC). Moderate interest rate risk with a dollar-weighted average maturity of 3 to 10 years. |
| Vanguard Intermediate-Term Corporate Bond ETF |
VCIT |
Vanguard |
92206C870 |
US92206C8709 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays US 5-10 Year Corp Index |
| Seeks to provide a moderate and sustainable level of current income. Invests primarily in high-quality (investment-grade) corporate bonds. Moderate interest rate risk with a dollar-weighted average maturity of 5 to 10 years |
| Vanguard Short-Term Corporate Bond ETF |
VCSH |
Vanguard |
92206C409 |
US92206C4096 |
19 Nov 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 1 5 Year Corporate Index |
| Seeks to provide current income with modest price fluctuation. Invests primarily in high-quality (investment-grade) corporate bonds. Maintains a dollar-weighted average maturity of 1 to 3 years. |
| VanEck Vectors Poland ETF |
PLND |
Van Eck Associates Corporation |
92189F783 |
US92189F7832 |
24 Nov 2009 |
0.66 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Poland Index |
| The Poland ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Poland Index. |
| PIMCO Intermediate Municipal Bond Exchange-Traded Fund |
MUNI |
PIMCO |
72201R866 |
US72201R8667 |
30 Nov 2009 |
0.35 % |
Bonds |
Not Applicable |
Not Applicable |
| The Intermediate Municipal Bond Strategy Fund is an actively managed exchange-traded fund (ETF). Designed to be appropriate for investors seeking tax-exempt income the Fund consists of a diversified portfolio of primarily intermediate duration high credit quality bonds which carry interest income that is exempt from federal tax and in some cases state tax. With this Fund investors will see the names of the bonds owned daily. In addition the Fund will not use options futures or swaps. |
| Global X MSCI China Consumer Discretionary ETF |
CHIQ |
Global X |
37950E408 |
US37950E4089 |
30 Nov 2009 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Consumer Discretionary 10/50 Index |
| The Global X MSCI China Consumer Discretionary ETF (CHIQ) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Consumer Discretionary 10/50 Index. |
| Global X MSCI China Industrials ETF |
CHII |
Global X |
37950E705 |
US37950E7058 |
30 Nov 2009 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Industrials 10/50 Index |
| The Global X MSCI China Industrials ETF (CHII) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Industrials 10/50 Index. |
| Direxion Daily FTSE China Bull 3X Shares |
YINN |
Direxion Shares |
25459W771 |
US25459W7719 |
3 Dec 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| The Direxion Daily FTSE China Bull 3X Shares seeks daily investment results before fees and expenses of 300% of the price performance of the FTSE China 50 Index (the China Index). There is no guarantee the fund will meet its stated investment objective. The FTSE China 50 Index (TXIN0UNU) consists of the 50 largest and most liquid public Chinese companies currently trading on the Hong Kong Stock Exchange ( SEHK ). Securities in the Index are weighted based on the total market value of their shares, so that securities with higher total market values will generally have a higher representation in the Index. |
| Direxion Daily Latin America Bull 3X Shares |
LBJ |
Direxion Shares |
25490K299 |
US25490K2996 |
3 Dec 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Latin America 40 Index |
| The Direxion Daily Latin America Bull 3x ETF seeks daily investment results before fees and expenses of 300% of the price performance of the S&P Latin America 40 Index (Latin America Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily FTSE China Bear 3X Shares |
YANG |
Direxion Shares |
25460E521 |
US25460E5217 |
3 Dec 2009 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| The Direxion Daily FTSE China Bear 3X Shares seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the FTSE China 50 Index (the China Index). There is no guarantee the fund will meet its stated investment objective. The FTSE China 50 Index (TXIN0UNU) consists of the 50 largest and most liquid public Chinese companies currently trading on the Hong Kong Stock Exchange ( SEHK ). Securities in the Index are weighted based on the total market value of their shares, so that securities with higher total market values will generally have a higher representation in the Index. |
| iShares Core 10+ Year USD Bond ETF |
ILTB |
Blackrock (iShares) |
464289479 |
US4642894798 |
8 Dec 2009 |
0.06 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Universal 10+ Year Index |
| The iShares Core 10+ Year USD Bond ETF seeks to track the investment results of an index composed of U.S. dollar-denominated bonds that are rated either investment grade or high-yield with remaining maturities greater than ten years. |
| iShares Long-Term Corporate Bond ETF |
IGLB |
Blackrock (iShares) |
464289511 |
US4642895118 |
8 Dec 2009 |
0.06 % |
Bonds |
Not Applicable |
ICE BofAML 10+ Year US Corporate Index |
| The iShares Long-Term Corporate Bond ETF seeks to track the investment results of an index composed of U.S. dollar-denominated investment-grade corporate bonds with remaining maturities greater than ten years. |
| Global X MSCI China Communication Services ETF |
CHIC |
Global X |
37950E804 |
US37950E8049 |
8 Dec 2009 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Communication Services 10/50 Index |
| The Global X MSCI China Communication Services ETF (CHIC) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Communication Services 10/50 Index. |
| Invesco China Technology ETF |
CQQQ |
Invesco |
46138E800 |
US46138E8003 |
8 Dec 2009 |
0.70 % |
Equities (Stocks) |
Not Applicable |
AlphaShares China Technology Index |
| The Invesco China Technology ETF is based on the AlphaShares China Technology Index (Index). The Fund will invest at least 80% of its total assets in securities that comprise the Index and American depositary receipts (ADRs), American depositary shares (ADSs), global depositary receipts (GDRs) and international depositary receipts (IDRs) based on securities in the Index. The Index is designed to measure and monitor the performance of the universe of publicly-traded information technology companies open to foreign investment which are based in China, Hong Kong or Macau. The Fund and the Index are rebalanced semiannually. |
| Global X MSCI China Financials ETF |
CHIX |
Global X |
37950E606 |
US37950E6068 |
10 Dec 2009 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Financials 10/50 Index |
| The Global X MSCI China Financials ETF (CHIX) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Financials 10/50 Index. |
| Schwab U.S. Large-Cap Growth ETF |
SCHG |
Schwab |
808524300 |
US8085243009 |
11 Dec 2009 |
0.04 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Large-Cap Growth Total Stock Market Index |
| The fund provides exposure to large-cap U.S. stocks that exhibit growth style characteristics. It seeks investment results that track the the performance before fees and expenses of the Dow Jones U.S. Large-Cap Growth Total Stock Market Index? representing approximately half of the market capitalization of stocks in the Dow Jones U.S. Large Cap Total Stock Market Index?. |
| Schwab U.S. Large-Cap Value ETF |
SCHV |
Schwab |
808524409 |
US8085244098 |
11 Dec 2009 |
0.04 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Large-Cap Value Total Stock Market Index |
| The fund provides broad exposure to large-cap U.S. stocks that exhibit value style characteristics. It seeks investment results that track the the performance before fees and expenses of the Dow Jones U.S. Large-Cap Value Total Stock Market Index? representing approximately half of the market capitalization of stocks in the Dow Jones U.S. Large Cap Total Stock Market Index?. |
| Global X MSCI China Energy ETF |
CHIE |
Global X |
37950E507 |
US37950E5078 |
15 Dec 2009 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Energy IMI Plus 10/50 Index |
| The Global X MSCI China Energy ETF (CHIE) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Energy IMI Plus 10/50 Index. |
| SPDR Portfolio Short Term Corporate Bond ETF |
SPSB |
State Street (SPDR) |
78464A474 |
US78464A4748 |
16 Dec 2009 |
0.07 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 1-3 Year Corporate Bond Index |
| The SPDR Portfolio Short Term Corporate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays U.S. 1-3 Year Corporate Bond Index (the "Index"). The Bloomberg Barclays U.S. 1-3 Year Corporate Bond Index is designed to measure the performance of the short term U.S. corporate bond market. The Index includes publicly issued U.S. dollar denominated corporate issues that have a remaining maturity of greater than or equal to 1 year and less than 3 years, are rated investment grade (must be Baa3/BBB- or higher using the middle rating of Moodys Investor Service, Inc., Standard & Poors, and Fitch Rating), and have $250 million or more of outstanding face value. In addition, the securities must be Securities and Exchange Commission ("SEC") registered, denominated in U.S. dollars, fixed rate and non-convertible. The Index includes only corporate sectors. The corporate sectors are Industrial, Utility, and Financial Institutions, which include both U.S. and non-U.S. corporations. The following instruments are excluded from the Index: structured notes with embedded swaps or other special features; private placements; floating rate securities; and Eurobonds. The Index is market capitalization weighted and the securities in the Index are updated on the last business day of each month. |
| WisdomTree Europe Hedged Equity Fund |
HEDJ |
Wisdom Tree |
97717X701 |
US97717X7012 |
31 Dec 2009 |
0.58 % |
Equities (Stocks) |
Not Applicable |
WisdomTree Europe Hedged Equity Index |
| WisdomTree Europe Hedged Equity Fund seeks to provide exposure to the European equity market while hedging exposure to fluctuations between the U.S. dollar and the euro. The WisdomTree Europe Hedged Equity Index is designed to provide exposure to European equities while at the same time neutralizing exposure to fluctuations between the euro and the U.S. dollar. |
| Aberdeen Standard Physical Palladium Shares ETF |
PALL |
Aberdeen |
003262102 |
US0032621023 |
8 Jan 2010 |
0.60 % |
Commodities & Metals |
Not Applicable |
Palladium - London PM Fix |
| Aberdeen Standard Physical Palladium Shares ETF (PALL) is designed to offer investors a simple cost-efficient and secure way to access the precious metals market. PALL is intended to provide investors with a return equivalent to movements in the palladium spot price less fees. |
| Aberdeen Standard Physical Platinum Shares ETF |
PPLT |
Aberdeen |
003260106 |
US0032601066 |
8 Jan 2010 |
0.60 % |
Commodities & Metals |
Not Applicable |
Platinum - London PM Fix |
| Aberdeen Standard Physical Platinum Shares ETF (PPLT) is designed to offer investors a simple cost-efficient and secure way to access the precious metals market. PPLT is intended to provide investors with a return equivalent to movements in the platinum spot price less fees. |
| Global X MSCI China Materials ETF |
CHIM |
Global X |
37950E242 |
US37950E2422 |
12 Jan 2010 |
0.65 % |
Equities (Stocks) |
Not Applicable |
MSCI China Materials 10/50 Index |
| The Global X MSCI China Materials ETF (CHIM) seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Materials 10/50 Index. |
| Schwab Emerging Markets Equity ETF |
SCHE |
Schwab |
808524706 |
US8085247067 |
14 Jan 2010 |
0.13 % |
Equities (Stocks) |
Not Applicable |
FTSE All Emerging Index |
| The fund offers diversified exposure to large- and mid-cap companies in over 20 emerging markets. It seeks investment results that track the performance before fees and expenses of the approximately 740-stock FTSE All Emerging Index. |
| Schwab International Small-Cap Equity ETF |
SCHC |
Schwab |
808524888 |
US8085248883 |
14 Jan 2010 |
0.12 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Small Cap ex U.S. Liquid Index |
| The fund offers diversified exposure to international small-cap companies in over 20 developed international markets. It seeks investment results that track the performance before fees and expenses of the FTSE Developed Small Cap ex U.S. Liquid Index made up of approximately 2000 international small cap stocks. |
| ProShares Ultra 7-10 Year Treasury |
UST |
ProShares |
74347R180 |
US74347R1804 |
19 Jan 2010 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| ProShares Ultra 7-10 Year Treasury seeks daily investment results, before fees and expenses, that correspond to two times (2x) the daily performance of the ICE U.S. Treasury 7-10 Year Bond Index. The ICE U.S. Treasury 7-10 Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| ProShares Ultra 20+ Year Treasury |
UBT |
ProShares |
74347R172 |
US74347R1721 |
