COMMSEC CFD TIERED MARGINS Domestic International Equities · As at 31 May 2016 Reuters Description Country NewPositions CanGoShort?LimitedRisk Tier1Tier1Tier2Tier2Tier2Tier3Tier3Tier3Tier4Tier4

As at 31 May 2016Reuters Description Country New Positions Can Go Short? Limited Risk Tier 1 Tier 1 Tier 2 Tier 2 Tier 2 Tier 3 Tier 3 Tier 3 Tier 4 Tier 4

Allowed? Premium Range Deposit Range Deposit Deposit Range Deposit Deposit Range Deposit

(Shares) (All) (Shares) (Select) (Plus) (Shares) (Select) (Plus) (Shares) (All)

1PG.AX 1-PAGE Limited AUSTRALIA Yes - No CR No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 300,000 60% 75% >300,000 75%

TGP.AX 360 Capital Group Limited AUSTRALIA Yes - No CR No 1% 0 - 26,700 25% 26,700 - 53,400 40% 40% 53,400 - 293,700 60% 75% >293,700 75%

TIX.AX 360 Capital Industrial Fund AUSTRALIA Yes No 1% 0 - 75,000 25% 75,000 - 225,000 40% 40% 225,000 - 232,500 75% 75% >232,500 75%

TOF.AX 360 Capital Office Fund AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 60% 75% >200,000 75%

M7T.AX 3D Medical Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 900,000 60% 75% >900,000 75%

3PL.AX 3P Learning Limited AUSTRALIA Yes Yes 1% 0 - 40,000 25% 40,000 - 80,000 50% 50% 80,000 - 180,000 60% 75% >180,000 75%

88E.AX 88 Energy Limited AUSTRALIA Yes - No CR No 0.3% 0 - 80,200 25% 80,200 - 160,400 40% 40% 160,400 - 337,600 60% 75% >337,600 75%

NNW.AX 99 Wuxian Limited AUSTRALIA No No 1% 0 - 400,000 25% 400,000 - 1,200,000 40% 40% 1,200,000 - 1,240,000 75% 75% >1,240,000 75%

ACB.AX A-Cap Resources Limited AUSTRALIA No No 1% 0 - 318,100 25% 318,100 - 636,200 40% 40% 636,200 - 795,200 75% 75% >795,200 75%

ABU.AX ABM Resources NL AUSTRALIA Yes - No CR No 1% 0 - 39,700 25% 39,700 - 79,400 40% 40% 79,400 - 252,400 60% 75% >252,400 75%

AGL.AX AGL Energy Limited AUSTRALIA Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 800,000 30% 50% >800,000 75%

AJL.AX AJ Lucas Group Limited AUSTRALIA Yes - No CR No 1% 0 - 16,600 25% 16,600 - 33,200 40% 40% 33,200 - 45,800 60% 75% >45,800 75%

LEP.AX ALE Property Group AUSTRALIA Yes No 1% 0 - 6,500 25% 6,500 - 13,000 40% 40% 13,000 - 57,500 60% 75% >57,500 75%

ALQ.AX ALS Limited AUSTRALIA Yes No 1% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 680,000 30% 50% >680,000 75%

AMA.AX AMA Group Limited AUSTRALIA Yes - No CR No 1% 0 - 30,000 75% 30,000 - 180,000 75% 75% 180,000 - 270,000 75% 75% >270,000 75%

AGF.AX AMP Capital China Growth Fund AUSTRALIA Yes No 1% 0 - 22,500 25% 22,500 - 45,000 40% 40% 45,000 - 216,400 60% 75% >216,400 75%

AMP.AX AMP Limited AUSTRALIA Yes Yes 0.3% 0 - 86,900 5% 86,900 - 347,600 10% 10% 347,600 - 5,040,200 20% 40% >5,040,200 75%

APE.AX AP Eagers Limited AUSTRALIA Yes - No CR No 1% 0 - 3,700 25% 3,700 - 7,400 40% 40% 7,400 - 10,500 60% 75% >10,500 75%

APA.AX APA Group AUSTRALIA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,500,000 30% 50% >1,500,000 75%

APN.AX APN News & Media Limited AUSTRALIA Yes No 0.7% 0 - 42,400 25% 42,400 - 84,800 40% 40% 84,800 - 625,400 60% 75% >625,400 75%

APO.AX APN Outdoor Group Limited AUSTRALIA Yes Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 200,000 60% 75% >200,000 75%

APD.AX APN Property Group Limited AUSTRALIA Yes No 1% 0 - 65,900 25% 65,900 - 131,800 40% 40% 131,800 - 164,700 75% 75% >164,700 75%

ARB.AX ARB Corporation Limited AUSTRALIA Yes No 1% 0 - 2,000 20% 2,000 - 20,000 35% 35% 20,000 - 86,000 50% 75% >86,000 75%

ASZ.AX ASG Group Limited AUSTRALIA Yes No 1% 0 - 43,400 25% 43,400 - 86,800 40% 40% 86,800 - 197,000 60% 75% >197,000 75%

ASX.AX ASX Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 40,000 20% 20% 40,000 - 300,000 30% 50% >300,000 75%

AUB.AX AUB Group Limited AUSTRALIA Yes No 1% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 30,100 60% 75% >30,100 75%

AVJ.AX AVJennings Limited AUSTRALIA Yes - No CR No 1% 0 - 31,500 25% 31,500 - 63,000 40% 40% 63,000 - 370,100 60% 75% >370,100 75%

AWE.AX AWE Limited AUSTRALIA Yes Yes 0.3% 0 - 30,000 20% 30,000 - 300,000 35% 35% 300,000 - 990,000 50% 75% >990,000 75%

ABP.AX Abacus Property Group AUSTRALIA Yes Yes 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 400,000 50% 75% >400,000 75%

ALR.AX Aberdeen Leaders Limited AUSTRALIA Yes No 1% 0 - 14,200 25% 14,200 - 28,400 40% 40% 28,400 - 35,500 75% 75% >35,500 75%

ACX.AX Aconex Limited AUSTRALIA Yes Yes 1% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 38,000 60% 75% >38,000 75%

ACR.AX Acrux Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 430,000 50% 75% >430,000 75%

ADA.AX Adacel Technologies Limited AUSTRALIA Yes - No CR No 1% 0 - 46,100 25% 46,100 - 92,200 40% 40% 92,200 - 115,200 75% 75% >115,200 75%

ADH.AX Adairs Ltd AUSTRALIA Yes No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 800,000 60% 75% >800,000 75%

ABC.AX Adelaide Brighton Limited AUSTRALIA Yes Yes 0.3% 0 - 9,000 10% 9,000 - 90,000 20% 20% 90,000 - 774,000 30% 50% >774,000 75%

AHZ.AX Admedus Limited AUSTRALIA Yes - No CR No 0.7% 0 - 140,000 25% 140,000 - 849,800 40% 40% 849,800 - 2,800,000 60% 75% >2,800,000 75%

ADJ.AX Adslot Limited AUSTRALIA Yes - No CR No 1% 0 - 250,000 25% 250,000 - 750,000 40% 40% 750,000 - 1,000,000 60% 75% >1,000,000 75%

AIS.AX Aeris Resources Limited AUSTRALIA No No 0.3% 0 - 2,635,900 25% 2,635,900 - 5,271,800 40% 40% 5,271,800 - 6,589,700 75% 75% >6,589,700 75%

AFR.AX African Energy Resources Limited AUSTRALIA No No 0.3% 0 - 217,100 25% 217,100 - 434,200 40% 40% 434,200 - 542,700 75% 75% >542,700 75%

AFY.AX Afterpay Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

AGX.AX Agenix Limited AUSTRALIA No No 1% 0 - 838,700 25% 838,700 - 1,677,400 40% 40% 1,677,400 - 2,096,700 75% 75% >2,096,700 75%

AGI.AX Ainsworth Game Technology Limited AUSTRALIA Yes No 0.7% 0 - 50,000 20% 50,000 - 150,000 30% 30% 150,000 - 300,000 50% 60% >300,000 75%

AIZ.AX Air New Zealand Limited AUSTRALIA Yes No 1% 0 - 11,800 25% 11,800 - 23,600 40% 40% 23,600 - 89,600 60% 75% >89,600 75%

AQG.AX Alacer Gold Corporation AUSTRALIA Yes - No CR No 0.7% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

ACL.AX Alchemia Limited AUSTRALIA Yes - No CR No 1% 0 - 30,800 25% 30,800 - 61,600 40% 40% 61,600 - 217,700 60% 75% >217,700 75%

ALY.AX Alchemy Resources Limited AUSTRALIA No No 1% 0 - 768,800 25% 768,800 - 1,537,600 40% 40% 1,537,600 - 1,922,000 75% 75% >1,922,000 75%

AJX.AX Alexium International Group Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 1,000,000 60% 75% >1,000,000 75%

ALK.AX Alkane Resources Limited AUSTRALIA Yes No 1% 0 - 41,900 25% 41,900 - 83,800 40% 40% 83,800 - 206,900 60% 75% >206,900 75%

AQZ.AX Alliance Aviation Services Limited AUSTRALIA Yes - No CR No 1% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 120,000 75% 75% >120,000 75%

AGS.AX Alliance Resources Limited AUSTRALIA Yes No 0.7% 0 - 108,500 25% 108,500 - 217,000 40% 40% 217,000 - 271,200 75% 75% >271,200 75%

ALU.AX Altium Limited AUSTRALIA Yes - No CR Yes 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 155,000 75% 75% >155,000 75%

AOH.AX Altona Mining Limited AUSTRALIA Yes - No CR No 0.3% 0 - 102,500 25% 102,500 - 205,000 40% 40% 205,000 - 340,300 60% 75% >340,300 75%

AJM.AX Altura Mining Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 3,000,000 60% 75% >3,000,000 75%

AWC.AX Alumina Limited AUSTRALIA Yes Yes 0.3% 0 - 240,000 20% 240,000 - 2,520,000 35% 35% 2,520,000 - 6,480,000 50% 75% >6,480,000 75%

AMH.AX Amcil Limited AUSTRALIA Yes No 1% 0 - 20,700 25% 20,700 - 41,400 40% 40% 41,400 - 51,700 75% 75% >51,700 75%

AMC.AX Amcor Limited AUSTRALIA Yes Yes 0.3% 0 - 41,400 5% 41,400 - 207,000 10% 10% 207,000 - 2,525,400 20% 40% >2,525,400 75%

AGG.AX AngloGold Ashanti Limited AUSTRALIA No No 1% 0 - 4,700 20% 4,700 - 9,400 30% 30% 9,400 - 11,700 75% 75% >11,700 75%

ANN.AX Ansell Limited AUSTRALIA Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

AZZ.AX Antares Energy Limited AUSTRALIA Yes - No CR No 0.3% 0 - 36,500 25% 36,500 - 73,000 25% 25% 73,000 - 241,600 25% 25% >241,600 25%

ADO.AX Anteo Diagnostics Limited AUSTRALIA Yes - No CR No 1% 0 - 800,000 25% 800,000 - 2,400,000 40% 40% 2,400,000 - 4,000,000 60% 75% >4,000,000 75%

APX.AX Appen Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 80,000 60% 75% >80,000 75%

ARU.AX Arafura Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 190,200 25% 190,200 - 380,400 40% 40% 380,400 - 475,500 75% 75% >475,500 75%

AAD.AX Ardent Leisure Group AUSTRALIA Yes Yes 1% 0 - 20,000 20% 20,000 - 200,000 35% 35% 200,000 - 600,000 50% 75% >600,000 75%

ARFDC.AX Arena REIT AUSTRALIA Yes No 1% 0 - 75,000 25% 75,000 - 225,000 40% 40% 225,000 - 232,500 75% 75% >232,500 75%

ARG.AX Argo Investments Limited AUSTRALIA Yes - No CR No 1% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 50,000 60% 75% >50,000 75%

ARA.AX Ariadne Australia Limited AUSTRALIA No No 1% 0 - 51,300 25% 51,300 - 102,600 40% 40% 102,600 - 128,200 75% 75% >128,200 75%

