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ISHARES FTSE/XINHUA CHINA 25 INDEX FUN (FXI)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the FTSE/Xinhua China 25 Index. The Index consists of 25 of the largest and most liquid Chinese companies.
The fund will generally invest at least 90% of assets in securities of the Index, or in ADRs besed on securities in the Index. The fund may invest the remainder of its assets in securities not included in the Index, but which the fund's manager believes will help the fund track the Index. This fund is nondiversified.
STREETTRACKS INDEX SHARES FUNDS (GXC)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the Chinese equity market.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies domiciled in China. It is nondiversified.
ULTRASHORT SEMICONDUCTORS (SSG)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Semiconductor index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ISHARES MSCI SINGAPORE INDEX FUN (EWS)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Singaporean markets, as measured by the MSCI Singapore Index.
The fund normally invests in stocks that are primarily traded on the Singapore Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ISHARES MSCI HONG KONG INDEX FUN (EWH)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Hong Kong market, as measured by the MSCI Hong Kong Index.
The fund normally invests in stocks that are primarily traded on the Stock Exchange of Hong Kong Limited, using a sampling strategy to try to track its index. This fund is nondiversified.
IPATH DJ AIG COPPER TR SUB-IDX ETN (JJC)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones-AIG Copper Total Return Sub-Index.
The fund is designed to reflect the performance on copper contracts. The index is composed of Copper High Grade futures contract traded on the New York Commodities Exchange.
ISHARES MSCI JAPAN SMALL CAP INDEX FUN (SCJ)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Japan Small Cap index.
The fund normally invests at least 90% of assets in the securities of the index or in ADRs, GDRs, or EDRs representing securities in the index. It may also invest in futures contracts, options on futures contracts, and swaps related to the index, as well as cash and cash equivalents, including shares of money market funds affiliated with BGFA. The fund is nondiversified.
ULTRASHORT BASIC MATERIALS (SMN)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Basic Materials index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
GOLDEN DRAGON HALTER USX CHINA PORTFOLIO (PGJ)
The investment is based on the Halter USX China Index.
The Index is comprised of U.S.-listed securities of companies which derive a majority of their revenue from the People's Republic of China. The portfolio is rebalanced quarterly.
WISDOMTREE INTERNATIONAL ENERGY SECTOR FUND (DKA)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Energy Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of energy companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of oil and gas producers, oil and gas services, pipelines, alternative energy sources and coal companies. The fund is nondiversified.
WISDOMTREE INTERNATIONAL REAL ESTATE FUND (DRW)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Real Estate Sector index.
The index measures the performance of companies in developed markets outside of the U.S. and Canada that pay regular cash dividends on shares of common stock classified as being part of the international real estate sector. The fund is nondiversified.
SPDR RUSSELL NOMURA SMALL CAP JAPAN (JSC)
The investment seeks to track the performance, before fees and expenses, of the Russell/Nomura Small Cap Index.
The fund will use a sampling strategy to track the index. The index consists of the smallest 15% of stocks, in terms of float-adjusted market capitalization. It includes stocks from a broad universe of Japan equities. The fund is nondiversified.
FTSE RAFI DEVELOPED MARKETS EX-U.S. PORTFOLIO (PXF)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the FTSE RAFI Developed ex US Index.
The fund normally invests at least 90% of assets in stocks that comprise the FTSE RAFI Developed Markets ex US Index and ADRs based on the stocks in the FTSE RAFI Developed ex US Index. It normally invests at least 80% of total assets in securities of companies originating in countries that are classified as "developed" within FTSE's country classification definition, excluding the United States.
MARKET VECTORS NUCLEAR ENERGY (NLR)
The investment seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the DAXglobal Nuclear Energy Index.
The Fund normally invests at least 80% of total assets in equity securities of U.S. and foreign companies primarily engaged in the nuclear energy business, which derive at least 50% of their total revenues from nuclear energy business. Such companies may include small- and medium capitalization companies.
ISHARES MSCI PACIFIC EX-JAPAN INDEX FUN (EPP)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Australia, Hong Kong, New Zealand, and Singapore markets, as measured by the MSCI Pacific Free ex-Japan Index.
The fund normally invests in stocks that are primarily traded in the markets of Australia, Hong Kong, New Zealand, and Singapore, using a sampling strategy to try to track its index. This fund is nondiversified.
SPDR SP EMERGING ASIA PACIFIC (GMF)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the emerging-markets of the Asia Pacific region.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies in the Asia Pacific Region. It consists of companies from China, India, Indonesia, Malaysia, Pakistan, the Philippines, Taiwan and Thailand. The fund is nondiversified.
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the emerging markets of Brazil, Russia, India and China.
The fund uses a passive management strategy designed to track the total return performance of the Standard & Poor's BRIC 40 index. The index is a market capitalization weighted index that defines and measures the investable universe of companies domiciled in the emerging markets of Brazil, Russia, India and China that are listed on the Hong Kong Stock Exchange, the London Stock Exchange, NASDAQ and/or the NYSE.
SELECT SECTOR SPDR FUND - FINANCIAL (XLF)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of the Financial Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Select Sector Index. The Financial Select Sector Index includes companies from the following industries: banks, diversified financials, insurance and real estate.
The investment seeks to match, before fees and expenses, the performance of the Select Emerging Markets Free Index.
The fund employs a passively managed investment approach by investing all or substantially all of its assets in a representative sample of the common stocks included in the Selected Emerging Markets Free Index. This Index includes approximately 500 common stocks of companies located in emerging markets around the world.
ISHARES MSCI AUSTRALIA INDEX FUN (EWA)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Australian market, as measured by the MSCI Australia Index.
The fund typically invests in stocks that are traded primarily on the Australian Stock Exchange. This fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the NASDAQ 100 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund may not sell short the equity securities of issuers contained in the index.
FTSE RAFI ASIA PACIFIC EX-JAPAN PORTFOLIO (PAF)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the FTSE RAFI Developed Asia Pacific ex Japan Index.
The fund normally invests at least 90% of assets in stocks that comprise the FTSE RAFI Asia Pacific ex Japan Index and ADRs based on the stocks in the FTSE RAFI Asia Pacific ex Japan Index. It normally invests at least 80% of total assets in securities of companies that are classified as Asia Pacific within FTSE's country classification definition, excluding Japanese companies. It is nondiversified.
WISDOMTREE EMERGING MARKETS SMALLCAP DIVIDEND FUND (DGS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Emerging Markets Small Cap index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Emerging Markets Small Cap index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
ULTRASHORT INDUSTRIALS (SIJ)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Industrials index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
CLAYMORE EXCHANGE-TRADED FUND TRUST (EEB)
The investment seeks results that correspond to the performance, before fees and expenses, of the Bank of New York BRIC Select ADR index.
The fund will invest at least 90% of assets in ADRs and GDRs that comprise the index. The index consists of approximately 75 securities. It includes U.S. exchange-listed ADRs and GDRs of companies from Brazil, Russia, India and China. About 50% of the index is comprised of companies located in Brazil, 6% in Russia, 18% in India, and 26% in China. It is nondiversified.
SELECT SECTOR SPDR FUND - UTILITIES (XLU)
The investment seeks to provide investment results that correspond generally to the performance, before fees and expenses, of company equities in the utilities economic sector.
The fund typically invests at least 95% of assets in companies of the utilities sector. The utilities sector includes companies from the following industries: electric utilities, gas utilities, multi-utilities and unregulated power and water utilities.
ISHARES DOW JONES U.S. HEALTHCARE PROVIDERS INDEX FUN (IHF)
The investment 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.
The index measures the performance of the health care providers sub-sector of the U.S. equity market. It includes companies that are health care providers such as owners and operators of health
maintenance organizations, hospitals, clinics, dentists, opticians, nursing homes, rehabilitation and retirement centers. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
ULTRASHORT RUSSELL1000 VALUE (SJF)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 1000 value index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
RYDEX INVERSE 2X SP MIDCAP 400 (RMS)
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to increase during times when the underlying index is decreasing. It is nondiversified.
ULTRASHORT TECHNOLOGY (REW)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Technology index.
ISHARES MSCI JAPAN INDEX FUN (EWJ)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Japanese market, as measured by the MSCI Japan Index.
The fund normally invests in stocks that are primarily traded on the Tokyo Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
WISDOMTREE PACIFIC EX-JAPAN TOTAL DIVIDEND FUND (DND)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Pacific ex-Japan index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Pacific ex-Japan Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
The investment seeks to match, before fees and expenses, the performance of the MSCI Pacific Free Index.
The fund seeks to replicate performance of the MSCI Pacific Index, a market-capitalization weighted index of more than 400 stocks in Australia, Japan, Hong Kong, New Zealand, and Singapore, through portfolio optimization, a statistical sampling technique. It's policy is to remain fully invested in common stocks.
ISHARES S&P WORLD EX-U.S. PROPERTY INDEX FUN (WPS)
WPS Resources Corporation operates as the holding company for regulated utility and nonregulated business units. The company supplies and distributes electric power and natural gas in its franchised service territory in northeastern Wisconsin and an adjacent portion of the upper peninsula of Michigan. It also provides wholesale electric service to various customers, including municipal utilities, electric cooperatives, energy marketers, other investor owned utilities, and a municipal joint action agency. The company also offers nonregulated natural gas, electric, and alternate fuel supplies, as well as energy management and consulting services, to retail and wholesale customers primarily in the northeastern quadrant of the United States and adjacent portions of Canada. WPS Resources was founded in 1883 and is based in Green Bay, Wisconsin.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Financials index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
ISHARES MSCI BRIC INDEX FUN (BKF)
BKF Capital Group, Inc., through its wholly owned subsidiary, John A. Levin & Co., Inc., operates as an investment adviser primarily in the United States. The company manages equity portfolios for institutional and individual investors. It offers long-only equity strategies, as well as a range of alternative investment products and other specialized investment programs. The company also acts as the managing general partner of various private investment partnerships, as well as an adviser to private investment vehicles organized outside the United States. In addition, it participates in various wrap fee programs sponsored by financial institutions. The company's clients include the United States' and foreign corporations, mutual funds, limited partnerships, universities, pension and profit sharing plans, individuals, trusts, not-for-profit organizations, and foundations. BKF was founded in 1907. It was formerly known as Baker, Fentress & Company and changed its name to BKF Capital Group, Inc. in 2000. The company is based in New York City.
MERRILL LYNCH REGIONAL BANK HOLDRS (RKH)
The investment is designed to diversify your investment in the regional banking industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the
underlying securities.
The trust holds shares of common stock issued by specified
companies that, when initially selected, were involved in the
regional banking industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 19 companies included in the Regional Bank HOLDRS.
The investment seeks to replicate the performance of the KBW Insurance index.
The fund uses a passive management strategy designed to track the total return performance of the Insurance index. It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 2000 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
WISDOMTREE PACIFIC EX-JAPAN HIGH-YIELDING EQUITY FUND (DNH)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Pacific ex-Japan High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Pacific ex-Japan High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
INTERNET INFRASTRUCTURE HOLDRS (IIH)
The investment seeks to diversify your investment in the Internet infrastructure segment of the Internet industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the Internet infrastructure segment of the Internet industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 14 companies included in the Internet Infrastructure HOLDRS.
ULTRASHORT RUSSELL2000 GROWTH (SKK)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 2000 growth index.
WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND (DFJ)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Japan SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Japan SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
ISHARES MSCI SWEDEN INDEX FUN (EWD)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Swedish markets, as measured by the MSCI Sweden Index.
The fund normally invests in stocks that are primarily traded on the Stockholm Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
DYNAMIC FOOD & BEVERAGE PORTFOLIO (PBJ)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Food & Beverage Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of food and beverage companies. It will normally invest at least 90% of its assets in common stocks that comprise the Food & Beverage Intellidex. The Intellidex is comprised of 30 U.S. food and beverage companies.
SPDR SP INTERNATIONAL SMALL CAP (GWX)
The investment seeks to track the price and yield performance, before fees and expenses, of the S&P/Citigroup BMI World Ex US Cap Range < 2 billion USD Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index is a market capitalization weighted index that defines and measured the investable universe of publicly traded companies domiciled in developed countries outside of the U.S. The fund is nondiversified.
DYNAMIC INSURANCE PORTFOLIO (PIC)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Dynamic Insurance Intellidex(SM) index.
The fund normally invests at least 80% of total assets in common stocks of insurance companies. In pursuit of its objective, it may invest at least 90% of total assets in common stocks that comprise the Insurance Intellidex. The Insurance Intellidex is comprised of stocks of 30 U.S. insurance companies. It is nondiversified.
BLDRS ASIA 50 ADR INDEX FUND (ADRA)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Asia 50 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
INSURED CALIFORNIA MUNICIPAL BOND PORTFOLIO (PWZ)
The investment seeks to replicate, net of expenses, the Merrill Lynch California Insured Long-Term Core Municipal Securities Index.
The fund will invest at least 80% of assets in municipal securities that are exempt from federal income tax and California state income tax. The index is designed to track the performance of US dollar-denominated investment grade tax-exempt debt publicly issued by California or Puerto Rico, or their political subdivisions, in the US domestic market. The fund is nondiversified.
RYDEX SP EQUAL WEIGHT CONSUMER STAP (RHS)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Consumer Staples Index.
The fund will use a replication strategy to track the index. The index consists of food and drug retailing, beverages, food products, tobacco, household products and personal product industries. The fund is nondiversified.
ISHARES S&P/TOPIX 150 INDEX FUN (ITF)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P/TOPIX 150 Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index, which consists of 150 highly liquid securities from each major sector of the Tokyo market. The index comprises about 70% of Japan’s equity market value. The fund is nondiversified.
CLAYMORE/ZACKS INTL MULTI-AST INC (HGI)
The investment seeks investment results that correspond generally to the performance(before fees and expenses),of an index called the Zacks International Yield Hog index.
The fund invests in all of the stocks comprising the index in proportion to their weightings in the index. The Zacks International Yield Hog index is comprised of 150 stocks selected, based on investment and other criteria, from a universe of international companies, global REITs, master limited partnerships, Canadian royalty trusts, American depositary receipts of emerging market companies and U.S. listed closed-end funds. It is nondiversified.
1-30 LADDERED TREASURY PORTFOLIO (PLW)
The investment seeks to replicate, net of expenses, the Ryan/Mergent 1-30 Year Treasury Laddered Index.
The fund will invest at least 80% of assets in US Treasury securities. The index measures potential returns of a theoretical portfolio of US Treasury securities with a yield curve based upon 30 distinct annual maturities.
CLAYMORE/CLEAR GLOBAL TIMBER INDEX (CUT)
The investment seeks results that correspond generally to the performance, before the fees and expenses, of the Clear Global Timber index.
The fund normally invests at least 90% of total assets in common stock, American depositary receipts and global depositary receipts that comprise the Clear Global Timber index. It seeks a correlation over time of 0.95 or better between its performance and the performance of the index.
ISHARES COHEN & STEERS REALTY MAJORS INDEX FUN (ICF)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Cohen & Steers Realty Majors Index.
ULTRASHORT MIDCAP400 (MZZ)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the S&P MidCap 400 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. It is nondiversified.
ISHARES FTSE DEVELOPED SMALL CAP EX-NORTH AMERICA INDEX FUND (IFSM)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expensed, of a particular index.
The fund invests at least 90% of assets in the securities of the Underlying Index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs) (collectively Depositary Receipts representing securities in the Underlying Index. It invests the remainder of its assets in securities not included in the Underlying Index, but which BGFA believes will help the Fund track its Underlying Index. The fund is nondiversified.
ISHARES MSCI EAFE SMALL CAP INDEX FUN (SCZ)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of MSCI EAFE Small Cap index.
The fund generally invests at least 90% of assets in the securities of the index or in ADRs, GDRs or EDRs or other depositary receipts representing securities in the index. It may invest the remainder of assets in securities not included in the index. The fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Real Estate index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
The investment seeks income and moderate long-term capital growth.
The fund normally invests at least 98% of assets in stocks of real estate investment trusts (REITs) that are included in the Morgan Stanley REIT Index. The fund holds each stock contained in the index in approximately the same proportions as the index itself; the correlation between the performance of the portfolio and that of the index is expected to be at least 0.95. The fund may invest the remainder of assets in cash reserves in order to maintain liquidity.
DYNAMIC CONSUMER STAPLES SECTOR PORTFOLIO (PSL)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Consumer Staples Sector Indellidex Index.
The fund will invest at least 80% of assets in common stocks of consumer staples companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. 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 non-discretionary retail.
DB BASE METALS FUND (DBB)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Industrial Metals Excess Return.
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). The index is intended to reflect the performance of the industrial metals sector. The fund is nondiversified.
SPDR RUSSELL NOMURA PRIME JAPAN (JPP)
The investment seeks to track the performance, before fees and expenses, of the Russell/Nomura PRIME Index.
The fund will use a sampling strategy to track the index. The index consists of approximately the 1,000 largest stocks in terms of float-adjusted market capitalization. The fund is nondiversified.
ISHARES LEHMAN 20+ YEAR TREASURY BOND FUN (TLT)
The investment seeks results that correspond generally to the price and yield performance of the long-term sector of the United States Treasury market.
This fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. Government bonds. It may also invest up to 10% of assets in U.S. Government bonds not included in the underlying index.
SPDR BARCLAYS CAPITAL LONG TERM TR (TLO)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the long term sector of the United States Treasury market.
The fund uses a passive management strategy designed to track the total return performance of the Lehman Brothers Long U.S. Treasury index. The Long U.S. Treasury index measures the performance of public obligations of the U.S. Treasury that have a remaining maturity of 10 or more years. It is nondiversified.
Sussex Bancorp operates as the holding company for Sussex Bank, which provides commercial banking services in Sussex County, New Jersey. The bank accepts personal and business checking accounts, and time deposits; money market accounts; and regular savings accounts. It offers commercial, consumer, mortgage, home equity, and personal loans. The bank also provides one to four family mortgage loans for sale in secondary markets, as well as offers commercial and personal lines of insurance. It offers its services to small and medium sized businesses, professional community, and individuals. The bank invests in U.S. government agency securities, state and political subdivisions, mortgage-backed securities, corporate securities, and equity securities. As of September 30, 2005, the bank operated eight banking offices located in Vernon, Montague, Sparta, Wantage, Newton, Augusta, New Jersey, and Andover, New Jersey. Sussex Bancorp was formed in 1975 and is based in Franklin, New Jersey.
FINANCIAL PREFERRED PORTFOLIO (PGF)
The investment seeks to track the price and yield performance, before fees and expenses, of the Wachovia Hybrid & Preferred Securities Financial Index.
The fund will invest at least 80% of assets in preferred securities of financial institutions. It will invest at least 90% of assets in preferred securities that comprise the index. The index consists of the preferred securities of approximately 30 financial institutions. The fund is nondiversified.
ISHARES MSCI EMERGING MARKETS INDEX FUN (EEM)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI Emerging Markets Index.
The fund typically invests at least 90% of assets in the securities of the underlying index or in American Depository Receipts and Global Depository Receipts representing such securities. It may invest up to 10% of assets in other iShares funds. It may also invest in futures contracts, options on futures, contracts, options, swaps, cash, and cash equivalents. This fund is nondiversified.
RYDEX INVERSE 2X RUSSELL 2000 (RRZ)
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to tend to increase during times when the underlying index is decreasing. It is nondiversified.
DYNAMIC HEALTHCARE SERVICES PORTFOLIO (PTJ)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Healthcare Services Indellidex index.
The fund will invest at least 80% of assets in common stocks of healthcare services companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 30 U.S. healthcare services companies. These are companies that are principally engaged in the delivery, support or financing of healthcare. The fund is nondiversified.
ISHARES FTSE EPRA/NAREIT GLOBAL REAL ESTATE EX-U.S. INDEX FUND (IFGL)
The investment seeks to replicate, net of expenses, the FTSE EPRA/NAREIT Global Real Estate ex-U.S. Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index measures the performance of companies engaged in the ownership, disposure, and development of the Canadian, European, and Asian real estate markets. The fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Industrial Average index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
ISHARES S&P GLOBAL HEALTHCARE SECTOR INDEX FUN (IXJ)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global Healthcare Sector Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund’s component companies include health care providers, biotech companies and manufacturers of medical supplies, and pharmaceuticals. The fund is nondiversified.
ISHARES S&P GLOBAL MATERIALS SECTOR INDEX FUN (MXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the S&P Global Materials Sector Index.
The fund uses a representative sampling strategy to track the index. The index is comprised of approximately 118 companies. It includes companies engaged in a wide variety of commodity-related manufacturing. The fund is nondiversified.
WISDOMTREE INTERNATIONAL BASIC MATERIALS SECTOR FUND (DBN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Basic Materials Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of basic materials companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of chemicals, forest products and paper, iron/steel and mining companies. The fund is nondiversified.
EXT DURATION TREASURY (EDV)
Consolidated Edison Company of New York, Inc. provides electric service in New York City and Westchester County. The company offers natural gas service in Manhattan, the Bronx, and parts of Queens and Westchester counties. It also owns and operates steam system, providing steam service in Manhattan. As of December 31, 2003, the company's transmission system had 432 miles of overhead circuits, 138 miles of underground circuits, and 267 miles of radial subtransmission circuits located in New York City and Westchester, Orange, Rockland, Putnam, and Dutchess counties in New York State; and distribution system with 32,840 miles of overhead distribution lines and 90,218 miles of underground distribution lines. It distributes natural gas to customers through 4,261 miles of mains and 374,622 service lines. The company also owns a natural gas liquefaction facility and storage tank at its Astoria property in Queens, New York. Further, it generates steam for distribution at 3 steam/electric generating stations and 5 steam-only generating stations, and distributes steam to customers through approximately 87 miles of mains and 18 miles of service lines. The company was incorporated in New York State in 1884 and is based in New York City. Consolidated Edison Company of New York, Inc. is a subsidiary of Consolidated Edison, Inc., as of June 30, 2004.
ULTRASHORT OIL & GAS (DUG)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Oil & Gas index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ULTRASHORT RUSSELL2000 (TWM)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 2000 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
The investment seeks to replicate the performance of the KBW Bank index.
The fund uses a passive management strategy designed to track the total return performance of the Bank index. It is nondiversified.
ISHARES DOW JONES U.S. INSURANCE INDEX FUN (IAK)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Insurance index.
The index measures the performance of the insurance sector of the U.S. equity market. The index includes companies in the following sub-sectors: full line insurance, insurance brokers, property and casualty insurance, reinsurance, and life insurance. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the S&P 500 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. It is nondiversified.
MERRILL LYNCH MARKET OIL SERVICE HOLDRS (OIH)
The investment seeks to diversify your investments in the oil service
industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The investment holds shares of common stock issued by specified companies that, when initially selected, were involved in the oil service industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 18 companies included in the investment.
ISHARES FTSE EPRA/NAREIT ASIA INDEX FUND (IFAS)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expensed, of a particular index.
The fund invests at least 90% of assets in the securities of the Underlying Index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs) (collectively Depositary Receipts representing securities in the Underlying Index. It invests the remainder of its assets in securities not included in the Underlying Index, but which BGFA believes will help the Fund track its Underlying Index. The fund is nondiversified.