19 Jan 2010 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| ProShares Ultra 20+ Year Treasury seeks daily investment results, before fees and expenses, that correspond to two times (2x) the daily performance of the ICE U.S. Treasury 20+ Year Bond Index. The ICE U.S. Treasury 20+ Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity greater than twenty years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| iShares MSCI Europe Financials ETF |
EUFN |
Blackrock (iShares) |
464289180 |
US4642891802 |
20 Jan 2010 |
0.48 % |
Equities (Stocks) |
Not Applicable |
MSCI Europe Financial Sector Index |
| The iShares MSCI Europe Financials Sector Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Europe Financials Index. |
| PIMCO Short Term Municipal Bond Exchange-Traded Fund |
SMMU |
PIMCO |
72201R874 |
US72201R8741 |
1 Feb 2010 |
0.35 % |
Bonds |
Not Applicable |
Not Applicable |
| The Short Term Municipal Bond Strategy Fund is an actively managed exchange-traded fund (ETF). Designed to be appropriate for investors seeking tax-exempt income the Fund consists of a diversified portfolio of primarily short duration high credit quality bonds which carry interest income that is exempt from federal tax and in some cases state tax. With this Fund investors will see the names of the bonds owned daily. In addition the Fund will not use options futures or swaps. |
| ProShares UltraPro Russell2000 |
URTY |
ProShares |
74347X799 |
US74347X7993 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| ProShares UltraPro Russell2000 seeks daily investment results before fees and expenses that correspond to triple (300%) the daily performance of the Russell 2000 Index. |
| ProShares UltraPro QQQ |
TQQQ |
ProShares |
74347X831 |
US74347X8314 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Index |
| ProShares UltraPro QQQ seeks daily investment results before fees and expenses that correspond to triple (300%) the daily performance of the NASDAQ-100 Index . |
| ProShares UltraPro MidCap400 |
UMDD |
ProShares |
74347X815 |
US74347X8157 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| ProShares UltraPro MidCap400 seeks daily investment results before fees and expenses that correspond to triple (300%) the daily performance of the S&P MidCap 400 Index. |
| ProShares UltraPro Short MidCap400 |
SMDD |
ProShares |
74348A392 |
US74348A3923 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| ProShares UltraPro Short MidCap400 seeks daily investment results before fees and expenses that correspond to triple (300%) the inverse (opposite) of the daily performance of the S&P MidCap 400 Index. |
| ProShares UltraPro Short Dow30 |
SDOW |
ProShares |
74348A178 |
US74348A1786 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| ProShares UltraPro Short Dow30 seeks daily investment results before fees and expenses that correspond to triple (300%) the inverse (opposite) of the daily performance of the Dow Jones Industrial Average Index. |
| ProShares UltraPro Short Russell2000 |
SRTY |
ProShares |
74348A152 |
US74348A1521 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| ProShares UltraPro Short Russell2000 seeks daily investment results before fees and expenses that correspond to triple (300%) the inverse (opposite) of the daily performance of the Russell 2000 Index. |
| ProShares UltraPro Dow30 |
UDOW |
ProShares |
74347X823 |
US74347X8231 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Industrial Average Index |
| ProShares UltraPro Dow30 seeks daily investment results before fees and expenses that correspond to triple (300%) the daily performance of the Dow Jones Industrial Average Index. |
| ProShares UltraPro Short QQQ |
SQQQ |
ProShares |
74348A160 |
US74348A1604 |
9 Feb 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NASDAQ-100 Index |
| ProShares UltraPro Short QQQ seeks daily investment results before fees and expenses that correspond to triple (300%) the inverse (opposite) of the daily performance of the NASDAQ-100 Index . |
| VanEck Vectors Egypt Index ETF |
EGPT |
Van Eck Associates Corporation |
92189F775 |
US92189F7758 |
16 Feb 2010 |
0.94 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Egypt Index |
| The Egypt Index ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Egypt Index. |
| Invesco CEF Income Composite ETF |
PCEF |
Invesco |
46138E404 |
US46138E4044 |
19 Feb 2010 |
2.07 % |
Other Asset Types |
Closed End Funds |
S-Network Composite Closed-End Fund Index |
| The Invesco CEF Income Composite ETF (Fund) is based on the S-Network Composite Closed-End Fund IndexSM (Index). The Fund will normally invest at least 90% of its total assets in securities of funds included in the Index. The Fund is a "fund of funds," as it invests its assets in the common shares of funds included in the Index rather than in individual securities. The Index currently includes closed-end funds that invest in taxable investment grade fixed-income securities, taxable high yield fixed-income securities and others utilize an equity option writing (selling) strategy. The Fund and the Index are rebalanced and reconstituted quarterly |
| Invesco Wilshire US REIT ETF |
WREI |
Invesco |
46137Y203 |
US46137Y2037 |
9 Mar 2010 |
0.32 % |
Equities (Stocks) |
Not Applicable |
Wilshire US REIT |
| The Invesco Wilshire US REIT ETF (Fund) is based on the Wilshire US REIT Index, (Index). The Fund will invest at least 80% of its total assets in securities that comprise the Index. The Index uses a rules-based approach comprised primarily of real estate investment trusts (REITs) and is derived from the Wilshire 5000 Total Market Index, . The Fund does not purchase all of the securities in the Index; instead, the Fund utilizes a "sampling" methodology to seek to achieve its investment objective. The Fund and the Index are rebalanced quarterly. |
| Direxion Daily MSCI India Bull 3x Shares |
INDL |
Direxion Shares |
25490K331 |
US25490K3317 |
11 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI India Index |
| The Direxion Daily MSCI India Bull 3x Shares seeks daily investment results, before fees and expenses, of 300% of the performance of the MSCI India Index. There is no guarantee this fund will meet its stated investment objective. The MSCI India Index is provided by MSCI Inc. and is designed to measure the performance of the large- and mid-capitalization equity securities of the Indian market. Securities are selected based on the MSCI Global Investable Indexes Methodology as defined by the Index Provider. All component securities in the Index are classified per the Global Industry Classification Standard (GICS). |
| Direxion Daily Semiconductors Bear 3x Shares |
SOXS |
Direxion Shares |
25460E836 |
US25460E8369 |
11 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
PHLX Semiconductor Sector Index |
| The Direxion Daily Semiconductor Bear 3x ETF seeks daily investment results before fees and expenses of 300% of the inverse (or opposite) of the price performance of the PHLX Semiconductor Sector Index (Semiconductor Index). There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Semiconductors Bull 3x Shares |
SOXL |
Direxion Shares |
25459W458 |
US25459W4583 |
11 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
PHLX Semiconductor Sector Index |
| The Direxion Daily Semiconductor Bull 3x ETF seeks daily investment results before fees and expenses of 300% of the price performance of the PHLX Semiconductor Sector Index (Semiconductor Index). There is no guarantee the fund will meet its stated investment objective. |
| First Trust Indxx Global Agriculture ETF |
FTAG |
First Trust |
33734X812 |
US33734X8121 |
11 Mar 2010 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Indxx Global Agriculture Index |
| The First Trust Indxx Global Agriculture ETF is an exchange-trade fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called theIndxx Global Agriculture Index. The Indxx Global Agriculture Index is a market capitalization weighted index designed to measure the performance of companies which are directly or indirectly engaged in improving agricultural yields. Each security in the index must meet certain eligibility criteria based on liquidity and size. Companies may generally be domiciled in any country, including emerging markets, subject to certain exclusions determined by the Index Provider based on certain criteria. Securities in the agriculture sector are selected and the index is comprised of farmland companies and firms involved in chemicals & fertilizers, seeds, irrigation equipment, and farm machinery. |
| First Trust Indxx Global Natural Resources Income ETF |
FTRI |
First Trust |
33734X838 |
US33734X8386 |
11 Mar 2010 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Indxx Global Natural Resources Income Index |
| The First Trust Indxx Global Natural Resources Income ETF is an exchange-trade fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the Indxx Global Natural Resources Income Index. The Indxx Global Natural Resources Income Index is a free float adjusted market capitalization weighted index designed to measure the market performance of the highest dividend yielding companies involved in the upstream segment of the natural resources sector. Each security in the index must meet certain eligibility criteria based on liquidity, size and dividend history. Companies may generally be domiciled in any country, including emerging markets, subject to certain exclusions determined by the Index Provider based on certain criteria. Securities are classified into the following broad five categories and each category is capped at 30%: Energy, Materials, Agriculture, Water and Timber. Top 50 companies by dividend yield form the interim portfolio. |
| ProShares Short Real Estate |
REK |
ProShares |
74347X641 |
US74347X6417 |
16 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Real Estate Index |
| ProShares Short Real Estate seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Dow Jones U.S. Real Estate Index |
| ProShares Short Basic Materials |
SBM |
ProShares |
74347X559 |
US74347X5591 |
16 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Basic Materials Sector Index |
| ProShares Short Basic Materials seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the Dow Jones U.S. Basic Materials Index. |
| ProShares Short FTSE China 50 |
YXI |
ProShares |
74347X658 |
US74347X6581 |
16 Mar 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE China 50 Index |
| ProShares Short FTSE/Xinhua China 50 seeks daily investment results before fees and expenses that correspond to the inverse (opposite) of the daily performance of the FTSE/Xinhua China 50 Index. |
| ETRACS Alerian MLP Infrastructure Index ETN |
MLPI |
UBS |
902641646 |
US9026416464 |
31 Mar 2010 |
0.85 % |
Other Asset Types |
MLP |
Alerian MLP Infrastructure Index |
| The ETRACS Alerian MLP Infrastructure Index is designed to track the performance of the Alerian MLP Infrastructure Index (the "Index") and pay a variable quarterly coupon linked to the cash distributions paid on the Master Limited Partnerships in the index, less investor fees. The Index, comprised of 25 energy infrastructure Master Limited Partnerships, is a liquid, midstream-focused subset of the Alerian MLP Index (NYSE: AMZ). The Index, whose constituents generally earn the majority of their cash flow from the transportation and storage of energy commodities, provides investors with a benchmark for the infrastructure component of this emerging asset class. The Index is calculated using a capped, float-adjusted, capitalization-weighted methodology that results in greater diversification versus a pure market capitalization-weighted index. |
| ProShares Ultra Nasdaq Biotechnology |
BIB |
ProShares |
74347R214 |
US74347R2141 |
7 Apr 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Nasdaq Biotech Index |
| ProShares Ultra Nasdaq Biotechnology seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the NASDAQ Biotechnology Index. |
| ProShares UltraShort Nasdaq Biotechnology |
BIS |
ProShares |
74347B789 |
US74347B7890 |
7 Apr 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Nasdaq Biotech Index |
| ProShares UltraShort Nasdaq Biotechnology seeks daily investment results before fees and expenses that correspond to twice (200%) the inverse (opposite) of the daily performance of the NASDAQ Biotechnology Index. |
| Invesco S&P SmallCap Consumer Discretionary ETF |
PSCD |
Invesco |
46138E180 |
US46138E1800 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Consumer Discretionary Index |
| The Invesco S&P SmallCap Consumer Discretionary ETF (Fund) is based on the S&P SmallCap 600 Capped Consumer Discretionary Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US consumer discretionary companies. These companies are principally engaged in providing consumer goods and services that are cyclical in nature, including retail, automotive, leisure and recreation, media and real estate. |
| Invesco S&P SmallCap Consumer Staples ETF |