ALL.AX Aristocrat Leisure Limited AUSTRALIA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

ARI.AX Arrium Limited AUSTRALIA Yes No 0.3% 0 - 70,000 10% 70,000 - 700,000 10% 10% 700,000 - 4,970,000 10% 10% >4,970,000 10%

AHY.AX Asaleo Care Limited AUSTRALIA Yes Yes 0.7% 0 - 200,000 15% 200,000 - 600,000 30% 30% 600,000 - 1,200,000 45% 60% >1,200,000 75%

AIO.AX Asciano Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 2,000,000 30% 50% >2,000,000 75%

AJD.AX Asia Pacific Data Centre Group AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 499,950,000 75% 75% >499,950,000 75%

APZ.AX Aspen Group AUSTRALIA Yes No 1% 0 - 14,200 25% 14,200 - 28,400 40% 40% 28,400 - 96,700 60% 75% >96,700 75%

AKM.AX Aspire Mining Limited AUSTRALIA Yes - No CR No 0.3% 0 - 392,600 25% 392,600 - 785,200 40% 40% 785,200 - 981,500 75% 75% >981,500 75%

AJA.AX Astro Japan Property Group AUSTRALIA Yes - No CR No 0.7% 0 - 4,700 25% 4,700 - 9,400 40% 40% 9,400 - 65,800 60% 75% >65,800 75%

ATR.AX Astron Corporation Limited AUSTRALIA No No 1% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 57,700 75% 75% >57,700 75%

AGO.AX Atlas Iron Limited AUSTRALIA Yes No 0.7% 0 - 140,000 25% 140,000 - 560,000 50% 50% 560,000 - 1,120,000 75% 75% >1,120,000 100%

ATU.AX Atrum Coal NL AUSTRALIA Yes - No CR No 1% 0 - 60,000 25% 60,000 - 180,000 40% 40% 180,000 - 186,000 75% 75% >186,000 75%

AIA.AX Auckland International Airport Limited AUSTRALIA No Yes 1% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

AKP.AX Audio Pixels Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 49,995,000 75% 75% >49,995,000 75%

AEE.AX Aura Energy Limited AUSTRALIA No No 0.3% 0 - 473,100 25% 473,100 - 946,200 40% 40% 946,200 - 1,182,700 75% 75% >1,182,700 75%

AMI.AX Aurelia Metals Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 200,000 50% 60% >200,000 75%

AZJ.AX Aurizon Holdings Limited AUSTRALIA Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 4,000,000 20% 40% >4,000,000 75%

ARM.AX Aurora Minerals Limited AUSTRALIA No No 0.3% 0 - 318,100 25% 318,100 - 636,200 40% 40% 636,200 - 795,200 75% 75% >795,200 75%

AST.AX AusNet Services Limited AUSTRALIA Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,200,000 35% 45% >1,200,000 75%

AOK.AX AusTex Oil Limited AUSTRALIA Yes - No CR No 1% 0 - 150,000 25% 150,000 - 450,000 40% 40% 450,000 - 600,000 60% 75% >600,000 75%

ASL.AX Ausdrill Limited AUSTRALIA Yes No 0.7% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

AAX.AX Ausen Company Limited AUSTRALIA No No 0.3% 0 - 26,000 25% 26,000 - 52,000 40% 40% 52,000 - 338,000 60% 75% >338,000 75%

ASB.AX Austal Limited AUSTRALIA Yes Yes 0.7% 0 - 21,200 25% 21,200 - 42,400 40% 40% 42,400 - 174,200 60% 75% >174,200 75%

ANG.AX Austin Engineering Limited AUSTRALIA Yes - No CR No 1% 0 - 5,500 25% 5,500 - 11,000 40% 40% 11,000 - 60,500 60% 75% >60,500 75%

APG.AX Austpac Resources NL AUSTRALIA No No 1% 0 - 738,000 25% 738,000 - 1,476,000 40% 40% 1,476,000 - 1,845,000 75% 75% >1,845,000 75%

ANZ.AX Australia & New Zealand Banking Group LimitedAUSTRALIA Yes Yes 0.3% 0 - 40,000 5% 40,000 - 260,000 10% 10% 260,000 - 1,040,000 20% 40% >1,040,000 75%

AAC.AX Australian Agricultural Company Limited AUSTRALIA Yes - No CR No 0.7% 0 - 15,800 25% 15,800 - 31,600 40% 40% 31,600 - 316,000 60% 75% >316,000 75%

ACO.AX Australian Careers Network Limited AUSTRALIA Yes No 1% 0 - 15,000 25% 15,000 - 30,000 25% 25% 30,000 - 45,000 25% 25% >45,000 25%

AFG.AX Australian Finance Group Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 110,000 60% 75% >110,000 75%

AFI.AX Australian Foundation Investment Company LimAUSTRALIA Yes No 1% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

ALF.AX Australian Leaders Fund Limited AUSTRALIA Yes No 1% 0 - 11,000 25% 11,000 - 22,000 40% 40% 22,000 - 189,700 60% 75% >189,700 75%

AUZ.AX Australian Mines Limited AUSTRALIA No No 1% 0 - 6,150,300 25% 6,150,300 - 12,300,60040% 40% 12,300,600 - 15,375,700 75% 75% >15,375,700 75%

API.AX Australian Pharmaceutical Industries Limited AUSTRALIA Yes Yes 1% 0 - 32,900 25% 32,900 - 65,800 40% 40% 65,800 - 477,000 60% 75% >477,000 75%

AUI.AX Australian United Investment Company Limited AUSTRALIA Yes No 1% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 15,100 60% 75% >15,100 75%

AVG.AX Australian Vintage Limited AUSTRALIA Yes - No CR No 1% 0 - 42,400 25% 42,400 - 84,800 40% 40% 84,800 - 214,500 60% 75% >214,500 75%

ABA.AX Auswide Bank Limited AUSTRALIA Yes No 1% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 9,300 60% 75% >9,300 75%

AHG.AX Automotive Holdings Group Limited AUSTRALIA Yes Yes 1% 0 - 6,000 20% 6,000 - 60,000 35% 35% 60,000 - 252,000 50% 75% >252,000 75%

AVB.AX Avanco Resources Limited AUSTRALIA Yes - No CR No 0.3% 0 - 300,000 25% 300,000 - 900,000 40% 40% 900,000 - 1,800,000 60% 75% >1,800,000 75%

AEV.AX Avenira Limited AUSTRALIA No No 1% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 354,700 75% 75% >354,700 75%

AVN.AX Aventus Retail Property Fund Ltd AUSTRALIA Yes No 1% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 399,960,000 75% 75% >399,960,000 75%

AOG.AX Aveo Group AUSTRALIA Yes Yes 0.7% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

AVX.AX Avexa Limited AUSTRALIA No No 1% 0 - 1,419,300 25% 1,419,300 - 2,838,600 40% 40% 2,838,600 - 3,548,200 75% 75% >3,548,200 75%

AVQ.AX Axiom Mining Limited AUSTRALIA Yes - No CR No 1% 0 - 1,419,300 25% 1,419,300 - 2,838,600 40% 40% 2,838,600 - 7,124,800 60% 75% >7,124,800 75%

APY.AX Azonto Petroleum Limited AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 500,000 40% 40% 500,000 - 600,000 50% 50% >600,000 75%

AZM.AX Azumah Resources Limited AUSTRALIA No No 1% 0 - 361,800 25% 361,800 - 723,600 40% 40% 723,600 - 904,500 75% 75% >904,500 75%

BCI.AX BC Iron Limited AUSTRALIA Yes - No CR No 1% 0 - 6,000 10% 6,000 - 50,000 20% 20% 50,000 - 474,000 50% 60% >474,000 75%

BGD.AX BGD Corporation Limited AUSTRALIA No No 1% 0 - 6,700 25% 6,700 - 40,200 30% 30% 40,200 - 44,600 50% 60% >44,600 75%

BHP.AX BHP Billiton Limited AUSTRALIA Yes Yes 0.3% 0 - 30,000 5% 30,000 - 242,700 10% 10% 242,700 - 960,000 20% 40% >960,000 75%

BKI.AX BKI Investment Company Limited AUSTRALIA Yes No 1% 0 - 11,400 25% 11,400 - 22,800 40% 40% 22,800 - 145,300 60% 75% >145,300 75%

BSA.AX BSA Limited AUSTRALIA Yes No 1% 0 - 160,400 25% 160,400 - 320,800 40% 40% 320,800 - 401,000 75% 75% >401,000 75%

BTT.AX BT Investment Management Limited AUSTRALIA Yes Yes 1% 0 - 2,900 25% 2,900 - 5,800 40% 40% 5,800 - 58,000 60% 75% >58,000 75%

BWP.AX BWP Trust AUSTRALIA Yes Yes 0.7% 0 - 20,000 20% 20,000 - 200,000 35% 35% 200,000 - 820,000 50% 75% >820,000 75%

BWX.AX BWX Limited AUSTRALIA Yes No 1% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 50% 60% >600,000 75%

BBN.AX Baby Bunting Group Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 360,000 50% 60% >360,000 75%

BOQ.AX Bank of Queensland Limited AUSTRALIA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

BMN.AX Bannerman Resources Limited AUSTRALIA No No 0.7% 0 - 259,900 25% 259,900 - 519,800 40% 40% 519,800 - 649,700 75% 75% >649,700 75%

BSE.AX Base Resources Limited AUSTRALIA Yes - No CR No 0.3% 0 - 42,400 25% 42,400 - 84,800 40% 40% 84,800 - 281,500 60% 75% >281,500 75%

BRL.AX Bathurst Resources Limited AUSTRALIA Yes No 0.7% 0 - 115,300 25% 115,300 - 230,600 40% 40% 230,600 - 884,300 60% 75% >884,300 75%

BAU.AX Bauxite Resources Limited AUSTRALIA No No 1% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 354,700 75% 75% >354,700 75%

BPT.AX Beach Energy Limited AUSTRALIA Yes Yes 0.7% 0 - 80,000 20% 80,000 - 800,000 35% 35% 800,000 - 2,480,000 50% 75% >2,480,000 75%

BDR.AX Beadell Resources Limited AUSTRALIA Yes No 0.7% 0 - 50,000 20% 50,000 - 500,000 35% 35% 500,000 - 2,500,000 50% 75% >2,500,000 75%

BGA.AX Bega Cheese Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 20% 5,000 - 50,000 35% 35% 50,000 - 210,000 50% 75% >210,000 75%

BFG.AX Bell Financial Group Limited AUSTRALIA No No 1% 0 - 28,600 25% 28,600 - 57,200 40% 40% 57,200 - 71,500 75% 75% >71,500 75%

BAL.AX Bellamy's Australia Limited AUSTRALIA Yes - No CR No 1% 0 - 70,000 25% 70,000 - 210,000 40% 40% 210,000 - 699,930,000 75% 75% >699,930,000 75%

BEN.AX Bendigo and Adelaide Bank Limited AUSTRALIA Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 730,000 30% 50% >730,000 75%

COMMSEC CFD TIERED MARGINS

Domestic and International Equities






BLT.AX Benitec Biopharma Limited AUSTRALIA Yes - No CR No 1% 0 - 525,000 25% 525,000 - 1,496,200 40% 40% 1,496,200 - 524,475,000 75% 75% >524,475,000 75%

BKY.AX Berkeley Energia Limited AUSTRALIA Yes No 1% 0 - 64,700 25% 64,700 - 129,400 40% 40% 129,400 - 161,700 75% 75% >161,700 75%

BFC.AX Beston Global Food Company Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

BEAR.AX BetaShares Australian Equities Bear Hedge FunAUSTRALIA Yes No 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

BBOZ.AX BetaShares Australian Equities Strong Bear HedAUSTRALIA Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

AAA.AX BetaShares Australian High Interest Cash ETF AUSTRALIA Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

GEAR.AX BetaShares Geared Australian Equity Fund (hedAUSTRALIA Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