EMERGING MARKETS SOVEREIGN DEBT PORTFOLIO (PCY)
The investment seeks to replicate, net of expenses, the DB Emerging Markets USD Liquid Balanced Index.
The fund will invest 80% of assets in emerging markets US dollar-denominated government bonds. The index tracks the performance of a selected basket of liquid emerging markets US dollar-denominated government bonds. It includes bonds issued by approximately 19 emerging market countries. The fund is nondiversified.
ULTRASHORT SMALLCAP600 (SDD)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the S&P SmallCap 600 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
CURRENCYSHARES AUSTRALIAN DOLLAR TRUST (FXA)
No description available.
The investment seeks to track the performance of a market-weighted bond index with a long-term dollar-weighted average maturity.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the NASDAQ-100 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
ISHARES DOW JONES SELECT DIVIDEND INDEX FUN (DVY)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones Select Dividend Index.
The fund invests in securities exhibiting positive dividend-per-share growth rates over the past five years and dividend payout ratios below 60%.
WISDOMTREE INTERNATIONAL SMALLCAP DIVIDEND FUND (DLS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
RYDEX SP 500 PURE VALUE (RPV)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P 500/Citigroup Pure Value index.
The fund uses a passive management strategy to track the performance of the underlying index. The S&P 500/Citigroup Pure Value index is narrow in focus, containing only those S&P 500 companies with strong value characteristics as selected by Standard & Poor's.
SELECT SECTOR SPDR FUND - BASIC INDUSTRIES (XLB)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of its
benchmark Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Materials Select Sector Index. The index includes companies from the following industries: chemicals, construction materials, containers and packaging, materials and mining and paper and forest products.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Oil & Gas index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
BLDRS EMERGING MARKETS 50 ADR INDEX FUND (ADRE)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Emerging Markets 50 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
STREETTRACKS WILSHIRE REIT INDEX FUND (RWR)
StreetTRACKS DJ Wilshire REIT ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire REIT Index.
The fund uses a passive management strategy designed to track the total return performance of the Wilshire REIT Index. The Subdviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
ISHARES DOW JONES U.S. FINANCIAL SERVICES INDEX FUN (IYG)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Financial Services Index.
MARKET VECTORS GOLD MINERS (GDX)
The investment seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the AMEX Gold Miners index.
The fund generally invests in all of the securities which comprise the AMEX Gold Miners index in proportion to their weighting in the index. Under various circumstances, it may purchase a sample of stocks in the index. The index is comprised of publicly traded companies involved primarily in mining for gold and silver. The fund is nondiversified.
WISDOMTREE INTERNATIONAL UTILITIES SECTOR FUND (DBU)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Utilities Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of utilities companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of gas, electric and water companies. The fund is nondiversified.
WISDOMTREE JAPAN TOTAL DIVIDEND FUND (DXJ)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Japan Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Japan Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
ULTRA CONSUMER GOODS (UGE)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Consumer Goods index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
WISDOMTREE INTERNATIONAL INDUSTRIAL SECTOR (DDI)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Industrial Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of industrial companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. It is comprised of engaged in aerospace and defense, building materials, electronic components and equipment, engineering and construction, hand and machine tools, machinery, metal fabrication, packaging. The fund is nondiversified.
MKT VCTR RUSSIA SBI (RSX)
The investment seeks to track the price and yield performance, before fees and expenses, of the DAXglobal Russia+ index.
The fund will invest at least 80% of assets in stocks and Depositary Receipts of publicly traded companies domiciled in Russia. It will invest at least 95% of assets in securities that comprise the index. The index includes approximately 30 securities. The fund is nondiversified.
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SELECT SECTOR SPDR FUND - CONSUMER DISCRETIONARY (XLY)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of the Consumer Discretionary Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Select Sector Index. The Consumer Discretionary Select Sector Index includes companies from the following industries: automobiles and components, consumer durables, apparel, hotels, restaurants, leisure, media and retailing.
ISHARES DOW JONES U.S. HEALTHCARE SECTOR INDEX FUN (IYH)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Healthcare Sector Index. Majo component companies include health care providers, biotechnology companies and manufacturers of medical supplies.
UNITED STATES 12 MONTH OIL FUND LP (USL)
The investment seeks to replicate 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 fund will consist of the near month contract to expire and the contracts for the following eleven months, for a total of 12 consecutive months’ contracts. When calculating the daily movement of the average price of the 12 contracts each contract month will be equally weighted. It is nondiversified.
ISHARES LEHMAN 10-20 YEAR TREASURY BOND FUN (TLH)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers 10-20 Year U.S. Treasury Index.
The fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. government. It may also invest up to 10% of assets in U.S. government bonds not included in the underlying index. The fund also may invest up to 5% of assets in repurchase agreements collateralized by U.S. government obligations and in cash and cash equivalents. It's nondiversified.
ISHARES LEHMAN TIPS BOND FUN (TIP)
The investment seeks results that correspond generally to the price and yield performance of the Lehman Brothers U.S. Treasury Inflation Notes Index.
The fund will normally invest at least 95% of assets in U.S. government bonds. It may also invest in bonds not included in the underlying index, cash, liquid short-term instruments, shares of money market funds, and securities not included in the index.
The investment seeks to track the performance of a benchmark index that measures the investment return of financial stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Financials index. This index consists of stocks of large, medium-size, and small U.S. companies within the financials sector. This sector is made up of companies involved in activities such as banking, mortgage finance, consumer finance, specialized finance, investment banking and brokerage, asset management and custody, corporate lending, insurance, financial investment, and real estate.
SPDR SP EMERGING MIDDLE EST AFRCA (GAF)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the Middle East and African equity markets.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies domiciled in emerging-markets in the Middle East and Africa. It includes companies located in Egypt, Israel, Jordan, Morocco, Nigeria and South Africa. The fund is nondiversified.
MERRILL LYNCH PHARMACEUTICAL HOLDRS (PPH)
The investment seeks to diversify your investment in the pharmaceutical industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the pharmaceutical industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 21 companies included in the Pharmaceutical HOLDRS.
SPDR SP WORLD EX-US (GWL)
The investment seeks to track the price and yield performance, before fees and expenses, of the S&P/Citigroup BMI World Ex US Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index is a market capitalization weighted index that defines and measured the investable universe of publicly traded companies domiciled in developed countries outside of the U.S. The fund is nondiversified.
SPDR BARCLAYS CAPITAL TIPS (IPE)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the inflation protected sector of the United States Treasury market.
The fund uses a passive management strategy designed to track the total return performance of the Barclays U.S. Government Inflation-linked Bond index. The U.S. Treasury TIPS index measures the performance of inflation protected public obligations of the U.S. Treasury. It is nondiversified.
ISHARES S&P GLOBAL CONSUMERS STAPLES SECTOR INDEX FUN (KXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the S&P Global Consumer Staples Sector Index.
The fund uses a representative sampling strategy to track the index. The index is comprised of approximately 97 companies. These companies include manufacturers and distributors of food, producers of non-durable household goods, and food and drug retailing companies. The fund is nondiversified.
DB AGRICULTURE FUND (DBA)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Agriculture Excess Return.
The index is a rules-based index composed of futures contracts on some of the most liquid and widely traded agricultural commodities – corn, wheat, soy beans and sugar. The index is intended to reflect the performance of the agricultural sector. The fund is nondiversified.
ISHARES DOW JONES U.S. FINANCIAL SECTOR INDEX FUN (IYF)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Financial Sector Index. Major component companies include banks, diversified financial, insurance, and real estate companies, savings and loan associations, and securities brokers.
ISHARES DOW JONES U.S. REGIONAL BANKS INDEX FUN (IAT)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Regional Banks index.
The index measures the performance of the regional bank sub-sector of the U.S. equity market. The index is a subset of the Dow Jones U.S. Bank index. Small and mid-size banks are selected for inclusion based on their relative 3-year average total assets as a percentage of the 3-year average total assets held by all banks in the Dow Jones U.S. Bank index, as determined by Dow Jones. It is nondiversified.
SELECT SECTOR SPDR FUND - CONSUMER STAPLES (XLP)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of the Consumer Staples Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Select Sector Index. The Consumer Staples Select Sector Index includes companies from the following industries: food and drug retailing, beverages, food products, tobacco, household products and personal products.
CLAYMORE EXCHANGE-TRADED FUND TRUST 2 (EXB)
The investment seeks to replicate the performance, net of expenses, of the Clear Global Exchanges, Brokers & Asset Managers Index.
The fund will invest at least 90% of assets in equity securities, ADRs and GDRs that comprise the index. The index consists of approximately 100 securities of companies that operate a security exchange or brokerage/asset management firm as a primary business. It is nondiversified.
SPDR SP EMERGING MARKETS (GMM)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the emerging-markets of the world.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies domiciled in emerging-markets. It is nondiversified.
CLAYMORE SP GLOBAL WATER INDEX (CGW)
The investment seeks investment results that correspond generally to the performance of an equity index called the S&P Global Water index.
The fund, using a low cost "passive" or "indexing" investment approach, will seek to replicate, before expenses, the performance of the S&P Global Water index. The index is comprised of 50 equity securities selected, based on investment and other criteria, from a universe of companies listed on global developed market exchanges.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Oil Excess Return.
The index is a rules-based index composed of futures contracts on Light Sweet Crude Oil (WTI) and is intended to reflect the performance of crude oil. The fund is nondiversified.
SPDR BARCLAYS CAPITAL INTL TRESY BD (BWX)
The investment seeks to replicate as closely as possible,before fees and expenses,the price yield performance of its benchmark index,the lehman brothers global treasury ex-us capped index.
The fund normally invests at least 80% of assets in fixed income securities that comprise its benchmark index.It may also invest in securities not included in benchmark,but which the adviser believes will help the fund track the index,options,swap contracts and other derivatives.It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the S&P 500 index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the S&P 500 index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of consumer staples stocks.
The Fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Consumer Staples Index. This index consists of stocks of large, medium-size, and small U.S. companies within the consumer
staples sector. It includes manufacturers and distributors of food, beverages, and tobacco, as well as producers of nondurable household goods and personal products.
ISHARES DOW JONES U.S. CONSUMER GOODS SECTOR INDEX FUN (IYK)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Consumer Goods Sector Index. The Index includes companies in the following sectors: automobiles and parts, beverages, food producers, household goods, leisure goods, personal goods and tobacco.
ISHARES S&P 500 VALUE INDEX FUN (IVE)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P 500/BARRA Value Index.
The fund invests at least 90% of assets in S&P 500 securities that have the lowest price-to-book ratios. It typically represents approximately 50% of the S&P 500’s market capitalization. The fund may hold up to10% of non-S&P assets, including futures contracts, options, cash and cash equivalents. The fund is nondiversified.
MERRILL LYNCH BROADBAND HOLDRS (BDH)
The investment seeks to diversify your investment in the broadband business through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the broadband industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 22 companies included in the Broadband HOLDRS.
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI US Large-Cap Value index.
The fund normally invests at least 80% of assets in the stocks that make up the index. It attempts to replicate the index by investing all, or substantially all, of assets in the stocks that make up the index, holding each stock in approximately the same proportion as the weighting in the index. The fund employs a passive management investment approach designed to track the performance of the index, which represents the value companies of the MSCI US Large-Cap 300 index.
ISHARES S&P GLOBAL UTILITIES SECTOR INDEX FUN (JXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the S&P Global Utilities Sector Index.
The fund uses a representative sampling strategy in seeking to track the index. The index is comprised of approximately 70 companies. These companies include providers of electric, gas or water utilities, or companies that operate as independent producers and/or distributors of power. The fund is nondiversified.
LISTED PRIVATE EQUITY PORTFOLIO (PSP)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Red Rocks Listed Private Equity Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of stocks and ADRs of approximately 34 publicly-listed private equity companies. This includes business development companies and other financial institutions or vehicles whose principal business is to invest in and lend capital to privately-held companies. The fund is nondiversified.
ISHARES MSCI ITALY INDEX FUN (EWI)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Italian market, as measured by the MSCI Italy Index.
The fund normally invests in stocks that are primarily traded on the Milan Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
DYNAMIC LARGE CAP VALUE PORTFOLIO (PWV)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Large Cap Value Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of large companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Large Cap Value Intellidex. The Intellidex is comprised of 50 U.S. large cap value stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
ISHARES RUSSELL 3000 VALUE INDEX FUN (IWW)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 3000 Value Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell 3000 Value Index, which measures the performance of the value sector of the US equity broad market. It invests in companies with lower price-to-book ratios and lower forecasted growth.
ISHARES MSCI EAFE INDEX FUN (EFA)
The investment seeks investment results that correspond generally, before fees and expenses, to the price and yield performance of the MSCI EAFE Index.
The fund uses a representative sampling strategy in order to try to track the MSCI EAFE Index. The fund invests in stocks from Europe, Australia, and the Far East with concentrations similar to those of its index. This fund is nondiversified.
ISHARES MORNINGSTAR LARGE VALUE INDEX FUN (JKF)
The investment seeks investment results that track the Morningstar Large Value Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the large-capitalization sector, defined as those companies that form the largest 70% of the market capitalization of the US equity market, that Morningstar determines to have value characteristics based on value factors such as price to projected earnings, price to book, price to sales, price to cash flow and dividend yield.
ISHARES S&P NATIONAL MUNICIPAL BOND FUN (MUB)
The investment 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 Municipal Bond Index.
The fund may invest at least 80% and generally 90% of assets in the securities of its Underlying Index and in securities that provide substantially similar exposure to the securities in its Underlying Index. It may at times invest up to 20% of assets in certain futures, options and swap contracts, cash and cash equivalents, as well as in municipal bonds not included in its Underlying Index
SPDR DJ WILSHIRE LARGE CAP VALUE (ELV)
StreetTRACKS DJ Wilshire Large Cap Value ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Large Cap Value Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Large Cap Value Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
STREETTRACKS INDEX SHARES FUNDS (CWI)
The investment seeks to track the price and yield performance, before fees and expenses, of the MSCI All Country World Index ex USA Index.
The fund will normally invest at least 90% of assets in the securities of companies that comprise the index. This includes investments in ADRs and GDRs based on the securities in the index. The index is designed to measure the combined equity market performance of developed and emerging market countries excluding U.S. The fund is nondiversified.
DYNAMIC BANKING PORTFOLIO (PJB)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Banking Indellidex index.
The fund will invest at least 80% of assets in common stocks of banking companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 30 U.S. banking companies. These companies include money center banks, regional banks or thrifts that are principally engaged in providing a range of consumer and commercial products and services. The fund is nondiversified.
FIRST TRUST CNSUMER STAPL ALPHA FD (FXG)
The investment seeks to replicate, net of expenses, the StrataQuant Consumer Staples index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
FIRST TRUST VALUE LINE DIVIDEND INDX FND (FVD)
First Trust Value Line Dividend Fund operates as a diversified, closed-end management investment company. The fund invests primarily in the common stocks, for which Value Line gives a Safety Ranking of #1 and #2 in the Value Line Safety Ranking System. Its investment portfolio includes investments in the consumer discretionary, consumer staples, energy, financials, healthcare, information technology, industrials, materials, telecom services, and utilities sectors. First Trust Advisors L.P. serves as investment advisor of the fund. First Trust Value Line Dividend Fund was founded in 2003 and is based in Lisle, Illinois.
ULTRASHORT RUSSELL2000 VALUE (SJH)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 2000 value index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND FUN (LQD)
The investment seeks investment results that correspond generally to the price and yield performance of the underlying index. The fund typically invests at least 90% of assets in the bonds of the underlying index, and at least 95% of assets in investment grade corporate bonds. The fund may also invest in bonds not included in the underlying index, but which the manager believes will help it track the underlying index. It may also invest up to 5% of assets in repurchase agreements collateralized by U.S. Government obligations, and in cash and cash equivalents. This fund is nondiversified.
INSURED NEW YORK MUNICIPAL BOND PORTFOLIO (PZT)
The investment seeks to replicate, net of expenses, the Merrill Lynch New York Insured Long-Term Core Municipal Securities Index.
The fund will invest at least 80% of assets in municipal securities that are exempt from federal income tax, New York State income tax and New York City income tax. The index is designed to track the performance of US dollar-denominated investment grade tax-exempt debt publicly issued by New York or Puerto Rico, or their political subdivisions, in the US domestic market. The fund is nondiversified.
MERRILL LYNCH UTILITIES HOLDRS (UTH)
The investment seeks to diversify your investment in the utilities industry through a single, exchange- listed instrument
representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the utilities industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 20 companies included in the Utilities HOLDRS.
The investment seeks to track the performance of a benchmark index that measures the investment return of large-capitalization value stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Prime Market Value Index, a broadly diversified index of the stocks of large U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
RYDEX SP EQUAL WEIGHT UTILITIES (RYU)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Utilities Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies engaged in electric utilities, gas utilities, multi-utilities and unregulated power and water utilities, telecommunication service companies, including fixed-line, cellular, wireless, high bandwidth and fiber-optic cable networks. The fund is nondiversified.
WISDOMTREE MIDCAP DIVIDEND FUND (DON)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree MidCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree MidCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. A portion of the index is comprised of stocks issued by REITs. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the Index. It is nondiversified.
DYNAMIC SMALL CAP VALUE PORTFOLIO (PWY)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Small Cap Value Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of small cap companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Small Cap Value Intellidex. The Intellidex is comprised of 100 U.S. small cap value stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
DB US DOLLAR BEARISH FUND (UDN)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Short US Dollar Futures index.
The index is comprised solely of short futures contracts. The futures contract is designed to replicate the performance of being short the US Dollar against the Euro, Japanese Yen, British Pound, Canadian Dollar, Swedish Krona and Swiss Franc.
INSURED NATIONAL MUNICIPAL BOND PORTFOLIO (PZA)
Provena Foods, Inc., a specialty food processor, supplies food products to other food processors, distributors, and canners in the United States. Its primary products include pepperoni and Italian-style sausage, which are sold to frozen pizza processors, pizza restaurant chains, and food distributors. The company also offers dry pasta to food processors and canners, private label producers, and food distributors. Provena Foods was founded in 1878 and is based in Chino, California.
The investment seeks to replicate, net of expenses, the Rogers International Commodity Index – Metals Total Return index.
The index represents the value of a basket of 10 metals commodity futures contracts.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Industrial Average index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
ISHARES LEHMAN CREDIT BOND FUN (CFT)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
FTSE RAFI US 1000 PORTFOLIO (PRF)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the FTSE RAFI US 1000 index.
The fund normally invests at least 90% of total assets in common stocks that comprise the FTSE RAFI US 1000 index. It seeks to match the performance of the FTSE RAFI US 1000 Index. The FTSE RAFI US 1000 Index is comprised of 1000 U.S. stocks.
HIGH DIVIDEND YIELD (VYM)
Delaware Investments Minnesota Municipal Income Fund III, Inc. operates as a nondiversified closed-end management investment company. It invests primarily in municipal bonds, including airport revenue bonds, city general obligation bonds, continuing care/retirement revenue bonds, corporate-backed revenue bonds, escrowed to maturity bonds, higher education revenue bonds, hospital revenue bonds, miscellaneous revenue bonds, multifamily housing revenue bonds, municipal lease revenue bonds, parking revenue bonds, political subdivision general obligation bonds, prerefunded bonds, public power revenue bonds, school district general obligation bonds, single family housing revenue bonds, and territorial revenue bonds. Delaware Management Company serves as the advisor of the fund. Delaware Investments Minnesota Municipal Income Fund III was founded in 1993 and is based in Philadelphia, Pennsylvania.
ISHARES DOW JONES U.S. CONSUMER SERVICES SECTOR INDEX FUN (IYC)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Consumer Services Sector Index. The Index includes companies in the following sectors: food and drug retailers, general retailers, media and travel and leisure.
FIRST TRUST AMEX BIOTECH INDEX FND (FBT)
The investment seeks to track the price and yield performance, before fees and expenses, of the Amex Biotechnology index.
The fund will normally invest at least 90% of assets in stocks that comprise the index. The index measures the performance of a cross section of companies in the biotechnology industry that are primarily involved in the use of biological processes to develop products or provide services. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of health care stocks.
The Fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Health Care Index. This index consists of all capitalization of stocks within the health care sector. This sector industry includes companies that manufacture health care equipment and supplies or provide health care related services. It also includes companies primarily involved in the research, development, production, and marketing of pharmaceuticals and biotechnology products.
DYNAMIC FINANCIALS SECTOR PORTFOLIO (PFI)
Pelican Financial, Inc. operates as the holding company for Pelican National Bank (bank). The bank primarily provides retail banking services primarily in Naples, Cape Coral, Bonita Springs, and Fort Myers in Florida. It accepts time and demand deposits from the general public; and originates secured and unsecured consumer, commercial, commercial real estate, residential construction, and single-family residential mortgage loans, as well as home equity and personal lines of credit. Pelican National also offers other services, including money orders, traveler's checks, cashier's checks and savings bonds, wire transfer and direct deposit services, and safe deposit boxes. As of December 31, 2004, the bank operated six branches in Florida. Pelican Financial was incorporated in 1997 and is based in Ann Arbor, Michigan.
WISDOMTREE INTERNATIONAL CONSUMER STAPLES SECTOR FUND (DPN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Consumer Non-Cyclical Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of non-cyclical consumer companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. It is comprised of agriculture, tobacco, beverages, biotechnology, commercial services, cosmetics/personal care, food, healthcare, pharmaceuticals and household products companies. The fund is nondiversified.
WISDOMTREE HIGH-YIELDING EQUITY FUND (DHS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
ISHARES RUSSELL 1000 VALUE INDEX FUN (IWD)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 1000 Value Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a replication strategy in order to track the Russell 1000 Value Index, which measures the performance of the large-capitalization sector of the US equity market. It invests in those Russell 1000 Index companies with lower price-to-book ratios and lower forecasted growth.
ISHARES LEHMAN GOVERNMENT/CREDIT BOND FUN (GBF)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers U.S. Government/Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA.
ISHARES DOW JONES U.S. UTILITIES SECTOR INDEX FUN (IDU)
The investment seeks investment results that correspond usually to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Utilities Sector Index.
ISHARES S&P CALIFORNIA MUNICIPAL BOND FUN (CMF)
The investment 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 Municipal Bond index.
The fund generally invests 90% of assets in the securities of its Underlying index. It generally holds municipal bond securities issued by the State of California and its municipalities whose interest is exempt from federal and California state income tax and the federal AMT. The fund is nondiversified.
DYNAMIC MID CAP VALUE PORTFOLIO (PWP)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Mid Cap Value Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of mid cap companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Mid Cap Value Intellidex. The Intellidex is comprised of 75 U.S. mid cap value stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
ISHARES NYSE 100 INDEX FUN (NY)
The investment seeks investment result that correspond generally to the price and yield performance, before fees and expenses, of the NYSE 100 Index. The index measures the performance of the largest 100 U.S. companies based on market capitalization listed on the NYSE.
ISHARES DOW JONES U.S. BROKER-DEALERS INDEX FUN (IAI)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Investment Services index.