PSCC |
Invesco |
46138E172 |
US46138E1727 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Consumer Staples Index |
| The Invesco S&P SmallCap Consumer Staples ETF (Fund) is based on the S&P SmallCap 600 Capped Consumer Staples Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US consumer staples companies. These companies are principally engaged in the business of providing consumer goods and services that have non-cyclical characteristics, including tobacco, textiles, food and beverage, and nondiscretionary retail. |
| Invesco S&P SmallCap Energy ETF |
PSCE |
Invesco |
46138E164 |
US46138E1644 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Energy Index |
| The Invesco S&P SmallCap Energy ETF (Fund) is based on the S&P SmallCap 600 Capped Energy Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US energy companies. These companies are principally engaged in the business of producing, distributing or servicing energy related products, including oil and gas exploration and production, refining, oil services, pipeline, and solar, wind and other non-oil based energy. |
| Invesco S&P SmallCap Financials ETF |
PSCF |
Invesco |
46138E156 |
US46138E1560 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Financials Index |
| The Invesco S&P SmallCap Financials ETF (Fund) is based on the S&P SmallCap 600 Capped Financials & Real Estate Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US financial services companies. These companies are principally engaged in the business of providing services and products, including banking, investment services, insurance and real estate finance services. |
| Invesco S&P SmallCap Health Care ETF |
PSCH |
Invesco |
46138E149 |
US46138E1495 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Healthcare Index |
| The Invesco S&P SmallCap Health Care ETF (Fund) is based on the S&P SmallCap 600 Capped Health Care Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks in the health care sector. Included are healthcare companies principally engaged in the business of providing healthcare-related products and services, including biotechnology, pharmaceuticals, medical technology and supplies, and facilities. |
| Invesco S&P SmallCap Industrials ETF |
PSCI |
Invesco |
46138E123 |
US46138E1230 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Industrials Index |
| The Invesco S&P SmallCap Industrials ETF (Fund) is based on the S&P SmallCap 600 Capped Industrials Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US industrial companies. These companies are principally engaged in the business of providing industrial products and services, including engineering, heavy machinery, construction, electrical equipment, aerospace and defense and general manufacturing. |
| Invesco S&P SmallCap Materials ETF |
PSCM |
Invesco |
46138G201 |
US46138G2012 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Materials Index |
| The Invesco S&P SmallCap Materials ETF (Fund) is based on the S&P SmallCap 600 Capped Materials Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US basic materials companies. These companies are principally engaged in the business of producing raw materials, including paper or wood products, chemicals, construction materials, and mining and metals. |
| Invesco S&P SmallCap Information Technology ETF |
PSCT |
Invesco |
46138E115 |
US46138E1156 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Technology Index |
| The Invesco S&P SmallCap Information Technology ETF (Fund) is based on the S&P SmallCap 600 Capped Information Technology Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US information technology companies. These companies are principally engaged in the business of providing information technology-related products and services, including computer hardware and software, Internet, electronics and semiconductors and communication technologies. |
| Invesco S&P SmallCap Utilities ETF |
PSCU |
Invesco |
46138G409 |
US46138G4091 |
7 Apr 2010 |
0.29 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Capped Utlities Index |
| The Invesco S&P SmallCap Utilities ETF (Fund) is based on the S&P SmallCap 600 Capped Utilities & Telecom Services Index (Index). The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Index. The Index is designed to measure the overall performance of common stocks of US utilities and telecommunication services companies. These companies are principally engaged in providing either energy, water or natural gas utilities, as well as services designed to promote or enhance the transmission of voice, data and video over various communications media, including wireline, wireless (terrestrial-based), satellite and cable. |
| First Trust BICK Index Fund |
BICK |
First Trust |
33733H107 |
US33733H1077 |
12 Apr 2010 |
0.64 % |
Equities (Stocks) |
Not Applicable |
ISE BICK Index |
| The First Trust BICK Index Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield before the Funds fees and expenses of an equity index call the ISE BICK (Brazil India China South Korea) Index. |
| Global X Copper Miners ETF |
COPX |
Global X |
37954Y830 |
US37954Y8306 |
19 Apr 2010 |
0.65 % |
Equities (Stocks) |
Not Applicable |
Solactive Global Copper Miners Index |
| The Global X Copper Miners ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Solactive Global Copper Miners Index. |
| Global X Silver Miners ETF |
SIL |
Global X |
37954Y848 |
US37954Y8488 |
19 Apr 2010 |
0.65 % |
Equities (Stocks) |
Not Applicable |
Solactive Global Silver Miners Index |
| The Global X Silver Miners ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Solactive Global Silver Miners Index. |
| ProShares Ultra MSCI Brazil Capped |
UBR |
ProShares |
74347B490 |
US74347B4905 |
27 Apr 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
MSCI Brazil 25/50 Capped Index |
| ProShares Ultra MSCI Brazil Capped seeks daily investment results, before fees and expenses, that correspond to two times (2x) the daily performance of the MSCI Brazil 25/50 Index. The MSCI Brazil 25/50 Index is a free-float-adjusted, market capitalization weighted index that is designed to measure the equity market performance of the Brazilian market. The Index is divided into large- and mid-cap segments and targets approximately 85% of free-float-adjusted market capitalization of the region. |
| ProShares Ultra FTSE Europe |
UPV |
ProShares |
74347X526 |
US74347X5260 |
27 Apr 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE Developed Europe All Cap Index |
| ProShares Ultra FTSE Europe seeks daily investment results before fees and expenses that correspond to twice (200%) the daily performance of the FTSE Developed Europe All Cap Index. The FTSE Developed Europe All Cap Index is a market-capitalization weighted index representing the performance of large, mid and small cap companies in Developed European markets, including the UK. The index is comprised of approximately 1250 securities from 16 countries, and derived from the FTSE Global Equity Index Series (GEIS), which covers over 7,400 securities in 47 different countries and captures 98% of the worlds investable market capitalization. |
| iShares MSCI USA Equal Weighted ETF |
EUSA |
Blackrock (iShares) |
464286681 |
US4642866812 |
5 May 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
MSCI USA Equal Weighted Index |
| The iShares MSCI USA Equal Weighted ETF seeks to track the investment results of an index composed of equal weighted U.S. equities. The Fund seeks to track the investment results of the MSCI USA EqualWeighted Index (the Underlying Index ), which represents an alternativeweighting scheme to its market capitalization weighted parent index, the MSCIUSA Index (the Parent Index ), which is designed to measure the performanceof equity securities in the top 85% by market capitalization of equity securitieslisted on stock exchanges in the United States. The Underlying Index generallyapplies equal weights to the constituents of the Parent Index. The UnderlyingIndex may include large-, mid- or small-capitalization companies, andcomponents primarily include consumer discretionary, financials andinformation technology companies. The components of the Underlying Index,and the degree to which these components represent certain industries, maychange over time. |
| iShares MSCI Ireland ETF |
EIRL |
Blackrock (iShares) |
46429B507 |
US46429B5075 |
5 May 2010 |
0.48 % |
Equities (Stocks) |
Not Applicable |
MSCI All Ireland Capped Index |
| The iShares MSCI Ireland ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI All Ireland Capped Index. The iShares MSCI Ireland ETF seeks to track the investment results of a broad-based index composed of Irish equities. |
| iShares MSCI Indonesia ETF |
EIDO |
Blackrock (iShares) |
46429B309 |
US46429B3096 |
5 May 2010 |
0.63 % |
Equities (Stocks) |
Not Applicable |
MSCI Indonesia Investable Market Index |
| The iShares MSCI Indonesia Investable Market Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Indonesia Investable Market Index. |
| iShares MSCI Poland ETF |
EPOL |
Blackrock (iShares) |
46429B606 |
US46429B6065 |
25 May 2010 |
0.64 % |
Equities (Stocks) |
Not Applicable |
MSCI Poland IMI 25/50 Index |
| The iShares MSCI Poland Investable Market Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Poland IMI 25/50 Index. The iShares MSCI Poland ETF seeks to track the investment results of a broad-based index composed of Polish equities. |
| United States Brent Oil Fund LP |
BNO |
United States Commodity Funds |
91167Q100 |
US91167Q1004 |
2 Jun 2010 |
0.90 % |
Commodities & Metals |
Not Applicable |
Crude Oil - ICE traded near month Brent crude oil futures |
| The investment objective of BNO is for the daily changes in percentage terms of its units net asset value to reflect the daily changes in percentage terms of the spot price of Brent crude oil as measured by the changes in the price of the futures contract on Brent crude oil as traded on the ICE Futures Exchange that is the near month contract to expire except when the near month contract is within two weeks of expiration in which case the futures contract will be the next month contract to expire (the Benchmark Futures Contract) less BNO s expenses. |
| Invesco International Corporate Bond ETF |
PICB |
Invesco |
46138E636 |
US46138E6361 |
3 Jun 2010 |
0.50 % |
Bonds |
Not Applicable |
S&P International Corporate Bond Index |
| The Invesco International Corporate Bond ETF (Fund) is based on the S&P International Corporate Bond Index (Index). The Fund will normally invest at least 80% of its total assets in investment-grade corporate bonds that comprise the Index. The Index measures the performance of investment-grade corporate bonds issued in the following currencies of Group of Ten (G10) countries, excluding the US dollar (USD): Australian dollar (AUD), British pound (GBP), Canadian dollar (CAD), euro (EUR), Japanese yen (JPY), Swiss franc (SFR), New Zealand dollar (NZD), Norwegian krone (NOK) and Swedish krona (SEK). The Index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced monthly and reconstituted annually in September. |
| Teucrium Corn Fund |
CORN |
Teucrium |
88166A102 |
US88166A1025 |
9 Jun 2010 |
1.75 % |
Commodities & Metals |
Not Applicable |
Corn Futures Contracts Benchmark |
| The Teucrium Corn Fund (NYSE: CORN) provides investors unleveraged direct exposure to corn without the need for a futures account. The Teucrium Corn Fund was also designed to reduce the effects of contango. |
| Invesco Shipping ETF |
SEA |
Invesco |
46138G607 |
US46138G6070 |
11 Jun 2010 |
0.65 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Global Shipping Index |
| The Invesco Shipping ETF (Fund) is based on the Dow Jones Global Shipping Index, (Index). The Fund will invest at least 90% of its total assets in stock and depositary receipts that comprise the Index. The Index measures the performance high dividend-paying companies in the global shipping industry. The Index is computed using the gross total return, which reflects dividends paid. The Fund and the Index are rebalanced quarterly. |
| Columbia India Small Cap ETF |
SCIN |
Columbia Management |
19762B889 |
US19762B8899 |
7 Jul 2010 |
0.76 % |
Equities (Stocks) |
Not Applicable |
Indxx India Small Cap Index |
| Columbia India Small Cap ETF seeks investment results that correspond (before fees and expenses) to the price and yield performance of the Indxx India Small Cap Index. The Indxx India Small Cap Index is a maximum 75-stock free-float adjusted market capitalization-weighted index designed to measure the market performance of companies in the small cap segment in India. The index consists of securities listed on the primary stock exchange of India. |
| ETRACS Alerian Natural Gas MLP Index ETN |
MLPG |
UBS |
902641620 |
US9026416209 |
13 Jul 2010 |
0.85 % |
Other Asset Types |
MLP |
Alerian Natural Gas MLP Index |