NDQ.AX BetaShares NASDAQ 100 ETF AUSTRALIA Yes No 1% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 25,000 60% 75% >25,000 75%

QFN.AX BetaShares S&P ASX 200 Financials Sector ETAUSTRALIA Yes No 1% 0 - 3,000 5% 3,000 - 7,200 10% 10% 7,200 - 9,000 20% 20% >9,000 38%

USD.AX BetaShares U.S. Dollar ETF AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

BGL.AX BigAir Group Limited AUSTRALIA Yes - No CR No 1% 0 - 70,000 25% 70,000 - 210,000 40% 40% 210,000 - 217,000 75% 75% >217,000 75%

BBG.AX Billabong International Limited AUSTRALIA Yes - No CR No 0.3% 0 - 12,000 20% 12,000 - 69,900 30% 30% 69,900 - 192,000 50% 60% >192,000 75%

BNO.AX Bionomics Limited AUSTRALIA Yes - No CR No 1% 0 - 27,700 25% 27,700 - 55,400 40% 40% 55,400 - 255,600 60% 75% >255,600 75%

BIS.AX Bisalloy Steel Group Limited AUSTRALIA No No 1% 0 - 23,700 25% 23,700 - 47,400 40% 40% 47,400 - 59,200 75% 75% >59,200 75%

BGG.AX Blackgold International Holdings Limited AUSTRALIA No No 0.3% 0 - 119,000 25% 119,000 - 238,000 40% 40% 238,000 - 297,500 75% 75% >297,500 75%

BKL.AX Blackmores Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,400 60% 75% >7,400 75%

BWR.AX Blackwall Property Trust AUSTRALIA No No 1% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 29,997,000 75% 75% >29,997,000 75%

BLG.AX BluGlass Limited AUSTRALIA No No 1% 0 - 105,400 25% 105,400 - 210,800 40% 40% 210,800 - 263,500 75% 75% >263,500 75%

BUL.AX Blue Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 275,400 25% 275,400 - 550,800 40% 40% 550,800 - 702,200 60% 75% >702,200 75%

BLA.AX Blue Sky Alternative Investments Limited AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 45,000 40% 40% 45,000 - 46,500 75% 75% >46,500 75%

BAF.AX Blue Sky Alternatives Access Fund Limited AUSTRALIA Yes - No CR No 0.3% 0 - 25,000 10% 25,000 - 50,000 20% 20% 50,000 - 249,975,000 75% 75% >249,975,000 30%

BSL.AX BlueScope Steel Limited AUSTRALIA Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 2,000,000 30% 50% >2,000,000 75%

BLY.AX Boart Longyear Limited AUSTRALIA Yes No 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

BOL.AX Boom Logistics Limited AUSTRALIA Yes - No CR No 1% 0 - 115,300 25% 115,300 - 230,600 40% 40% 230,600 - 677,900 60% 75% >677,900 75%

BLD.AX Boral Limited AUSTRALIA Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 2,500,000 30% 50% >2,500,000 75%

BOC.AX Bougainville Copper Limited AUSTRALIA Yes - No CR No 1% 0 - 38,400 25% 38,400 - 76,800 40% 40% 76,800 - 96,000 75% 75% >96,000 75%

BKN.AX Bradken Limited AUSTRALIA Yes - No CR No 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 650,000 30% 50% >650,000 75%

BRN.AX BrainChip Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 150,000 25% 150,000 - 900,000 40% 40% 900,000 - 3,150,000 60% 75% >3,150,000 75%

BXB.AX Brambles Limited AUSTRALIA Yes Yes 0.3% 0 - 51,000 5% 51,000 - 153,000 10% 10% 153,000 - 2,550,000 20% 40% >2,550,000 75%

BRG.AX Breville Group Limited AUSTRALIA Yes No 1% 0 - 3,000 20% 3,000 - 30,000 35% 35% 30,000 - 141,000 50% 75% >141,000 75%

BKW.AX Brickworks Limited AUSTRALIA Yes No 1% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 24,000 60% 75% >24,000 75%

BRS.AX Bristile Pty Limited AUSTRALIA Yes No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 1,000,000 50% 60% >1,000,000 75%

BCK.AX Brockman Mining Limited AUSTRALIA No No 0.3% 0 - 341,700 25% 341,700 - 683,400 40% 40% 683,400 - 854,200 75% 75% >854,200 75%

BUD.AX Buddy Platform Limited AUSTRALIA Yes - No CR No 1% 0 - 200,000 25% 200,000 - 800,000 40% 40% 800,000 - 1,200,000 60% 75% >1,200,000 75%

BAP.AX Burson Group Limited AUSTRALIA Yes Yes 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 150,000 75% 75% >150,000 75%

BRU.AX Buru Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 11,500 25% 11,500 - 23,000 40% 40% 23,000 - 402,500 50% 60% >402,500 75%

CSV.AX CSG Limited AUSTRALIA Yes - No CR Yes 1% 0 - 19,500 25% 19,500 - 39,000 40% 40% 39,000 - 209,600 60% 75% >209,600 75%

CSL.AX CSL Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 6,300 5% 6,300 - 50,400 10% 10% 50,400 - 541,800 20% 40% >541,800 75%

CSR.AX CSR Limited AUSTRALIA Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%

CVC.AX CVC Limited AUSTRALIA No No 1% 0 - 14,400 25% 14,400 - 28,800 40% 40% 28,800 - 36,000 75% 75% >36,000 75%

CYB.AX CYBG PLC AUSTRALIA Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 15% 15% 80,000 - 320,000 30% 30% >320,000 75%

CAB.AX Cabcharge Australia Limited AUSTRALIA Yes No 0.3% 0 - 5,000 20% 5,000 - 50,000 35% 35% 50,000 - 190,000 50% 75% >190,000 75%

CDM.AX Cadence Capital Limited AUSTRALIA Yes No 0.7% 0 - 12,700 25% 12,700 - 25,400 40% 40% 25,400 - 122,100 60% 75% >122,100 75%

CTX.AX Caltex Australia Limited AUSTRALIA Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 400,000 30% 50% >400,000 75%

CFE.AX Cape Lambert Resources Limited AUSTRALIA Yes No 1% 0 - 167,700 25% 167,700 - 335,400 40% 40% 335,400 - 595,300 60% 75% >595,300 75%

CZZ.AX Capilano Honey Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 75%

CAJ.AX Capitol Health Limited AUSTRALIA Yes No 1% 0 - 38,000 25% 38,000 - 76,000 40% 40% 76,000 - 760,000 60% 75% >760,000 75%

CAA.AX Capral Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 75% 75% >200,000 75%

CNXO.AX Carbon Energy - JUL16 6C OPTIONS AUSTRALIA No No 1% 0 - 1,000,000 25% 1,000,000 - 2,000,000 50% 50% 2,000,000 - 4,000,000 75% 75% >4,000,000 75%

CNX.AX Carbon Energy Limited AUSTRALIA No No 1% 0 - 922,600 25% 922,600 - 1,845,200 40% 40% 1,845,200 - 2,306,500 75% 75% >2,306,500 75%

CDD.AX Cardno Limited AUSTRALIA Yes - No CR No 1% 0 - 7,000 20% 7,000 - 70,000 35% 35% 70,000 - 273,000 50% 75% >273,000 75%

CDP.AX Carindale Property Trust AUSTRALIA Yes - No CR No 1% 0 - 3,400 25% 3,400 - 6,800 40% 40% 6,800 - 8,500 75% 75% >8,500 75%

CIN.AX Carlton Investments Limited AUSTRALIA Yes No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

CVN.AX Carnarvon Petroleum Limited AUSTRALIA Yes - No CR No 0.7% 0 - 267,400 25% 267,400 - 534,800 40% 40% 534,800 - 855,600 60% 75% >855,600 75%

CWE.AX Carnegie Wave Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 341,700 25% 341,700 - 683,400 40% 40% 683,400 - 1,247,200 60% 75% >1,247,200 75%

CCV.AX Cash Converters International Limited AUSTRALIA Yes Yes 1% 0 - 21,000 25% 21,000 - 42,000 40% 40% 42,000 - 420,000 60% 75% >420,000 75%

CAT.AX Catapult Group International Limited AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 149,985,000 75% 75% >149,985,000 75%

CWP.AX Cedar Woods Properties Limited AUSTRALIA Yes - No CR No 1% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 50,000 60% 75% >50,000 75%

CLT.AX Cellnet Group Limited AUSTRALIA No No 1% 0 - 80,200 25% 80,200 - 160,400 40% 40% 160,400 - 200,500 75% 75% >200,500 75%

CTP.AX Central Petroleum Limited AUSTRALIA Yes - No CR No 1% 0 - 48,600 25% 48,600 - 97,200 40% 40% 97,200 - 212,800 60% 75% >212,800 75%

CXM.AX Centrex Metals Limited AUSTRALIA No No 1% 0 - 147,600 25% 147,600 - 295,200 40% 40% 295,200 - 369,000 75% 75% >369,000 75%

CYA.AX Century Australia Investments Limited AUSTRALIA Yes No 1% 0 - 21,300 25% 21,300 - 42,600 40% 40% 42,600 - 53,200 75% 75% >53,200 75%

CGF.AX Challenger Limited AUSTRALIA Yes - No CR Yes 0.7% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

CHC.AX Charter Hall Group AUSTRALIA Yes Yes 1% 0 - 8,000 20% 8,000 - 80,000 35% 35% 80,000 - 304,000 50% 75% >304,000 75%

CQR.AX Charter Hall Retail REIT AUSTRALIA Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 730,000 30% 50% >730,000 75%

CHZ.AX Chesser Resources Limited AUSTRALIA No No 0.3% 0 - 127,200 25% 127,200 - 254,400 40% 40% 254,400 - 318,000 75% 75% >318,000 75%

CDC.AX China Dairy Corporation Limited AUSTRALIA Yes No 1% 0 - 60,000 25% 60,000 - 360,000 40% 40% 360,000 - 600,000 50% 60% >600,000 75%

CNU.AX Chorus Limited AUSTRALIA Yes No 0.3% 0 - 13,900 25% 13,900 - 27,800 40% 40% 27,800 - 246,700 60% 75% >246,700 75%

CTO.AX Citigold Corporation Limited AUSTRALIA Yes No 1% 0 - 401,100 25% 401,100 - 802,200 40% 40% 802,200 - 1,002,700 75% 75% >1,002,700 75%

CND.AX Clarius Group Limited AUSTRALIA No No 1% 0 - 94,600 25% 94,600 - 189,200 40% 40% 189,200 - 236,500 75% 75% >236,500 75%

CSS.AX Clean Seas Tuna Limited AUSTRALIA Yes - No CR No 1% 0 - 302,500 25% 302,500 - 605,000 40% 40% 605,000 - 4,537,500 60% 75% >4,537,500 75%

TPI.AX Cleanaway Waste Management Limited AUSTRALIA Yes - No CR No 0.3% 0 - 60,000 10% 60,000 - 600,000 20% 20% 600,000 - 4,500,000 30% 50% >4,500,000 75%

CWY.AX Cleanaway Waste Management Limited AUSTRALIA Yes - No CR Yes 1% 0 - 60,000 10% 60,000 - 600,000 20% 20% 600,000 - 1,500,000 50% 50% >1,500,000 75%

CVW.AX ClearView Wealth Limited AUSTRALIA No No 0.3% 0 - 27,100 25% 27,100 - 54,200 40% 40% 54,200 - 67,700 75% 75% >67,700 75%

CUV.AX Clinuvel Pharmaceuticals Limited AUSTRALIA Yes - No CR No 1% 0 - 12,100 25% 12,100 - 24,200 40% 40% 24,200 - 30,200 75% 75% >30,200 75%

CLV.AX Clover Corporation Limited AUSTRALIA No No 1% 0 - 32,900 25% 32,900 - 65,800 40% 40% 65,800 - 82,200 75% 75% >82,200 75%

CZA.AX Coal of Africa Limited AUSTRALIA No No 1% 0 - 184,500 25% 184,500 - 369,000 40% 40% 369,000 - 461,200 75% 75% >461,200 75%