The index measures the performance of the investment services sector of the U.S. equity market. The index includes companies providing a range of specialized financial services, including securities brokers and dealers, online brokers and securities or commodities exchanges. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
ISHARES MORNINGSTAR MID VALUE INDEX FUN (JKI)
The investment seeks investment results that track the Morningstar Mid Value Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the mid-capitalization sector, defined as those companies that form the 20% of the market capitalization between the 70th and 90th percentile of the US equity market, that Morningstar determines to have value characteristics based on value factors such as price to projected earnings, price to book, price to sales, price to cash flow and dividend yield.
UNITED STATES OIL FUND LP (USO)
The investment seeks to reflect the performance, less expenses, of the spot price of West Texas Intermediate (WTI) light, sweet crude oil.
The fund will invest in futures contracts for WTI light, sweet crude oil, other types of crude oil, heating oil, gasoline, natural gas and other petroleum based-fuels that are traded on exchanges. It may also invest in other oil interests such as cash-settled options on oil futures contracts, forward contracts for oil, and OTC transactions that are based on the price of oil. The fund is nondiversified.
WISDOMTREE LARGECAP DIVIDEND FUND (DLN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree LargeCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree LargeCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
SPDR DJ WILSHIRE LARGE CAP GROWTH (ELG)
StreetTRACKS DJ Wilshire Large Cap Growth ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Large Cap Growth Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Large Cap Growth Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
SPDR BARCLAYS CAPITAL CALIFORNIA MUN (CXA)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the California municipal bond market and provides income that is exempt from Federal and California state income taxes.
The fund uses a passive management strategy designed to track the price and yield performance of the Lehman Brothers Managed Money Municipal California index. It is nondiversified.
FIRST TRUST IPOX-100 INDEX FUND (FPX)
The investment seeks results that correspond generally to the price and yield of the IPOX-100 U.S. index.
The fund normally invests at least 90% of total assets in common stocks that comprise the index. The index is a modified value-weighted price index measuring the performance of the top 100 companies ranked quarterly by market capitalization in the IPOX Composite U.S. index. It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the S&P midcap 400 index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
WISDOMTREE EUROPE SMALLCAP DIVIDEND FUND (DFE)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
ISHARES LEHMAN 7-10 YEAR TREASURY BOND FUN (IEF)
The investment seeks results that correspond generally to the price and yield performance of the intermediate-term sector of the United States Treasury market.
This fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. Government bonds. It may also invest up to 10% of assets in U.S. Government bonds not included in the underlying index.
WISDOMTREE EMERGING MARKETS HIGH-YIELDING EQUITY FUND (DEM)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Emerging Markets High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Emerging Markets High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE INTERNATIONAL CONSUMER DISCRETIONARY SECTOR FUND (DPC)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Consumer Cyclical Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of cyclical consumer companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. The fund is nondiversified.
ISHARES JPMORGAN USD EMERGING MARKETS BOND FUN (EMB)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the JPMorgan EMBI Global Core index.
The fund invests at least 90% of assets in the securities of its Underlying index. It may at times invest up to 20% of assets in certain futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA, as well as in bonds not included in its underlying index, but which BGFA believes help the Fund track its underlying index. The fund is nondiversified.
SELECT SECTOR SPDR FUND - ENERGY SELECT SECTOR (XLE)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of the
Energy Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Select Sector Index. The Energy Select Sector Index includes companies from the following industries: oil, gas, energy equipment & services.
BUYBACK ACHIEVERS PORTFOLIO (PKW)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Mergent Buyback Achievers(TM) index.
The fund seeks to match the performance of the Buyback Achievers(TM) index. It normally invests at least 90% of total assets in common stocks that comprise the Buyback Achievers(TM) index. It is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of consumer discretionary stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Consumer Discretionary Index. This index consists of stocks of large, medium, and small U.S. companies within the consumer discretionary sector. Its manufacturing and service segments include automotive, household durable goods, textiles and hotels, restaurants and other leisure facilities.
The investment seeks to track the performance of the Mergent Dividend Achievers Select index.
The fund attempts to replicate the target index by investing all, or substantially all, of assets in the stocks that make up the index, holding each stock in approximately the same proportion as weighting in the index. The index measures the investment return of common stocks of companies that have a record of increasing dividends over time.
WISDOMTREE INTERNATIONAL MIDCAP DIVIDEND FUND (DIM)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International MidCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International MidCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE TOTAL DIVIDEND FUND (DTD)
The investment seeks to track the price and yield performance, before fees and expenses, of the Wisdom Tree Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
The investment seeks to replicate, net of expenses, the Rogers International Commodity Index – Agriculture Total Return index.
The index represents the value of a basket of 20 agricultural commodity futures contracts.
DYNAMIC UTILITIES PORTFOLIO (PUI)
No description available.
SPDR BARCLAYS CAPITAL INTER TERM (ITE)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the 1-10 year sector of the United States Treasury market.
The fund uses a passive management strategy designed to track the total return performance of the Lehman Brothers Intermediate U.S. Treasury index. The Intermediate U.S. Treasury index measures the performance of public obligations of the U.S. Treasury that have a remaining maturity of greater than or equal 1 year and less than 10 years. It is nondiversified.
The investment seeks to track the performance of a broad, market-weighted bond index.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund maintains a dollar-weighted average maturity consistent with that of the index, ranging between 5 and 10 years.
ISHARES MSCI NETHERLANDS INVESTABLE MARKET INDEX FUN (EWN)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Dutch market, as measured by the MSCI Netherlands Index.
The fund normally invests in stocks that are primarily traded on the Amsterdam Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
WISDOMTREE DIVIDEND TOP 100 FUND (DTN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Dividend Top 100 index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Dividend Top 100 index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
DYNAMIC HEALTHCARE SECTOR PORTFOLIO (PTH)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Healthcare Sector Indellidex index.
The fund will invest at least 80% of assets in common stocks of healthcare companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. healthcare companies. These companies are principally engaged in the business of providing healthcare-related products and services, including biotechnology, pharmaceuticals, medical technology and supplies and facilities.
The investment seeks to track the performance of a market-weighted bond index with an intermediate-term dollar-weighted average maturity.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund maintains a dollar-weighted average maturity consistent with that of the index ranging between 5 and 10 years.
The investment seeks to provide a tax-efficient investment return consisting of long-term capital appreciation.
The fund purchases stocks included in the Morgan Stanley Capital International (MSCI) EAFE index, which is a market value-weighted index of approximately 1,164 securities listed on the stock exchanges of countries in Europe, Australia, and Asia. It is dominated by a broadly diversified group of large-cap stocks in foreign companies. The fund may produce a small amount of taxable current income, though not as part of its objective.
WISDOMTREE DEFA FUND (DWM)
The investment seeks to track the price and yield performance of the WisdomTree Dividend Index of Europe, Far East Asia, and Australasia.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree DEFA index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
ISHARES S&P GLOBAL CONSUMER DISCRETIONARY SECTOR INDEX FUN (RXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the S&P Global Consumer Discretionary Sector Index.
The fund uses a representative sampling strategy in seeking to track the index. The index is comprised of approximately 187 manufacturing and service companies. The fund is nondiversified.
DIVIDEND ACHIEVERS PORTFOLIO (PFM)
The investment seeks results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Broad Dividend Achievers(TM) index.
The fund normally invests at least 80% of total assets in common stocks of companies that have raised their annual regular cash dividend payments for at least each of the last 10 consecutive fiscal years. It normally invests at least 90% of total assets in dividend paying common stocks that comprise the Broad Dividend Achievers(TM) index.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Utilities index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the S&P 500 index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
FTSE RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID PORTFOLIO (PDN)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the index called the FTSE RAFI Developed ex US Mid Small 1500 Index (the "Underlying Index").
The fund normally invests in 90% of total assets in small capitalization stocks that comprise the Underlying Index and ADRs based on the stocks in the Index. It normally invests at least 80% Of total assets in small and medium capitalization companies that are classified as "developed" within FTSE's country classification definition, excluding the United States. It's nondiversified.
ISHARES LEHMAN INTERMEDIATE CREDIT BOND FUN (CIU)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers Intermediate U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
FTSE ALL-WORLD EX-US (VEU)
The investment seeks to track the performance of the FTSE All-World ex-US Index.
The fund seeks to replicate the performance of the index, a free-float-adjusted, market-capitalization-weighted index of approximately 2,200 stocks of companies located in 47 countries.
ISHARES MSCI EAFE GROWTH INDEX FUN (EFG)
The investment seeks investment results that correspond generally, before fees and expenses, to the price and yield performance of the MSCI EAFE Growth index.
The fund invests at least 90% of assets in the securities of its underlying index or in ADRs, GDRs or EDRs representing securities in the underlying index. It may invest up to 10% of assets in securities not included in the index but which the fund's manager believes may help the fund track the index. The fund may also invest other assets in futures, options and swaps related to the index, as well as cash and cash equivalents. It is nondiversified.
FTSE RAFI JAPAN PORTFOLIO (PJO)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the FTSE RAFI Japan Index.
The Fund will normally invest at least 90% of total assets in stocks that comprise the FTSE RAFI Japan Index and ADRs based on the stocks in the FTSE RAFI Japan Index. It will normally invest at least 80% of total assets in securities of companies that are classified as Japanese within FTSE's country classification definition. It is nondiversified.
SPDR DJ GLOBAL TITANS (DGT)
StreetTRACKS DJ Global Titans ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Global Titans 50 Index U.S.
The fund uses a passive management strategy designed to track the total return performance of the Global Titans Index. It purchases ADR or U.S. shares of foreign companies included in the Index. The fund is nondiversified.
ISHARES RUSSELL 1000 INDEX FUN (IWB)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 1000 Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell 1000 Index, which measures the performance of the large-capitalization sector of the US equity market. It invests in the largest 1000 capitalization-weighted companies in the Russell 3000 Index.
ISHARES LEHMAN 3-7 YEAR TREASURY BOND FUN (IEI)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers 3-7 Year U.S. Treasury Index.
The fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. government. It may also invest up to 10% of assets in U.S. government bonds not included in the underlying index. The fund also may invest up to 5% of assets in repurchase agreements collateralized by U.S. government obligations and in cash and cash equivalents. It's nondiversified.
The investment seeks to replicate, before expenses, correspond generally to the price and yield of the S&P High Yield Dividend Aristocrats index.
The fund uses a passive management strategy designed to track the price and yield performance of the Dividend index. It is nondiversified.
ISHARES S&P GLOBAL TELECOMMUNICATIONS SECTOR INDEX FUN (IXP)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global Telecommunications Sector Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund’s component companies include diversified communication carriers and wireless communication companies. The fund is nondiversified.
ISHARES RUSSELL MIDCAP VALUE INDEX FUN (IWS)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell Midcap Value Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell Midcap Value Index, which measures the performance of the mid-capitalization sector of the US equity market. It invests in those Russell Midcap Index companies with lower price-to-book ratios and lower forecasted growth.
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of the Health Care Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Select Sector Index. The Health Care Select Sector Index includes companies from the following industries: health care equipment and supplies, health care providers and services, biotechnology and pharmaceuticals.
SPDR KBW CAPITAL MARKETS (KCE)
The investment seeks to replicate the performance of the KBW Capital Markets index.
The fund uses a passive management strategy designed to track the total return performance of the Capital Markets index. It is nondiversified.
DWA DEVELOPED MARKET TECHNICAL LEADERS PORTFOLIO (PIZ)
The investment seeks investment results that correspond generally to the price and yield performance of the index called the Dorsey Wright Developed Markets Technical Leaders index.
The fund normally invests at least 90% of total assets in the stocks that comprises the underlying index and American Depository Receipts and Global Depository Receipts based on the stocks in the underlying index. It normally invests at least 80% of total assets in securities of developed economies within Dorsey Wright & Associates' classification definition, excluding U.S. companies listed on a U.S. stock exchange. It is nondiversified.
ULTRASHORT HEALTH CARE (RXD)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Health Care index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ISHARES LEHMAN INTERMEDIATE GOVERNMENT/CREDIT BOND FUN (GVI)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers Intermediate U.S. Government/Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. The fund is nondiversified.
VRDO TAX-FREE WEEKLY PORTFOLIO (PVI)
The investment seeks investment results that correspond generally to the price and yield (before the fund's fees and expenses) of an index called the Thomson Municipal Market Data VRDO index.
The fund invests at least 80% of assets in variable rate demand obligation bonds that are exempt from federal income tax with interest rates that are reset weekly. It reserves the right to invest up to 20% of assets in certain futures, options and swap contracts, cash and cash equivalents. The fund invests at least 80% of assets in the securities that comprise the Thomson Municipal Market Data VRDO index.It is nondiversified.
ISHARES MSCI BRAZIL INDEX FUN (EWZ)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Brazilian market, as measured by the MSCI Brazil Index.
The fund typically invests in stocks traded primarily on the Bolsa de Valores de Sao Paulo. This fund is nondiversified.
ISHARES S&P 500 INDEX FUN (IVV)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P 500 Index.
The fund invests at least 90% of assets in S&P 500 Index securities. It uses a passive indexing approach that does not judge the investment merits of particular securities through economic, financial or market analysis. The fund may hold up to 10% of non-S&P assets, including futures contracts, options, cash and cash equivalents.
FIRST TRUST MORNINGSTAR DIVID LEDR (FDL)
The investment seeks results that correspond generally to the price and yield of an equity index called the Morningstar® Dividend Leaders index.
The fund will normally invest at least 90% of total assets in common stocks that comprise the index. The index consists of the top 100 stocks, based on dividend yield, of the securities listed on one of the three major exchanges that have been selected through the application of Morningstar’s proprietary multi-step screening process.
WISDOMTREE INTERNATIONAL LARGECAP DIVIDEND FUND (DOL)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International LargeCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International LargeCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
ISHARES S&P NEW YORK MUNICIPAL BOND FUN (NYF)
The investment 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 Municipal Bond index.
The fund generally invests 90% of assets in the securities of its Underlying index. It generally holds municipal bond securities issued by the State of New York and its municipalities whose interest is exempt from federal and New York state income tax and the federal AMT. The Fund is nondiversified.
ISHARES LEHMAN MBS BOND FUN (MBB)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers U.S. MBS Fixed-Rate Index.
The fund invests at least 90% of assets in securities that comprise the index. The index measures the performance of investment grade fixed-rate mortgage-backed pass-through securities of GNMA, FNMA, and FHLMC. It includes securities that have 30-, 20-, 15-year and balloon securities that have a remaining maturity of at least one year and have more than $250 million or more outstanding face value. The fund is nondiversified.
ISHARES RUSSELL 3000 INDEX FUN (IWV)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 3000 Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a replication strategy in order to track the Russell 3000 Index, which measures the performance of the broad US equity market. It invests in the largest capitalization-weighted public companies domiciled in the US and its territories.
The investment seeks to track the performance of a market-weighted bond index with a short-term dollar-weighted average maturity.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund's dollar-weighted average maturity is not expected to exceed 3 years.
ISHARES S&P 100 INDEX FUN (OEF)
The investment seeks investment results that correspond generally to the price and yield performance of the Standard & Poor’s 100 Index.
The fund invests at least 90% of assets in the securities of the underlying index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs)(collectively Depositary Receipts) representing securities in the underlying index. The fund uses a replication strategy in order to track the S&P 100 Index, a subset of the S&P 500 consisting of blue chip stocks from diverse industries.The fund is nondiversified.
DYNAMIC BASIC MATERIALS SECTOR PORTFOLIO (PYZ)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Basic Materials Sector Indellidex Index.
The fund will invest at least 80% of assets in common stocks of basic materials companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. 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.
The investment seeks to replicate the aggregate price and yield of the Morgan Stanley Capital International US Broad Market Index.
The fund employs a passive management strategy designed to track the performance of the MSCI US Broad Market Index, which consists of all the U.S. common stocks traded regularly on the NYSE, AMEX, or OTC markets. It typically invests substantially all of its assets in the 1,300 largest stocks in its target index, thus covering nearly 95% of the Index's total market capitalization while maintaining a representative sample of the remainder.
ISHARES S&P U.S. PREFERRED STOCK INDEX FUN (PFF)
The investment seeks to track the price and yield performance, before fees and expenses, of the S&P U.S. Preferred Stock Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index measures the performance of a select group of preferred stocks listed on the NYSE, AMEX, or NASDAQ. It includes companies with a market capitalization over $100 million. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of mid-capitalization value stocks
The fund employs a passive management approach designed to track the performance of the MSCI US Mid Cap Value Index, a broadly diversified index of value stocks of medium-size U.S. companies.
ISHARES S&P 1500 INDEX FUN (ISI)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the S&P 1500 Composite Index.
The fund invests at least 90% of assets in the securities of the underlying index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs)(collectively Depositary Receipts) representing securities in the underlying index. It uses a representative sampling strategy to track the Index. The Index is comprised of the S&P 500, MidCap 400, and SmallCap 600 Indices, which together represent approximately 90% of the total U.S. equity market.
The investment seeks to track the performance of a benchmark index that measures the investment return of small-capitalization value stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Small Cap Value Index, a broadly diversified index of value stocks of smaller U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
SPDR SP EMERGING EUROPE (GUR)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the European emerging-markets.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies domiciled in European Emerging-Markets. It consists of companies from Czech Republic, Hungary, Poland, Russia and Turkey. The fund is nondiversified.
ISHARES DOW JONES U.S. MEDICAL DEVICES INDEX FUN (IHI)
The investment 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.
The index measures the performance of the medical equipment sector of the U.S. equity market. It includes medical equipment companies such as manufacturers and distributors of medical devices such as magnetic resonance imaging (MRI) scanners, prosthetics, pacemakers, X-ray machines, and other non-disposable medical devices. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
ISHARES RUSSELL MIDCAP INDEX FUN (IWR)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell Midcap Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell Midcap Index, which measures the performance of the mid-capitalization sector of the US equity market. It invests in the 800 smallest capitalization-weighted companies in the Russell 1000 Index.
ISHARES LEHMAN 1-3 YEAR CREDIT BOND FUN (CSJ)
The investment seeks investment results that correspond generally to the price and yield performance, of the Lehman Brothers 1-3 Year U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
WISDOMTREE INTERNATIONAL DIVIDEND TOP 100 FUND (DOO)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Dividend Top 100 index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International Dividend Top 100 index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
ISHARES LEHMAN SHORT TREASURY BOND FUN (SHV)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers Short U.S. Treasury Index.
The fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. government. It may also invest up to 10% of assets in U.S. government bonds not included in the underlying index. The fund also may invest up to 5% of assets in repurchase agreements collateralized by U.S. government obligations and in cash and cash equivalents. It's nondiversified.
DYNAMIC MARKE PORTFOLIOT (PWC)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fee and expenses) of an equity index called the Dynamic Market Intellidex Index.
The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Market Intellidex. It will generally invest in all stocks comprising the Market Intellidex in proportion to their weightings in the Market intellidex. The advisor will seek a correlation of .95 or better between the Fund's performance and the performance of the Market Intellidex.
DYNAMIC MEDIA PORTFOLIO (PBS)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Media Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of media companies. It will normally invest at least 90% of its assets in common stocks that comprise the Media Intellidex. The Intellidex is comprised of 30 U.S. media companies.
MARKET 2000+ HOLDRS (MKH)
The investment seeks growth.
The investment is designed to allow you to diversify your investments by holding the securities of companies that are traded on a US stock market, through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities. At the time of the initial offering, the investment consisted of the largest companies whose common stock or American depositary shares were traded on a US stock market, as measured by worldwide market cap on July 7, 2000. Except when a reconstitution event, distribution of securities or other event occurs, the underlying securities will not change.
VALUE LINE TIMELINESS SELECT PORTFOLIO (PIV)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Value Line Timeliness(TM) Select index.
The fund normally invests at least 80% of total assets in common stocks of companies that have the potential to outperform the U.S. equity market. It may invest at least 90% of total assets in common stocks that comprise the Value Line Index.
WISDOMTREE INTERNATIONAL COMMUNICATIONS SECTOR FUND (DGG)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Communications Sector index.
The fund uses a representative sampling strategy. The index measures the performance of communications companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of advertising, internet, media, and telecom companies. The fund is nondiversified.
CLAYMORE/ROBECO DEVELOPED INTL EQ (EEN)
The investment seeks to track the price and yield performance, before fees and expenses, of the Robeco Developed International Equity Index.
The fund invests at least 90% of assets in securities that comprise the index. The index tracks the performance of liquid, tradable international securities in developed markets. It includes approximately 100-200 stocks. The fund is nondiversified.
RYDEX TRUST RYDEX SP EQUAL WEIGHT F (RYF)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Financials Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies engaged in banking, diversified financials, brokerage, asset management insurance and real estate, including REITs. The fund is nondiversified.
DB US DOLLAR BULLISH FUND (UUP)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Long US Dollar Futures index.
The index is comprised solely of long futures contracts. The futures contract is designed to replicate the performance of being long the US Dollar against the Euro, Japanese Yen, British Pound, Canadian Dollar, Swedish Krona and Swiss Franc.
SPDR BARCLAYS CAPITAL 1 TO 3 MONTH T (BIL)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the 1-3 month sector of the United States Treasury Bill market.
The fund uses a passive management strategy designed to track the total return performance of the Lehman Brothers 1-3 Month U.S. Treasury Bill index. The 1-3 Month U.S. Treasury Bill index measures the performance of public obligations of the U.S. Treasury that have a remaining maturity of greater than or equal to 1 month and less than 3 months. It is nondiversified.
CLAYMORE/OCEAN TOMO GROWTH INDEX (OTR)
The investment seeks to track the price and yield performance, before fees and expenses, of the Ocean Tomo 300 Patent Growth Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of 60 stocks selected, based on investment and other criteria, from a universe of U.S. listed companies. The fund is nondiversified.
FIRST TRUST FINANCIALS ALPHADEX FD (FXO)
The investment seeks to replicate, net of expenses, the StrataQuant Financials index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
FIRST TRUST SMALL CAP CR ALPHADEXFD (FYX)
The investment seeks to replicate, net of expenses, the Defined Small Cap Core index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P SmallCap 600 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
ISHARES FTSE NAREIT INDUSTRIAL/OFFICE INDEX FUN (FIO)
The investment seeks to replicate, net of expense, the FTSE NAREIT Industrial/Office Index.
The fund will concentrate investments in a particular sector, industry or group of industries to approximately the same extent as the index. It will concentrate investments within the industrial and office real estate industry. The fund is nondiversified.
ISHARES FTSE NAREIT RETAIL INDEX FUN (RTL)
The investment seeks to replicate, net of expenses, the FTSE NAREIT Retail Index .
The fund will concentrate its investments in a particular sector, industry or group of industries to approximately the same extent the underlying index is. It will be concentrated in the retail property industry. The fund is nondiversified.
BB CBOE SP500 IPATH (BWV)
The investment seeks to replicate, net of expenses, the CBOE S&P 500 BuyWrite Index.
The index is designed to measure the total rate of return of a hypothetical “buy-writeâ€, or “covered callâ€, strategy on the S&P 500 Index. This strategy consists of a hypothetical portfolio consisting of a “long†position indexed to the S&P 500 Index and the sale of a succession of one-month, at- or slightly out-of-the-money
S&P 500 Index call options that are listed on the Chicago Board Options Exchange.
CLAYMORE/ZACKS DIVIDEND ROTATION (IRO)
The investment seeks to replicate, net of expenses, the Rogers International Commodity Index – Total Return index.