| The ETRACS Alerian Natural Gas MLP Index is designed to track an investment in the Alerian Natural Gas MLP Index (the "Index"), and pay a variable quarterly coupon linked to the cash distributions associated with the underlying MLP constituents, less investor fees. The Index is an equal-weighted composite of the 15 largest natural gas infrastructure Master Limited Partnerships by market capitalization. The Index, whose constituents earn the majority of their cash flow from the transportation, storage, and processing of natural gas and natural gas liquids, provides investors with a benchmark for the infrastructure component of the natural gas industry. |
| Direxion Daily Retail Bull 3X Shares |
RETL |
Direxion Shares |
25459W417 |
US25459W4179 |
14 Jul 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Retail Index |
| The Direxion Daily Retail Bull 2x ETF seeks daily investment results before fees and expenses of 200% of the price performance of the Russell 1000 Retail Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily Natural Gas Related Bull 3X Shares |
GASL |
Direxion Shares |
25490K349 |
US25490K3499 |
14 Jul 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
ISE- REVERE Natural Gas Index |
| The Direxion Daily Natural Gas Related Bull 2x ETF seeks daily investment results before fees and expenses of 200% of the price performance of the ISE Revere Natural Gas IndexTM. There is no guarantee the fund will meet its stated investment objective. |
| AdvisorShares Dorsey Wright ADR ETF |
AADR |
Advisor Shares |
00768Y206 |
US00768Y2063 |
20 Jul 2010 |
0.89 % |
Equities (Stocks) |
Not Applicable |
Not Applicable |
| The AdvisorShares Dorsey Wright ADR ETF (NYSE Arca: AADR) seeks long-term capital appreciation above international benchmarks such as the MSCI EAFE Index and the BNY Mellon Classic ADR Index. AADR is managed by Dorsey, Wright & Associates, LLC ( Portfolio Manager ). AADR s investment focus follows the Portfolio Manager s core philosophy of relative strength. Relative strength investing involves buying securities that have appreciated in price more than the other securities in the investment universe and holding those securities until they experience sufficient underperformance. The strategy is entirely based on market movement of the securities and there is no company fundamental data involved in the analysis. The Portfolio Manager s process is systematic and removes emotion from the day-to-day decision making. In implementing AADR s strategy, the Portfolio Manager takes into account current sector and industry group allocations in order to keep the strategy diversified. There is no consideration given to the allocation between developed and emerging markets; the strategy will allocate between the two depending on global price trends. |
| Global X Lithium & Battery Tech ETF |
LIT |
Global X |
37954Y855 |
US37954Y8553 |
22 Jul 2010 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Solactive Global Lithium Index |
| The Global X Lithium & Battery Tech ETF seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Global Lithium Index. The Global X Lithium & Battery Tech ETF (LIT) invests in the full lithium cycle, from mining and refining the metal, through battery production. |
| VanEck Vectors J.P. Morgan EM Local Currency Bond ETF |
EMLC |
Van Eck Associates Corporation |
92189H300 |
US92189H3003 |
22 Jul 2010 |
0.30 % |
Bonds |
Not Applicable |
J.P. Morgan GBI-EMG Core Index |
| The VanEck Vectors J.P. Morgan EM Local Currency Bond ETF (EMLC) seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the J.P. Morgan GBI-EMG Core Index (GBIEMCOR), which is comprised of bonds issued by emerging market governments and denominated in the local currency of the issuer. |
| Schwab Intermediate-Term U.S. Treasury ETF |
SCHR |
Schwab |
808524854 |
US8085248545 |
5 Aug 2010 |
0.06 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 3-10 Year Treasury Bond Index |
| The ETF seeks investment results that track the price and yield performance before fees and expenses of the Barclays Capital U.S. 3-10 Year Treasury Bond Index?. The ETF invests in U.S Treasury securities that have a remaining maturity of three to ten years are rated investment grade and have $250 million or more of outstanding face value. |
| Schwab Short-Term U.S. Treasury ETF |
SCHO |
Schwab |
808524862 |
US8085248628 |
5 Aug 2010 |
0.06 % |
Bonds |
Not Applicable |
Barclays Capital U.S. 1-3 Year Treasury Bond Index |
| The ETF seeks investment results that track the price and yield performance before fees and expenses of the Barclays Capital U.S. 1-3 Year Treasury Bond Index?. The ETF invests in U.S Treasury securities that have a remaining maturity of one to three years are rated investment grade and have $250 million or more of outstanding face value. |
| Schwab U.S. TIPs ETF |
SCHP |
Schwab |
808524870 |
US8085248701 |
5 Aug 2010 |
0.05 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Treasury Inflation Protected Securities |
| The ETF seeks investment results that track the price and yield performance before fees and expenses of the Barclays Capital U.S. Treasury Inflation Protected Securities (TIPS) Index - Series L. Publicly-issued U.S TIPS are securities issued by the U.S. Treasury that generate principal and interest payments designed to adjust for and help protect against inflation. |
| iPath US Treasury Long Bond Bear ETN |
DLBS |
Barclays iPath |
06740L444 |
US06740L4445 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital Long Bond Futures Targeted Exposure Index |
| The iPath US Treasury Long Bond Bear Exchange Traded Note is linked inversely to the performance of the Barclays Capital Long Bond US Treasury Futures Targeted Exposure Index. The index seeks to produce returns that track movements in response to an increase or decrease, as applicable, in the yields available to investors purchasing long dated U.S. Treasury bonds. The level of the index is designed to increase in response to a decrease in long dated Treasury bond yields and to decrease in response to an increase in long dated Treasury bond yields. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 30-year U.S. Treasury futures contracts, as traded on the Chicago Board of Trade. |
| iPath US Treasury 2 year Bull ETN |
DTUL |
Barclays iPath |
06740L469 |
US06740L4692 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital 2 Year U.S. Treasury Futures Targeted Exposure Index |
| The iPath US Treasury 2-year Bull Exchange Traded Note is linked to the performance of the Barclays Capital 2Y US Treasury Futures Targeted Exposure Index. The index seeks to produce returns that track movements in response to an increase or decrease, as applicable, in the yields available to investors purchasing 2-year U.S. Treasury notes. The level of the index is designed to increase in response to a decrease in 2-year Treasury note yields and to decrease in response to an increase in 2-year Treasury note yields. To accomplish this objective, the performance of the Index tracks the returns of a notional investment in a weighted "long" position in relation to 2-year Treasury futures contracts, as traded on the Chicago Board of Trade. The iPath US Treasury 2-year Bull ETN employs an index multiplier that provides the investor at maturity or upon redemption a participation rate of $0.10 gain or loss per each 1.00 point increase or decrease, respectively, in the level of the index. For purposes of calculating the closing indicative note value on a given day, the index multiplier is multiplied by the daily index performance, which is added to the daily interest that accrued from a notional investment of the value of the ETN at the 28-day U.S. Treasury Bill rate, from which all applicable costs and fees are deducted. |
| iPath US Treasury 2 year Bear ETN |
DTUS |
Barclays iPath |
06740L519 |
US06740L5194 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital 2 Year U.S. Treasury Futures Targeted Exposure Index |
| The iPath US Treasury 2-year Bear Exchange Traded Note is linked inversely to the performance of the Barclays Capital 2Y US Treasury Futures Targeted Exposure Index. The index seeks to produce returns that track movements in response to an increase or decrease, as applicable, in the yields available to investors purchasing 2-year U.S. Treasury notes. The level of the index is designed to increase in response to a decrease in 2-year Treasury note yields and to decrease in response to an increase in 2-year Treasury note yields. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 2-year Treasury futures contracts, as traded on the Chicago Board of Trade. The iPath US Treasury 2-year Bear ETN employs an index multiplier that provides the investor at maturity or upon redemption a participation rate of $0.10 gain or loss per each 1.00 point decrease or increase, respectively, in the level of the index. For purposes of calculating the closing indicative note value on a given day, the index multiplier is multiplied by the daily index performance, which is added to the daily interest that accrued from a notional investment of the value of the ETN at the 28-day U.S. Treasury Bill rate, from which all applicable costs and fees are deducted. |
| iPath US Treasury 10 year Bull ETN |
DTYL |
Barclays iPath |
06740L493 |
US06740L4932 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital 10Y US Treasury Futures Targeted Exposure Index |
| The iPath US Treasury 10-year Bull Exchange Traded Note is linked to the performance of the Barclays Capital 10Y US Treasury Futures Targeted Exposure Index. The index seeks to produce returns that track movements in response to an increase or decrease, as applicable, in the yields available to investors purchasing 10-year U.S. Treasury notes. Specifically, the level of the index is designed to increase in response to a decrease in 10-year Treasury note yields and to decrease in response to an increase in 10-year Treasury note yields. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 10-year Treasury futures contracts, as traded on the Chicago Board of Trade. |
| iPath US Treasury 10 year Bear ETN |
DTYS |
Barclays iPath |
06740L451 |
US06740L4510 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital 10Y US Treasury Futures Targeted Exposure Index |
| The iPath US Treasury 10-year Bear Exchange Traded Note is linked inversely to the performance of the Barclays Capital 10Y US Treasury Futures Targeted Exposure Index. The index seeks to produce returns that track movements in response to an increase or decrease, as applicable, in the yields available to investors purchasing 10-year U.S. Treasury notes. The level of the index is designed to increase in response to a decrease in 10-year Treasury note yields and to decrease in response to an increase in 10-year Treasury note yields. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 10-year Treasury futures contracts, as traded on the Chicago Board of Trade. |
| iPath US Treasury Flattener ETN |
FLAT |
Barclays iPath |
06740L485 |
US06740L4858 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Treasury 2 Year/10 Year Yield Curve Index |
| The iPath US Treasury Flattener Exchange Traded Note is linked inversely to the performance of the Barclays Capital US Treasury 2Y/10Y Yield Curve Index. The index employs a strategy that seeks to capture returns that are potentially available from a "steepening" or "flattening", as applicable, of the U.S. Treasury yield curve through a notional rolling investment in U.S. Treasury note futures contracts. The level of the index is designed to increase in response to a "steepening" of the yield curve and to decrease in response to a "flattening" of the yield curve. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 2-year Treasury futures contracts and a weighted "short" position in relation to 10-year Treasury futures contracts, as traded on the Chicago Board of Trade. |
| iPath US Treasury Steepener ETN |
STPP |
Barclays iPath |
06740L477 |
US06740L4775 |
9 Aug 2010 |
0.75 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Treasury 2 Year/10 Year Yield Curve Index |
| The iPath US Treasury Steepener Exchange Traded Note is linked to the performance of the Barclays Capital US Treasury 2Y/10Y Yield Curve Index. The index employs a strategy that seeks to capture returns that are potentially available from a "steepening" or "flattening", as applicable, of the U.S. Treasury yield curve through a notional rolling investment in U.S. Treasury note futures contracts. The level of the index is designed to increase in response to a "steepening" of the yield curve and to decrease in response to a "flattening" of the yield curve. To accomplish this objective, the performance of the index tracks the returns of a notional investment in a weighted "long" position in relation to 2-year Treasury futures contracts and a weighted "short" position in relation to 10-year Treasury futures contracts, as traded on the Chicago Board of Trade. |