CCL.AX Coca-Cola Amatil Limited AUSTRALIA Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 999,000 20% 40% >999,000 75%

COH.AX Cochlear Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 20,000 20% 20% 20,000 - 140,000 30% 50% >140,000 75%

CDA.AX Codan Limited AUSTRALIA Yes - No CR No 1% 0 - 18,600 25% 18,600 - 37,200 40% 40% 37,200 - 302,200 60% 75% >302,200 75%

COF.AX Coffey International Limited AUSTRALIA Yes No 1% 0 - 82,000 25% 82,000 - 164,000 40% 40% 164,000 - 184,500 60% 75% >184,500 75%

CKA.AX Cokal Limited AUSTRALIA Yes - No CR No 0.3% 0 - 92,300 25% 92,300 - 184,600 40% 40% 184,600 - 465,100 60% 75% >465,100 75%

CLH.AX Collection House Limited AUSTRALIA Yes No 1% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 200,000 60% 75% >200,000 75%

CKF.AX Collins Foods Limited AUSTRALIA Yes - No CR No 0.3% 0 - 8,700 25% 8,700 - 17,400 40% 40% 17,400 - 93,500 60% 75% >93,500 75%

CBA.AX Commonwealth Bank of Australia AUSTRALIA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 124,000 10% 10% 124,000 - 495,000 20% 40% >495,000 75%

CPU.AX Computershare Limited AUSTRALIA Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 1,000,000 30% 50% >1,000,000 75%

CTN.AX Contango MicroCap Limited AUSTRALIA Yes No 1% 0 - 17,400 25% 17,400 - 34,800 40% 40% 34,800 - 79,800 60% 75% >79,800 75%

CCC.AX Continental Coal Limited AUSTRALIA No No 0.3% 0 - 100,000 25% 100,000 - 600,000 25% 25% 600,000 - 1,000,000 25% 25% >1,000,000 25%

COE.AX Cooper Energy Limited AUSTRALIA Yes No 1% 0 - 35,800 25% 35,800 - 71,600 40% 40% 71,600 - 279,200 60% 75% >279,200 75%

CTD.AX Corporate Travel Management Limited AUSTRALIA Yes - No CR No 1% 0 - 3,400 25% 3,400 - 6,800 40% 40% 6,800 - 56,900 60% 75% >56,900 75%

CGC.AX Costa Group Holdings Limited AUSTRALIA Yes Yes 1% 0 - 15,000 15% 15,000 - 90,000 30% 30% 90,000 - 300,000 45% 45% >300,000 75%

CVT.AX Covata Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 1,020,000 60% 75% >1,020,000 75%

CYG.AX Coventry Group Limited AUSTRALIA No No 1% 0 - 6,600 25% 6,600 - 13,200 40% 40% 13,200 - 16,100 60% 75% >16,100 75%

CVO.AX Cover-More Group Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 249,950,000 75% 75% >249,950,000 75%

CCP.AX Credit Corp. Group Limited AUSTRALIA Yes No 1% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 40,000 60% 75% >40,000 75%

CMW.AX Cromwell Property Group AUSTRALIA Yes - No CR Yes 1% 0 - 50,000 20% 50,000 - 500,000 35% 35% 500,000 - 2,000,000 50% 75% >2,000,000 75%

CWN.AX Crown Resorts Limited AUSTRALIA Yes No 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 875,000 20% 40% >875,000 75%

CDU.AX CuDe Company Limited AUSTRALIA Yes - No CR No 0.7% 0 - 30,000 50% 30,000 - 300,000 75% 75% 300,000 - 1,170,000 88% 88% >1,170,000 90%

CDUR.AX CuDe Company Limited AUSTRALIA No No 1% 0 - 30,000 50% 30,000 - 60,000 55% 55% 60,000 - 90,000 60% 60% >90,000 75%

CUE.AX Cue Energy Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 354,700 75% 75% >354,700 75%

DGR.AX DGR Global Limited AUSTRALIA No No 1% 0 - 615,000 25% 615,000 - 1,230,000 40% 40% 1,230,000 - 1,537,500 75% 75% >1,537,500 75%

DUE.AX DUET Group AUSTRALIA Yes Yes 0.3% 0 - 50,000 20% 50,000 - 500,000 35% 35% 500,000 - 3,000,000 50% 75% >3,000,000 75%

DWS.AX DWS Limited AUSTRALIA Yes No 1% 0 - 14,700 25% 14,700 - 29,400 40% 40% 29,400 - 57,900 60% 75% >57,900 75%

DCN.AX Dacian Gold Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 199,980,000 75% 75% >199,980,000 75%

DNK.AX Danakali Limited AUSTRALIA No No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 80,000 60% 75% >80,000 75%

DTL.AX Data#3 Limited AUSTRALIA Yes No 1% 0 - 20,500 25% 20,500 - 41,000 40% 40% 41,000 - 103,100 60% 75% >103,100 75%

DCG.AX Decmil Group Limited AUSTRALIA Yes Yes 1% 0 - 9,400 25% 9,400 - 18,800 40% 40% 18,800 - 188,000 60% 75% >188,000 75%

DYL.AX Deep Yellow Limited AUSTRALIA Yes No 1% 0 - 838,700 25% 838,700 - 1,677,400 40% 40% 1,677,400 - 2,096,700 75% 75% >2,096,700 75%

DXS.AX Dexus Property Group AUSTRALIA Yes Yes 0.3% 0 - 31,700 10% 31,700 - 332,800 20% 20% 332,800 - 1,680,100 30% 50% >1,680,100 75%

DDR.AX Dicker Data Limited AUSTRALIA Yes - No CR No 1% 0 - 12,000 25% 12,000 - 24,000 40% 40% 24,000 - 60,000 60% 75% >60,000 75%

DUI.AX Diversified United Investment Limited AUSTRALIA Yes No 1% 0 - 5,100 25% 5,100 - 10,200 40% 40% 10,200 - 32,200 60% 75% >32,200 75%

DJW.AX Djerriwarrh Investments Limited AUSTRALIA Yes No 1% 0 - 4,100 25% 4,100 - 8,200 40% 40% 8,200 - 52,200 60% 75% >52,200 75%

DMP.AX Domino's Pizza Enterprises Limited AUSTRALIA Yes - No CR Yes 1% 0 - 4,000 20% 4,000 - 40,000 35% 35% 40,000 - 112,000 50% 75% >112,000 75%

DNA.AX Donaco International Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

DFM.AX Dongfang Modern Agriculture Holding Group LimAUSTRALIA Yes - No CR No 1% 0 - 3,500 25% 3,500 - 10,500 40% 40% 10,500 - 34,996,500 75% 75% >34,996,500 75%

DRM.AX Doray Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 17,800 25% 17,800 - 35,600 40% 40% 35,600 - 222,500 60% 75% >222,500 75%

DOW.AX Downer EDI Limited AUSTRALIA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

DLS.AX Drillsearch Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 20% 25,000 - 250,000 35% 35% 250,000 - 900,000 50% 75% >900,000 75%

DLX.AX DuluxGroup Limited AUSTRALIA Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 648,000 30% 50% >648,000 75%

DYE.AX Dyesol Limited AUSTRALIA Yes No 1% 0 - 64,700 25% 64,700 - 129,400 40% 40% 129,400 - 210,200 60% 75% >210,200 75%

EPW.AX ERM Power Limited AUSTRALIA Yes - No CR No 0.7% 0 - 60,000 20% 60,000 - 180,000 30% 30% 180,000 - 186,000 75% 75% >186,000 75%

GOLD.AX ETFS Physical Gold AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

ECX.AX Eclipx Group Limited AUSTRALIA Yes No 1% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 200,000 60% 75% >200,000 75%

EDE.AX Eden Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000,000 25% 1,000,000 - 3,000,000 40% 40% 3,000,000 - 1,409,065,4075% 75% >1,409,065,408 75%

ELD.AX Elders Limited AUSTRALIA Yes - No CR No 0.7% 0 - 160,400 25% 160,400 - 320,800 40% 40% 320,800 - 460,300 60% 75% >460,300 75%

EOS.AX Electro Optic Systems Holdings Limited AUSTRALIA No No 1% 0 - 46,100 25% 46,100 - 92,200 40% 40% 92,200 - 115,200 75% 75% >115,200 75%

ELM.AX Elemental Minerals Limited AUSTRALIA Yes - No CR No 0.3% 0 - 82,000 25% 82,000 - 164,000 40% 40% 164,000 - 205,000 75% 75% >205,000 75%

ELMO.AX Elemental Minerals Ltd AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 200,000 50% 50% 200,000 - 300,000 75% 75% >300,000 75%

EXR.AX Elixir Petroleum Limited AUSTRALIA No No 0.3% 0 - 2,635,900 25% 2,635,900 - 5,271,800 40% 40% 5,271,800 - 6,589,700 75% 75% >6,589,700 75%

EHL.AX Emeco Holdings Limited AUSTRALIA Yes No 0.7% 0 - 69,600 25% 69,600 - 139,200 40% 40% 139,200 - 1,392,000 60% 75% >1,392,000 75%






EML.AX Emerchants Limited AUSTRALIA Yes - No CR No 1% 0 - 60,000 25% 60,000 - 180,000 40% 40% 180,000 - 186,000 75% 75% >186,000 75%

EEG.AX Empire Energy Group Limited AUSTRALIA Yes No 1% 0 - 184,500 25% 184,500 - 369,000 40% 40% 369,000 - 461,200 75% 75% >461,200 75%

EGO.AX Empire Oil & Gas NL AUSTRALIA No No 1% 0 - 2,050,100 25% 2,050,100 - 4,100,200 40% 40% 4,100,200 - 6,150,300 60% 75% >6,150,300 75%

EPD.AX Empired Limited AUSTRALIA Yes - No CR No 1% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 120,000 75% 75% >120,000 75%

EMU.AX Emu NL AUSTRALIA No No 1% 0 - 369,000 25% 369,000 - 738,000 40% 40% 738,000 - 922,500 75% 75% >922,500 75%

EVR.AX Endeavour Mining Corporation AUSTRALIA Yes - No CR No 1% 0 - 22,500 25% 22,500 - 45,000 40% 40% 45,000 - 161,300 60% 75% >161,300 75%

EME.AX Energy Metals Limited AUSTRALIA No No 1% 0 - 123,000 25% 123,000 - 246,000 40% 40% 246,000 - 307,500 75% 75% >307,500 75%

ERA.AX Energy Resources of Australia Limited AUSTRALIA Yes No 0.3% 0 - 15,100 25% 15,100 - 30,200 40% 40% 30,200 - 230,200 60% 75% >230,200 75%

EWC.AX Energy World Corporation Limited AUSTRALIA Yes No 1% 0 - 54,300 25% 54,300 - 108,600 40% 40% 108,600 - 923,100 60% 75% >923,100 75%

EGN.AX Engen Company Limited AUSTRALIA No No 1% 0 - 119,000 25% 119,000 - 238,000 40% 40% 238,000 - 297,500 75% 75% >297,500 75%

E88.AX Ensogo Limited AUSTRALIA No No 1% 0 - 150,000 25% 150,000 - 450,000 50% 50% 450,000 - 900,000 60% 75% >900,000 75%

ETE.AX Entek Energy Limited AUSTRALIA No No 0.3% 0 - 559,100 25% 559,100 - 1,118,200 40% 40% 1,118,200 - 1,397,700 75% 75% >1,397,700 75%

EQX.AX Equatorial Resources Limited AUSTRALIA Yes - No CR No 0.3% 0 - 32,900 25% 32,900 - 65,800 40% 40% 65,800 - 82,200 75% 75% >82,200 75%

EQT.AX Equity Trustees Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

EHE.AX Estia Health Limited AUSTRALIA Yes - No CR Yes 0.7% 0 - 60,000 20% 60,000 - 120,000 40% 40% 120,000 - 240,000 50% 60% >240,000 75%

EPX.AX Ethane Pipeline Income Fund AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 100,000 60% 75% >100,000 75%