The index represents the value of a basket of 35 commodity futures contracts.
The investment seeks to diversify your investment in the biotechnology industry through a single, exchangelisted instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds securities traded on U.S. stock markets that, when initially selected, were issued by companies involved in the biotechnology industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 18 companies included in the Biotech HOLDRS.
WISDOMTREE JAPAN HIGH-YIELDING EQUITY FUND (DNL)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Japan High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Japan High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a Replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
MARKET VECTORS STEEL (SLX)
The investment seeks to track the price and yield performance, before fees and expenses, of the AMEX Steel Index.
The fund will invest at least 80% of assets in common stocks and ADRs of companies involved in the steel industry. The index consists of approximately 39 companies. The fund is nondiversified.
ISHARES S&P MIDCAP 400 VALUE INDEX FUN (IJJ)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P MidCap 400/BARRA Value Index.
The fund invests at least 90% of assets in the mid-capitalization value sector of the U.S. equity market. It typically holds companies with the lowest price-to-book ratios within the S&P 400 Index, which represent about 50% of the Index’s market capitalization. The fund may hold up to10% of non-S&P 400 assets.
SPDR TRUST SERIES I (SPY)
The investment seeks to correspond generally to the performance, before fees and expenses, of the S&P 500 Index.
SPDR Trust is an exchange-traded fund that holds all of the S&P 500 Index stocks. It is comprised of undivided ownership interests called SPDRs. The fund issues and redeems SPDRs only in multiples of 50,000 SPDRs in exchange for S&P 500 Index stocks and cash.
RYDEX SP EQUAL WEIGHT (RSP)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P Equal Weight Index.
The fund will typically invest at least 90% of its assets in the securities of the S&P Equal Weight Index. It may also invest in options, futures contracts, options on futures contracts, and swaps related to its underlying index, as well as cash and cash equivalents.
WISDOMTREE MIDCAP EARNINGS FUND (EZM)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree MidCap Earnings index.
The fund invests at least 95% of assets in securities that comprise the index. The 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. 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. The fund is nondiversified.
ISHARES MORNINGSTAR MID CORE INDEX FUN (JKG)
The investment seeks investment results that track the Morningstar Mid Core Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the mid-capitalization sector, defined as those companies that form the 20% of the market capitalization between the 70th and 90th percentile of the US equity market, that Morningstar determines to have relatively low prices per share given anticipated earnings, book value, cash flow, sales and dividends.
ISHARES MSCI FRANCE INDEX FUN (EWQ)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the French market, as measured by the MSCI France Index.
The fund normally invests in stocks that are primarily traded on the Paris Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ISHARES DOW JONES U.S. INDEX FUN (IYY)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Total Market Index. The Index is comprised of all of the companies in the Dow Jones Large-Cap Index, Dow Jones Mid-Cap Index and Dow Jones Small-Cap Index. The Index represents approximately 95% of the market capitalization of all listed U.S. equity securities.
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to increase on a daily basis by 200% of the value of any increase in the underlying index. It is nondiversified.
ISHARES MSCI SOUTH AFRICA INDEX FUN (EZA)
The investment seeks investment results that correspond generally to the price and yield performance of the MSCI South Africa Index.
The major industries represented in the index include materials, insurance, and banks. The fund may invest up to 10% of assets in other iShares funds. It may also invest in futures contracts, options on futures, contracts, options, swaps, cash, and cash equivalents. This fund is nondiversified.
SPDR DJ WILSHIRE SMALL CAP (DSC)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Small Cap index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap index. It is nondiversified.
DYNAMIC MID CAP PORTFOLIO (PJG)
The investment seeks to track the price and yield performance, before fees and expenses, of the Dynamic Mid Cap Intellidex Index.
The fund will invest at least 80% of assets in the common stocks of mid capitalization companies. It will invest at least 90% of assets in the common stocks that comprise the index. The index consists of approximately 150 companies.
SPDR DJ WILSHIRE TOTAL MARKET (TMW)
StreetTRACKS DJ Wilshire Total Market ETF seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire 5000 Composite Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Composite Index. The Fund utilizes "sampling" methodology in seeking its objective. The fund is nondiversified.
MARKET VECTORS-INTER MUNI INDEX (ITM)
The investment seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the Lehman Brothers AMT-Free Intermediate Continuous Municipal index.
The fund invests at least 80% of total assets in fixed-income securities that comprise the index. It has adopted a fundamental investment policy to invest at least 80% of assets in investments suggested by its name. The Fund expects to use a sampling approach in seeking to achieve its objective. It is nondiversified.
ISHARES LEHMAN AGGREGATE BOND FUN (AGG)
The investment seeks investment results that correspond to the price and yield performance, before fees and expenses, of the Lehman Brothers Bond Index.
The fund will invest approximately 90% of assets in the bonds represented in the underlying index and in securities that provide substantially similar exposure to securities in the underlying index. It may invest the remainder of assets in bonds not included in the underlying index, cash, liquid short-term instruments, shares of money market funds, and securities not included in the index.
FIRST TRUST HEALTH CARE ALPHADEX FD (FXH)
The investment seeks to replicate, net of expenses, the StrataQuant Healthcare index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
ULTRASHORT RUSSELL1000 GROWTH (SFK)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell 1000 growth index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
DYNAMIC PHARMACEUTICALS PORTFOLIO (PJP)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Pharmaceuticals Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of pharmaceutical companies. It will normally invest at least 90% of its assets in common stocks that comprise the Pharmaceuticals Intellidex. The Intellidex is comprised of 30 U.S. pharmaceuticals companies.
ISHARES DOW JONES TRANSPORTATION AVERAGE INDEX FUN (IYT)
The investment seeks investment results that correspond to the price and yield performance, before fees and expenses, of The Dow Jones Transportation Index.
The fund will invest at least 90% of its assets in the securities of its underlying index or in American Depository Receipts based on securities in the underlying index. It may also invest up to 10% of its assets in securities not included in its underlying index. The fund may also invest in futures, options on futures, options, swaps, cash and cash equivalents, and money market funds.
DYNAMIC LEISURE & ENTERTAINMENT PORTFOLIO (PEJ)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Leisure and Entertainment Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of leisure companies and entertainment companies. It will normally invest at least 90% of its assets in common stocks that comprise the Leisure and Entertainment Intellidex. The Intellidex is comprised of 30 U.S. leisure and entertainment companies.
The investment seeks to track the performance of a benchmark index that measures the investment return of mid-capitalization stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Mid Cap 450 Index, a broadly diversified index of the stocks of medium-size U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
DYNAMIC DEVELOPED INTERNATIONAL OPPORTUNITIES PORTFOLIO (PFA)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the QSG Developed International Opportunities Index.
The Fund normally invests at least 90% of total assets in stocks that comprise the QSG Developed International Opportunities Index and
ADRs based on the stocks in the QSG Developed International Opportunities Index. The Fund will normally invest at least 80% of its total assets in securities of non-U.S. companies. It is nondiversified.
SPDR DJ WILSHIRE LARGE CAP (ELR)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Large Cap index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Large Cap index. It utilizes "sampling" methodology in seeking its objective. The fund is nondiversified.
FIRST TRUST DJ INTERNET INDEX FUND (FDN)
The investment seeks to track the price and yield performance, before fees and expenses, of the Dow Jones Internet Composite Index.
The fund will normally invest at least 90% of assets in stocks that comprise the index. The index is designed to include only companies whose primary focus is Internet-related. To be eligible for inclusion in the index a company must generate at least 50% of its revenues from Internet commerce or services and must be currently included in the Dow Jones U.S. Index. The fund is nondiversified.
ISHARES S&P GLOBAL ENERGY SECTOR INDEX FUN (IXC)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global Energy Sector Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund’s component companies include oil equipment and services, oil exploration and production, and oil refineries. The fund is nondiversified.
ISHARES DOW JONES U.S. ENERGY SECTOR INDEX FUN (IYE)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Energy Sector Index. Companies include oil equipment and services, oil-major, oil- secondary and pipelines.
RYDEX RUSSELL TOP 50 (XLG)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Russell Top 50 Index.
The Index consists of the common stocks of the 50 largest U.S. companies based on total market capitalization as represented in
the Russell 3000 Index. The Fund will use a “replication†strategy to try to track the Index. “Replication†refers to investing in substantially all of the securities in the underlying index in approximately the same proportions as in the underlying index.
The investment seeks to replicate the total return performance, before expenses, of the S&P Retail Select Industry Index.
The index represents the retail sub-industry of the S&P Total Market Index. The average market capitalization of the index is $9.7 billion. It is an equal weighted market cap index. The fund is nondiversified.
SPDR BARCLAYS CAPITAL AGGREGATE BO (LAG)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the U.S. dollar denominated investment grade bond market.
The fund uses a passive management strategy designed to track the total return performance of the Lehman Brothers U.S. Aggregate index. The U.S. Aggregate index represents the securities of the U.S. dollar denominated investment grade bond market. It is nondiversified.
MIDCAP SPDR TRUST SERIES I (MDY)
MidCap SPDR Trust seeks to provide investment results that generally correspond to the performance of the S&P MidCap 400 Index.
The fund holds all of the S&P stocks in the MidCap 400 Index. The fund is a unit investment trust that consists of individual ownership interest units called SPDRs in the MidCap SPDR trust. The fund issues and redeems MidCap SPDRs only in multiples of 25,000 in exchange for S&P MidCap 400 Index stocks and cash.
MERRILL LYNCH RETAIL HOLDRS (RTH)
The investment seeks to diversify your investments in the retailing industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds securities issued by specified companies that, when
initially selected, were in the retailing industry. Except when a
reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change.
There are currently 20 companies included in the Retail HOLDRS.
AB SVENSK ROGERS ELE (RJN)
The investment seeks to replicate, net of expenses, the Rogers International Commodity Index – Energy Total Return index.
The index represents the value of a basket of 6 energy commodity futures contracts.
The investment seeks to track the performance of a benchmark index that measures the investment return of materials stocks.
The Fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Materials Index. This index consists of all capitalization of stocks within the materials sector. This sector is made up of companies in a wide range of commodity-related manufacturing industries. Included
within this sector are companies that manufacture chemicals, construction materials, glass, paper, forest products, metals, and minerals.
ULTRASHORT RUSSELL MIDCAP GROWTH (SDK)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Russell Midcap growth index.
ISHARES LEHMAN 1-3 YEAR TREASURY BOND FUN (SHY)
The investment seeks results that correspond generally to the price and yield performance of the short-term sector of the United States Treasury market.
The fund generally invests at least 90% of assets in the bonds of the underlying index and at least 95% of assets in U.S. Government bonds. Each Treasury Fund may also invest up to 10% of assets in U.S. Government bonds not included in the underlying index.
ISHARES RUSSELL 1000 GROWTH INDEX FUN (IWF)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 1000 Growth Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a replication strategy in order to track the Russell 1000 Growth Index, which measures the performance of the large-capitalization sector of the US equity market. It invests in those Russell 1000 Index companies with higher price-to-book ratios and higher forecasted growth.The fund is nondiversified.
SPDR KBW REGIONAL BANKING (KRE)
The investment seeks to replicate the total return performance, before expenses, of the KBW Regional Banking index.
The index is a float adjusted modified-market capitalization weighted index of geographically diverse companies representing mortgage banks, loan processors, marketing and service institutions listed on U.S. stock markets. The average market capitalization of the index is $138 billion. It is nondiversified.
ISHARES S&P 500 GROWTH INDEX FUN (IVW)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P 500/BARRA Growth Index.
The fund invests at least 90% of assets in S&P 500 securities that have the highest price-to-book ratios. It typically represents approximately 50% of the S&P 500’s market capitalization. The fund may hold up to10% of non-S&P assets, including futures contracts, options, cash and cash equivalents. The fund is nondiversified.
ISHARES S&P SMALLCAP 600 INDEX FUN (IJR)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P SmallCap 600 Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of the S&P 600 SmallCap Index. The fund only holds securities that have been traded for at least six months and that have a price greater than $1 on three or more business days over a 12-month period.
ISHARES S&P ASIA 50 INDEX FUN (AIA)
The investment seeks to replicate, net of expenses, the S&P Asia 50 Index.
The fund will invest at least 90% of assets in securities that comprise the index, including ADRs, GDRs, or EDRs. The index is a free float-adjusted market capitalization index that is designed to measure the performance of the 50 leading companies from four Asian countries: Hong Kong, South Korea, Singapore and Taiwan. The fund is nondiversified.
ISHARES DOW JONES U.S. TELECOMMUNICATIONS SECTOR INDEX FUN (IYZ)
The investment seeks investment results that correspond generally to the price and yield of its Underlying index.
The fund will invest at least 90% of its assets in the securities of its Underlying index, or in ADRs based on securities of the Underlying index. The fund may invest the remainder of its assets in securities not included in its Underlying index, but which the manager believes will help the fund track its Underlying index. The fund may also invest its other assets in futures contracts, options on futures contracts, options, and swaps related to its Underlying index, as well as cash and cash equivalents.
FIRST TRUST UTILITIES ALPHADEX FND (FXU)
The investment seeks to replicate, net of expenses, the StrataQuant Utilities index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
DYNAMIC MAGNIQUANT PORTFOLIO (PIQ)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Top 200 Dynamic Intellidex Index.
The fund will invest at least 90% of assets in common stocks that comprise the index. The index is comprised of 200 U.S. stocks selected principally on the basis of their capital appreciation potential.
ISHARES MSCI AUSTRIA INVESTABLE MARKET INDEX FUN (EWO)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Austrian market, as measured by the MSCI Austrian Index.
The fund typically invests in stocks that are traded primarily on the Vienna Stock Exchange. This fund is nondiversified.
ISHARES RUSSELL MIDCAP GROWTH INDEX FUN (IWP)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell Midcap Growth Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell Midcap Growth Index, which measures the performance of the mid-capitalization sector of the US equity market. It invests in those Russell Midcap Index companies with higher price-to-book ratios and higher forecasted growth.
ISHARES S&P GLOBAL 100 INDEX FUN (IOO)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global 100 Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of the S&P Global 100 Index, which measures the performance of major transnational companies. The fund holds 100 common stocks screened for sector representation, liquidity and size. The fund is nondiversified.
WISDOMTREE TOTAL EARNINGS FUND (EXT)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Earnings index.
The fund invests at least 95% of assets in securities that comprise the index. The 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. The fund is nondiversified.
SPDR DJ WILSHIRE MID CAP (EMM)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Mid Cap index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Mid Cap index. It is nondiversified.
FIRST TRUST SP REIT INDEX FUND (FRI)
The investment seeks to replicate, net of expenses, of the S&P REIT Composite Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index is consists of 100 companies and covers approximately 89% of the U.S. REIT market capitalization. The fund is nondiversified.
ULTRASHORT REAL ESTATE (SRS)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Real Estate index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
VALUE LINE INDUSTRY ROTATION PORTFOLIO (PYH)
The investment seeks to track the price and yield performance, before fees and expenses, of the Value Line Industry Rotation Index.
The index is comprised of 75 chosen based on their potential relative market performance in the year ahead. It index is rebalanced quarterly. The fund is nondiversified.
FIRST TRUST LARGE CAP GO ALPHA FND (FTC)
The investment seeks to replicate, net of expenses, the Defined Large Cap Growth Opportunities index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P 500/Citigroup Growth index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
WISDOMTREE EARNINGS TOP 100 FUND (EEZ)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Earnings Top 100 index.
The fund invests at least 95% of assets in securities that comprise the index. The index is a fundamentally weighted index that measures the performance of 100 large-cap companies with relatively high earnings yields. Approximately 95% of the index consisted of companies with market capitalizations over $10 billion. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of large-capitalization stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Prime Market 750 Index, a broadly diversified index of the stocks of predominantly large U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
HIGH YIELD EQUITY DIVIDEND ACHIEVERS PORTFOLIO (PEY)
The investment seeks to deliver high current income and capital appreciation. It is comprised of the fifty highest yielding companies with at least ten years of consecutive dividend increases. The yield-weighted portfolio is rebalanced quarterly, and reconstituted annually.
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI US Large-Cap 300 index.
The fund normally invests at least 80% of assets in the stocks that make up the index. It attempts to replicate the index by investing all, or substantially all, of assets in the stocks that make up the index, holding each stock in approximately the same proportion as the weighting in the index. The fund employs a passive management investment approach designed to track the performance of the index.
ISHARES KLD SELECT SOCIAL INDEX FUN (KLD)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the KLD Select Social Index.
The index is designed to maximize exposure to large capitalization companies that KLD determines have positive social and environmental characteristics, while maintaining risk and return characteristics similar to the Russell 1000 Index. The index consists of approximately 250 to 350 companies.
ISHARES S&P MIDCAP 400 INDEX FUN (IJH)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P MidCap 400 Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of the S&P 400 MidCap Index. The fund may hold up to10% of non-S&P 400 assets, including futures contracts, options, cash and cash equivalents.
WISDOMTREE SMALLCAP DIVIDEND FUND (DES)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. A portion of the Index is comprised of stocks issued by REITs. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the Index. It is nondiversified.
SPDR BARCLAYS CAPITAL ST MUNI BD (SHM)
No description available.
ISHARES MORNINGSTAR LARGE CORE INDEX FUN (JKD)
The investment seeks investment results that track the Morningstar Large Core Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the large-capitalization sector, defined as those companies that form the largest 70% of the market capitalization of the US equity market that Morningstar determines to have relatively low prices per share given anticipated earnings, book value, cash flow, sales and dividends.
RYDEX INVERSE 2X SP 500 (RSW)
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to increase during times when the underlying index is decreasing. It is nondiversified.
ULTRASHORT CONSUMER SERVICES (SCC)
Security Capital Corporation, through its subsidiaries, provides employer cost containment and health services, as well as educational services in the United States. The company operates through two subsidiaries, WC Holdings, Inc. and Primrose Holdings, Inc. WC is an 85%-owned subsidiary that provides cost containment services relative to direct and indirect costs of corporations and their employees primarily relating to industrial health and safety, industrial medical care, and workers' compensation insurance. Its services include third-party administrative services, self-insured plan administrator services, consulting services, group rating services, and managed care administration services. It operates primarily in California, Ohio, New York, Virginia, Maryland, Texas, Michigan, Florida, Georgia, Missouri, Washington, and Minnesota. Primrose is a 98.5%-owned subsidiary, which franchises educational childcare centers, with related activities in real estate consulting and site selection services. Primrose schools are located in the southeast, southwest and midwest. Security Capital Corporation is headquartered in Greenwich, Connecticut.
MERRILL LYNCH TELECOM HOLDRS (TTH)
The investment seeks growth.
Telecom HOLDRS are Depositary Receipts issued by the Telecom HOLDRS Trust which represent an undivided beneficial ownership in the common stock of a group of companies that are involved in various segments of the Telecommunications Industry.
ISHARES MSCI SPAIN INDEX FUN (EWP)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Spanish markets, as measured by the MSCI Spain Index.
The fund normally invests in stocks that are primarily traded on the Madrid Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ISHARES S&P GLOBAL INDUSTRIALS SECTOR INDEX FUN (EXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the S&P Global Industrials Sector Index.
The fund uses a representative sampling strategy in seeking to track the index. The index is comprised of approximately 171 companies. These companies include manufacturers and distributors of capital goods, providers of commercial services and supplies, and transportation service providers. The fund is nondiversified.
ISHARES NYSE COMPOSITE INDEX FUN (NYC)
The investment seeks investment result that correspond generally to the price and yield performance, before fees and expenses, of the NYSE Composite Index. The fund uses a representative sampling strategy to try to track the Index.
S&P 500 BUYWRITE PORTFOLIO (PBP)
No description available.
FIRST TRUST DJ STOX SEL DIV 30 IDX (FDD)
The investment seeks to replicate, net of expenses, the Dow Jones STOXX Select Dividend 30 Index.
The fund will normally invest at least 90% of its total assets in common stocks that comprise the index or ADRs, GDRs and EDRs. It may invest the remainder of assets in securities not included in the Index, but which First Trust believes will help the Fund track its index. The index is a dividend weighted index of 30 securities which includes high-dividend yielding companies across 18 European countries. The fund is nondiversified.
ISHARES MSCI EAFE VALUE INDEX FUN (EFV)
The investment seeks investment results that correspond generally, before fees and expenses, to the price and yield performance of the MSCI EAFE Value index.
The fund invests at least 90% of assets in the securities of its underlying index or in ADRs, GDRs or EDRs representing securities in the underlying index. It may invest up to 10% of assets in securities not included in the index but which the fund's manager believes may help the fund track the index. The fund may also invest other assets in futures, options and swaps related to the index, as well as cash and cash equivalents. It is nondiversified.
SPDR DJ WILSHIRE INTNL REAL ESTATE (RWX)
The investment seeks to replicate the price and yield performance of Dow Jones Wilshire Ex-US Real Estate Securities index.
The fund concentrates its investments in the real estate sector. It is nondiversified.
ISHARES RUSSELL 3000 GROWTH INDEX FUN (IWZ)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 3000 Growth Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a replication strategy in order to track the Russell 3000 Growth Index, which measures the performance of the growth sector of the US equity broad market. It invests in companies with higher price-to-book ratios and higher forecasted growth.
WISDOMTREE INTERNATIONAL HEALTH CARE SECTOR FUND (DBR)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Health Care Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of healthcare companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of healthcare products, healthcare services, pharmaceuticals and biotechnology companies. The fund is nondiversified.
DYNAMIC MID CAP GROWTH PORTFOLIO (PWJ)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Mid Cap Growth Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of mid cap companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Mid Cap Growth Intellidex. The Intellidex is comprised of 75 U.S. mid cap growth stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
RYDEX SP EQUAL WEIGHT HEALTH CARE (RYH)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Health Care Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies engaged in health care equipment and supplies, health care providers and services, and biotechnology and pharmaceuticals. The fund is nondiversified.
BLDRS DEVELOPED MARKETS 100 ADR INDEX FUND (ADRD)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Developed Markets 100 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
FTSE RAFI EMERGING MARKETS PORTFOLIO (PXH)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the index called the FTSE RAFI Emerging Index.
The Fund normally invests at least 90% of total assets in stocks that comprise the FTSE RAFI Emerging Index and ADRs based on the stocks in the FTSE RAFI Emerging Index. It normally invests at least 80% of total assets in securities of companies that are classified as emerging market within FTSE's country classification definition. It is nondiversified.
DWA EMERGING MARKETS TECHNICAL LEADERS PORTFOLIO (PIE)
The investment seeks investment results that correspond generally to the price and yield performance of the index called the Dorsey Wright Emerging Markets Technical Leaders Index.
The fund normally invests at least 90% of total assets in the stocks that comprise the underlying index and ADRs and GDRs based on the stocks in the underlying index. It normally invests at least 80% of total assets in securities of emerging economies within Dorsey Wright & Associates' classification definition, excluding companies listed on a U.S. stock exchange. The fund is nondiversified.