| United States Commodity Index Fund |
USCI |
United States Commodity Funds |
911717106 |
US9117171069 |
9 Aug 2010 |
1.04 % |
Commodities & Metals |
Not Applicable |
SummerHaven Dynamic Commodity Index Total Return |
| The investment objective of USCI is to have the daily changes in percentage terms of the Units net asset value ( NAV ) reflect the daily changes in percentage terms of the Index less USCI s expenses. The Index is comprised of 14 futures contracts that will be selected on a monthly basis from a list of 27 possible futures contracts. The futures contracts that at any given time make up the Index are referred to herein as Benchmark Component Futures Contracts. |
| WisdomTree Emerging Markets Local Debt Fund |
ELD |
Wisdom Tree |
97717X867 |
US97717X8671 |
9 Aug 2010 |
0.55 % |
Bonds |
Not Applicable |
JP Morgan GBI-EM Global Diversified Index |
| WisdomTree Emerging Markets Local Debt Fund seeks a high level of total returns consisting of both income and capital appreciation. The fund attempts to achieve its investment objective through investment in local debt denominated in the currencies of emerging market countries. |
| Columbia India Consumer ETF |
INCO |
Columbia Management |
19762B707 |
US19762B7073 |
10 Aug 2011 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Indxx India Consumer Index |
| Columbia India Consumer ETF seeks investment results that correspond (before fees and expenses) to the price and yield performance of the Indxx India Consumer Index. The Indxx India Consumer Index is a maximum 30-stock free-float adjusted market capitalization-weighted index designed to measure the market performance of companies in the consumer industry in India as defined by Indxx s proprietary methodology. The index consists of common stocks listed on the primary exchange of India. |
| Columbia India Infrastructure ETF |
INXX |
Columbia Management |
19762B806 |
US19762B8063 |
11 Aug 2010 |
0.76 % |
Equities (Stocks) |
Not Applicable |
Indxx India Infrastructure Index |
| Columbia India Infrastructure ETF seeks investment results that correspond (before fees and expenses) to the price and yield performance of the Indxx India Infrastructure Index. The Indxx India Infrastructure Index is a maximum 30-stock free-float adjusted market capitalization-weighted index designed to measure the market performance of companies in the infrastructure industry in India, as defined by Indxxs proprietary methodology. The index consists of ADRs, GDRs, and common stocks listed on the primary exchange of India. |
| VanEck Vectors India Small-Cap Index ETF |
SCIF |
Van Eck Associates Corporation |
92189F767 |
US92189F7675 |
24 Aug 2010 |
0.72 % |
Equities (Stocks) |
Not Applicable |
Market Vectors India Small-Cap Index |
| The India Small-Cap Index ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors India Small-Cap Index. The Market Vectors India Small-Cap Index is a rules-based modified market capitalization-weighted float-adjusted index intended to provide exposure to Indian small-cap companies. |
| Alerian MLP ETF |
AMLP |
Alerian |
00162Q866 |
US00162Q8666 |
25 Aug 2010 |
0.85 % |
Other Asset Types |
MLP |
Alerian MLP Infrastructure Index |
| The Fund seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of its underlying index, the Alerian MLP Infrastructure Index (the "Index"). The Fund employs a "passive management" - or indexing - investment approach designed to track the performance of the Index. The Index is a rules based, modified capitalization weighted, float adjusted index intended to give investors a means of tracking the overall performance of the United States energy infrastructure Master Limited Partnership ("MLP") asset class. |
| Barclays ETN+ ETNs Linked to the S&P 500 Dynamic VEQTORTM TotaL Return Index |
VQT |
Barclays iPath |
06740C337 |
US06740C3372 |
31 Aug 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
S&P 500 dynamic VEQTOR Total return index |
| The Barclays ETn+ s&P VEQTOr ETns (the ETns ) are senior, unsecured debt securities issued by Barclays Bank Plc that are linked to the performance of the s&P 500 dynamic VEQTOr TM Total return index (the index ). investors can trade the ETns on the nysE arca exchange1 at a market price or receive a cash payment (less an investor fee) at the scheduled maturity upon early redemption2. The index seeks to provide investors with broad equity market exposure with an implied volatility hedge by dynamically allocating its notional investments among three components: equity, volatility and cash. The equity component of the index is represented by the s&P 500 Total return index TM and the volatility component of the index is represented by the s&P 500 ViX short-Term Futures TM index. |
| iShares MSCI New Zealand ETF |
ENZL |
Blackrock (iShares) |
464289123 |
US4642891232 |
1 Sep 2010 |
0.48 % |
Equities (Stocks) |
Not Applicable |
MSCI New Zealand IMI 25/50 Index |
| The iShares MSCI New Zealand ETF seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI New Zealand IMI 25/50 Index. The iShares MSCI New Zealand ETF seeks to track the investment results of a broad-based index composed of New Zealand equities. |
| Vanguard S&P 500 ETF |
VOO |
Vanguard |
922908363 |
US9229083632 |
7 Sep 2010 |
0.04 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Index |
| Invests in stocks in the S&P 500 Index representing 500 of the largest U.S. companies. Goal is to closely track the index s return which is considered a gauge of overall U.S. stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Small-Cap 600 ETF |
VIOO |
Vanguard |
921932828 |
US9219328286 |
7 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Index |
| Invests in stocks in the S&P Small-Cap 600 Index representing 600 smaller U.S. companies. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. small-cap stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P 500 Value ETF |
VOOV |
Vanguard |
921932703 |
US9219327031 |
7 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Value Index |
| Invests in stocks in the S&P 500 Value Index composed of the value companies in the S&P 500. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. value stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P 500 Growth ETF |
VOOG |
Vanguard |
921932505 |
US9219325050 |
7 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P 500 Growth Index |
| Invests in stocks in the Standard & Poor s 500 Growth Index composed of the growth companies in the S&P 500. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. growth stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Mid-Cap 400 ETF |
IVOO |
Vanguard |
921932885 |
US9219328856 |
7 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Index |
| Invests in stocks in the S&P MidCap 400 Index representing 400 medium-size U.S. companies. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. mid-cap stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Mid-Cap 400 Growth ETF |
IVOG |
Vanguard |
921932869 |
US9219328690 |
7 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Growth Index |
| Invests in stocks in the S&P MidCap 400 Growth Index composed of the growth companies in the S&P 400. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. mid-cap growth stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Mid-Cap 400 Value ETF |
IVOV |
Vanguard |
921932844 |
US9219328443 |
7 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P Midcap 400 Pure Value Index |
| Invests in stocks in the S&P MidCap 400 Value Index composed of the value companies in the S&P 400. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. mid-cap value stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Small-Cap 600 Growth ETF |
VIOG |
Vanguard |
921932794 |
US9219327940 |
7 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Growth Index |
| Invests in stocks in the S&P Small-Cap 600 Growth Index composed of the growth companies in the S&P 600. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. small-cap growth stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard S&P Small-Cap 600 Value ETF |
VIOV |
Vanguard |
921932778 |
US9219327783 |
7 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
S&P Smallcap 600 Value Index |
| Invests in stocks in the S&P Small-Cap 600 Value Index composed of the value companies in the S&P 600. Focuses on closely tracking the index s return which is considered a gauge of overall U.S. small-cap value stock returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| SPDR S&P Global Natural Resources ETF |
GNR |
State Street (SPDR) |
78463X541 |
US78463X5418 |
13 Sep 2010 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P Global Natural Resources Index |
| The SPDR S&P Global Natural Resources ETF seeks to provide investment results that before fees and expenses correspond generally to the price and yield performance of the S&P Global Natural Resources Index (ticker: SPGNRUP) an index that tracks publicly-traded companies in natural resources and/or commodities businesses. Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| Columbia Emerging Markets Consumer ETF |
ECON |
Columbia Management |
19762B509 |
US19762B5093 |
14 Sep 2010 |
0.59 % |
Equities (Stocks) |
Not Applicable |
Dow Jones Emerging Markets Consumer Titans Index |
| Columbia Emerging Markets Consumer ETF seeks investment results that correspond (before fees and expenses) to the price and yield performance of the Dow Jones Emerging Markets Consumer Titans 30 Index. The Dow Jones Emerging Markets Consumer Titans 30 Index is a free-float market capitalization-weighted index that measures the performance of 30 leading emerging market companies in the Consumer Goods and Consumer Services Industries as defined by S&P Dow Jones Indexes. |
| PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund |
CORP |
PIMCO |
72201R817 |
US72201R8170 |
20 Sep 2010 |
0.20 % |
Bonds |
Not Applicable |
ICE BofA Merrill Lynch US Corporate Index |
| ICE BofA Merrill Lynch US Corporate Index is an unmanaged index comprised of U.S. dollar denominated investment grade fixed rate corporate debt securities publicly issued in the U.S. domestic market with at least one year remaining term to final maturity and at least $250 million outstanding. It is not possible to invest directly in an unmanaged index. |
| Vanguard Russell 1000 |
VONE |
Vanguard |
92206C730 |
US92206C7305 |
20 Sep 2010 |
0.12 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Index |
| Invests in stocks in the Russell 1000 Index a broadly diversified index made up of large U.S. companies. Seeks to closely track the index s return which is considered a gauge of large-cap growth U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 2000 |
VTWO |
Vanguard |
92206C664 |
US92206C6646 |
20 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Index |
| Invests in stocks in the Russell 2000 Index a broadly diversified index predominantly made up of stocks of small U.S. companies. Seeks to closely track the index s return which is considered a gauge of small-cap U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 1000 Value |
VONV |
Vanguard |
92206C714 |
US92206C7149 |
20 Sep 2010 |
0.12 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Value Index |
| Invests in stocks in the Russell 1000 Value Index a broadly diversified index predominantly made up of value stocks of large U.S. companies. Seeks to closely track the index s return which is considered a gauge of large-cap value U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 3000 |
VTHR |
Vanguard |
92206C599 |
US92206C5994 |
20 Sep 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
Russell 3000 Index |
| Invests in 3000 stocks representative of 98% of the whole U.S. market. Goal is to keep pace with U.S. stock market returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 1000 Growth ETF |
VONG |
Vanguard |
92206C680 |
US92206C6802 |
20 Sep 2010 |
0.12 % |
Equities (Stocks) |
Not Applicable |
Russell 1000 Growth Index |
| Invests in stocks in the Russell 1000 Growth Index a broadly diversified index predominantly made up of growth stocks of large U.S. companies. Seeks to closely track the index s return which is considered a gauge of large-cap growth U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 2000 Value |
VTWV |
Vanguard |
92206C649 |
US92206C6497 |
20 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Pure Value Index |
| Invests in stocks in the Russell 2000 Pure Value Index a broadly diversified index predominantly made up of value stocks of small U.S. companies. Seeks to closely track the index s return which is considered a gauge of small-cap value U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Vanguard Russell 2000 Growth |
VTWG |
Vanguard |
92206C623 |
US92206C6232 |
20 Sep 2010 |