EGH.AX Eureka Group Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 399,960,000 75% 75% >399,960,000 75%

EZL.AX Euroz Limited AUSTRALIA Yes No 1% 0 - 14,900 25% 14,900 - 29,800 40% 40% 29,800 - 34,500 60% 75% >34,500 75%

EVT.AX Event Hospitality & Entertainment Limited AUSTRALIA Yes No 1% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 46,000 60% 75% >46,000 75%

EVN.AX Evolution Mining Limited AUSTRALIA Yes Yes 0.3% 0 - 30,000 20% 30,000 - 300,000 35% 35% 300,000 - 990,000 50% 75% >990,000 75%

EXM.AX Excalibur Mining Corporation Limited AUSTRALIA No No 1% 0 - 1,537,600 25% 1,537,600 - 3,075,200 40% 40% 3,075,200 - 3,844,000 75% 75% >3,844,000 75%

FAR.AX FAR Limited AUSTRALIA Yes - No CR No 1% 0 - 348,100 25% 348,100 - 696,200 40% 40% 696,200 - 4,264,200 60% 75% >4,264,200 75%

FSA.AX FSA Group Limited AUSTRALIA Yes No 1% 0 - 13,500 25% 13,500 - 27,000 40% 40% 27,000 - 49,200 60% 75% >49,200 75%

FXJ.AX Fairfax Media Limited AUSTRALIA Yes Yes 0.3% 0 - 120,000 10% 120,000 - 999,600 20% 20% 999,600 - 5,520,000 30% 50% >5,520,000 75%

FAN.AX Fantastic Holdings Limited AUSTRALIA No No 1% 0 - 9,300 25% 9,300 - 18,600 40% 40% 18,600 - 35,900 60% 75% >35,900 75%

FRI.AX Finbar Group Limited AUSTRALIA Yes - No CR No 1% 0 - 11,200 25% 11,200 - 22,400 40% 40% 22,400 - 80,100 60% 75% >80,100 75%

FSE.AX Firestone Energy Limited AUSTRALIA No No 1% 0 - 2,306,400 25% 2,306,400 - 4,612,800 40% 40% 4,612,800 - 5,766,000 75% 75% >5,766,000 75%

FPH.AX Fisher & Paykel Healthcare Corporation LimitedAUSTRALIA Yes Yes 1% 0 - 4,900 25% 4,900 - 9,800 40% 40% 9,800 - 32,000 60% 75% >32,000 75%

FZR.AX Fitzroy River Corporation Limited AUSTRALIA No No 1% 0 - 47,900 25% 47,900 - 95,800 40% 40% 95,800 - 119,700 75% 75% >119,700 75%

FWD.AX Fleetwood Corporation Limited AUSTRALIA Yes No 0.7% 0 - 6,500 25% 6,500 - 13,000 40% 40% 13,000 - 130,000 60% 75% >130,000 75%

FBU.AX Fletcher Building Limited AUSTRALIA Yes Yes 1% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 580,000 30% 50% >580,000 75%

FXL.AX FlexiGroup Limited AUSTRALIA Yes Yes 1% 0 - 9,000 20% 9,000 - 90,000 35% 35% 90,000 - 450,000 50% 75% >450,000 75%

FLT.AX Flight Centre Travel Group Limited AUSTRALIA Yes No 0.7% 0 - 4,000 10% 4,000 - 40,000 20% 20% 40,000 - 240,000 30% 50% >240,000 75%

FMS.AX Flinders Mines Limited AUSTRALIA Yes - No CR No 1% 0 - 595,200 25% 595,200 - 1,190,400 40% 40% 1,190,400 - 2,101,000 60% 75% >2,101,000 75%

FML.AX Focus Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 1,153,200 25% 1,153,200 - 2,306,400 40% 40% 2,306,400 - 4,705,000 60% 75% >4,705,000 75%

FET.AX Folkestone Education Trust AUSTRALIA Yes - No CR Yes 1% 0 - 12,500 25% 12,500 - 37,500 40% 40% 37,500 - 62,500 60% 75% >62,500 75%

FSF.AX Fonterra Shareholders Fund AUSTRALIA Yes - No CR No 1% 0 - 3,200 25% 3,200 - 6,400 40% 40% 6,400 - 58,400 60% 75% >58,400 75%

FMG.AX Fortescue Metals Group Limited AUSTRALIA Yes No 0.3% 0 - 80,000 10% 80,000 - 800,000 20% 20% 800,000 - 6,320,000 40% 40% >6,320,000 75%

FXR.AX Fox Resources Limited AUSTRALIA No No 1% 0 - 2,050,100 25% 2,050,100 - 4,100,200 40% 40% 4,100,200 - 5,125,200 75% 75% >5,125,200 75%

FNP.AX Freedom Foods Group Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 80,000 60% 75% >80,000 75%

FLN.AX Freelancer Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%

FUN.AX Funtastic Limited AUSTRALIA Yes No 1% 0 - 136,700 25% 136,700 - 273,400 40% 40% 273,400 - 746,300 60% 75% >746,300 75%

GEM.AX G8 Education Limited AUSTRALIA Yes - No CR No 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 780,000 30% 50% >780,000 75%

GBT.AX GBST Holdings Limited AUSTRALIA Yes No 1% 0 - 5,800 25% 5,800 - 11,600 40% 40% 11,600 - 95,700 60% 75% >95,700 75%

GDI.AX GDI Property Group AUSTRALIA Yes - No CR Yes 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 1,000,000 60% 75% >1,000,000 75%

GID.AX GI Dynamics Inc AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 155,000 75% 75% >155,000 75%

GPT.AX GPT Group AUSTRALIA Yes Yes 0.7% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 3,000,000 30% 50% >3,000,000 75%

GMF.AX GPT Metro Office Fund AUSTRALIA Yes No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 60,000 60% 75% >60,000 75%

GUD.AX GUD Holdings Limited AUSTRALIA Yes No 0.3% 0 - 4,000 20% 4,000 - 40,000 35% 35% 40,000 - 152,000 50% 75% >152,000 75%

GWA.AX GWA Group Limited AUSTRALIA Yes Yes 0.3% 0 - 7,000 20% 7,000 - 70,000 35% 35% 70,000 - 378,000 50% 75% >378,000 75%

GWR.AX GWR Group Limited AUSTRALIA No No 1% 0 - 127,200 25% 127,200 - 254,400 40% 40% 254,400 - 318,000 75% 75% >318,000 75%

GRB.AX Gage Roads Brewing Company Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 200,000 40% 40% 200,000 - 300,000 75% 75% >300,000 75%

GAP.AX Gale Pacific Limited AUSTRALIA No No 1% 0 - 62,500 25% 62,500 - 125,000 40% 40% 125,000 - 156,200 75% 75% >156,200 75%

GJT.AX Galileo Japan Trust AUSTRALIA No No 1% 0 - 12,100 25% 12,100 - 24,200 40% 40% 24,200 - 154,200 60% 75% >154,200 75%

GCY.AX Gascoyne Resources Limited AUSTRALIA No No 1% 0 - 17,500 50% 17,500 - 26,200 60% 60% 26,200 - 52,500 75% 75% >52,500 75%

GTY.AX Gateway Lifestyle Group AUSTRALIA Yes No 1% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

GMM.AX General Mining Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 950,000 60% 75% >950,000 75%

GHC.AX Generation Healthcare REIT AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 180,000 60% 75% >180,000 75%

GNE.AX Genesis Energy Limited AUSTRALIA Yes No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 60% 75% >200,000 75%

GTG.AX Genetic Technologies Limited AUSTRALIA No No 1% 0 - 275,400 25% 275,400 - 550,800 40% 40% 550,800 - 688,500 75% 75% >688,500 75%

GMA.AX Genworth Mortgage Insurance Australia Limited AUSTRALIA Yes No 0.7% 0 - 50,000 20% 50,000 - 100,000 40% 40% 100,000 - 200,000 50% 60% >200,000 75%

GDY.AX Geodynamics Limited AUSTRALIA Yes No 0.7% 0 - 219,700 25% 219,700 - 439,400 40% 40% 439,400 - 549,200 75% 75% >549,200 75%

GBG.AX Gindalbie Metals Limited AUSTRALIA Yes No 1% 0 - 186,400 25% 186,400 - 372,800 40% 40% 372,800 - 1,625,400 60% 75% >1,625,400 75%

GLB.AX Globe International Limited AUSTRALIA No No 1% 0 - 59,500 25% 59,500 - 119,000 40% 40% 119,000 - 148,700 75% 75% >148,700 75%

GBE.AX Globe Metals & Mining Limited AUSTRALIA No No 1% 0 - 559,100 25% 559,100 - 1,118,200 40% 40% 1,118,200 - 1,397,700 75% 75% >1,397,700 75%

GOR.AX Gold Road Resources Limited AUSTRALIA Yes No 0.3% 0 - 123,000 25% 123,000 - 246,000 40% 40% 246,000 - 552,200 60% 75% >552,200 75%

GMG.AX Goodman Group AUSTRALIA Yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 2,520,000 30% 50% >2,520,000 75%

GOW.AX Gowing Bros Limited AUSTRALIA Yes No 1% 0 - 7,200 25% 7,200 - 14,400 40% 40% 14,400 - 18,000 75% 75% >18,000 75%

GNC.AX Grain Corporation Limited AUSTRALIA Yes - No CR Yes 0.7% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 850,000 30% 50% >850,000 75%

GRR.AX Grange Resources Limited AUSTRALIA No No 1% 0 - 65,900 25% 65,900 - 131,800 40% 40% 131,800 - 724,900 60% 75% >724,900 75%

GXL.AX Greencross Limited AUSTRALIA Yes - No CR No 1% 0 - 2,400 25% 2,400 - 4,800 40% 40% 4,800 - 48,000 60% 75% >48,000 75%

GGGOA.AX Greenland Minerals & Energy Ltd Jun16 Option AUSTRALIA No No 1% 0 - 4,000 25% 4,000 - 40,000 40% 40% 40,000 - 400,000 50% 60% >400,000 75%

GGG.AX Greenland Minerals and Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 170,000 50% 170,000 - 493,000 80% 80% 493,000 - 1,699,660,000 90% 90% >1,699,660,000 90%

GOZ.AX Growthpoint Properties Australia AUSTRALIA Yes - No CR No 1% 0 - 7,700 25% 7,700 - 15,400 40% 40% 15,400 - 62,800 60% 75% >62,800 75%

GRY.AX Gryphon Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 97,100 25% 97,100 - 194,200 40% 40% 194,200 - 916,600 60% 75% >916,600 75%

GLF.AX Gulf Industrials Limited AUSTRALIA No No 1% 0 - 18,451,000 25% 18,451,000 - 36,902,0040% 40% 36,902,000 - 46,127,500 75% 75% >46,127,500 75%

HFA.AX HFA Holdings Limited AUSTRALIA Yes - No CR No 0.7% 0 - 16,700 25% 16,700 - 33,400 40% 40% 33,400 - 110,300 60% 75% >110,300 75%

HNG.AX HGL Limited AUSTRALIA No No 1% 0 - 34,800 25% 34,800 - 69,600 40% 40% 69,600 - 87,000 75% 75% >87,000 75%

HUB.AX HUB24 Limited AUSTRALIA Yes - No CR No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 50,000 60% 75% >50,000 75%

HSN.AX Hansen Technologies Limited AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 150,000 60% 75% >150,000 75%

HVN.AX Harvey Norman Holdings Limited AUSTRALIA Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

HHY.AX Hastings High Yield Fund AUSTRALIA Yes No 1% 0 - 56,800 25% 56,800 - 113,600 40% 40% 113,600 - 142,000 75% 75% >142,000 75%

HAV.AX Havilah Resources Limited AUSTRALIA No No 1% 0 - 73,800 25% 73,800 - 147,600 40% 40% 147,600 - 184,500 75% 75% >184,500 75%

HOG.AX Hawkley Oil and Gas Limited AUSTRALIA No No 0.3% 0 - 615,000 25% 615,000 - 1,230,000 40% 40% 1,230,000 - 1,537,500 75% 75% >1,537,500 75%