FIRST TRUST MULT CAP GRWTH ALP FND (FAD)
The investment seeks to replicate, net of expenses, the Defined Multi Cap Growth index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P Composite 1500/Citigroup Value index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
CLAYMORE/ZACKS MULTI-ASSET INC IDX (CVY)
The investment seeks results that correspond to the performance, before fees and expenses, of the Zacks Yield Hog index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index is comprised of approximately 125 to 150 securities selected from a universe of domestic and international companies. It includes all U.S. stocks and ADRs that pay dividends as well as REITs, master limited partnerships, closed-end funds and traditional preferred stocks. It is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of large-capitalization growth stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Prime Market Growth Index, a broadly diversified index of growth stocks of large U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
SPDR BARCLAYS CAPITAL NEW YORK MUN (INY)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks New York municipal bond market and provides income that is exempt from Federal and New York state income taxes.
The fund uses a passive management strategy designed to track the price and yield performance of the Lehman Managed Money Municipal New York index. It is nondiversified.
ULTRASHORT RUSSELL MIDCAP VALUE (SJL)
The investment seeks to track the price and yield performance, before fees and expenses, which correspond to twice inverse of the daily performance of the Russell MidCap Value Index.
The fund will invest at least 80% of assets in securities that, in combination, have economic characteristics twice the daily return of the index. It will employ leveraged investment techniques to achieve the objective. The fund is nondiversified.
DYNAMIC OIL & GAS SERVICES PORTFOLIO (PXJ)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Dynamic Oil Services Intellidex(SM) index.
The fund normally invests at least 80% of total assets in common stocks of companies that assist in the production, processing and distribution of oil and gas. In pursuit of its objective, it may invest at least 90% of its total assets in common stocks that comprise the Oil Services Intellidex. It is nondiversified.
ISHARES RUSSELL 2000 VALUE INDEX FUN (IWN)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 2000 Value Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell 2000 Value Index, which measures the performance of the small-capitalization sector of the US equity broad market. It invests in those Russell 2000 Index companies with lower price-to-book ratios and lower forecasted growth.
DWA TECHNICAL LEADERS PORTFOLIO (PDP)
The investment seeks to track the price and yield performance, before fees and expenses, of the Dorsey Wright Technical Leaders Index.
The index is comprised of stocks of approximately 100 U.S. companies that are selected pursuant to a proprietary selection methodology of Dorsey Wright & Associates. It is designed to identify companies that demonstrate powerful relative strength characteristics. The index includes approximately 100 companies. The fund is nondiversified.
ISHARES MSCI SOUTH KOREA INDEX FUN (EWY)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the South Korean markets, as measured by the MSCI South Korea Index.
The fund normally invests in stocks that are primarily traded on the South Korean Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
DYNAMIC TELECOMMUNICATIONS & WIRELESS PORTFOLIO (PTE)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Dynamic Telecommunications & Wireless Intellidex(SM) index
The fund normally invests at least 80% of total assets in common stocks of telecommunications and wireless companies. It may invest at least 90% of total assets in common stocks that comprise the Telecommunications & Wireless Intellidex. It is nondiversified.
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND FUN (HYG)
The investment seeks to replicate the performance, net of expenses, of the iBoxx $ Liquid High Yield Index.
The fund will invest at least 90% of assets in securities that comprise the index. However, it may invest up to 20% of assets in certain futures, options and swap contracts, cash and cash equivalents, and in bonds not included within the index. The index is a rules-based index consisting of the most liquid and tradable U.S. dollar-denominated, high yield corporate bonds for sale in the U.S. It includes approximately 50 securities. The fund is nondiversified.
CLAYMORE/SABRIENT INSIDER (NFO)
The investment seeks results that correspond to the performance, before fees and expenses, of the Sabrient Insider Sentiment Index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index is comprised of a group of stocks that are reflecting favorable corporate insider buying trends and Wall Street analyst earnings estimates. It consists of the 100 highest-ranking stocks from a subset of companies covered by more than one analyst. It is nondiversified.
The investment seeks daisy investment results, before fees and expense, that correspond to the inverse (opposite) of the daily performance of the MSCI EAFE index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
RYDEX SP EQUAL WEIGHT CONSUMER DIS (RCD)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Consumer Discretionary Index.
The fund will use a replication strategy to track the index. The index consists of common stocks of the automobile and components, consumer durables, apparel, hotels, restaurant, leisure, media and retailing industries. The fund is nondiversified.
DYNAMIC RETAIL PORTFOLIO (PMR)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Dynamic Retail Intellidex(SM) index
The fund normally invests at least 80% of total assets in common stocks of retail companies. In pursuit of its objective, it may invest at least 90% of total assets in common stocks that comprise the Retail Intellidex. The Retail Intellidex is comprised of stocks of 30 U.S. retailers. It is nondiversified.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Energy Excess Return.
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. The index is intended to reflect the performance of the energy sector. The fund is nondiversified.
MARKET VECTORS AGRIBUSINESS (MOO)
The investment seeks to replicate as closely as possible, before fees and expenses, the price and yield performance of the DAXglobal Agribusiness Index.
The Fund normally invests at least 80% of total assets in equity securities of U.S. and foreign companies primarily engaged in the business of agriculture, which derive at least 50% of their total revenues from agribusiness. Such companies may include small- and medium capitalization companies.
The investment seeks to track the performance of a benchmark index that measures the investment
return of utilities stocks.
The Fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Utilities Index. This index consists of all capitalization companies within the utilities sector. This sector comprises of those companies considered electric, gas, or water utilities, or companies that operate as independent producers and/or distributors of power. The sector includes both nuclear and nonnuclear facilities.
CLAYMORE/ZACKS SECTOR ROTATION (XRO)
No description available.
ISHARES MSCI GERMANY INDEX FUN (EWG)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the German market, as measured by the MSCI Germany Index.
The fund normally invests in stocks that are primarily traded on the Frankfurt Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
The investment seeks results that correspond with the MSCI Europe Index.
The fund seeks to replicate the performance of the index, a market-cap-weighted index of more than 550 stocks in 16 European countries, through portfolio optimization, a statistical sampling technique. It intends to remain fully invested in common stocks.
ISHARES MSCI MALAYSIA INDEX FUN (EWM)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Malaysian market, as measured by the MSCI Malaysia Index.
The fund normally invests in stocks that are primarily traded on the Kuala Lumpur Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
DYNAMIC CONSUMER DISCRETIONARY SECTOR PORTFOLIO (PEZ)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Consumer Discretionary Sector Indellidex index.
The fund will invest at least 80% of assets in common stocks of consumer companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. consumer companies. These companies are principally engaged in the business of providing consumer goods and services that are cyclical in nature, including retail, automotive, leisure and recreation, media and real estate.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell 2000 index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
GLOBAL WATER PORTFOLIO (PIO)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the Palisades Global Water Index.
The fund normally invests at least 90% of total assets in stocks
that comprise the Palisades Global Water Index and ADRs based on the stocks in the Palisades Global Water Index. The Fund will normally invest at least 80% of its total assets in securities of companies that generate at least 50% of their revenue from water or water-related activities. It is nondiversified.
DYNAMIC OTC PORTFOLIO (PWO)
The investment seeks investment results that correspond generally to the price and yield of an equity index called Dynamic Market Intellidex.
The Fund will invest at least 90% of its total assets in common stocks that comprise the OTC Intellidex. It will generally invest in all of the stocks comprising the OTC Intellidex in proportion to their weighting in the OTC Intellidex. The Market Intellidex is comprised of over 100 US stocks selevted each quarter by the American Stock Exchange .
The investment seeks to track the performance of a benchmark index that measures the investment return of small- and mid-capitalization stocks.
The fund employs a passive management strategy designed to track the performance of the Standard & Poors Completion Index, a broadly diversified index of stocks of small and medium-size U.S. companies which trade regularly on the NYSE, AMEX, or OTC markets. It typically invests substantially all of its assets in the 1,200 largest stocks in its target index, thus covering nearly 80% of the Index's total market capitalization while maintaining a representative sample of the remainder.
CLAYMORE/SABRIENT DEFENSIVE EQ IDX (DEF)
The investment seeks to track the price and yield performance, before fees and expenses, of the Sabrient Defensive Equity Index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index consists of approximately 100 companies with potentially superior risk/return profiles during periods of weakness in the markets and/or American economy overall. The fund is nondiversified.
ISHARES FTSE NAREIT RESIDENTIAL INDEX FUN (REZ)
The investment seeks to replicate, net of expense, the FTSE NAREIT Residential Index.
The fund will concentrate investments in a particular sector, industry or group of industries to approximately the same extent as the index. It will concentrate investments within the residential real estate industry. The fund is nondiversified.
SPDR DJ WILSHIRE SMALL CAP VALUE (DSV)
StreetTRACKS DJ Wilshire Small Cap Value ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Small Cap Value Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap Value Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiverisified.
ISHARES MSCI EMU INDEX FUN (EZU)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the European Monetary Union markets, as measured by the MSCI EMU Index.
The fund normally invests in stocks that are primarily traded on the markets in Austria, Belgium, Finland, France, Germany, Greece, Ireland, Italy, the Netherlands, Portugal, and Spain, using a sampling strategy to try to track its index. This fund is nondiversified.
MERRILL LYNCH INTERNET HOLDRS (HHH)
The investment is designed to diversify your investment in the Internet industry through a single, exchange-listed instrument
representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the Internet industry. Except when a reconstitution event, distribution of
Except when a reconstitution event, distribution of securities by an
underlying issuer or other event occurs, the group of companies will not change. There are currently 13 companies included in the Internet HOLDRS.
Van Kampen Municipal Opportunity Trust II operates as a diversified, closed-end management investment company. The trust invests in municipal securities. Its portfolio includes investments in various sectors, such as hospital, public education, higher education, general purpose, and water and sewer. Van Kampen Asset Management serves as the investment advisor of the trust. Van Kampen Municipal Opportunity Trust II was founded in 1993 and is based in New York City.
POWERSHARES QQQ TRUST SERIES 1 (QQQQ)
The investment is a unit investment trust designed to correspond generally to the performance, before fees and expenses, of the Nasdaq-100 Index.
The fund holds all the stocks in the Nasdaq-100 Index, which consists of the largest nonfinancial securities listed on the Nasdaq Stock Market. The fund issues and redeems shares of Nasdaq-100 Index Tracking Stock in multiples of 50,000 in exchange for the stocks in the Nasdaq-100 and cash.
ISHARES MSCI TAIWAN INDEX FUN (EWT)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Taiwanese markets, as measured by the MSCI Taiwan Index.
The fund normally invests in stocks that are primarily traded on the Taiwan Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ISHARES FTSE NAREIT MORTGAGE REITS INDEX FUN (REM)
Remington Oil and Gas Corporation engages in the exploration, development, and production of oil and gas reserves in the offshore Gulf of Mexico and onshore Gulf Coast areas. As of December 31, 2004, the company had proved reserves of 16.899 million barrels of oil and 150.699 billion cubic feet gas. It had 273,284 (gross) acres and 124,872 (net) acres of developed oil and gas property. The company was founded in 1981 as OKC Limited Partnership and changed its name to Box Energy Corporation in 1992. Further, it changed its name to Remington Oil and Gas Corporation in 1997. The company is headquartered in Dallas, Texas.
The investment seeks to provide investment results that correspond generally to the performance, before fees and expenses, of publicly traded equities of companies in the technology economic sector.
The Fund typically invests at least 95% of assets in companies of the technology sector. The fund’s sector includes companies from the following industries: Internet and IT services, software, computers, peripherals, electronics, semiconductor equipment, and a variety of telecommunication products.
DIAMONDS TRUST SERIES 1 (DIA)
The investment seeks to provide investment results that, before expenses, generally correspond to the price and yield performance of the Dow Jones Industrial Average (DJIA). The Trust holds the Portfolio and cash, and is not actively "managed" by traditional methods. To maintain the correspondence between the composition and weightings of stocks held by the Trust and component stocks of the DJIA, the Trustee adjusts the portfolio from time to time to conform to periodic changes in the identity and/or relative weightings of index securities, typically within three business days before or after the day on which such changes are scheduled to take effect.
ISHARES S&P MIDCAP 400 GROWTH INDEX FUN (IJK)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P MidCap 400/BARRA Growth Index.
The fund invests at least 90% of assets in the mid-capitalization growth sector of the U.S. equity market. It typically holds companies with the highest price-to-book ratios within the S&P 400 Index, which represent about 50% of the Index’s market capitalization. The fund may hold up to10% of non-S&P 400 assets.
The investment seeks daily investment results, before fees and expenses, that correspond to twice the daily performance of the NASDAQ 100 Index.
The fund invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the NASDAQ 100 Index. It may employ leveraged investment techniques to achieve the objective. The fund is nondiversified.
WISDOMTREE EUROPE TOTAL DIVIDEND FUND (DEB)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the underlying index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
SPDR SP PHARMACEUTICALS (XPH)
The investment seeks to replicate the total return performance, before expenses, of the S&P Pharmaceuticals Select Industry Index.
The index represents the pharmaceuticals sub-industry portion of the S&P Total Market Index. The average market capitalization of the index is $37.3 billion. It is an equal weighted market cap index. The fund is nondiversified.
ISHARES MORNINGSTAR LARGE GROWTH INDEX FUN (JKE)
The investment seeks investment results that track the Morningstar Large Growth Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the large-capitalization sector, defined as those companies that form the largest 70% of the market capitalization of the US equity market, that Morningstar determines to have growth characteristics based on long-term projected earnings growth, historical earnings growth, sales growth, cash flow growth and book value growth.
HIGH YIELD CORPORATE BOND PORTFOLIO (PHB)
The investment seeks investment results that correspond generally to the price and yield (before the fund's fees and expenses) of an index called Wachovia High Yield Bond index.
The fund invests at least 80% of total assets in high yield corporate bonds payable in U.S. dollars. It invests at least 80% of total assets in the securities that comprise the Wachovia High Yield Bond index. The fund may invest up to 20% of assets in futures, options, swaps contracts and high yield corporate bonds not included in the Wachovia High Yield Bond index. It is nondiversified.
ISHARES S&P NORTH AMERICAN NATURAL RESOURCES SECTOR INDEX FUN (IGE)
The investment seeks investment results that correspond generally to the price and yield performance of the Goldman Sachs Natural Resources Sector Index. The Index has been developed by Goldman Sachs as an equity benchmark for U.S.-traded natural resource-related stocks. The Index includes companies in the following categories: extractive industries, energy companies, owners of timber tracts, forestry services, producers of pulp and paper, and owners of plantations. The fund uses a representative sampling strategy to try to track the Index. This fund is nondiversified.
FIDELITY NASDAQ COMPOSITE INDEX TRACKING STOCK (ONEQ)
The investment seeks to provide investment returns that closely corresponds to the price and yield performance of the Nasdaq Composite Index.
This fund normally invests at least 80% of assets in common stocks included in the Index. Fideltiy Management & Research Company's principal investment strategies include using 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 S&P EUROPE 350 INDEX FUN (IEV)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the S&P Europe 350 Index.
The fund invests at least 90% of assets in the securities of the underlying index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs)(collectively Depositary Receipts) representing securities in the underlying index. The index mesures the performance of the stocks of leading companies in continental Europe. The market capitalization of consituent companies is adjusted to reflect only those stocks that are available to foreign investors. The fund uses representative sampling strategy to track the index.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the S&P MidCap400 index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, that correspond to twice the daily performance of the Dow Jones Industrial Average.
The fund normally invests in equity securities and/or financial instrument (including derivatives) that have similar daily price return characteristics as twice the daily return of the Dow Jones Industrial Average. It may invest 80% of assets in equity securities contained in the index and/or financial instrument.
ISHARES DOW JONES U.S. REAL ESTATE INDEX FUN (IYR)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Real Estate Index. The main categories they invest in are appartment and investing companies.
ISHARES DOW JONES U.S. OIL EQUIPMENT & SERVICES INDEX FUN (IEZ)
The investment seeks 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.
The index measures the performance of the oil equipment and services sector of the U.S. equity market. It includes companies that are suppliers of equipment or services to oil fields and offshore platforms, such as drilling, exploration, engineering, logistics, seismic information services and platform construction. The fund uses a Representative Sampling strategy to try to track the index. It is nondiversified.
ISHARES DOW JONES U.S. BASIC MATERIALS SECTOR INDEX FUN (IYM)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Basic Materials Sector Index. The Fund uses a Representative Sampling strategy to try to track the Index. Component companies are involved in the production of aluminum, chemicals, commodities, chemicals specialty products, forest products, non-ferrous mining products, paper products, precious metals and steel.
INTERNET ARCHITECTURE HOLDRS (IAH)
The investment seeks to diversify your investment in the Internet
architecture business through a single, exchange-listed
instrument representing your undivided beneficial ownership of
the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the Internet architecture business. Except when a reconstitution event, a distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 20 companies included in the Internet Architecture HOLDRS.
DYNAMIC LARGE CAP GROWTH PORTFOLIO (PWB)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Large Cap Growth Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of large companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Large Cap Growth Intellidex. The Intellidex is comprised of 50 U.S. large cap growth stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
SPDR FTSE/MACQUARIE GLOBAL INFRA (GII)
The investment seeks to track the price and yield performance, before fees and expenses, of the Macquarie Global Infrastructure 100 Index.
The fund will invest at least 90% of assets in securities, such as ADRs and GDRs, which comprise the index. The index measures the performance of companies within the infrastructure industry, principally those engaged in management, ownership and operation of infrastructure and utility assets. The fund is nondiversified.
ISHARES MSCI KOKUSAI INDEX FUN (TOK)
The investment seeks to correspond generally to the price and yield performance, before fees and expenses, of the MSCI Kokusai index.
The fund invests at least 80% of assets in the securities of its underlying index or in ADRs, GDRs or EDRs or other depositary receipts representing securities in the underlying index. It may invest 20% of assets in securities not included in its underlying index. The fund also may invest other assets in futures contracts, options on futures contracts, options and swaps related to its underlying index as well as cash and cash equivalents. It is nondiversified.
DYNAMIC LARGE CAP PORTFOLIO (PJF)
The investment seeks to track the price and yield performance, before fees and expenses, of the Dynamic Large Cap Intellidex Index.
The fund will invest at least 80% of assets in the common stocks of large capitalization companies. It will invest at least 90% of assets in the common stocks that comprise the index. The index consists of approximately 100 companies.
The investment seeks to track the performance of a benchmark index that measures the investment return of small capitalization growth stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Small Cap Growth Index, a broadly diversified index of growth stocks of smaller U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
WISDOMTREE LOW P/E FUND (EZY)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Low P/E index.
The fund invests at least 95% of assets in securities that comprise the index. The index is a fundamentally weighted index that measures the performance of companies with the lowest price to earnings ratios within the WisdomTree Earnings Index. The fund is nondiversified.
SPDR DJ WILSHIRE SMALL CAP GROWTH (DSG)
StreetTRACKS DJ Wilshire Small Cap Growth ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Small Cap Growth Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap Growth Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
ISHARES RUSSELL 2000 GROWTH INDEX FUN (IWO)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 2000 Growth Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a replication strategy in order to track the Russell 2000 Growth Index, which measures the performance of the small-capitalization sector of the US equity broad market. It invests in those Russell 2000 Index companies with higher price-to-book ratios and higher forecasted growth.
SPDR BARCLAYS CAPITAL HIGH YIELD B (JNK)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Lehman Brothers High Yield Very Liquid index.
The fund normally invests at least 80% of total assets in securities that comprise its benchmark index. It may also invest its other assets in securities not included in its benchmark index. The fund is nondiversified.
ISHARES RUSSELL 2000 INDEX FUN (IWM)
The investment seeks investment results that correspond generally to the price and yield performance of the Russell 2000 Index.
The fund invests at least 90% of assets in the securities of the underlying index.The fund uses a representative sampling strategy in order to track the Russell 2000 Index, which measures the performance of the small-capitalization sector of the US equity broad market. It invests in approximately 2000 of the smallest capitalization-weighted companies in the Russell 3000 Index.
ISHARES S&P GLOBAL FINANCIALS SECTOR INDEX FUN (IXG)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global Financials Sector Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund’s component companies include major banks, financial companies, insurance companies, real estate companies, and securities brokers. The fund is nondiversified.
CLAYMORE/CLEAR SPIN-OFF (CSD)
The investment seeks to track the price and yield performance, before fees and expenses, of the Clear Spin-off Index.
The index is comprised of approximately 40 U.S. stocks and ADRs. The universe includes companies that have been spun-off within that past two years. There are no limits on market capitalization. The index generally includes companies with less than a $10 billion market capitalization. The fund is nondiversified.
ISHARES MORNINGSTAR MID GROWTH INDEX FUN (JKH)
The investment seeks investment results that track the Morningstar Mid Growth Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the mid-capitalization sector, defined as those companies that form the 20% of the market capitalization between the 70th and 90th percentile of the US equity market, that Morningstar determines to have growth characteristics based on long-term projected earnings growth, historical earnings growth, sales growth, cash flow growth and book value growth.
ISHARES MSCI UNITED KINGDOM INDEX FUN (EWU)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the British markets, as measured by the MSCI United Kingdom Index.
The fund normally invests in stocks that are primarily traded on the London Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ZACKS SMALL CAP PORTFOLIO (PZJ)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Zacks Small Cap index.
The fund normally invests at least 80% of total assets in common stocks of small capitalization companies. In pursuit of its objective, it may invest at least 90% of total assets in common stocks that comprise the Zacks Small Cap index. It is nondiversified.
DB COMMODITY INDEX FUND (DBC)
The investment seeks to reflect the performance of the Deutsche Bank Liquid Commodity index.
The fund will pursue its investment objective by investing in a portfolio of exchange-traded futures on the commodities comprising the index, or the index commodities. The index commodities are light, sweet crude oil, heating oil, aluminum, gold, corn and wheat. The index is composed of notional amounts of each of the index commodities. The notional amounts of each index commodity are broadly in proportion to historical levels of the world’s production and supply.
FIRST TRUST MATERIALS ALPHADEX FND (FXZ)
The investment seeks to replicate, net of expenses, the StrataQuant Materials index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
POWERSHARES FTSE RAFI US 1500 SMALL-MID PORTFOLIO (PRFZ)
The investment seeks investment results that correspond generally to the price and yield of an equity index called the FTSE Research Affiliates Fundamentals US 1500 Small-Mid index.
The fund invests at least 90% of assets in common stocks that compromise the index. The index tracks the performance of the FTSE US 1500 Small-Mid index.
SPDR DJ WILSHIRE MID CAP VALUE (EMV)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Mid Cap Value index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Mid Cap Value index. It is nondiversified.
WILDERHILL PROGRESSIVE ENERGY PORTFOLIO (PUW)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the WilderHill Progressive Energy Index.
The fund invest at least 80% of total assets in common stocks of companies principally engaged in the progressive energy business. It normally invest at least 90% of total assets in common stocks that comprise the Progressive Energy Index. The fund is nondiversified.
WISDOMTREE EARNINGS 500 FUND (EPS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Earnings 500 index.
The fund invests at least 95% of assets in securities that comprise the index. The index is a fundamentally weighted index that measures the performance of earnings-generated companies within the large-capitalization segment of the U.S. Stock Market. It consists of the 500 largest companies ranked by market capitalization in the WisdomTree Earnings Index. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of information technology stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI U.S. Investable Market Information Technology index. This index consists of all capitalizations of sctock in the technology sector. This sector is made up of companies in technology, software, Internet applications systems, databases, consulting, data processing, outsourced services.