0.20 % |
Equities (Stocks) |
Not Applicable |
Russell 2000 Growth Index |
| Invests in stocks in the Russell 2000 Growth Index a broadly diversified index predominantly made up of growth stocks of small U.S. companies. Seeks to closely track the index s return which is considered a gauge of small-cap growth U.S. stock returns. Offers high potential for investment growth; share value typically rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| iShares MSCI China Small-Cap ETF |
ECNS |
Blackrock (iShares) |
46429B200 |
US46429B2007 |
28 Sep 2010 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI China Small Cap Index |
| The iShares MSCI China Small Cap Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI China Small Cap Index. |
| iShares MSCI Philippines ETF |
EPHE |
Blackrock (iShares) |
46429B408 |
US46429B4086 |
28 Sep 2010 |
0.60 % |
Equities (Stocks) |
Not Applicable |
MSCI Philippines Investable Market Index |
| The iShares MSCI Philippines Investable Market Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Philippines Investable Market Index. |
| iShares MSCI Brazil Small-Cap ETF |
EWZS |
Blackrock (iShares) |
464289131 |
US4642891315 |
28 Sep 2010 |
0.63 % |
Equities (Stocks) |
Not Applicable |
MSCI Brazil Small Cap Index |
| The iShares MSCI Brazil Small Cap Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Brazil Small Cap Index. |
| VanEck Vectors China ETF |
PEK |
Van Eck Associates Corporation |
92189F759 |
US92189F7592 |
13 Oct 2010 |
0.78 % |
Equities (Stocks) |
Not Applicable |
CSI 300 Index |
| The VanEck Vectors China ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the CSI 300 Index. The CSI 300 a diversified index consists of 300 A-Share stocks listed on the Shenzen or Shanghai Stock Exchange. The Fund does not invest directly in A-Shares it invests in swaps and other types of derivative instruments that have economic characteristics substantially identical to those of China A-Share stocks. |
| Aberdeen Standard Physical Precious Metals Basket Shares ETF |
GLTR |
Aberdeen |
003263100 |
US0032631006 |
22 Oct 2010 |
0.60 % |
Commodities & Metals |
Not Applicable |
London Silver Fix Price |
| The investment objective of the Trust Symbol: GLTR is for the Shares to reflect the performance of the prices of gold silver platinum and palladium bullion less Sponsors Fee. The Shares are designed for investors who want a cost-effective and convenient way to invest in a basket of precious metals. |
| VanEck Vectors Rare Earth/Strategic Metals ETF |
REMX |
Van Eck Associates Corporation |
92189F742 |
US92189F7428 |
27 Oct 2010 |
0.61 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Rare Earth/Strategic Metals Index |
| Rare Earth/Strategic Metals ETF seeks to replicate as closely as possible before fees and expenses the price and yield performance of the Market Vectors Rare Earth/Strategic Metals Index a rules based modified capitalization weighted float adjusted index intended to give investors a means of tracking the overall performance of publicly traded companies primarily engaged in a variety of activities that are related to the mining refining and manufacturing of rare earth/strategic metals. |
| Vanguard Global ex-U.S. Real Estate ETF |
VNQI |
Vanguard |
922042676 |
US9220426764 |
1 Nov 2010 |
0.15 % |
Equities (Stocks) |
Not Applicable |
S&P Global ex-U.S. Property Index |
| Invests in stocks in the S&P Global ex-U.S. Property Index representing real estate investment trusts in more than 30 countries. Provides a convenient way to get broad exposure across international REIT equity markets. Focuses on closely tracking the index s return which is considered a gauge of overall non-U.S. REIT returns. Offers high potential for investment growth; share value rises and falls more sharply than that of funds holding bonds. More appropriate for long-term goals where your money s growth is essential. |
| Global X Gold Explorers ETF |
GOEX |
Global X |
37954Y863 |
US37954Y8637 |
3 Nov 2010 |
0.66 % |
Equities (Stocks) |
Not Applicable |
Solactive Global Gold Explorers & Developers Total Return Transition Index |
| The Global X Gold Explorers ETF (GOEX) provides investors access to a broad range of companies involved in the exploration of gold deposits. The Global X Gold Explorers ETF seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Solactive Global Gold Explorers & Developers Total Return Transition Index. |
| Global X Uranium ETF |
URA |
Global X |
37954Y871 |
US37954Y8710 |
4 Nov 2010 |
0.69 % |
Equities (Stocks) |
Not Applicable |
Solactive Global Uranium Index |
| The Global X Uranium ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the Solactive Global Uranium Index. |
| iShares MSCI Russia ETF |
ERUS |
Blackrock (iShares) |
46434G798 |
US46434G7988 |
9 Nov 2010 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI Russia 25/50 Index |
| The iShares MSCI Russia Capped Index Fund seeks investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Russia 25/50 Index. |
| Global X MSCI Norway ETF |
NORW |
Global X |
37950E747 |
US37950E7470 |
9 Nov 2010 |
0.50 % |
Equities (Stocks) |
Not Applicable |
MSCI Norway IMI 25/50 Index |
| The Global X MSCI Norway ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the MSCI Norway IMI 25/50 Index. |
| VelocityShares Daily 2x VIX Short Term ETN |
TVIX |
Velocity Shares |
22542D332 |
US22542D3329 |
29 Nov 2010 |
1.65 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Short-Term Futures Index Excess Return |
| The VelocityShares Daily 2x VIX Short-Term ETNs (the ETNs ) are senior, unsecured obligations of Credit Suisse AG ( Credit Suisse ) acting through its Nassau branch. The return on the ETNs is linked to twice (2x) the daily performance of the S&P 500 VIX Short-Term Futures Index ER less the investor fee. The ETNs provide traders with an exchange traded instrument enabling them to efficiently express their market views on the short-term futures contracts on the CBOE SPX Volatility Index (the VIX ). The ETNs do not guarantee any return of principal at maturity and do not pay any interest during their term. |
| VelocityShares VIX Short Term ETN |
VIIX |
Velocity Shares |
22542D365 |
US22542D3659 |
29 Nov 2010 |
0.75 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Short-Term Futures Index Excess Return |
| The VelocityShares Daily Long VIX Short-Term ETNs (the ETNs ) are senior, unsecured obligations of Credit Suisse AG ( Credit Suisse ) acting through its Nassau branch. The return on the ETNs is linked to the daily performance of the S&P 500 VIX Short-Term Futures Index ER less the investor fee. The ETNs provide traders with an exchange traded instrument enabling them to efficiently express their market views on the short-term futures contracts on the CBOE SPX Volatility Index (the VIX ). The ETNs do not guarantee any return of principal at maturity and do not pay any interest during their term |
| VelocityShares Daily Inverse VIX Medium Term ETN |
ZIV |
Velocity Shares |
22542D829 |
US22542D8294 |
29 Nov 2010 |
1.35 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Mid-Term Futures Index Excess Return |
| The VelocityShares Daily Inverse VIX Medium-Term ETNs (the ETNs ) are senior, unsecured obligations of Credit Suisse AG ( Credit Suisse ) acting through its Nassau branch. The return on the ETNs is linked to the inverse of the daily performance of the S&P 500 VIX MidTerm Futures Index ER less the investor fee. The ETNs provide traders with an exchange traded instrument enabling them to efficiently express their market views on the medium-term futures contracts on the CBOE SPX Volatility Index (the VIX ). The ETNs do not guarantee any return of principal at maturity and do not pay any interest during their term. |
| Peritus High Yield ETF |
HYLD |
Exchange Traded Concepts |
30151E814 |
US30151E8140 |
30 Nov 2010 |
1.25 % |
Bonds |
Not Applicable |
Not Applicable |
| The investment objective of the Peritus High Yield ETF (HYLD) is to generate a high current income with a secondary goal of capital appreciation. HYLD is sub-advised by Peritus I Asset Management LLC. Peritus seeks to achieve the Fund s objective by selecting a focused portfolio of high yield debt securities that via their coupons generate a high current income stream. Peritus takes a value-based active credit approach to the markets largely foregoing new issue participation favoring instead the secondary market where Peritus believes there is less competition and more opportunities for capital gains. Peritus de-emphasizes relative value in favor of long-term absolute returns. |
| iShares 0-5 Year TIPS Bond ETF |
STIP |
Blackrock (iShares) |
46429B747 |
US46429B7477 |
1 Dec 2010 |
0.06 % |
Bonds |
Not Applicable |
Bloomberg Barclays U.S. Treasury Inflation-Protected Securities (TIPS) 0-5 Years Index (Series-L) |
| The iShares Barclays 0-5 Year TIPS Bond Fund seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Barclays Capital U.S. Treasury Inflation-Protected Securities (TIPS) 0-5 Years Index (Series-L). |
| Invesco KBW Property & Casualty Insurance ETF |
KBWP |
Invesco |
46138E586 |
US46138E5868 |
2 Dec 2010 |
0.35 % |
Equities (Stocks) |
Not Applicable |
KBW Property & Casualty Index |
| The Invesco KBW Property & Casualty Insurance ETF (Fund) is based on the KBW Nasdaq Property & Casualty Index (Index). The Fund will normally invest at least 90% of its total assets in securities that comprise the Index. The Index is a modified market capitalization weighted index that seeks to reflect the performance of approximately 24 property and casualty insurance companies. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco KBW High Dividend Yield Financial ETF |
KBWD |
Invesco |
46138E610 |
US46138E6106 |
2 Dec 2010 |
2.40 % |
Equities (Stocks) |
Not Applicable |
KBW Financial Sector Dividend Yield Index |
| The Invesco KBW High Dividend Yield Financial ETF is based on the KBW Nasdaq Financial Sector Dividend Yield Index. The Fund generally will invest at least 90% of its total assets in the securities of publicly listed financial companies that principally are engaged in the business of providing financial services and products, including banking, insurance and diversified financial services, in the United States and that comprise the Underlying Index. Keefe Bruyette & Woods, Inc. ("KBW Nasdaq" or the "Index Provider") compiles, maintains and calculates the Underlying Index, which is a modified-dividend yield-weighted index that seeks to reflect the performance of such companies. The Fund and the Index are rebalanced and reconstituted quarterly. |
| Invesco KBW Premium Yield Equity REIT ETF |
KBWY |
Invesco |
46138E594 |
US46138E5942 |
2 Dec 2010 |
0.35 % |
Equities (Stocks) |
Not Applicable |
KBW Premium Yield Equity REIT Index |
| The Invesco KBW Premium Yield Equity REIT ETF (Fund) is based on the KBW Nasdaq Premium Yield Equity REIT Index (Index). The Fund generally will invest at least 90% of its total assets in the securities of small- and mid-cap equity REITs in the United States that comprise the Underlying Index. Keefe, Bruyette & Woods, Inc. and Nasdaq, Inc. compile, maintain and calculate the Underlying Index, which is a modified-dividend yield-weighted index that seeks to reflect the performance of such companies. The Fund generally invests in all of the securities comprising the Underlying Index in proportion to their weightings in the Underlying Index. The Fund and the Index are rebalanced and reconstituted on the third Friday of March, June, September and December. |
| ProShares RAFI Long/Short |
RALS |
ProShares |
74347X310 |
US74347X3109 |
2 Dec 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
FTSE RAFI US 1000 Long/Short Total Return Index |
| ProShares RAFI Long/Short seeks investment results before fees and expenses that track the performance of the RAFI US Equity Long/Short Index. The index allocates an aggregate equal dollar amount to both long and short equity positions. The long equity positions consist of securities in the FTSE RAFI US 1000 Total Return Index, and the short equity positions consist of securities in the Russell 1000 Total Return Index. By going long a "fundamental" index and short a market cap index, the index seeks to provide an alternative to traditional market cap weighting. The index is rebalanced monthly. |
| Invesco S&P MidCap 400 Equal Weight ETF |
EWMC |
Invesco |
78355W577 |
US78355W5774 |
3 Dec 2010 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P MidCap 400 Equal Weight Index |
| The Invesco S&P MidCap 400 Equal Weight ETF (Fund) is based on the S&P MidCap 400 Equal Weight Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index equally weights mid-cap securities in the S&P MidCap 400 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco S&P SmallCap 600 Equal Weight ETF |
EWSC |
Invesco |
78355W585 |
US78355W5857 |
3 Dec 2010 |
0.40 % |