HSO.AX Healthscope Limited AUSTRALIA Yes Yes 1% 0 - 20,000 25% 20,000 - 80,000 38% 38% 80,000 - 300,000 62% 75% >300,000 75%

HSK.AX Heemskirk Consolidated Limited AUSTRALIA No No 1% 0 - 230,600 25% 230,600 - 461,200 40% 40% 461,200 - 576,500 75% 75% >576,500 75%

HLX.AX Helix Resources Limited AUSTRALIA No No 1% 0 - 595,200 25% 595,200 - 1,190,400 40% 40% 1,190,400 - 1,488,000 75% 75% >1,488,000 75%

HLO.AX Helloworld Limited AUSTRALIA No No 1% 0 - 54,300 25% 54,300 - 108,600 40% 40% 108,600 - 135,700 75% 75% >135,700 75%

HGG.AX Henderson Group PLC AUSTRALIA Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 2,500,000 30% 50% >2,500,000 75%

HRR.AX Heron Resources Limited AUSTRALIA No No 1% 0 - 147,600 25% 147,600 - 295,200 40% 40% 295,200 - 369,000 75% 75% >369,000 75%

HXG.AX Hexagon Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 300,000 25% 300,000 - 900,000 40% 40% 900,000 - 6,000,000 75% 75% >6,000,000 75%

HFR.AX Highfield Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 350,000 60% 75% >350,000 75%

HIG.AX Highlands Pacific Limited AUSTRALIA Yes - No CR No 1% 0 - 283,900 25% 283,900 - 567,800 40% 40% 567,800 - 709,700 75% 75% >709,700 75%

HEG.AX Hill End Gold Limited AUSTRALIA No No 1% 0 - 3,075,200 25% 3,075,200 - 6,150,400 40% 40% 6,150,400 - 7,688,000 75% 75% >7,688,000 75%

HGO.AX Hillgrove Resources Limited AUSTRALIA Yes No 1% 0 - 25,600 25% 25,600 - 51,200 40% 40% 51,200 - 191,600 60% 75% >191,600 75%

HIL.AX Hills Limited AUSTRALIA Yes No 0.3% 0 - 10,500 25% 10,500 - 21,000 40% 40% 21,000 - 210,000 60% 75% >210,000 75%

HZN.AX Horizon Oil Limited AUSTRALIA Yes No 0.3% 0 - 56,800 20% 56,800 - 113,600 35% 35% 113,600 - 1,476,800 50% 75% >1,476,800 75%

HCH.AX Hot Chili Limited AUSTRALIA Yes - No CR No 1% 0 - 39,300 25% 39,300 - 78,600 40% 40% 78,600 - 112,000 60% 75% >112,000 75%

HPI.AX Hotel Property Investments Limited AUSTRALIA Yes - No CR No 1% 0 - 120,000 25% 120,000 - 360,000 40% 40% 360,000 - 372,000 75% 75% >372,000 75%

HHV.AX Hunter Hall Global Value Limited AUSTRALIA Yes No 1% 0 - 17,600 25% 17,600 - 35,200 40% 40% 35,200 - 124,200 60% 75% >124,200 75%

HHL.AX Hunter Hall International Limited AUSTRALIA No No 1% 0 - 8,200 25% 8,200 - 16,400 40% 40% 16,400 - 20,500 75% 75% >20,500 75%

HTA.AX Hutchison Telecommunications Australia LimiteAUSTRALIA No No 1% 0 - 167,700 25% 167,700 - 335,400 40% 40% 335,400 - 419,200 75% 75% >419,200 75%

IEL.AX IDP Education Limited AUSTRALIA Yes - No CR Yes 1% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 275,000 60% 75% >275,000 75%

IDT.AX IDT Australia Limited AUSTRALIA No No 1% 0 - 51,300 25% 51,300 - 102,600 40% 40% 102,600 - 128,200 75% 75% >128,200 75%

IMF.AX IMF Bentham Limited AUSTRALIA Yes No 1% 0 - 11,200 25% 11,200 - 22,400 40% 40% 22,400 - 190,400 60% 75% >190,400 75%

IXR.AX IMX Resources Limited AUSTRALIA No No 1% 0 - 369,000 25% 369,000 - 738,000 40% 40% 738,000 - 922,500 75% 75% >922,500 75%

IFL.AX IOOF Holdings Limited AUSTRALIA Yes No 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 249,000 30% 50% >249,000 75%

IPH.AX IPH Limited AUSTRALIA Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

IRE.AX IRESS Limited AUSTRALIA Yes No 0.3% 0 - 5,000 20% 5,000 - 50,000 35% 35% 50,000 - 210,000 50% 75% >210,000 75%

IGL.AX IVE Group Limited AUSTRALIA Yes No 1% 0 - 15,000 25% 15,000 - 45,000 40% 40% 45,000 - 75,000 60% 75% >75,000 75%

ICN.AX Icon Energy Limited AUSTRALIA Yes No 1% 0 - 127,200 25% 127,200 - 254,400 40% 40% 254,400 - 318,000 75% 75% >318,000 75%

IKW.AX Ikwezi Mining Limited AUSTRALIA No No 0.3% 0 - 738,000 25% 738,000 - 1,476,000 40% 40% 1,476,000 - 1,845,000 75% 75% >1,845,000 75%

ILU.AX Iluka Resources Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,500,000 30% 50% >1,500,000 75%

IMA.AX Image Resources NL AUSTRALIA No No 1% 0 - 127,200 25% 127,200 - 254,400 40% 40% 254,400 - 318,000 75% 75% >318,000 75%

IMD.AX Imdex Limited AUSTRALIA Yes No 1% 0 - 29,800 25% 29,800 - 59,600 40% 40% 59,600 - 287,800 60% 75% >287,800 75%

IPD.AX ImpediMed Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 60% 75% >200,000 75%

IPL.AX Incitec Pivot Limited AUSTRALIA Yes Yes 0.7% 0 - 60,000 10% 60,000 - 600,000 20% 20% 600,000 - 4,020,000 30% 50% >4,020,000 75%

IGO.AX Independence Group NL AUSTRALIA Yes Yes 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 400,000 50% 75% >400,000 75%

IDR.AX Industria Reit AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 310,000 75% 75% >310,000 75%

IFN.AX Infigen Energy AUSTRALIA Yes - No CR No 1% 0 - 85,000 25% 85,000 - 170,000 40% 40% 170,000 - 510,000 50% 60% >510,000 75%

IFM.AX Infomedia Limited AUSTRALIA Yes No 1% 0 - 28,800 25% 28,800 - 57,600 40% 40% 57,600 - 576,000 60% 75% >576,000 75%

INA.AX Ingenia Communities Group AUSTRALIA Yes - No CR No 1% 0 - 41,000 25% 41,000 - 82,000 40% 40% 82,000 - 820,000 60% 75% >820,000 75%

IAG.AX Insurance Australia Group Limited AUSTRALIA Yes Yes 0.3% 0 - 77,100 5% 77,100 - 308,400 10% 10% 308,400 - 4,009,200 20% 40% >4,009,200 75%

IRI.AX Integrated Research Limited AUSTRALIA Yes No 1% 0 - 16,000 25% 16,000 - 32,000 40% 40% 32,000 - 59,000 60% 75% >59,000 75%

IAU.AX Intrepid Mines Limited AUSTRALIA Yes - No CR No 1% 0 - 63,600 25% 63,600 - 127,200 40% 40% 127,200 - 1,272,000 60% 75% >1,272,000 75%

IOF.AX Investa Office Fund AUSTRALIA Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%

IVX.AX Invion Limited AUSTRALIA Yes - No CR No 1% 0 - 196,300 25% 196,300 - 392,600 40% 40% 392,600 - 490,700 75% 75% >490,700 75%

IVC.AX InvoCare Limited AUSTRALIA Yes No 0.3% 0 - 4,000 20% 4,000 - 40,000 35% 35% 40,000 - 152,000 50% 75% >152,000 75%

INM.AX Iron Mountain Inc AUSTRALIA Yes No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

IBC.AX Ironbark Capital Limited AUSTRALIA Yes No 1% 0 - 33,200 25% 33,200 - 66,400 40% 40% 66,400 - 83,000 75% 75% >83,000 75%






ICU.AX Isentric Limited AUSTRALIA No No 1% 0 - 20,000 25% 20,000 - 40,000 50% 50% 40,000 - 60,000 65% 75% >60,000 75%

JBH.AX JB Hi-Fi Limited AUSTRALIA Yes No 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 402,000 30% 50% >402,000 75%

JHX.AX James Hardie Industries PLC AUSTRALIA Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 90,000 20% 20% 90,000 - 747,000 30% 50% >747,000 75%

JHC.AX Japara Healthcare Limited AUSTRALIA Yes - No CR Yes 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 930,000 60% 75% >930,000 75%

JIN.AX Jumbo Interactive Limited AUSTRALIA Yes - No CR No 1% 0 - 10,200 25% 10,200 - 20,400 40% 40% 20,400 - 48,400 60% 75% >48,400 75%

KSC.AX K&S Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 25,000 75% 75% >25,000 75%

KGL.AX KGL Resources Limited AUSTRALIA No No 0.3% 0 - 160,400 25% 160,400 - 320,800 40% 40% 320,800 - 401,000 75% 75% >401,000 75%

KPO.AX Kalina Power Limited AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 1,000,000 75% 75% >1,000,000 75%

KRL.AX Kangaroo Resources Limited AUSTRALIA No No 0.3% 0 - 1,419,300 25% 1,419,300 - 2,838,600 40% 40% 2,838,600 - 3,548,200 75% 75% >3,548,200 75%

KAR.AX Karoon Gas Australia Limited AUSTRALIA Yes No 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 400,000 50% 75% >400,000 75%

KAS.AX Kasbah Resources Limited AUSTRALIA Yes - No CR No 0.3% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 354,700 75% 75% >354,700 75%

KMD.AX Kathmandu Holdings Limited AUSTRALIA Yes Yes 0.3% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 380,000 50% 75% >380,000 75%

KBC.AX KeyBridge Capital Limited AUSTRALIA No No 1% 0 - 94,600 25% 94,600 - 189,200 40% 40% 189,200 - 212,800 60% 75% >212,800 75%

KDL.AX Kimberley Diamonds Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 25,000 40% 40% 25,000 - 40,000 60% 75% >40,000 75%

KRC.AX King River Copper Limited AUSTRALIA No No 1% 0 - 429,100 25% 429,100 - 858,200 40% 40% 858,200 - 1,072,700 75% 75% >1,072,700 75%

KCN.AX Kingsgate Consolidated Limited AUSTRALIA Yes - No CR No 0.7% 0 - 25,000 25% 25,000 - 150,000 38% 38% 150,000 - 500,000 62% 75% >500,000 94%

KRM.AX Kingsrose Mining Limited AUSTRALIA Yes - No CR No 0.3% 0 - 46,700 25% 46,700 - 93,400 40% 40% 93,400 - 105,000 60% 75% >105,000 75%

KOV.AX Korvest Limited AUSTRALIA Yes - No CR No 1% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 12,000 75% 75% >12,000 75%

LAA.AX LatAm Autos Limited AUSTRALIA Yes - No CR No 1% 0 - 12,000 25% 12,000 - 60,000 40% 40% 60,000 - 119,988,000 75% 75% >119,988,000 75%

LEG.AX Legend Mining Limited AUSTRALIA No No 1% 0 - 2,635,900 25% 2,635,900 - 5,271,800 40% 40% 5,271,800 - 6,589,700 75% 75% >6,589,700 75%

LLC.AX LendLease Group AUSTRALIA Yes Yes 0.7% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 975,000 30% 50% >975,000 75%

LHC.AX LifeHealthcare Group Limited AUSTRALIA Yes No 1% 0 - 35,000 25% 35,000 - 105,000 40% 40% 105,000 - 108,500 75% 75% >108,500 75%