The investment seeks to track the performance of the MSCI U.S. Investable Market Energy Index.
The fund employs an indexing investment approach to track the index, an index of stocks of U.S. companies within the energy sector, as classified under the Global Industry Classification Standard. The fund attempts to replicate the index by investing all, or substantially all, of its assets in the stocks that make up the index.
ISHARES S&P SMALLCAP 600 GROWTH INDEX FUN (IJT)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P SmallCap 600/BARRA Growth Index.
The fund invests at least 90% of assets in the small capitalization growth sector of the U.S. equity market. It typically holds securities of the S&P 600 Index with the highest price-to-book ratios. The fund’s holdings typically represent approximately 50% of the S&P 600 Index’s market capitalization.
The investment seeks to replicate the total return performance, before expenses, of the S&P Oil & Gas Equipment & Services Select Industry Index.
The index is derived from the oil and gas equipment and services sub-industry portion of the S&P Total Market Index. The average market capitalization of the index is $9.6 billion. It is an equal weighted market cap index. The fund is nondiversified.
FIRST TRUST VALUE LINE 100 FUND (FVL)
First Trust Value Line(R) 100 Fund operates as a diversified, closed-end management investment company. It primarily invests in a diversified portfolio of the 100 common stocks ranked number 1 in Value Line's Timeliness Ranking System. The fund's investment portfolio comprises investments in healthcare providers and services, household durables, specialty retail, biotechnology, communications equipment, software, healthcare equipment and supplies, IT services, hotels, restaurants and leisure, food and staples retailing, semiconductors and semiconductor equipment, and computers and peripherals, as well as oil, gas, and consumable fuel sectors. It also invests in machinery, commercial services and supplies, road and rail, media, energy equipment and services, electronic equipment and instruments, Internet software and services, capital markets, auto components, diversified consumer services, textiles and apparel, diversified financial services, pharmaceuticals, metals and mining, distributors, personal products, and electrical equipment sectors. First Trust Advisors L.P. serves as the investment advisor of the fund. First Trust Value Line(R) 100 Fund was founded in 2003 and is based in Lisle, Illinois.
The investment seeks to track the performance of the MSCI U.S. Investable Market Telecommunication Services Index.
The fund attempts to replicate the index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
FIRST TRUST LARGE CAP CORE ALP FND (FEX)
The investment seeks to replicate, net of expenses, the Defined Large Cap Core index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P 500 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Health care index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
ISHARES S&P NORTH AMERICAN TECHNOLOGY SECTOR INDEX FUN (IGM)
The investment seeks investment results that correspond generally to the price and yield performance of the Goldman Sachs Technology Sector Index. The Index includes computer-related, electronics, networking, Internet services, and Internet software companies. The fund uses a representative sampling strategy to try to track the Index. This fund is nondiversified.
CLYME/GREAT COS LGE-CAP GWT IDX (XGC)
The investment seeks to track the price and yield performance, before fees and expenses, of the Great Companies Large-Cap Growth Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of approximately 35 to 50 securities. The companies included within the index are selected using a quantitative methodology developed by Great Companies, Inc that is based on earnings growth, market price relative to True Worth and the traits of “great companies†as detailed in the book, Great Companies, Great Returns. The fund is nondiversified.
ISHARES DOW JONES U.S. INDUSTRIAL SECTOR INDEX FUN (IYJ)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones U.S. Industrial Sector Index. Major component companies include aerospace and defense, advanced industrial, equipment manufacturing, and air freight companies,
ULTRASHORT CONSUMER GOODS (SZK)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Consumer Goods index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
DYNAMIC SMALL CAP PORTFOLIO (PJM)
The investment seeks to track the price and yield performance, before fees and expenses, of the Dynamic Small Cap Intellidex Index.
The fund will invest at least 80% of assets in the common stocks of small capitalization companies. It will invest at least 90% of assets in the common stocks that comprise the index. The index consists of approximately 200 companies.
The investment seeks to replicate as closely as possible, before expenses, the performance of an index derived from the biotechnology segment of a U.S. total market composite index.
The fund uses a passive management strategy designed to track the total return performance of the S&P Biotechnology Select Industry index. The Biotech index represents the biotechnology sub-industry portion of the S&P Total Market index. It is nondiversified.
INTERNATIONAL DIVIDEND ACHIEVERS PORTFOLIO (PID)
The investment seeks results that correspond generally to the price and yield (before the fees and expenses) of an equity index called the
International Dividend Achievers index.
The fund normally invests at least 80% of assets in American Depositary Receipts and non-U.S. common or ordinary stocks traded on the NYSE, NASDAQ or AMEX of companies that have increased their aggregate annual regular dividend payments consistently over the course of the last five calendar or fiscal years. It may invest at least 90% of total assets in dividend paying common stocks that comprise the International Dividend Achievers index.
MEGA CAP 300 GROWTH (MGK)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the MSCI US Large-Cap Growth index.
The fund normally invests at least 80% of assets in the stocks that make up the index. It attempts to replicate the index by investing all, or substantially all, of assets in the stocks that make up the index, holding each stock in approximately the same proportion as the weighting in the index. The fund employs a passive management investment approach designed to track the performance of the index, which represents the growth companies of the MSCI US Large-Cap 300 index.
DB PRECIOUS METALS FUND (DBP)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Precious Metals Excess Return.
The index is a rules-based index composed of futures contracts on two of the most important precious metals—gold and silver. The index is intended to reflect the performance of the precious metals sector. The fund is nondiversified.
STREETTRACKS MORGAN STANLEY TECHNOLOGY INDEX FUND (MTK)
StreetTRACKS Morgan Stanley Technology ETF seeks to replicate as closely as possible, before expenses, the performance of the Morgan Stanley Technology Index.
The fund uses a passive management strategy designed to track the total return performance of the Technology Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
RYDEX SP 500 PURE GROWTH (RPG)
The investment seeks to replicate as closely as possible, before
expenses, the performance of the S&P 500/Citigroup Pure Growth index.
The fund uses a passive management strategy to track the performance of the underlying index. The S&P 500/Citigroup Pure Growth index is narrow in focus, containing only those S&P 500 companies with strong growth characteristics as selected by Standard & Poor's. The advisor, expects that, over time, the correlation between the fund's performance and that of the underlying index, before expenses, will be 95% or better.
ULTRASHORT MSCI EAFE (EFU)
The investment seeks daisy investment results, before fees and expense that correspond to twice (200%) the inverse of the daily performance of the MSCI EAFE index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
RYDEX SP EQUAL WEIGHT TECHNOLOGY (RYT)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Technology Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies primarily engaged in internet equipment, computers and peripherals, electronic equipment, office electronics and instruments, semiconductor equipment and products, diversified telecommunication services, and wireless telecommunication services. The fund is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of small capitalization stocks.
The fund employs a passive management investment approach designed to track the performance of the MSCI US Small Cap 1750 Index, a broadly diversified index of the stocks of smaller U.S. companies. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index, holding each stock in approximately the same proportion as its weighting in the index.
ISHARES S&P SMALLCAP 600 VALUE INDEX FUN (IJS)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P SmallCap 600/BARRA Value Index.
The fund invests at least 90% of assets in the small capitalization growth sector of the U.S. equity market. It typically holds securities of the S&P 600 Index with the lowest price-to-book ratios. The fund’s holdings typically represent approximately 50% of the S&P 600 Index’s market capitalization.
WISDOMTREE SMALLCAP EARNINGS FUND (EES)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree SmallCap Earnings index.
The fund invests at least 95% of assets in securities that comprise the index. The 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. 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. The fund is nondiversified.
ISHARES S&P NORTH AMERICAN TECHNOLOGY-SOFTWARE INDEX FUN (IGV)
The investment seeks investment results that correspond generally to the price and yield performance of the Goldman Sachs Technology Industry Software Index Goldman Sachs as an equity benchmark for U.S.-traded software-related stocks. The Index includes companies that are producers of client/server, enterprise software, Internet software, PC and entertainment software. The fund uses a representative sampling strategy to try to track the Index. This fund is nondiversified.
DB G10 CURRENCY HARVEST FUND (DBV)
The investment seeks to track the performance, before fees and expenses, of the Deutsche Bank G10 Currency Future Harvest Index - Excess Return.
The index is comprised of long futures positions on the three G10 currencies associated with the highest interest rates and short futures positions on the three currencies associated with the lowest 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 is nondiversified.
SELECT SECTOR SPDR FUND - INDUSTRIAL (XLI)
The investment seeks to provide investment results that, before expenses, correspond to the price and yield performance of its
benchmark Select Sector Index.
The fund will normally invest at least 95% of its total assets in common stocks that comprise the Industrial Select Sector Index. The index includes companies from the following industries: aerospace, defense, building products, construction, engineering, electrical equipment, conglomerates.
FIRST TRUST CNSMER DISRY ALPHA FND (FXD)
The investment seeks to replicate, net of expenses, the StrataQuant Consumer Discretionary index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
The investment seeks to track the performance of a benchmark index that measures the investment return of industrial stocks.
The fund employs an indexing approach to track the performance of the MSCI U.S. Investable Market Industrials Index. The fund attempts to replicate the target index by investing all, or substantially all, of its assets in the stocks that make up the index.
ISHARES COMEX GOLD TRUST (IAU)
The objective of the trust is for the value of its shares to reflect, at any given time, the price of gold owned by the trust at that time, less the trust's expenses and liabilities.
The trust is not actively managed. It receives gold deposited with it in exchange for the creation of baskets of iShares, sells gold as necessary to cover the trust's liabilities, and delivers gold in exchange for baskets of iShares surrendered to it for redemption. The trust is not an investment company registered under the Investment Company Act of 1940 or a commodity pool for purposes of the Commodity Exchange Act.
ISHARES MSCI BELGIUM INVESTABLE MARKET INDEX FUN (EWK)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Belgian market, as measured by the MSCI Belgium Index.
The fund typically invests in stocks that are traded primarily on the Brussels Stock Exchange. This fund is nondiversified.
SHORT MSCI EMERGING MARKETS (EUM)
The investment seeks daisy investment results, before fees and expense that correspond to the inverse (opposite) of the daily performance of the MSCI Emerging Markets index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
streetTRACKS Gold Trust is an investment trust whose shares strive to reflect the performance of the price of gold bullion, less the Trust’s expenses.
The Trust holds gold, and is expected to issue baskets in exchange for deposits of gold, and to distribute gold in connection with redemptions of baskets. The gold held by the trust will only be sold on an as-needed basis to pay trust expenses, in the event the Trust terminates and liquidates its assets, or as otherwise required by law or regulation. The Trust is not managed like an active investment vehicle, and it's not registered as an investment company under the Investment Company Act of 1940.
LUX NANOTECH PORTFOLIO (PXN)
The investment seeks results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Lux Nanotech index(TM).
The fund normally invests at least 80% of total assets in common stocks of nanotechnology companies. A nanotechnology company is a company that focuses on the development and use of devices that have a size of only a few nanometres. In pursuit of its objective, it may invest at least 90% of total assets in common stocks that comprise the Lux Nanotech index. It is nondiversified.
WISDOMTREE EUROPE HIGH-YIELDING EQUITY FUND (DEW)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. The fund generally uses representative sampling strategy to achieve its investment objective. It is nondiversified.
DYNAMIC NETWORKING PORTFOLIO (PXQ)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Networking Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of networking companies. It will normally invest at least 90% of its assets in common stocks that comprise the Networking Intellidex. The Intellidex is comprised of 30 U.S. networking companies.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Gold Excess Return.
The index is a rules-based index composed of futures contracts on gold and is intended to reflect the performance of gold. The fund is nondiversified.
ULTRASHORT UTILITIES (SDP)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Utilities index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ISHARES MSCI CANADA INDEX FUN (EWC)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Canadian market, as measured by the MSCI Canada Index.
The fund normally invests in stocks that are primarily traded on the Toronto Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
SPDR SP METALS AND MINING (XME)
The investment seeks to replicate the performance, before fees and expenses, of the S&P Metals & Mining Index.
The index represents the metals and mining sub-industry portion of the S&P Total Market Index. The average market capitalization of the index is $4.8 billion. It is an equal weighted market cap index. The fund is nondiversified.
DYNAMIC TECHNOLOGY SECTOR PORTFOLIO (PTF)
Petrofund Energy Trust, an oil and gas royalty trust, engages in the acquisition and management of petroleum and natural gas rights and royalties, and related property rights and interests primarily in western Canada. The company, through its wholly owned subsidiary, Petrofund Corp. (Petrofund), produces light and medium oil, natural gas, and natural gas liquids. Its properties are located in Alberta, British Columbia, Manitoba, and Saskatchewan. As of December 31, 2004, Petrofund had proved plus probable gross reserves of 86 MMbbls of oil, 283.7 bcf of natural gas, and 8.3 MMbbls of natural gas liquids, as well as owned undeveloped land totaling 547,829 gross acres and 231,120 net acres. The company was founded by John F. Driscoll in 1988 as NCE Petrofund I. It changed its name to NCE Petrofund in 1996 and to Petrofund Energy Trust in 2003. Petrofund Energy is headquartered in Calgary, Canada. Petrofund Energy Trust acquired Kaiser Energy, Ltd., a private Canadian company, in December 2005.
MERRILL LYNCH SOFTWARE HOLDRS (SWH)
The investment seeks to diversify your investment in the software industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The investment holds securities traded on U.S. stock markets that, when initially selected, were issued by companies involved in the software industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 18 companies included in the Software HOLDRS.
ISHARES DOW JONES U.S. PHARMACEUTICALS INDEX FUN (IHE)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Pharmaceuticals index.
The index measures the performance of the pharmaceuticals sector of the U.S. equity market. It includes pharmaceutical companies such as manufacturers of prescription or over-the-counter drugs or
vaccines, but excludes producers of vitamins. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
GLOBAL CLEAN ENERGY PORTFOLIO (PBD)
The investment seeks investment results that correspond (before fees and
expenses) generally to the price and yield of the WilderHill New Energy
Global Innovation Index.
The fund normally invests at least 90% of total assets in stocks that comprise the New Energy Global Index and ADRs based on the stocks in the New Energy Global Index. The Fund will normally invest at least 80% of its total assets in securities of companies engaged in the business of the advancement of cleaner energy and conservation and ADRs based on the stocks in the New Energy Global Index. It's nondiversified.
ISHARES S&P GLOBAL INFRASTRUCTURE INDEX FUN (IGF)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the S&P Global Infrastructure index.
The fund invests at least 90% of assets in the securities of its Underlying index or in ADRs, or other depositary receipts representing securities in the Underlying index. It may invest in securities not included in its Underlying index which BGFA believes help the fund track its Underlying index. The fund may invest in futures contracts, options on futures contracts, options, and swaps related to its Underlying index. It is nondiversified.
UNITED STATES NATURAL GAS FUND LP (UNG)
The investment seeks to replicate the performance, net of expenses, of natural gas.
The trust will invest in futures contracts on natural gas traded on the NYMEX that is the near month contract to expire. It is nondiversified.
ISHARES DOW JONES EPAC SELECT DIVIDEND INDEX FUN (IDV)
The investment seeks to replicate, net of expenses, the Dow Jones EPAC Select Dividend Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of 100 of the highest dividend-yielding securities (excluding REITs) in the Dow Jones World Developed-Ex. U.S. Index. The fund is nondiversified.
ISHARES S&P GLOBAL TECHNOLOGY SECTOR INDEX FUN (IXN)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Global Technology Sector Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund’s component companies are involved in the development and production of many computer and telecommunications products and equipment. The fund is nondiversified.
RYDEX SP EQUAL WEIGHT MATERIALS (RTM)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Materials Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies engaged in metals and mining, chemicals, construction materials, containers and packaging, and paper and forest products. The fund is nondiversified.
WISDOMTREE DEFA HIGH-YIELDING EQUITY FUND (DTH)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree DIEFA High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree DEFA index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
ISHARES DOW JONES U.S. TECHNOLOGY SECTOR INDEX FUN (IYW)
The investment seeks investment results that correspond generally to the price and yield performance to the Dow Jones U.S. Technology Sector Index. Major companies include those involved in the development and production of technology products, including computer hardware and software, telecommunications equipment, microcomputer components, integrated computer circuits and office equipment utilizing technology.
DYNAMIC SOFTWARE PORTFOLIO (PSJ)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Software Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of software companies. It will normally invest at least 90% of its assets in common stocks that comprise the Software Intellidex. The Intellidex is comprised of 30 U.S. software companies.
RYDEX SP SMALLCAP 600 PURE VALUE (RZV)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P SmallCap 600/Citigroup Pure Value index.
The fund uses a "replication" strategy to try to track the S&P SmallCap 600/Citigroup Pure Value index, which contains only those S&P SmallCap 600 companies with strong value characteristics as selected by Standard & Poor's.
ISHARES MORNINGSTAR SMALL CORE INDEX FUN (JKJ)
The investment seeks investment results that track the Morningstar Small Core Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the small-capitalization sector, defined as those companies that form the 7% of the market capitalization between the 90th and 97th percentile of the US equity market, that Morningstar determines to have relatively low prices per share given anticipated earnings, book value, cash flow, sales and dividends.
SPDR BARCLAYS CAP MUNICIPAL BOND (TFI)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the United States municipal bond market and provides income that is exempt from Federal income taxes.
The fund uses a passive management strategy designed to track the price and yield performance of the Lehman Brothers Municipal Managed Money index. The index tracks the U.S. long term tax-exempt bond market, including state and local general obligation bonds, revenue bonds, pre-refunded bonds, and insured bonds. It is nondiversified.
ISHARES MORNINGSTAR SMALL VALUE INDEX FUN (JKL)
The investment seeks investment results that track the Morningstar Small Value Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the small-capitalization sector, defined as those companies that form the 7% of the market capitalization between the 90th and 97th percentile of the US equity market, that Morningstar determines to have value characteristics based on value factors such as price to projected earnings, price to book, price to sales, price to cash flow and dividend yield.
ISHARES SILVER TRUST (SLV)
The objective of the investment is to reflect the price of silver owned by the trust less the trust's expenses and liabilities.
The fund is intended to constitute a simple and cost-effective means of making an investment similar to an investment in silver. Although the fund is not the exact equivalent of an investment in silver, they provide investors with an alternative that allows a level of participation in the silver market through the securities market.
CLAYMORE/ZACKS MID-CAP CORE (CZA)
The investment seeks to track the price and yield performance, before fees and expenses, of the Zacks Mid-Cap Core Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of 100 stocks selected, based on investment and other criteria, from a universe of mid-capitalization common stocks and ADRs. The fund is nondiversified.
BLDRS EUROPE 100 ADR INDEX FUND (ADRU)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Europe 100 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
RYDEX SP EQUAL WEIGHT ENERGY (RYE)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Energy Index.
The fund uses a replication strategy to track the index. The index consists of the common stocks of companies engaged in oil and gas exploration, production, marketing, refining and/or transportation and energy equipment and services industries. The fund is nondiversified.
RYDEX SP EQUAL WEIGHT INDUSTRIALS (RGI)
The investment seeks to replicate, before fees and expenses, the performance of the S&P Equal Weight Industrial Index.
ISHARES MSCI SWITZERLAND INDEX FUN (EWL)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Swiss markets, as measured by the MSCI Switzerland Index.
The fund normally invests in stocks that are primarily traded on the Zurich Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Silver Excess Return.
The index is a rules-based index composed of futures contracts on silver and is intended to reflect the performance of silver. The fund is nondiversified.
MARKET VECTORS ENVIRONSERV INDEX (EVX)
The investment seeks to replicate the price and yield performance, before fees and expenses, of the AMEX Environmental Services Index.
The fund will invest at least 80% of assets in common stocks and ADRs of companies involved in the environmental services industry. The index includes companies involved in the management, removal and storage of consumer waste and industrial by-products, and related environmental services. It is comprised of approximately 24 companies. The fund is nondiversified.
CURRENCYSHARES CANADIAN DOLLAR TRUST (FXC)
The investment seeks to track the price of the Canadian Dollar, net of trust expenses.
The fund seeks to reflect the price of the Canadian Dollar. The sponsor believes that, for many investors, the shares represent a cost-effective investment relative to traditional means of investing in the foreign exchange market. The fund is nondiversified.
FIRST TRUST LARGE CAP VALUE OPP FND (FTA)
The investment seeks to replicate, net of expenses, the Defined Large Cap Value Opportunities index.
The fund will invest at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P 500/Citigroup Value index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
AEROSPACE & DEFENSE PORTFOLIO (PPA)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the SPADE(TM) Defense index.
The fund normally invests at least 80% of total assets in common stocks of aerospace and defense companies. It may invest at least 90% of total assets in common stocks that comprise the SPADE(TM) Defense Index. The fund seeks to match the performance of the SPADE(TM) Defense index. It is nondiversified.
CLAYMORE/BBD HIGH INCOME INDEX (LVL)
The investment seeks investment results that correspond generally to the performance, before the Fund's fees and expenses, of an equity index called the Benchmarks by Design High Income index.
The fund using a low cost "passive" or "indexing" investment approach, will seek to replicate, before expenses, the performance of the BBD Income index. It will normally invest at least 90% of total assets in securities that comprise the Index.
RYDEX SP MIDCAP 400 PURE GROWTH (RFG)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P MidCap 400/Citigroup Pure Growth index.
The fund uses a "replication" strategy to try to track the S&P MidCap 400/Citigroup Pure Growth index which contains only those S&P MidCap 400 companies with strong value characteristics as selected by Standard & Poor's.
FIRST TRUST FTSE EPRA G R E IDX FD (FFR)
The investment seeks to replicate, net of expenses, the FTSE EPRA/NARIET Global Real Estate Index.
The fund will invest at least 90% of assets in securities that comprise the index. It may invest the remainder of assets in securities not included in the Index, but which First Trust believes will help the Fund track its index. The index is modified market cap weighted and tracks the performance of real estate companies or REITs in North America, Europe or Asia. The fund is nondiversified.
SPDR DJ WILSHIRE MID CAP GROWTH (EMG)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Mid Cap Growth index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Mid Cap Growth index. It is nondiversified.
WISDOMTREE INTERNATIONAL TECHNOLOGY SECTOR FUND (DBT)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Technology Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of technology companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of computers, office and business equipment, semiconductors and software companies. The fund is nondiversified.
DYNAMIC INDUSTRIALS SECTOR PORTFOLIO (PRN)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Industrial Sector Indellidex index.
The fund will invest at least 80% of assets in common stocks of industrial companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. 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.
ULTRA BASIC MATERIALS (UYM)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Basic Materials index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
FIRST TRUST DB STRATEG VAL IDX FND (FDV)
The investment seeks results that correspond generally to the price and yield, before fees and expenses of the Deutsche Bank CROCI US+ index.
The fund normally invests at least 90% of total assets in common stocks that comprise the index. The index identifies companies that may be undervalued based up their economic price/earnings ratios. It is an equal dollar weighted index which is intended to reflect the total return performance of the 40 stocks in the selection pool with the lowest positive CROCI Economic Price Earnings Ratios. The fund is nondiversified.
ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND (IBB)
The investment seeks investment results that correspond generally to the price and yield performance of the Nasdaq Biotechnology Index.
The fund uses the process of representative sampling, holding securities that have a similar investment profile to its index. The fund will normally invest at least 90% of its assets in the securities of the index or in American Depository Receipts. The fund may hold up to 10% of its assets in securities that are not included in the index.
ISHARES DOW JONES U.S. OIL & GAS EXPLORATION & PRODUCTION INDEX FUN (IEO)
The investment 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.
The index measures the performance of the oil exploration and production sub-sector of the U.S. equity market. It includes companies that are engaged in the exploration for and extraction, production, refining, and supply of oil and gas products. The fund uses a representative sampling strategy to try to track the Index. It is nondiversified.
ISHARES S&P LATIN AMERICA 40 INDEX FUN (ILF)
The investment seeks investment results that correspond closely to the performance, before fees and expenses, of the S&P Latin America 40 Index.
The fund invests at least 90% of assets in an aggregate sample of securities that reflect the predominant characteristics of its sector index. The fund invests in American Depository Receipts, rather than directly holding stocks, from companies in Mexico, Brazil, Argentina and Chile. The fund is nondiversified.
RYDEX SP MIDCAP 400 PURE VALUE (RFV)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P MidCap 400/Citigroup Pure Value index.
The fund uses a "replication" strategy to try to track the S&P MidCap 400/Citigroup Pure Value index which contains only those S&P MidCap 400 companies with strong value characteristics as selected by Standard & Poor's.
CLEANTECH PORTFOLIO (PZD)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Cleantech Index.
The fund normally invest at least 80% of total assets in common stocks of cleantech companies. It normally invest at least 90% of total assets in common stocks that comprise the CleantechTM Index.
CLAYMORE/OCEAN TOMO PATENT (OTP)
The investment seeks to track the price and yield performance, before fees and expenses, of the Ocean Tomo 300 Patent Index..
The fund will invest at least 90% of assets in common stocks and ADRs that comprise the index. The index consists of approximately 300 companies based on patent valuation and other criteria. The fund is nondiversified.
MERRILL LYNCH EUROPE 2001 HOLDRS (EKH)
The investment seeks to diversify your investments by holding the equity securities that are among the largest European companies traded on a US stock market, through a single, exchange-listed instrument representing undivided beneficial ownership of the underlying securities.
The trust holds equity securities issued by specific companies that, when initially selected, were among the largest European companies with equity securities traded on a US stock market, in terms of worldwide market cap. Except when a reconstitution event, distribution of securities or other event occurs, the securities will not change. There are currently 45 companies included.
MARKET VECTORS COAL (KOL)
The investment seeks replicate as closely as possible, before fees and expenses, the price and yield performance of the Stowe Coal index.
The fund normally invests at least 80% of total assets in equity securities, which may include depositary receipts, of U.S. and foreign companies principally engaged in the coal industry. It normally invests at least 95% of total assets in securities that comprise the index. The fund may borrow money from a bank up to a limit of one-third of the market value of assets, but only for temporary or emergency purposes. It is nondiversified.
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Russell Microcap index.
The fund invests at least 90% of assets in the securities of the underlying index. It uses a representative sampling strategy to try to track the Russell microcap index. The index is a capitalization-weighted index and includes companies ranging in total market capitalization from approximately $50 million to $550 million and represents approximately 3% of the market capitalization of listed U.S. equity securities.
CLAYMORE/SWM CANADIAN ENERGY INCOME (ENY)
EnerNorth Industries, Inc. engages in the investment in, and exploration, development, and production of oil and gas. It has 100% working interest in 320 net acres and 33.33% working interest in 213 net acres located in Farrow Area, Alberta; and has working interest in 5,760 gross acres in Sibbald Area, Alberta. It also owns interest in 8 gas and 3 oil producing wells. As of June 30, 2005, the company had 440 Mmcf of proved developed gas reserves; 7.9 Mbbls of natural gas liquids; and 14.9 Mbbls of proved developed oil reserves. The company sells its oil and natural gas production to integrated oil and gas companies and marketing agencies. The company is based in Toronto, Canada.
FIRST TRUST MULT CAP VAL ALPHA FND (FAB)
The investment seeks to replicate, net of expenses, the Defined Multi Cap Value index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed to objectively identify and select stocks from the S&P Composite 1500/Citigroup Value index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
ZACKS MICRO CAP PORTFOLIO (PZI)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Zacks Micro Cap index.
The fund normally invests at least 80% of total assets in common stocks of micro cap companies. It may invest at least 90% of total assets in common stocks that comprise the Zacks Micro Cap index. It is nondiversified.
ULTRASHORT FINANCIALS (SKF)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Financials index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ULTRA RUSSELL2000 VALUE (UVT)
The investment seeks to track the price and yield performance, before fees and expenses, which correspond to twice the daily performance of the Russell 2000 Value Index.
The fund will invest at least 80% of assets in securities that, in combination, have economic characteristics twice the daily return of the index. It will employ leveraged investment techniques to achieve the objective. The fund is nondiversified.
ISHARES DOW JONES U.S. AEROSPACE & DEFENSE INDEX FUN (ITA)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Aerospace & Defense index.
The index measures the performance of the aerospace and defense sector of the U.S. equity market. Aerospace companies include manufacturers, assemblers and distributors of aircraft and aircraft parts. Defense companies include producers of components and equipment for the defense industry, such as military aircraft, radar equipment, and weapons. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
FIRST TRUST TECH ALPHADEX FND (FXL)
The investment seeks to replicate, net of expenses, the StrataQuant Technology index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
ULTRA CONSUMER SERVICES (UCC)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Consumer Services index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
ISHARES FTSE NAREIT REAL ESTATE 50 INDEX FUN (FTY)
The investment seeks to replicate, net of expense, the FTSE NAREIT Real Estate 50 Index.
The index measures the performance of the large-cap real estate sector of the U.S. equity market. It is comprised of the 50 largest REIT companies within the FTSE NARIET Composite Index. The fund is nondiversified.
FIRST TRUST NASDAQ-100 EQUAL WEIGHTED INDEX FUND (QQEW)
The investment seeks results that correspond to the price and yield of NASDAQ-100 Equity Weighted index(SM).
The fund normally invests at least 90% of total assets in common stocks that comprise the index. The index contains the same securities as the NASDAQ-100 index(R) but each of the securities is initially set at a weight of 1.00% of the index and is rebalanced quarterly. It is nondiversified.
ISHARES KLD 400 SOCIAL INDEX FUN (DSI)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Domini 400 SocialSM index (the Underlying index).
The fund may invest at least 90% of assets in the securities of the Underlying index or in ADRs representing securities in the Underlying index. It may invest the remainder of assets in securities not included in the Underlying index, but which BGFA believes may help the fund track the Underlying index, such as futures contracts, options on futures contracts, options, and swaps, as well as cash and cash equivalents.
ISHARES MSCI CHILE INVESTABLE MARKET INDEX FUN (ECH)
The investment seeks to track the performance of MSCI Chile indexSM.
The fund invests at least 90% of assets in component securities and in depositary receipts representing such securities. It may invest up to 10% of assets in certain futures, options, and swap contracts, cash and cash equivalents, including money market funds advised by BGFA, other exchange traded funds, including other iShares funds and stocks not included in MSCI Chile indexSM but which the advisor believes help a fund track MSCI Chile indexSM. The fund is nondiversified.
SPDR SP OIL GAS EXPLORE PROD (XOP)
No description available.
MARKET VECTORS LONG MUNICIPAL INDEX (MLN)
No description available.
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to increase on a daily basis by 200% of the value of any increase in the underlying index. It is nondiversified.
ISHARES S&P NORTH AMERICAN TECHNOLOGY-MULTIMEDIA NETWORKING INDEX FUN (IGN)
The investment seeks investment results that correspond generally to the price and yield performance of the Goldman Sachs Technology Industry Multimedia Networking Index. The Index includes companies that are producers of telecom equipment, data networking and wireless equipment. The fund uses a representative sampling strategy to try to track the Index. This fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. industrials index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
ISHARES FTSE EPRA/NAREIT EUROPE INDEX FUND (IFEU)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expensed, of a particular index.
The fund invests at least 90% of assets in the securities of the Underlying Index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs) (collectively Depositary Receipts representing securities in the Underlying Index. It invests the remainder of its assets in securities not included in the Underlying Index, but which BGFA believes will help the Fund track its Underlying Index. The fund is nondiversified.
MERRILL LYNCH SEMICONDUCTOR HOLDRS (SMH)
The investment to diversify your investment in the semiconductor industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the semiconductor business. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 20 companies included in the Semiconductor HOLDRS.
DYNAMIC BUILDING & CONSTRUCTION PORTFOLIO (PKB)
The investment seeks investment results that correspond generally to the price and yield (before the fees and expenses) of an equity index called the Dynamic Building & Construction Intellidex(SM) index.
The fund normally invests at least 80% of total assets in common stocks of building and construction companies. In pursuit of its objective, it normally invests at least 90% of total assets in common stocks that comprise the Building & Construction Intellidex. It is nondiversified.
DYNAMIC ENERGY EXPLORATION & PRODUCTION (PXE)
The investment seeks investment results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Dynamic Energy Exploration & Production Intellidex(SM) index.
The fund normally invests at least 80% of total assets in common stocks of companies engaged in energy exploration and production. In pursuit of its objective, the fund may invest at least 90% of total assets in common stocks that comprise the Energy Exploration & Production Intellidex. It is nondiversified.
DYNAMIC SEMICONDUCTORS PORTFOLIO (PSI)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of an equity index called the Dynamic Semiconductors Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of semiconductors companies. It will normally invest at least 90% of its assets in common stocks that comprise the Semiconductors Intellidex. The Intellidex is comprised of 30 U.S. semiconductors companies.
SPDR SP EMERGING LATIN AMERICA (GML)
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the Latin American equity markets.
The fund invests at least 90% of assets in the securities that comprise the index. The index is a market capitalization weighted index that defines and measures the investable universe of publicly traded companies domiciled in emerging Latin America markets. It consists of companies from Argentina, Brazil, Chile, Colombia, Mexico, Peru and Venezuela. The fund is nondiversified.
ULTRA RUSSELL1000 GROWTH (UKF)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell 1000 growth index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
FIRST TRUST NASDAQ-100-TECHNOLOGY SECTOR INDEX FUND (QTEC)
The investment seeks results that correspond to the price and yield of NASDAQ-100 Technology Sector index(SM).
The fund normally invests at least 90% of total assets in common stocks that comprise the Technology index. The index is an equal-weighted index based on the securities of the NASDAQ-100 index(R) that are classified as "technology" according to the Industry Classification Benchmark classification system. The NASDAQ-100 index(R) includes 100 of the largest domestic and international non-financial companies listed on NASDAQ(R) based on market capitalization. It is nondiversified.
DYNAMIC BIOTECHNOLOGY & GENOME PORTFOLIO (PBE)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Biotechnology & Genome Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of biotechnology companies and genome companies. It will normally invest at least 90% of its assets in common stocks that comprise the Biotechnology & Genome Intellidex. The Intellidex is comprised of 30 U.S. biotechnology and genome companies.
ISHARES FTSE EPRA/NAREIT NORTH AMERICA INDEX FUND (IFNA)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expensed, of a particular index.
The fund invests at least 90% of assets in the securities of the Underlying Index or in American Depositary Receipts (ADRs), Global Depositary Receipts (GDRs) or European Depositary Receipts (EDRs) (collectively Depositary Receipts representing securities in the Underlying Index. It invests the remainder of its assets in securities not included in the Underlying Index, but which BGFA believes will help the Fund track its Underlying Index. The fund is nondiversified.
FIRST TRUST DJ GBL SEL DIVD IDXFND (FGD)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Global Select Dividend index.
The fund will normally invest at least 90% of total assets in non-U.S. common stocks that comprise the index or in depositary receipts that may include ADRs, GDRs, EDRs, New York shares or global shares representing securities in the index. It may invest the remainder of the assets in securities not included in the index. The fund uses an indexing investment approach in order to replicate the performance of the index. This fund is nondiversified.
WISDOMTREE INTERNATIONAL FINANCIAL SECTOR FUND (DRF)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Financial Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of financial companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of banks, savings and loans, insurance companies, investment companies, real estate companies and diversified financial companies.The fund is nondiversified.
DYNAMIC SMALL CAP GROWTH PORTFOLIO (PWT)
The investment seeks investment results that correspond generally to the price and yield, before fees and expenses, of the Dynamic Small Cap Growth Intellidex.
The fund will normally invest at least 80% of its assets in common stocks of small cap companies, and it will normally invest at least 90% of its assets in common stocks that ccomprise the Small Cap Growth Intellidex. The Intellidex is comprised of 100 U.S. small cap growth stocks selected principally on the basis of their capital appreciation potential as identified by the AMEX, the Intellidex provider.
ISHARES MORNINGSTAR SMALL GROWTH INDEX FUN (JKK)
The investment seeks investment results that track the Morningstar Small Growth Index.
The fund uses a Representative Sampling strategy to track the index. The index measures the performance of those companies in the small-capitalization sector, defined as those companies that form the 7% of the market capitalization between the 90th and 97th percentile of the US equity market, that Morningstar determines to have growth characteristics based on long-term projected earnings growth, historical earnings growth, sales growth, cash flow growth and book value growth.
FIRST TRUST DOW JONES SELMICROCAP (FDM)
The investment seeks results that correspond generally to the price and yield of an equity index called the Dow Jones Select MicroCap index(SM).
The fund normally invests at least 80% of assets in common stocks of U.S. micro-capitalization companies which are publicly traded in the United States. It normally invests at least 90% of assets in common stocks that comprise the index. The index is comprised of selected U.S. micro-capitalization companies chosen from all common stocks traded on the New York Stock Exchange ("NYSE"), the AMEX and NASDAQ with limited partnerships excluded.
ISHARES MSCI MEXICO INVESTABLE MARKET INDEX FUN (EWW)
The investment seeks to provide investment results that correspond generally to the price and yield performance of publicly traded securities in the Mexican market, as measured by the MSCI Mexico Index.
The fund normally invests in stocks that are primarily traded on the Mexican Stock Exchange, using a sampling strategy to try to track its index. This fund is nondiversified.
ULTRASHORT MSCI EMERGING MARKETS (EEV)
The investment seeks daisy investment results, before fees and expense that correspond to twice (200%) the inverse of the daily performance of the MSCI Emerging Markets index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Technology index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
CLAYMORE/ZACKS COUNTRY ROTATION (CRO)
The investment seeks investment results that correspond generally to the performance, before the fund's fees and expenses, of an equity index called the Zacks Country Rotation index.
The fund invest in all of the stocks comprising the index in proportion to their weightings in the index. The Zacks Country Rotation index is comprised of 200 stocks selected, based on investment and other criteria, from a universe of international companies based in countries included in the MSCI EAFE index and including Canada, with the exclusion of companies based in Greece. The fund is nondiversified.
ULTRA RUSSELL1000 VALUE (UVG)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell 1000 index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
WATER RESOURCES PORTFOLIO (PHO)
The investment seeks results that correspond generally to the price and yield (before the Fund's fees and expenses) of an equity index called the Palisades Water index.
The fund normally invests at least 80% of total assets in American Depositary Receipts and common stocks of companies in the water industry. In pursuit of its objective, it may invest at least 90% of total assets in American Depositary Receipts and common stocks that comprise the Palisades Water index. It is nondiversified.
ULTRA RUSSELL MIDCAP VALUE (UVU)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell MidCap Value index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the S&P 500 index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
MARKET VECTORS GAMING (BJK)
The investment seeks replicate as closely as possible, before fees and expenses, the price and yield performance of the S-Network Global Gaming index.
The fund normally invests at least 80% of total assets in equity securities, which may include depositary receipts, of U.S. and foreign companies principally engaged in the global gaming industry. It normally invests at least 95% of total assets in securities that comprise the Gaming index. The fund may borrow money from a bank up to a limit of one-third of the market value of assets, but only for temporary or emergency purposes. It is nondiversified.
DYNAMIC ENERGY SECTOR PORTFOLIO (PXI)
The investment seeks results that correspond to the price and yield performance, before fees and expenses, of the Dynamic Energy Sector Indellidex index.
The fund will invest at least 80% of assets in common stocks of energy companies. It will invest at least 90% of assets in common stocks that comprise the index. The index consists of approximately 60 U.S. energy companies. These companies are principally engaged in the business of producing, distributing or servicing energy-related products, including oil services, pipeline, and solar, wind and other non-oil based energy.
FIRST TRUST MID CAP CORE ALPHA FND (FNX)
FNX Mining Company, Inc. engages in the production and sale of nickel, copper, platinum, palladium, and gold, including related activities of exploration and development in the Sudbury mining district of Canada. Its properties include McCreedy West property, Levack property, Podolsky property, Victoria property, North Range football property, and Kirkwood property. The company was incorporated in 1984 as Fort Knox Gold Resources, Inc. It changed its name to FNX Mining Company, Inc. in 2002. FNX Mining Company is based in Toronto, Canada.
CLAYMORE EXCHANGE-TRADED FUND TRUST (STH)
The investment seeks results that correspond to the performance, before fees and expenses, of the Sabrient Stealth Index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index is comprised of 150 stocks selected from a broad universe of U.S. traded stocks and ADRs having little or no Wall Street analyst coverage (no more than two analysts). The universe includes approximately 2,100 listed companies with no limitations on market capitalization, but most are from the small and micro-cap categories under $1 billion.
ISHARES S&P NORTH AMERICAN TECHNOLOGY-SEMICONDUCTORS INDEX FUN (IGW)
The investment seeks investment results that correspond generally to the price and yield performance of the Goldman Sachs Technology Industry Semiconductor Index. The Index has been developed by Goldman Sachs as an equity benchmark for U.S. traded semiconductor stocks. The Index includes companies that are producers of capital equipment or manufacturers of wafers and chips. The fund uses a representative sampling strategy to try to track the Index. This fund is nondiversified.
MERRILL LYNCH WIRELESS HOLDRS (WMH)
The investment seeks to diversify your investment in the wireless telecommunications industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The investment holds securities issued by specified companies, traded on U.S. stock markets that, when initially selected, were involved in the wireless telecommunications industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change.
FIRST TRUST NASDAQ-100 EX-TECHNOLOGY SECTOR INDEX FUND (QQXT)
The investment seeks to track the price and yield performance, before fees and expenses, of the NASDAQ Ex-Technology Sector Index.
The fund will invest at least 90% of assets in common stocks that comprise the index. The index is an equal-weighted index based on the securities of the NASDAQ-100 Index that are not classified as “technology†according to the Industry Classification Benchmark. The fund is nondiversified.
ULTRASHORT MSCI JAPAN (EWV)
The investment seeks daisy investment results, before fees and expense that correspond to twice (200%) the inverse of the daily performance of the MSCI Japan index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
The investment seeks to track the price and yield performance, before fees and expenses, which correspond to the twice the daily performance of the S&P SmallCap 600 Index.
The fund will invest at least 80% of assets in securities that, in combination, have economic characteristics twice the daily return of the index. It will employ leveraged investment techniques to achieve the objective. The fund is nondiversified.
RYDEX SP SMALLCAP 600 PURE GROWTH (RZG)
The investment seeks to replicate as closely as possible, before expenses, the performance of the S&P SmallCap 600/Citigroup Pure Growth index.
The fund uses a "replication" strategy to try to track the S&P SmallCap 600/Citigroup Pure Growth index, which contains only those S&P SmallCap 600 companies with strong value characteristics as selected by Standard & Poor's.
FIRST TRUST NASDAQ CLEAN EDGE U.S. LIQUID SERIES INDEX FUND (QCLN)
The investment seeks to track the price and yield performance, before fees and expenses of the NASDAQ Clean Edge U.S. Liquid Series Index.
The fund will normally invest at least 90% of assets in common stocks that comprise the index. The index is designed to track the performance of clean energy companies that are publicly traded in the United States and includes companies engaged in manufacturing, development, distribution, and installation of clean-energy technologies including, but not limited to, solar photovoltaic, biofuels and advanced batteries. The fund is nondiversified.
FIRST TRUST ENERGY ALPHADEX FD (FXN)
The investment seeks to replicate, net of expenses, the StrataQuant Energy index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
FIRST TRUST IND/PROD ALPHADEX FD (FXR)
The investment seeks to replicate, net of expenses, the StrataQuant Industrials index.
The fund invests at least 90% of assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index selects stocks from the Russell 1000 index that may generate positive alpha relative to traditional passive style indices through the use of the AlphaDEX(TM) screening methodology. It is nondiversified.
FIRST TRUST VALUE LINE EQ ALL FND (FVI)
First Trust/Value Line(R) & Ibbotson Equity Allocation Fund operates as a diversified, closed-end management investment company. It invests in common stocks of various companies. The fund's investment portfolio includes investments in energy, insurance, household durables, healthcare, information technology, and industrial goods sectors. First Trust Advisors L.P. serves as the investment advisor of the fund. First Trust/Value Line(R) & Ibbotson Equity Allocation Fund was formed in 2004 and is based in Lisle, Illinois.
SPDR SP SEMICONDUCTOR (XSD)
The investment seeks to replicate as closely as possible, before expenses, the performance of an index derived from the semiconductor segment of a U.S. total market composite index.
The fund uses a passive management strategy designed to track the total return performance of the S&P Semiconductor Select Industry index. The Semiconductor index represents the Semiconductor sub-industry portion of the S&P Total Market index. It is nondiversified.
RYDEX 2X RUSSELL 2000 (RRY)
The investment seeks to provide investment results that match the performance of a specific benchmark, before fees and expenses, on a daily basis.
The fund tends to increase on a daily basis by 200% of the value of any increase in the underlying index. It is nondiversified.
ULTRA RUSSELL2000 GROWTH (UKK)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell 2000 Growth index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
FTSE RAFI EUROPE PORTFOLIO (PEF)
The investment seeks investment results that correspond (before fees and expenses) generally to the price and yield performance of the equity index called the FTSE RAFI Europe Index.
The Fund normally invests at least 90% of total assets in stocks that comprise the FTSE RAFI Europe Index and ADRs based on the stocks in the FTSE RAFI Europe Index. It normally invests at least 80% of total assets in securities of companies that are classified as European within FTSE's country classification definition. It is nondiversified.
WILDERHILL CLEAN ENERGY PORTFOLIO (PBW)
The investment seeks investment results that correspond generally to the price and yield, before the Fund’s fees and expenses, the WilderHill Clean Energy Index.
The Fund will normally invest at least 80% of its total assets in common stocks of companies engaged in the business of the advancement of cleaner energy and conservation. The Fund will normally invest at least 90% of its total assets in common stocks that comprise the Clean Energy Index.
ULTRA RUSSELL MIDCAP GROWTH (UKW)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Russell MidCap Growth index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
ULTRA SEMICONDUCTORS (USD)
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Semiconductor index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
SPDR SP HOMEBUILDERS (XHB)
The investment seeks to replicate as closely as possible, before expenses, the performance of an index derived from the homebuilding segment of a U.S. total market composite index.
The fund uses a passive management strategy designed to track the total return performance of the S&P Homebuilders Select Industry index. The Biotech index represents the homebuilding sub-industry portion of the S&P Total Market index. It is nondiversified.