Equities (Stocks) |
Not Applicable |
S&P SmallCap 600 Equal Weight Index |
| The Invesco S&P SmallCap 600 Equal Weight ETF (Fund) is based on the S&P SmallCap 600 Equal Weight Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index equally weights small-cap securities in the S&P SmallCap 600 Index. The Fund and the Index are rebalanced quarterly. |
| Invesco MSCI Emerging Markets Equal Country Weight ETF |
EWEM |
Invesco |
46138E552 |
US46138E5520 |
3 Dec 2010 |
0.70 % |
Equities (Stocks) |
Not Applicable |
MSCI Emerging Markets Equal Weighted Index |
| The Invesco MSCI Emerging Markets Equal Country Weight ETF (Fund) is based on the MSCI Emerging Markets Equal Country Weighted Index (Index). The Fund will invest at least 90% of its total assets in securities that comprise the Index. The Index provides equal weighted exposure to all of the countries included in the index while providing cap-weighted exposure to the securities within each country. The Index is a free float-adjusted market-cap index that is designed to measure equity market performance of certain markets deemed to be emerging markets. The Fund does not purchase all of the securities in the Index; instead, the Fund utilizes a "sampling" methodology to seek to achieve its investment objective. The index is computed using the net return, which withholds applicable taxes for non-resident investors. The Fund and the Index are rebalanced semiannually. |
| Direxion Daily Gold Miners Bear 3x Shares |
DUST |
Direxion Shares |
25490K133 |
US25490K1337 |
8 Dec 2010 |
0.95 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Gold Miners Index |
| The Daily Gold Miners Bear 3x Shares seeks daily investment results, before fees and expenses, of 300% of the inverse (or opposite) of the performance of the NYSE Arca Gold Miners Index. Potentially hedge exposure to equity and fixed income market risk. |
| Direxion Daily Gold Miners Bull 3x Shares |
NUGT |
Direxion Shares |
25460E844 |
US25460E8443 |
8 Dec 2010 |
0.90 % |
Equities (Stocks) |
Not Applicable |
NYSE Arca Gold Miners Index |
| The Daily Gold Miners Bull 3x Shares seeks daily investment results, before fees and expenses, of 300% of the performance of the NYSE Arca Gold Miners Index. Potentially hedge exposure to equity and fixed income market risk. |
| ProShares VIX Mid-Term Futures ETF |
VIXM |
ProShares |
74347W338 |
US74347W3381 |
3 Jan 2011 |
0.85 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Mid-Term Futures Index |
| The CBOE Volatility Index (VIX) is a widely followed measure of the expected volatility of the S&P 500. Since the VIX is not directly investable S&P 500 volatility exposure is often achieved through VIX futures. Each of the VIX futures indexes measures the movements of a combination of VIX futures and is designed to track changes in the expectation for VIX over a specific time window in the future. As a result the S&P 500 VIX Mid-Term Futures Index and VIXM can be expected to perform differently than the VIX. |
| ProShares VIX Short-Term Futures ETF |
VIXY |
ProShares |
74347W171 |
US74347W1716 |
3 Jan 2011 |
0.85 % |
Equities (Stocks) |
Not Applicable |
S&P 500 VIX Short-Term Futures Index |
| The CBOE Volatility Index (VIX) is a widely followed measure of the expected volatility of the S&P 500. Since the VIX is not directly investable S&P 500 volatility exposure is often achieved through VIX futures. Each of the VIX futures indexes measures the movements of a combination of VIX futures and is designed to track changes in the expectation for VIX over a specific time window in the future. As a result the S&P 500 VIX Short-Term Futures Index and VIXY can be expected to perform differently than the VIX. |
| WisdomTree Managed Futures Strategy Fund |
WTMF |
Wisdom Tree |
97717W125 |
US97717W1255 |
5 Jan 2011 |
0.65 % |
Other Asset Types |
Hedge Fund Replication |
Diversified Trends Indicator |
| The WisdomTree Managed Futures Strategy Fund seeks to achieve positive total returns in rising or falling markets that are not directly correlated to broad market equity or fixed income returns. The Fund is managed using a quantitative rules-based strategy designed to provide returns that correspond to the performance of the Diversified Trends Indicator (DTI Index or Benchmark). The Fund intends to invest in a combination of U.S. treasury futures currency futures non-deliverable currency forwards commodity futures commodity swaps U.S. government and money market securities. The Benchmark is a widely-used indicator designed to capture the economic benefit derived from rising or declining price trends in the markets for commodity currency and U.S. treasury futures. |
| Schwab U.S. REIT ETF |
SCHH |
Schwab |
808524847 |
US8085248479 |
13 Jan 2011 |
0.07 % |
Equities (Stocks) |
Not Applicable |
Dow Jones US Select REIT Index |
| he funds goal is to track as closely as possible, before fees and expenses, the total return of the Dow Jones U.S. Select REIT Index |
| Schwab U.S. Mid-Cap ETF |
SCHM |
Schwab |
808524508 |
US8085245087 |
13 Jan 2011 |
0.05 % |
Equities (Stocks) |
Not Applicable |
Dow Jones U.S. Mid-Cap Total Stock Market Index |
| The funds goal is to track as closely as possible, before fees and expenses, the total return of the Dow Jones U.S. Mid-Cap Total Stock Market Index |
| Ranger Equity Bear ETF |
HDGE |
Advisor Shares |
00768Y883 |
US00768Y8839 |
26 Jan 2011 |
2.86 % |
Equities (Stocks) |
Not Applicable |
Not Applicable |
| The investment objective of the Active Bear ETF (HDGE) is capital appreciation through short sales of domestically traded equity securities. The HDGE portfolio is sub-advised by Ranger Alternative Management L.P. The portfolio management team implements a bottom-up fundamental research driven security selection process. In selecting short positions the Fund seeks to identify securities with low earnings quality or aggressive accounting which may be intended on the part of company management to mask operational deterioration and bolster the reported earnings per share over a short time period. In addition the portfolio management team seeks to identify earnings driven events that may act as a catalyst to the price decline of a security such as downwards earnings revisions or reduced forward guidance. |
| SPDR S&P Health Care Equipment ETF |
XHE |
State Street (SPDR) |
78464A581 |
US78464A5810 |
26 Jan 2011 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Health Care Equipment Select Industry Index |
| The SPDR S&P Health Care Equipment ETF before expenses seeks to closely match the returns and characteristics of the S&P Health Care Equipment Select Industry Index (index ticker: SPSIHE). The approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR S&P Transportation ETF |
XTN |
State Street (SPDR) |
78464A532 |
US78464A5323 |
26 Jan 2011 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Transportation Select Industry Index |
| The SPDR S&P Transportation ETF before expenses seeks to closely match the returns and characteristics of the S&P Transportation Select Industry Index (index ticker: SPSITN). Our approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| SPDR S&P Telecom ETF |
XTL |
State Street (SPDR) |
78464A540 |
US78464A5406 |
26 Jan 2011 |
0.35 % |
Equities (Stocks) |
Not Applicable |
S&P Telecom Select Industry Index |
| The SPDR S&P Telecom ETF before expenses seeks to closely match the returns and characteristics of the S&P Telecom Select Industry Index (index ticker: SPSITE). The approach is designed to provide portfolios with low portfolio turnover accurate tracking and lower costs. |
| Vanguard Total International Stock ETF |
VXUS |
Vanguard |
921909768 |
US9219097683 |
28 Jan 2011 |
0.11 % |
Equities (Stocks) |
Not Applicable |
FTSE Global All Cap ex US Index |
| Vanguard Total International Stock ETF seeks to track the performance of a benchmark index that measures the investment return of stocks issued by companies located in developed and emerging markets, excluding the United States. |
| Global X Southeast Asia ETF |
ASEA |
Global X |
37950E648 |
US37950E6480 |
16 Feb 2011 |
0.65 % |
Equities (Stocks) |
Not Applicable |
FTSE/ASEAN 40 Index |
| The Global X FTSE Andean 40 ETF seeks to provide investment results that correspond generally to the price and yield performance before fees and expenses of the FTSE Andean 40 Index. The FTSE/ASEAN 40 Index tracks the performance of the 40 largest companies in the five ASEAN regions: Indonesia, Philippines, Singapore, Malaysia and Thailand. The index is freefloat adjusted and weighted by market capitalization and designed using eligible stocks within the FTSE All-World universe. |
| First Trust Nasdaq Smartphone Index Fund |
FONE |
First Trust |
33737K106 |
US33737K1060 |
17 Feb 2011 |
0.70 % |
Equities (Stocks) |
Not Applicable |
Nasdaq CTA Smartphone Index |
| The First Trust NASDAQ Smartphone Index Fund is an exchange-traded fund. The Fund seeks investment results that correspond generally to the price and yield (before the Funds fees and expenses) of an equity index called the Nasdaq CTA Smartphone Index. The index is designed to track the performance of companies engaged in the smartphone segment of the telecom and technology sectors. To be eligible for the index, issuers of the securities must be classified as a smartphone company as determined by the Consumer Technology Association. Component securities must be listed on an index-eligible global stock exchange, as determined by the NASDAQ OMX, have a minimum worldwide market capitalization of $250 million, have a minimum free float of 20%, and have a minimum three-month average daily dollar trading volume of $1 million. 45% of the index weight is allocated to Handsets, 45% of the index weight is allocated to Software Applications and Hardware Components, and 10% of the index weight is allocated to Network Providers. Index components are equally weighted within each business segment. Index components are reconstituted semi-annually and rebalanced quarterly. |
| SPDR Bloomberg Barclays Emerging Markets Local Bond ETF |
EBND |
State Street (SPDR) |
78464A391 |
US78464A3914 |
23 Feb 2011 |
0.40 % |
Bonds |
Not Applicable |
Bloomberg Barclays EM Local Currency Government Diversified Index |
| The SPDR Bloomberg Barclays Emerging Markets Local Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays EM Local Currency Government Diversified Index (the "Index"). Seeks to provide exposure to fixed-rate local currency sovereign debt of emerging market countries. Index includes government bonds, in local currencies, issued by investment grade and non-investment grade countries outside the U.S. that have a remaining maturity of one year or more. |
| SPDR S&P Emerging Markets Dividend ETF |
EDIV |
State Street (SPDR) |
78463X533 |
US78463X5335 |
23 Feb 2011 |
0.49 % |
Equities (Stocks) |
Not Applicable |
S&P Emerging Markets Dividend Opportunities Index |
| he SPDR S&P Emerging Markets Dividend ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the S&P Emerging Markets Dividend Opportunities Index (index ticker: SPGTEDUN), an index that tracks dividend paying securities of publicly-traded companies in emerging markets. |
| Global X MSCI Argentina ETF |
ARGT |
Global X |
37950E259 |
US37950E2596 |
2 Mar 2011 |
0.59 % |
Equities (Stocks) |
Not Applicable |
MSCI All Argentina 25/50 Index |
| The Global X MSCI Argentina ETF seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI All Argentina 25/50 Index. |
| Invesco Senior Loan ETF |
BKLN |
Invesco |
46138G508 |
US46138G5080 |
3 Mar 2011 |
0.65 % |
Bonds |
Not Applicable |
S&P/LSTA U.S. Leveraged Loan 100 Index |
| The Invesco Senior Loan ETF (Fund) is based on the S&P/LSTA U.S. Leveraged Loan 100 Index (Index). The Fund will normally invest at least 80% of its total assets in the component securities that comprise the Index. The Index is designed to track the market-weighted performance of the largest institutional leveraged loans based on market weightings, spreads and interest payments. The Fund and the Index are rebalanced and reconstituted bi-annually, in June and December. |
| Morgan Stanley Cushing MLP High Income Index ETN |
MLPY |
Morgan Stanley |
61760E846 |
US61760E8460 |
16 Mar 2011 |
0.85 % |
Other Asset Types |
MLP |
CushingMLP High Income Index |
| The Exchange Traded Notes (ETNs) are based on the performance of the Cushing MLP High Income Index (the Index), which is a criteria-weighted index tracking the performance of 30 Master Limited Partnerships (MLPs) which hold energy and shipping assets in North America. These Index constituents are chosen for having the highest current indicative yields among MLPs meeting certain criteria1. The quarterly coupon payments are linked to the cash distributions paid on the MLPs in the Index, less accrued tracking fees. The ETNs are senior, unsecured debt obligations of Morgan Stanley. |