LIC.AX Lifestyle Communities Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 38,000 60% 75% >38,000 75%

LNK.AX Link Administration Holdings Pty Limited AUSTRALIA Yes No 1% 0 - 91,000 15% 91,000 - 273,000 25% 25% 273,000 - 455,000 45% 60% >455,000 75%

LNG.AX Liquefied Natural Gas Limited AUSTRALIA Yes No 1% 0 - 110,000 20% 110,000 - 220,000 30% 30% 220,000 - 1,100,000 40% 50% >1,100,000 75%

LCM.AX Logicamms Limited AUSTRALIA Yes - No CR No 1% 0 - 17,700 25% 17,700 - 35,400 40% 40% 35,400 - 132,000 60% 75% >132,000 75%

LNR.AX Lonestar Resources Limited AUSTRALIA No No 1% 0 - 76,900 25% 76,900 - 153,800 40% 40% 153,800 - 366,800 60% 75% >366,800 75%

LOM.AX Lucapa Diamond Company Limited AUSTRALIA Yes - No CR No 0.3% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 180,000 60% 75% >180,000 75%

LYL.AX Lycopodium Limited AUSTRALIA Yes - No CR No 1% 0 - 4,300 25% 4,300 - 8,600 40% 40% 8,600 - 10,700 75% 75% >10,700 75%

LYC.AX Lynas Corporation Limited AUSTRALIA Yes - No CR No 0.3% 0 - 110,000 20% 110,000 - 999,900 35% 35% 999,900 - 4,950,000 50% 75% >4,950,000 75%

MTU.AX M2 Group Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 427,000 30% 50% >427,000 75%

MLD.AX MACA Limited AUSTRALIA Yes - No CR No 0.3% 0 - 7,500 25% 7,500 - 15,000 40% 40% 15,000 - 138,700 60% 75% >138,700 75%

MEO.AX MEO Australia Limited AUSTRALIA Yes - No CR No 1% 0 - 401,100 25% 401,100 - 802,200 40% 40% 802,200 - 1,002,700 75% 75% >1,002,700 75%

MGC.AX MG Unit Trust AUSTRALIA Yes No 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 50% 60% >300,000 75%

MHM.AX MHM Metals Limited AUSTRALIA No No 1% 0 - 439,300 25% 439,300 - 878,600 40% 40% 878,600 - 1,098,200 75% 75% >1,098,200 75%

MRM.AX MMA Offshore Limited AUSTRALIA Yes No 1% 0 - 9,000 20% 9,000 - 90,000 35% 35% 90,000 - 450,000 50% 75% >450,000 75%

MNF.AX MNF Group Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 125,000 75% 75% >125,000 75%

MOD.AX MOD Resources Limited AUSTRALIA Stockbroking onlyNo 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 5,000,000 60% 75% >5,000,000 75%

MYO.AX MYOB Group Limited AUSTRALIA Yes - No CR Yes 1% 0 - 20,000 25% 20,000 - 200,000 30% 30% 200,000 - 1,580,000 50% 60% >1,580,000 75%

MAH.AX MacMahon Holdings Limited AUSTRALIA Yes No 0.3% 0 - 147,600 25% 147,600 - 295,200 40% 40% 295,200 - 2,029,500 60% 75% >2,029,500 75%

MQA.AX Macquarie Atlas Roads Group AUSTRALIA Yes - No CR Yes 0.3% 0 - 15,000 20% 15,000 - 150,000 35% 35% 150,000 - 570,000 50% 75% >570,000 75%

MQG.AX Macquarie Group Limited AUSTRALIA Yes Yes 0.3% 0 - 22,000 5% 22,000 - 110,000 10% 10% 110,000 - 440,000 20% 40% >440,000 75%

MFG.AX Magellan Financial Group AUSTRALIA Yes - No CR Yes 1% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 330,000 50% 75% >330,000 75%

MFF.AX Magellan Flagship Fund Limited AUSTRALIA Yes No 1% 0 - 11,200 25% 11,200 - 22,400 40% 40% 22,400 - 204,400 60% 75% >204,400 75%

MFFO.AX Magellan Flagship Fund Ltd AUSTRALIA No No 1% 0 - 1,000,000 25% 1,000,000 - 3,000,000 40% 40% 3,000,000 - 1,409,065,4075% 75% >1,409,065,408 75%

MNS.AX Magnis Resources Limited AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 500,000 40% 40% 500,000 - 700,000 60% 75% >700,000 75%

MTR.AX Mantra Group Limited AUSTRALIA Yes - No CR Yes 1% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 275,000 60% 75% >275,000 75%

MEY.AX Marenica Energy Limited AUSTRALIA No No 1% 0 - 46,100 25% 46,100 - 92,200 40% 40% 92,200 - 115,200 75% 75% >115,200 75%

MVB.AX Market Vectors Australian Banks ETF AUSTRALIA Yes No 1% 0 - 1,000 5% 1,000 - 4,000 10% 10% 4,000 - 6,000 20% 25% >6,000 38%

MVA.AX Market Vectors Australian Property ETF AUSTRALIA Yes No 1% 0 - 1,400 5% 1,400 - 5,600 10% 10% 5,600 - 8,400 20% 20% >8,400 38%

MJP.AX Martin Aircraft Company Limited AUSTRALIA Yes - No CR No 1% 0 - 8,000 25% 8,000 - 48,000 40% 40% 48,000 - 1,976,000 60% 75% >1,976,000 75%

MCE.AX Matrix Composites & Engineering Limited AUSTRALIA Yes No 0.3% 0 - 16,500 25% 16,500 - 33,000 40% 40% 33,000 - 45,500 60% 75% >45,500 75%

MAD.AX Maverick Drilling & Exploration Limited AUSTRALIA Yes - No CR No 0.3% 0 - 200,000 25% 200,000 - 400,000 40% 40% 400,000 - 800,000 60% 75% >800,000 75%

MXI.AX MaxiTRANS Industries Limited AUSTRALIA Yes No 1% 0 - 16,600 25% 16,600 - 33,200 40% 40% 33,200 - 203,300 60% 75% >203,300 75%

MYX.AX Mayne Pharma Group Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 20,700 25% 20,700 - 41,400 40% 40% 41,400 - 414,000 60% 75% >414,000 75%

MCS.AX McAleese Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 125,000 60% 75% >125,000 75%

MEA.AX McGrath Limited AUSTRALIA Yes No 1% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 1,350,000 60% 75% >1,350,000 75%

MMS.AX McMillan Shakespeare Limited AUSTRALIA Yes - No CR Yes 1% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 300,000 30% 50% >300,000 75%

MCP.AX McPherson's Limited AUSTRALIA Yes - No CR No 1% 0 - 15,100 25% 15,100 - 30,200 40% 40% 30,200 - 136,600 60% 75% >136,600 75%

MPL.AX Medibank Private Limited AUSTRALIA Yes Yes 0.3% 0 - 250,000 10% 250,000 - 1,000,000 20% 20% 1,000,000 - 2,000,000 35% 40% >2,000,000 75%

MVP.AX Medical Developments International Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 40,000 60% 75% >40,000 75%

MML.AX Medusa Mining Limited AUSTRALIA Yes No 1% 0 - 45,000 20% 45,000 - 450,000 35% 35% 450,000 - 1,980,000 50% 75% >1,980,000 75%

MP1.AX Megaport Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 80,000 60% 75% >80,000 75%

MLB.AX Melbourne IT Limited AUSTRALIA Yes No 1% 0 - 14,500 25% 14,500 - 29,000 40% 40% 29,000 - 74,000 60% 75% >74,000 75%

MSB.AX Mesoblast Limited AUSTRALIA Yes - No CR No 1% 0 - 6,000 20% 6,000 - 60,000 35% 35% 60,000 - 222,000 50% 75% >222,000 75%

MLS.AX Metals Australia Limited AUSTRALIA No No 1% 0 - 2,306,400 25% 2,306,400 - 4,612,800 40% 40% 4,612,800 - 5,766,000 75% 75% >5,766,000 75%

MLX.AX Metals X Limited AUSTRALIA Yes No 1% 0 - 76,900 25% 76,900 - 153,800 40% 40% 153,800 - 884,300 60% 75% >884,300 75%

MTS.AX Metcash Limited AUSTRALIA Yes No 0.3% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 4,050,000 35% 45% >4,050,000 75%

MEL.AX Metgas Company Limited AUSTRALIA Yes No 1% 0 - 186,400 25% 186,400 - 372,800 40% 40% 372,800 - 458,500 60% 75% >458,500 75%

MNC.AX Metmin Company Limited AUSTRALIA Yes - No CR No 0.3% 0 - 636,200 25% 636,200 - 1,272,400 40% 40% 1,272,400 - 5,865,700 60% 75% >5,865,700 75%

MMI.AX Metro Mining Limited AUSTRALIA No No 0.3% 0 - 636,200 25% 636,200 - 1,272,400 40% 40% 1,272,400 - 1,590,500 75% 75% >1,590,500 75%

MYT.AX Mighty River Power Limited AUSTRALIA No No 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

MLT.AX Milton Corporation Limited AUSTRALIA Yes No 1% 0 - 4,300 25% 4,300 - 8,600 40% 40% 8,600 - 86,000 60% 75% >86,000 75%

MCR.AX Mincor Resources NL AUSTRALIA Yes No 0.3% 0 - 28,000 25% 28,000 - 56,000 40% 40% 56,000 - 93,800 60% 75% >93,800 75%

MDL.AX Mineral Deposits Limited AUSTRALIA Yes - No CR No 1% 0 - 7,900 25% 7,900 - 15,800 40% 40% 15,800 - 88,800 60% 75% >88,800 75%

MIN.AX Mineral Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 450,000 30% 50% >450,000 75%

MNW.AX Mint Payments Limited AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 500,000 50% 50% 500,000 - 510,000 75% 75% >510,000 75%

MLI.AX Mintails Limited AUSTRALIA No No 1% 0 - 329,500 25% 329,500 - 659,000 40% 40% 659,000 - 823,700 75% 75% >823,700 75%

MIR.AX Mirrabooka Investments Limited AUSTRALIA Yes No 1% 0 - 7,100 25% 7,100 - 14,200 40% 40% 14,200 - 25,500 60% 75% >25,500 75%

MGR.AX Mirvac Group AUSTRALIA Yes Yes 0.7% 0 - 80,000 10% 80,000 - 800,000 20% 20% 800,000 - 7,040,000 30% 50% >7,040,000 75%

MBT.AX Mission NewEnergy Limited AUSTRALIA No No 1% 0 - 2,050,100 25% 2,050,100 - 4,100,200 40% 40% 4,100,200 - 5,125,200 75% 75% >5,125,200 75%

MBE.AX Mobile Embrace Limited AUSTRALIA Yes - No CR No 1% 0 - 110,000 25% 110,000 - 650,100 40% 40% 650,100 - 2,200,000 60% 75% >2,200,000 75%

MKB.AX Moko Social Media Limited AUSTRALIA Yes - No CR No 1% 0 - 82,000 25% 82,000 - 164,000 40% 40% 164,000 - 1,599,000 60% 75% >1,599,000 75%

MPO.AX Molopo Energy Limited AUSTRALIA Yes No 1% 0 - 97,100 25% 97,100 - 194,200 40% 40% 194,200 - 380,600 60% 75% >380,600 75%

MND.AX Monadelphous Group Limited AUSTRALIA Yes No 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 249,000 30% 50% >249,000 75%

MVF.AX Monash IVF Group Limited AUSTRALIA Yes - No CR No 0.7% 0 - 100,000 15% 100,000 - 300,000 25% 25% 300,000 - 800,000 45% 60% >800,000 75%

MNY.AX Money3 Corporation Limited AUSTRALIA Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

MOC.AX Mortgage Choice Limited AUSTRALIA Yes Yes 1% 0 - 6,200 25% 6,200 - 12,400 40% 40% 12,400 - 111,600 60% 75% >111,600 75%

MGX.AX Mount Gibson Iron Limited AUSTRALIA Yes - No CR No 0.3% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 3,000,000 30% 50% >3,000,000 75%