ISHARES DOW JONES U.S. HOME CONSTRUCTION INDEX FUN (ITB)
The investment seeks results that correspond generally to the price and yield performance, before fees and expenses, of the Dow Jones U.S. Select Home Construction index.
The index measures the performance of the home construction sector of the U.S. equity market. The index includes companies that are constructors of residential homes, including manufacturers of mobile and prefabricated homes. The companies selected for inclusion in the index must meet minimum market capitalization and liquidity requirements. The fund uses a representative sampling strategy to try to track the index. It is nondiversified.
MERRILL LYNCH B2B INTERNET HOLDRS (BHH)
The investment seeks to diversify your investment in the B2B segment of the Internet industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the B2B segment of the Internet industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 9 companies included in the B2B Internet HOLDRS.
ULTRASHORT FTSE/XINHUA CHINA 25 (FXP)
The investment seeks daisy investment results, before fees and expense that correspond to twice (200%) the inverse of the daily performance of the FTSE/Xinhua China 25 index.
The fund normally invests at least 80% of assets to investment that, in combination, have economic characteristics that are inverse to those if index. It may employ leveraged investment techniques in seeking its investment objective.
BLDRS ASIA 50 ADR INDEX FUND (ADRA)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Asia 50 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
BLDRS DEVELOPED MARKETS 100 ADR INDEX FUND (ADRD)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Developed Markets 100 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
BLDRS EMERGING MARKETS 50 ADR INDEX FUND (ADRE)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Emerging Markets 50 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
BLDRS EUROPE 100 ADR INDEX FUND (ADRU)
The investment seeks to provide investment results that correspond generally, before fees and expenses, to the price and yield performance of the Bank of New York Europe 100 ADR Index.
The fund will typically invest substantially all of its assets in the securities that make up the Index.
ISHARES LEHMAN AGGREGATE BOND FUN (AGG)
The investment seeks investment results that correspond to the price and yield performance, before fees and expenses, of the Lehman Brothers Bond Index.
The fund will invest approximately 90% of assets in the bonds represented in the underlying index and in securities that provide substantially similar exposure to securities in the underlying index. It may invest the remainder of assets in bonds not included in the underlying index, cash, liquid short-term instruments, shares of money market funds, and securities not included in the index.
ISHARES S&P ASIA 50 INDEX FUN (AIA)
The investment seeks to replicate, net of expenses, the S&P Asia 50 Index.
The fund will invest at least 90% of assets in securities that comprise the index, including ADRs, GDRs, or EDRs. The index is a free float-adjusted market capitalization index that is designed to measure the performance of the 50 leading companies from four Asian countries: Hong Kong, South Korea, Singapore and Taiwan. The fund is nondiversified.
The investment seeks to diversify your investment in the biotechnology industry through a single, exchangelisted instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds securities traded on U.S. stock markets that, when initially selected, were issued by companies involved in the biotechnology industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 18 companies included in the Biotech HOLDRS.
MERRILL LYNCH BROADBAND HOLDRS (BDH)
The investment seeks to diversify your investment in the broadband business through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the broadband industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 22 companies included in the Broadband HOLDRS.
MERRILL LYNCH B2B INTERNET HOLDRS (BHH)
The investment seeks to diversify your investment in the B2B segment of the Internet industry through a single, exchange-listed instrument representing your undivided beneficial ownership of the underlying securities.
The trust holds shares of common stock issued by specified companies that, when initially selected, were involved in the B2B segment of the Internet industry. Except when a reconstitution event, distribution of securities by an underlying issuer or other event occurs, the group of companies will not change. There are currently 9 companies included in the B2B Internet HOLDRS.
The investment seeks to replicate as closely as possible, before fees and expenses, the total return performance of an equity index based upon the emerging markets of Brazil, Russia, India and China.
The fund uses a passive management strategy designed to track the total return performance of the Standard & Poor's BRIC 40 index. The index is a market capitalization weighted index that defines and measures the investable universe of companies domiciled in the emerging markets of Brazil, Russia, India and China that are listed on the Hong Kong Stock Exchange, the London Stock Exchange, NASDAQ and/or the NYSE.
SPDR BARCLAYS CAPITAL 1 TO 3 MONTH T (BIL)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the 1-3 month sector of the United States Treasury Bill market.
The fund uses a passive management strategy designed to track the total return performance of the Lehman Brothers 1-3 Month U.S. Treasury Bill index. The 1-3 Month U.S. Treasury Bill index measures the performance of public obligations of the U.S. Treasury that have a remaining maturity of greater than or equal to 1 month and less than 3 months. It is nondiversified.
The investment seeks to track the performance of a market-weighted bond index with an intermediate-term dollar-weighted average maturity.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund maintains a dollar-weighted average maturity consistent with that of the index ranging between 5 and 10 years.
ISHARES MSCI BRIC INDEX FUN (BKF)
BKF Capital Group, Inc., through its wholly owned subsidiary, John A. Levin & Co., Inc., operates as an investment adviser primarily in the United States. The company manages equity portfolios for institutional and individual investors. It offers long-only equity strategies, as well as a range of alternative investment products and other specialized investment programs. The company also acts as the managing general partner of various private investment partnerships, as well as an adviser to private investment vehicles organized outside the United States. In addition, it participates in various wrap fee programs sponsored by financial institutions. The company's clients include the United States' and foreign corporations, mutual funds, limited partnerships, universities, pension and profit sharing plans, individuals, trusts, not-for-profit organizations, and foundations. BKF was founded in 1907. It was formerly known as Baker, Fentress & Company and changed its name to BKF Capital Group, Inc. in 2000. The company is based in New York City.
The investment seeks to track the performance of a market-weighted bond index with a long-term dollar-weighted average maturity.
The investment seeks to track the performance of a broad, market-weighted bond index.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund maintains a dollar-weighted average maturity consistent with that of the index, ranging between 5 and 10 years.
The investment seeks to track the performance of a market-weighted bond index with a short-term dollar-weighted average maturity.
The fund invests by sampling the index. It invests at least 80% of assets in bonds held in the index. The fund's dollar-weighted average maturity is not expected to exceed 3 years.
BB CBOE SP500 IPATH (BWV)
The investment seeks to replicate, net of expenses, the CBOE S&P 500 BuyWrite Index.
The index is designed to measure the total rate of return of a hypothetical “buy-writeâ€, or “covered callâ€, strategy on the S&P 500 Index. This strategy consists of a hypothetical portfolio consisting of a “long†position indexed to the S&P 500 Index and the sale of a succession of one-month, at- or slightly out-of-the-money
S&P 500 Index call options that are listed on the Chicago Board Options Exchange.
SPDR BARCLAYS CAPITAL INTL TRESY BD (BWX)
The investment seeks to replicate as closely as possible,before fees and expenses,the price yield performance of its benchmark index,the lehman brothers global treasury ex-us capped index.
The fund normally invests at least 80% of assets in fixed income securities that comprise its benchmark index.It may also invest in securities not included in benchmark,but which the adviser believes will help the fund track the index,options,swap contracts and other derivatives.It is nondiversified.
ISHARES LEHMAN CREDIT BOND FUN (CFT)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
CLAYMORE SP GLOBAL WATER INDEX (CGW)
The investment seeks investment results that correspond generally to the performance of an equity index called the S&P Global Water index.
The fund, using a low cost "passive" or "indexing" investment approach, will seek to replicate, before expenses, the performance of the S&P Global Water index. The index is comprised of 50 equity securities selected, based on investment and other criteria, from a universe of companies listed on global developed market exchanges.
ISHARES LEHMAN INTERMEDIATE CREDIT BOND FUN (CIU)
The investment seeks to track the price and yield performance, before fees and expenses, of the Lehman Brothers Intermediate U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
ISHARES S&P CALIFORNIA MUNICIPAL BOND FUN (CMF)
The investment 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 Municipal Bond index.
The fund generally invests 90% of assets in the securities of its Underlying index. It generally holds municipal bond securities issued by the State of California and its municipalities whose interest is exempt from federal and California state income tax and the federal AMT. The fund is nondiversified.
CLAYMORE/ZACKS COUNTRY ROTATION (CRO)
The investment seeks investment results that correspond generally to the performance, before the fund's fees and expenses, of an equity index called the Zacks Country Rotation index.
The fund invest in all of the stocks comprising the index in proportion to their weightings in the index. The Zacks Country Rotation index is comprised of 200 stocks selected, based on investment and other criteria, from a universe of international companies based in countries included in the MSCI EAFE index and including Canada, with the exclusion of companies based in Greece. The fund is nondiversified.
CLAYMORE/CLEAR SPIN-OFF (CSD)
The investment seeks to track the price and yield performance, before fees and expenses, of the Clear Spin-off Index.
The index is comprised of approximately 40 U.S. stocks and ADRs. The universe includes companies that have been spun-off within that past two years. There are no limits on market capitalization. The index generally includes companies with less than a $10 billion market capitalization. The fund is nondiversified.
ISHARES LEHMAN 1-3 YEAR CREDIT BOND FUN (CSJ)
The investment seeks investment results that correspond generally to the price and yield performance, of the Lehman Brothers 1-3 Year U.S. Credit Index.
The fund will generally invest at least 90% of the assets in the securities of its underlying index. It may invest the remaider of the assets in securities not included in its underlying index but which BGFA believes will help the fund track its underling index. The fund also may invest its other assets in futures, options and swap contracts, cash and cash equivalents, including money market funds advised by BGFA. It's nondiversified.
CLAYMORE/CLEAR GLOBAL TIMBER INDEX (CUT)
The investment seeks results that correspond generally to the performance, before the fees and expenses, of the Clear Global Timber index.
The fund normally invests at least 90% of total assets in common stock, American depositary receipts and global depositary receipts that comprise the Clear Global Timber index. It seeks a correlation over time of 0.95 or better between its performance and the performance of the index.
CLAYMORE/ZACKS MULTI-ASSET INC IDX (CVY)
The investment seeks results that correspond to the performance, before fees and expenses, of the Zacks Yield Hog index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index is comprised of approximately 125 to 150 securities selected from a universe of domestic and international companies. It includes all U.S. stocks and ADRs that pay dividends as well as REITs, master limited partnerships, closed-end funds and traditional preferred stocks. It is nondiversified.
SPDR BARCLAYS CAPITAL CALIFORNIA MUN (CXA)
The investment seeks to provide investment results that, before fees and expenses, correspond generally to the price and yield performance of an index that tracks the California municipal bond market and provides income that is exempt from Federal and California state income taxes.
The fund uses a passive management strategy designed to track the price and yield performance of the Lehman Brothers Managed Money Municipal California index. It is nondiversified.
CLAYMORE/ZACKS MID-CAP CORE (CZA)
The investment seeks to track the price and yield performance, before fees and expenses, of the Zacks Mid-Cap Core Index.
The fund will invest at least 90% of assets in securities that comprise the index. The index consists of 100 stocks selected, based on investment and other criteria, from a universe of mid-capitalization common stocks and ADRs. The fund is nondiversified.
DB AGRICULTURE FUND (DBA)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Agriculture Excess Return.
The index is a rules-based index composed of futures contracts on some of the most liquid and widely traded agricultural commodities – corn, wheat, soy beans and sugar. The index is intended to reflect the performance of the agricultural sector. The fund is nondiversified.
DB BASE METALS FUND (DBB)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Industrial Metals Excess Return.
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). The index is intended to reflect the performance of the industrial metals sector. The fund is nondiversified.
DB COMMODITY INDEX FUND (DBC)
The investment seeks to reflect the performance of the Deutsche Bank Liquid Commodity index.
The fund will pursue its investment objective by investing in a portfolio of exchange-traded futures on the commodities comprising the index, or the index commodities. The index commodities are light, sweet crude oil, heating oil, aluminum, gold, corn and wheat. The index is composed of notional amounts of each of the index commodities. The notional amounts of each index commodity are broadly in proportion to historical levels of the world’s production and supply.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Energy Excess Return.
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. The index is intended to reflect the performance of the energy sector. The fund is nondiversified.
WISDOMTREE INTERNATIONAL BASIC MATERIALS SECTOR FUND (DBN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Basic Materials Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of basic materials companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of chemicals, forest products and paper, iron/steel and mining companies. The fund is nondiversified.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Oil Excess Return.
The index is a rules-based index composed of futures contracts on Light Sweet Crude Oil (WTI) and is intended to reflect the performance of crude oil. The fund is nondiversified.
DB PRECIOUS METALS FUND (DBP)
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Precious Metals Excess Return.
The index is a rules-based index composed of futures contracts on two of the most important precious metals—gold and silver. The index is intended to reflect the performance of the precious metals sector. The fund is nondiversified.
WISDOMTREE INTERNATIONAL HEALTH CARE SECTOR FUND (DBR)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Health Care Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of healthcare companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of healthcare products, healthcare services, pharmaceuticals and biotechnology companies. The fund is nondiversified.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Silver Excess Return.
The index is a rules-based index composed of futures contracts on silver and is intended to reflect the performance of silver. The fund is nondiversified.
WISDOMTREE INTERNATIONAL TECHNOLOGY SECTOR FUND (DBT)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Technology Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of technology companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of computers, office and business equipment, semiconductors and software companies. The fund is nondiversified.
WISDOMTREE INTERNATIONAL UTILITIES SECTOR FUND (DBU)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Utilities Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of utilities companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of gas, electric and water companies. The fund is nondiversified.
DB G10 CURRENCY HARVEST FUND (DBV)
The investment seeks to track the performance, before fees and expenses, of the Deutsche Bank G10 Currency Future Harvest Index - Excess Return.
The index is comprised of long futures positions on the three G10 currencies associated with the highest interest rates and short futures positions on the three currencies associated with the lowest 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 is nondiversified.
WISDOMTREE INTERNATIONAL INDUSTRIAL SECTOR (DDI)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Industrial Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of industrial companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. It is comprised of engaged in aerospace and defense, building materials, electronic components and equipment, engineering and construction, hand and machine tools, machinery, metal fabrication, packaging. The fund is nondiversified.
The investment seeks daily investment results, before fees and expenses, that correspond to twice the daily performance of the Dow Jones Industrial Average.
The fund normally invests in equity securities and/or financial instrument (including derivatives) that have similar daily price return characteristics as twice the daily return of the Dow Jones Industrial Average. It may invest 80% of assets in equity securities contained in the index and/or financial instrument.
WISDOMTREE EUROPE TOTAL DIVIDEND FUND (DEB)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the underlying index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
CLAYMORE/SABRIENT DEFENSIVE EQ IDX (DEF)
The investment seeks to track the price and yield performance, before fees and expenses, of the Sabrient Defensive Equity Index.
The fund invests at least 90% of assets in common stocks and ADRs that comprise the index. The index consists of approximately 100 companies with potentially superior risk/return profiles during periods of weakness in the markets and/or American economy overall. The fund is nondiversified.
WISDOMTREE EMERGING MARKETS HIGH-YIELDING EQUITY FUND (DEM)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Emerging Markets High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Emerging Markets High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE SMALLCAP DIVIDEND FUND (DES)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. A portion of the Index is comprised of stocks issued by REITs. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the Index. It is nondiversified.
WISDOMTREE EUROPE HIGH-YIELDING EQUITY FUND (DEW)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. The fund generally uses representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE EUROPE SMALLCAP DIVIDEND FUND (DFE)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Europe SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Europe SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND (DFJ)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Japan SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Japan SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
WISDOMTREE INTERNATIONAL COMMUNICATIONS SECTOR FUND (DGG)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Communications Sector index.
The fund uses a representative sampling strategy. The index measures the performance of communications companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of advertising, internet, media, and telecom companies. The fund is nondiversified.
The investment seeks to track the price and yield performance, before fees and expenses, of the Deutsche Bank Liquid Commodity Index - Optimum Yield Gold Excess Return.
The index is a rules-based index composed of futures contracts on gold and is intended to reflect the performance of gold. The fund is nondiversified.
WISDOMTREE EMERGING MARKETS SMALLCAP DIVIDEND FUND (DGS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Emerging Markets Small Cap index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Emerging Markets Small Cap index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
SPDR DJ GLOBAL TITANS (DGT)
StreetTRACKS DJ Global Titans ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Global Titans 50 Index U.S.
The fund uses a passive management strategy designed to track the total return performance of the Global Titans Index. It purchases ADR or U.S. shares of foreign companies included in the Index. The fund is nondiversified.
WISDOMTREE HIGH-YIELDING EQUITY FUND (DHS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
DIAMONDS TRUST SERIES 1 (DIA)
The investment seeks to provide investment results that, before expenses, generally correspond to the price and yield performance of the Dow Jones Industrial Average (DJIA). The Trust holds the Portfolio and cash, and is not actively "managed" by traditional methods. To maintain the correspondence between the composition and weightings of stocks held by the Trust and component stocks of the DJIA, the Trustee adjusts the portfolio from time to time to conform to periodic changes in the identity and/or relative weightings of index securities, typically within three business days before or after the day on which such changes are scheduled to take effect.
The investment seeks daily investment results, before fees and expenses, which correspond to twice the daily performance of the Dow Jones U.S. Oil & Gas index.
The fund normally invests in equity securities and/or financial instruments (including derivatives) that have similar daily price return characteristics as twice the daily return of the index. It may invest 80% of assets in equity securities contained in the index and/or financial instrument. The fund is nondiversified.
WISDOMTREE INTERNATIONAL MIDCAP DIVIDEND FUND (DIM)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International MidCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International MidCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE INTERNATIONAL ENERGY SECTOR FUND (DKA)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Energy Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of energy companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of oil and gas producers, oil and gas services, pipelines, alternative energy sources and coal companies. The fund is nondiversified.
WISDOMTREE LARGECAP DIVIDEND FUND (DLN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree LargeCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree LargeCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the Index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
WISDOMTREE INTERNATIONAL SMALLCAP DIVIDEND FUND (DLS)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International SmallCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International SmallCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE PACIFIC EX-JAPAN TOTAL DIVIDEND FUND (DND)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Pacific ex-Japan index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Pacific ex-Japan Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE PACIFIC EX-JAPAN HIGH-YIELDING EQUITY FUND (DNH)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Pacific ex-Japan High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Pacific ex-Japan High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
WISDOMTREE JAPAN HIGH-YIELDING EQUITY FUND (DNL)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Japan High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Japan High-Yielding Equity index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a Replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones Industrial Average index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective.
WISDOMTREE INTERNATIONAL LARGECAP DIVIDEND FUND (DOL)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International LargeCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International LargeCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE MIDCAP DIVIDEND FUND (DON)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree MidCap Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree MidCap Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. A portion of the index is comprised of stocks issued by REITs. The fund generally uses a replication strategy and generally will hold each stock in approximately the same proportion as its weighting in the Index. It is nondiversified.
WISDOMTREE INTERNATIONAL DIVIDEND TOP 100 FUND (DOO)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Dividend Top 100 index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree International Dividend Top 100 index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
WISDOMTREE INTERNATIONAL CONSUMER DISCRETIONARY SECTOR FUND (DPC)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Consumer Cyclical Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of cyclical consumer companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. The fund is nondiversified.
WISDOMTREE INTERNATIONAL CONSUMER STAPLES SECTOR FUND (DPN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Consumer Non-Cyclical Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of non-cyclical consumer companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. It is comprised of agriculture, tobacco, beverages, biotechnology, commercial services, cosmetics/personal care, food, healthcare, pharmaceuticals and household products companies. The fund is nondiversified.
WISDOMTREE INTERNATIONAL FINANCIAL SECTOR FUND (DRF)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Financial Sector Index.
The fund uses a representative sampling strategy. The index measures the performance of financial companies in developed markets outside of the U.S. that pay regular cash dividends on shares of common stock. Companies are weighted in the index based on regular cash dividends paid. It is comprised of banks, savings and loans, insurance companies, investment companies, real estate companies and diversified financial companies.The fund is nondiversified.
WISDOMTREE INTERNATIONAL REAL ESTATE FUND (DRW)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree International Real Estate Sector index.
The index measures the performance of companies in developed markets outside of the U.S. and Canada that pay regular cash dividends on shares of common stock classified as being part of the international real estate sector. The fund is nondiversified.
SPDR DJ WILSHIRE SMALL CAP (DSC)
The investment seeks to replicate as closely as possible, before expenses, the performance of the Dow Jones Wilshire Small Cap index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap index. It is nondiversified.
SPDR DJ WILSHIRE SMALL CAP GROWTH (DSG)
StreetTRACKS DJ Wilshire Small Cap Growth ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Small Cap Growth Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap Growth Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiversified.
ISHARES KLD 400 SOCIAL INDEX FUN (DSI)
The investment seeks investment results that correspond generally to the price and yield performance, before fees and expenses, of the Domini 400 SocialSM index (the Underlying index).
The fund may invest at least 90% of assets in the securities of the Underlying index or in ADRs representing securities in the Underlying index. It may invest the remainder of assets in securities not included in the Underlying index, but which BGFA believes may help the fund track the Underlying index, such as futures contracts, options on futures contracts, options, and swaps, as well as cash and cash equivalents.
SPDR DJ WILSHIRE SMALL CAP VALUE (DSV)
StreetTRACKS DJ Wilshire Small Cap Value ETF seeks to provide investment results that, before expenses, correspond generally to the total return of the Dow Jones Wilshire Small Cap Value Index.
The fund uses a passive management strategy designed to track the total return performance of the float-adjusted Small Cap Value Index. The Adviser seeks a correlation of 0.95 or better between the fund’s performance and the performance of the Index. The fund is nondiverisified.
WISDOMTREE TOTAL DIVIDEND FUND (DTD)
The investment seeks to track the price and yield performance, before fees and expenses, of the Wisdom Tree Dividend index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Dividend index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE DEFA HIGH-YIELDING EQUITY FUND (DTH)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree DIEFA High-Yielding Equity index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree DEFA index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a representative sampling strategy to achieve its investment objective. It is nondiversified.
WISDOMTREE DIVIDEND TOP 100 FUND (DTN)
The investment seeks to track the price and yield performance, before fees and expenses, of the WisdomTree Dividend Top 100 index.
The fund employs a passive management (or indexing) investment approach designed to track the performance of the WisdomTree Dividend Top 100 index. It attempts to invest all, or substantially all, of assets in the stocks that make up the index. The fund generally uses a replication strategy to achieve its investment objective and generally will hold each stock in approximately the same proportion as its weighting in the index. It is nondiversified.
ULTRASHORT OIL & GAS (DUG)
The investment seeks daily investment results, before fees and expenses, which correspond to the inverse of the daily performance of the Dow Jones U.S. Oil & Gas index.
The fund normally invests 80% of assets to financial instruments with economic characteristics that should be inverse to those of the index. It may employ leveraged investment techniques in seeking its investment objective. The fund is nondiversified.
ISHARES DOW JONES SELECT DIVIDEND INDEX FUN (DVY)
The investment seeks investment results that correspond generally to the price and yield performance of the Dow Jones Select Dividend Index.
The fund invests in securities exhibiting positive dividend-per-share growth rates over the past five years and dividend payout ratios below 60%.
WISDOMTREE DEFA FUND | 