| WisdomTree Asia Local Debt Fund |
ALD |
Wisdom Tree |
97717X842 |
US97717X8424 |
17 Mar 2011 |
0.55 % |
Bonds |
Not Applicable |
Not Applicable |
| WisdomTree Asia Local Debt Fund seeks a high level of total returns consisting of both income and capital appreciation. The fund attempts to achieve its investment objective through investment in local debt denominated in the currencies of Asia Pacific ex-Japan countries. |
| ProShares Short High Yield |
SJB |
ProShares |
74347R131 |
US74347R1317 |
21 Mar 2011 |
0.95 % |
Bonds |
Not Applicable |
Markit iBoxx $ Liquid High Yield Index |
| ProShares Short High Yield seeks daily investment results, before fees and expenses, that correspond to the inverse (opposite) of the daily performance of the Markit iBoxx $ Liquid High Yield Index. Markit iBoxx $ Liquid High Yield Index is a modified market-value weighted index designed to provide a balanced representation of U.S. dollar-denominated high yield corporate bonds for sale within the United States. |
| IQ Global Agribusiness Small Cap ETF |
CROP |
Index IQ |
45409B834 |
US45409B8349 |
22 Mar 2011 |
0.76 % |
Equities (Stocks) |
Not Applicable |
IQ Global Agribusiness Small Cap Index |
| The IQ Global Agribusiness Small Cap ETF seeks to track, before fees and expenses, the performance of the IQ Global Agribusiness Small Cap Index. The IQ Global Agribusiness Small Cap Index is float-adjusted market cap-weighted and includes global small cap companies engaged in the agribusiness sector, including crop production and farming, livestock operations, agricultural machinery, agricultural supplies and logistics, agricultural chemicals, and biofuels. |
| Direxion Daily Total Bond Market Bear 1x Shares |
SAGG |
Direxion Shares |
25459Y306 |
US25459Y3062 |
23 Mar 2011 |
0.45 % |
Bonds |
Not Applicable |
Barclays Capital U.S. Aggregate Bond Index |
| The Fund seeks daily investment results, before fees and expenses, of 100% of the inverse of the price performance of the Barclays Capital U.S. Aggregate Bond Index. There is no guarantee the fund will meet its stated investment objective. |
| Direxion Daily 7-10 Year Treasury Bear 1x Shares |
TYNS |
Direxion Shares |
25459Y108 |
US25459Y1082 |
23 Mar 2011 |
0.45 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| The Direxion Daily 7-10 Year Treasury Bear 1x Shares seeks daily investment results, before fees and expenses, of 100% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 7-10 Year Bond Index. There is no guarantee the fund will meet its stated investment objective. This leveraged ETF seeks a return that is -100% of the return of its benchmark index for a single day. The fund should not be expected to provide 100% of the inverse of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 7-10 Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| Direxion Daily 20+ Year Treasury Bear 1x Shares |
TYBS |
Direxion Shares |
25459Y405 |
US25459Y4052 |
23 Mar 2011 |
0.45 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 20+ Year Bond Index |
| The Direxion Daily 20+ Year Treasury Bear 1x Shares seeks daily investment results, before fees and expenses, of 100% of the inverse (or opposite) of the performance of the ICE U.S. Treasury 20+ Year Bond Index. There is no guarantee the fund will meet its stated investment objective. This leveraged ETF seeks a return that is -100% of the return of its benchmark index for a single day. The fund should not be expected to provide 100% of the inverse of the benchmark s cumulative return for periods greater than a day. The ICE U.S. Treasury 20+ Year Bond Index is a market value weighted index that includes publicly issued U.S. Treasury securities that have a remaining maturity of greater than 20 years. Eligible securities must be fixed rate, denominated in U.S. dollars, and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. Securities excluded from the Index are zero-coupon STRIPS, inflation linked securities, floating rate notes, cash management and Treasury bills, and any government agency debt issued with or without a government guarantee. One cannot directly invest in an Index. |
| iShares MSCI China ETF |
MCHI |
Blackrock (iShares) |
46429B671 |
US46429B6719 |
29 Mar 2011 |
0.62 % |
Equities (Stocks) |
Not Applicable |
MSCI China Index |
| The iShares MSCI China Index Fund seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI China Index. The MSCI China Index is designed to measure the performance of the top 85% of equity securities by market capitalization in the Chinese equity markets. |
| iShares Core High Dividend ETF |
HDV |
Blackrock (iShares) |
46429B663 |
US46429B6636 |
29 Mar 2011 |
0.08 % |
Equities (Stocks) |
Not Applicable |
Morningstar Dividend Yield Focus Index |
| The iShares High Dividend Equity Fund seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Morningstar Dividend Yield Focus Index. The Morningstar Dividend Yield Focus Index is designed to measure the performance of a select group of U.S. equity securities issued by companies that have provided relatively high dividend yields on a consistent basis. |
| ProShares Short 7-10 Treasury |
TBX |
ProShares |
74348A608 |
US74348A6082 |
4 Apr 2011 |
0.95 % |
Bonds |
Not Applicable |
ICE U.S. Treasury 7-10 Year Bond Index |
| ProShares Short 7-10 Year Treasury seeks daily investment results, before fees and expenses, that correspond to the inverse (-1x) of the daily performance of the ICE U.S. Treasury 7-10 Year Bond Index. The ICE U.S. Treasury 7-10 Year Bond Index includes publicly- issued U.S. Treasury securities that have a remaining maturity of greater than seven years and less than or equal to ten years and have $300 million or more of outstanding face value, excluding amounts held by the Federal Reserve. In addition, the securities in the Underlying Index must be fixed-rate and denominated in U.S. dollars. Excluded from the Underlying Index are inflation-linked securities, Treasury bills, cash management bills, any government agency debt issued with or without a government guarantee and zero-coupon issues that have been stripped from coupon-paying bonds. The Underlying Index is weighted by market capitalization, and the securities in the Underlying Index are updated on the last business day of each month. |
| SPDR Bloomberg Barclays Corporate Bond ETF |
CBND |
State Street (SPDR) |
78464A144 |
US78464A1447 |
6 Apr 2011 |
0.06 % |
Bonds |
Not Applicable |
Bloomberg Barclays US Corporate Bond Index |
| The SPDR Bloomberg Barclays Corporate Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the Bloomberg Barclays US Corporate Bond Index (the "Index"). The Index is designed to measure the performance of the investment grade corporate bond market which includes publicly issued, investment grade, fixed-rate, taxable, U.S. dollar-denominated corporate bonds issued by U.S. and non-U.S. industrial, utility, and financial institutions. The Bloomberg Barclays US Corporate Bond Index is designed to measure the performance of the investment grade corporate bond market. The Index includes publicly issued, investment grade, fixed-rate, taxable, U.S. dollar-denominated corporate bonds issued by U.S. and non-U.S. industrial, utility, and financial institutions. Bonds included in the Index must have $300 million or more of par amount outstanding and a remaining maturity of at least 1 year. The Index considers investment grade securities to be rated Baa3/BBB- or higher, using the middle rating of Moodys Investors Service, Inc., Fitch Inc., or Standard & Poors Financial Services, LLC. |
| ProShares Ultra High Yield |
UJB |
ProShares |
74348A707 |
US74348A7072 |
13 Apr 2011 |
1.31 % |
Bonds |
Not Applicable |
Markit iBoxx $ Liquid High Yield Index |
| ProShares Ultra High Yield seeks daily investment results, before fees and expenses, that correspond to twice (200%) the daily performance of the Markit iBoxx $ Liquid High Yield Index. |
| SPDR Nuveen S&P High Yield Municipal Bond ETF |
HYMB |
State Street (SPDR) |
78464A284 |
US78464A2841 |
13 Apr 2011 |
0.45 % |
Bonds |
Not Applicable |
S&P Municipal Yield Index |
| The SPDR Nuveen S&P High Yield Municipal Bond ETF seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of the S&P Municipal Yield Index (index ticker: SPMUHT), an index that tracks the US high yield municipal bond market and to provide income that is exempt from federal income taxes. |
| VanEck Vectors Russia Small-Cap ETF |
RSXJ |
Van Eck Associates Corporation |
92189F734 |
US92189F7345 |
13 Apr 2011 |
0.75 % |
Equities (Stocks) |
Not Applicable |
Market Vectors Russia Small-Cap Index |
| The VanEck Vectors Russia Small-Cap ETF (RSXJ) seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Market Vectors Russia Small-Cap Index (MVRSXJTR), a rules-based, modified market capitalization-weighted, float adjusted index comprised of publicly traded companies that are domiciled and primarily listed in Russia or that generate the majority of their revenues in Russia. |
| First Trust Asia Pacific ex-Japan AlphaDEX Fund |
FPA |
First Trust |
33737J109 |
US33737J1097 |
18 Apr 2011 |
0.80 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Asia Pacific ex-Japan Index |
| The First Trust Asia Pacific Ex-Japan AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the NASDAQ AlphaDEX Asia Pacific ex-Japan Index. The NASDAQ AlphaDEX Asia Pacific Ex-Japan Index employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ Asia Pacific Ex-Japan Index. The Index is constructed by ranking the stocks in the NASDAQ Asia Pacific Ex-Japan Index separately on growth and value factors. |
| First Trust Brazil AlphaDEX Fund |
FBZ |
First Trust |
33737J133 |
US33737J1337 |
18 Apr 2011 |
0.80 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Brazil Index |
| The First Trust Brazil AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the NASDAQ AlphaDEX Brazil Index. The NASDAQ AlphaDEX Brazil Index is an "enhanced" index created and administered by The NASDAQ OMX Group, Inc. ("NASDAQ") which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ Brazil Index that meet certain criteria. NASDAQ constructs the NASDAQ AlphaDEX Brazil Index by ranking the eligible stocks from the NASDAQ Brazil Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. |
| First Trust China AlphaDEX Fund |
FCA |
First Trust |
33737J141 |
US33737J1410 |
18 Apr 2011 |
0.80 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX China Index |
| The First Trust China AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the NASDAQ AlphaDEX China Index. The NASDAQ AlphaDEX China Index is an "enhanced" index created and administered by The NASDAQ OMX Group, Inc. ("NASDAQ") which employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ China Index that meet certain criteria. NASDAQ constructs the NASDAQ AlphaDEX China Index by ranking the eligible stocks from the NASDAQ China Index on growth factors including 3-, 6- and 12- month price appreciation, sales to price and one year sales growth, and separately on value factors including book value to price, cash flow to price and return on assets. All stocks are ranked on the sum of ranks for the growth factors and, separately, all stocks are ranked on the sum of ranks for the value factors. A stock must have data for all growth and/or value factors to receive a rank for that style. |
| First Trust Developed Markets ex-US AlphaDEX Fund |
FDT |
First Trust |
33737J174 |
US33737J1741 |
18 Apr 2011 |
0.80 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Developed Markets Ex-US Index |
| The First Trust Developed Markets Ex-US AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the NASDAQ AlphaDEX Developed Markets Ex-US Index. The NASDAQ AlphaDEX Developed Markets Ex-US Index employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ Developed Markets Ex-US Index. The Index is constructed by ranking the stocks in the NASDAQ Developed Markets Ex-US Index on growth factors including 3-, 6- and 12-month price appreciation, sales to price and one year sales growth and separately on value factors including book value to price, cash flow to price and return on assets. |
| First Trust Emerging Markets AlphaDEX Fund |
FEM |
First Trust |
33737J182 |
US33737J1824 |
18 Apr 2011 |
0.80 % |
Equities (Stocks) |
Not Applicable |
NASDAQ AlphaDEX Emerging Markets Index |
| The First Trust Emerging Markets AlphaDEX Fund is an exchange-traded fund. The investment objective of the Fund is to seek investment results that correspond generally to the price and yield, before the Funds fees and expenses, of an equity index called the NASDAQ AlphaDEX Emerging Markets Index. The NASDAQ AlphaDEX Emerging Markets Index employs the AlphaDEX stock selection methodology to select stocks from the NASDAQ Emerging Markets Index. The Index is constructed by ranking the stocks in the NASDAQ Emerging Markets index on growth factors including 3-, 6- and 12-month price |