MYS.AX MyState Limited AUSTRALIA Yes No 1% 0 - 5,000 45% 5,000 - 8,000 60% 60% 8,000 - 11,500 70% 70% >11,500 75%

MYR.AX Myer Holdings Limited AUSTRALIA Yes No 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 2,520,000 30% 50% >2,520,000 75%

NXT.AX NEXTDC Limited AUSTRALIA Yes - No CR Yes 1% 0 - 8,700 25% 8,700 - 17,400 40% 40% 17,400 - 174,000 60% 75% >174,000 75%

NHF.AX NIB Holdings Limited AUSTRALIA Yes Yes 1% 0 - 7,200 25% 7,200 - 14,400 40% 40% 14,400 - 144,000 60% 75% >144,000 75%

NWH.AX NRW Holdings Limited AUSTRALIA Yes No 0.3% 0 - 30,000 20% 30,000 - 300,000 35% 35% 300,000 - 1,500,000 50% 75% >1,500,000 75%

NAN.AX Nanosonics Limited AUSTRALIA Yes No 1% 0 - 24,300 25% 24,300 - 48,600 40% 40% 48,600 - 188,300 60% 75% >188,300 75%

NAB.AX National Australia Bank Limited AUSTRALIA Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 1,000,000 20% 40% >1,000,000 75%

NSR.AX National Storage REIT AUSTRALIA Yes - No CR Yes 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

NVT.AX Navitas Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 550,000 30% 50% >550,000 75%

NEA.AX Nearmap Limited AUSTRALIA Yes No 1% 0 - 31,800 25% 31,800 - 63,600 40% 40% 63,600 - 604,200 60% 75% >604,200 75%

NMT.AX Neometals Limited AUSTRALIA Yes - No CR No 1% 0 - 350,000 25% 350,000 - 700,000 50% 50% 700,000 - 1,050,000 75% 75% >1,050,000 75%

NEN.AX Neon Capital Limited AUSTRALIA No No 1% 0 - 512,500 25% 512,500 - 1,025,000 40% 40% 1,025,000 - 4,530,500 60% 75% >4,530,500 75%

NMS.AX Neptune Marine Services Limited AUSTRALIA No No 1% 0 - 450,000 50% 450,000 - 1,350,000 75% 75% 1,350,000 - 1,800,000 75% 75% >1,800,000 75%

NTC.AX NetComm Wireless Limited AUSTRALIA Yes - No CR No 1% 0 - 130,000 25% 130,000 - 390,000 40% 40% 390,000 - 403,000 75% 75% >403,000 75%

NEU.AX Neuren Pharmaceuticals Limited AUSTRALIA Yes - No CR No 1% 0 - 300,000 25% 300,000 - 900,000 40% 40% 900,000 - 1,500,000 60% 75% >1,500,000 75%

NHC.AX New Hope Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 5,500 25% 5,500 - 11,000 40% 40% 11,000 - 85,200 60% 75% >85,200 75%

NSE.AX New Standard Energy Limited AUSTRALIA Yes - No CR No 0.3% 0 - 99,700 25% 99,700 - 199,400 40% 40% 199,400 - 401,700 60% 75% >401,700 75%

NZO.AX New Zealand Oil & Gas Limited AUSTRALIA No No 1% 0 - 24,900 25% 24,900 - 49,800 40% 40% 49,800 - 62,200 75% 75% >62,200 75%

NCM.AX Newcrest Mining Limited AUSTRALIA Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 3,220,000 20% 40% >3,220,000 75%

NWS.AX News Corporation AUSTRALIA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 159,000 30% 50% >159,000 75%

NWSLV.AX News Corporation AUSTRALIA Yes No 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

NCK.AX Nick Scali Limited AUSTRALIA Yes No 1% 0 - 6,100 25% 6,100 - 12,200 40% 40% 12,200 - 40,100 60% 75% >40,100 75%

NDO.AX Nido Petroleum Limited AUSTRALIA Yes No 1% 0 - 473,100 25% 473,100 - 946,200 40% 40% 946,200 - 1,987,000 60% 75% >1,987,000 75%

NEC.AX Nine Entertainment Co. Holdings Limited AUSTRALIA Yes No 0.3% 0 - 120,000 10% 120,000 - 240,000 20% 20% 240,000 - 480,000 50% 50% >480,000 75%

NKP.AX Nkwe Platinum Limited AUSTRALIA No No 1% 0 - 210,000 50% 210,000 - 420,000 75% 75% 420,000 - 2,100,000 100% 100% >2,100,000 100%

NBL.AX Noni B Limited AUSTRALIA No No 1% 0 - 28,800 25% 28,800 - 57,600 40% 40% 57,600 - 72,000 75% 75% >72,000 75%

NFE.AX Northern Iron Limited AUSTRALIA No No 1% 0 - 92,300 25% 92,300 - 184,600 40% 40% 184,600 - 344,200 60% 75% >344,200 75%

NTM.AX Northern Manganese Limited AUSTRALIA No No 0.3% 0 - 768,800 25% 768,800 - 1,537,600 40% 40% 1,537,600 - 1,922,000 75% 75% >1,922,000 75%

NTU.AX Northern Minerals Limited AUSTRALIA Yes - No CR No 0.3% 0 - 111,800 25% 111,800 - 223,600 40% 40% 223,600 - 279,500 75% 75% >279,500 75%

NST.AX Northern Star Resources Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 45,000 20% 45,000 - 450,000 35% 35% 450,000 - 1,485,000 50% 75% >1,485,000 75%

NOR.AX Norwood Systems Limited AUSTRALIA Yes - No CR No 1% 0 - 200,000 25% 200,000 - 1,200,000 40% 40% 1,200,000 - 8,400,000 60% 75% >8,400,000 75%

NRT.AX Novogen Limited AUSTRALIA Yes - No CR No 1% 0 - 97,100 25% 97,100 - 194,200 40% 40% 194,200 - 406,800 60% 75% >406,800 75%

NCR.AX NuCoal Resources Limited AUSTRALIA Stockbroking onlyNo 0.3% 0 - 802,200 25% 802,200 - 1,604,400 40% 40% 1,604,400 - 2,005,500 75% 75% >2,005,500 75%

NUF.AX Nufarm Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 480,000 50% 75% >480,000 75%

NPX.AX Nuplex Industries Limited AUSTRALIA Yes - No CR No 1% 0 - 5,900 25% 5,900 - 11,800 40% 40% 11,800 - 41,700 60% 75% >41,700 75%

OBJ.AX OBJ Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000,000 25% 1,000,000 - 3,000,000 40% 40% 3,000,000 - 5,000,000 60% 75% >5,000,000 75%

OMH.AX OM Holdings Limited AUSTRALIA Yes No 1% 0 - 33,500 25% 33,500 - 67,000 40% 40% 67,000 - 200,300 60% 75% >200,300 75%

OZL.AX OZ Minerals Limited AUSTRALIA Yes - No CR Yes 1% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%

OGC.AX OceanaGold Corporation AUSTRALIA Yes No 1% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

OSH.AX Oil Search Limited AUSTRALIA Yes Yes 0.3% 0 - 60,600 5% 60,600 - 181,800 10% 10% 181,800 - 1,999,800 20% 40% >1,999,800 75%

OEX.AX Oilex Limited AUSTRALIA No No 1% 0 - 214,500 25% 214,500 - 429,000 40% 40% 429,000 - 1,190,400 60% 75% >1,190,400 75%






OSL.AX Oncosil Medical Limited AUSTRALIA Yes - No CR No 1% 0 - 250,000 25% 250,000 - 750,000 40% 40% 750,000 - 1,000,000 75% 75% >1,000,000 75%

OTR.AX Onterran Limited AUSTRALIA No No 1% 0 - 341,700 25% 341,700 - 683,400 40% 40% 683,400 - 854,200 75% 75% >854,200 75%

OTH.AX Onthehouse Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 240,000 60% 75% >240,000 75%

OPT.AX Opthea Limited AUSTRALIA No No 1% 0 - 87,900 25% 87,900 - 175,800 40% 40% 175,800 - 219,700 75% 75% >219,700 75%

ORI.AX Orica Limited AUSTRALIA Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 828,000 20% 40% >828,000 75%

ORG.AX Origin Energy Limited AUSTRALIA Yes Yes 0.3% 0 - 36,900 5% 36,900 - 110,700 10% 10% 110,700 - 1,512,900 20% 40% >1,512,900 75%

ORE.AX Orocobre Limited AUSTRALIA Yes - No CR Yes 1% 0 - 8,200 25% 8,200 - 16,400 40% 40% 16,400 - 137,300 60% 75% >137,300 75%

ORA.AX Orora Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 170,000 10% 170,000 - 1,360,000 20% 20% 1,360,000 - 2,720,000 35% 50% >2,720,000 75%

ORL.AX OrotonGroup Limited AUSTRALIA Yes - No CR No 1% 0 - 4,700 25% 4,700 - 9,400 40% 40% 9,400 - 41,900 60% 75% >41,900 75%

OEL.AX Otto Energy Limited AUSTRALIA Yes No 1% 0 - 194,200 25% 194,200 - 388,400 40% 40% 388,400 - 817,500 60% 75% >817,500 75%

OFX.AX OzForex Group Limited AUSTRALIA Yes No 0.7% 0 - 30,000 20% 30,000 - 180,000 30% 30% 180,000 - 2,400,000 50% 60% >2,400,000 75%

OZG.AX Ozgrowth Limited AUSTRALIA Yes No 1% 0 - 92,300 25% 92,300 - 184,600 40% 40% 184,600 - 230,700 75% 75% >230,700 75%

PGF.AX PM Capital Global Opportunities Fund Limited AUSTRALIA Yes - No CR No 0.3% 0 - 50,000 10% 50,000 - 150,000 20% 20% 150,000 - 499,950,000 75% 75% >499,950,000 30%

PMP.AX PMP Limited AUSTRALIA Yes - No CR No 0.7% 0 - 44,500 25% 44,500 - 89,000 40% 40% 89,000 - 133,500 60% 75% >133,500 75%

PME.AX PRO Medicus Limited AUSTRALIA Yes - No CR No 1% 0 - 22,500 25% 22,500 - 45,000 40% 40% 45,000 - 56,200 75% 75% >56,200 75%

PBG.AX Pacific Brands Limited AUSTRALIA Yes - No CR No 0.7% 0 - 30,000 20% 30,000 - 300,000 35% 35% 300,000 - 1,500,000 50% 75% >1,500,000 75%

PAC.AX Pacific Current Group Limited AUSTRALIA Yes No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 35,000 50% 60% >35,000 75%

PSQ.AX Pacific Smiles Group Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 125,000 40% 40% 125,000 - 250,000 60% 75% >250,000 75%

PGH.AX Pact Group Holdings Limited AUSTRALIA Yes Yes 1% 0 - 66,000 25% 66,000 - 330,000 50% 50% 330,000 - 462,000 75% 75% >462,000 75%

PDN.AX Paladin Energy Limited AUSTRALIA Yes No 0.3% 0 - 124,600 10% 124,600 - 623,000 20% 20% 623,000 - 4,984,000 30% 50% >4,984,000 75%

PPP.AX Pan Pacific Petroleum NL AUSTRALIA No No 1% 0 - 160,400 25% 160,400 - 320,800 40% 40% 320,800 - 401,000 75% 75% >401,000 75%

PNA.AX PanAust Limited AUSTRALIA Yes - No CR No 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 2,010,000 30% 50% >2,010,000 75%

PCL.AX Pancontinental Oil & Gas NL AUSTRALIA Yes - No CR No 0.3% 0 - 401,100 25% 401,100 - 802,200 40% 40% 802,200 - 1,159,100 60% 75% >1,159,100 75%

PSY.AX Panorama Synergy Limited AUSTRALIA Yes - No CR No 1% 0 - 80,000 25% 80,000 - 240,000 40% 40% 240,000 - 480,000 60% 75% >480,000 75%

PAN.AX Panoramic Resources Limited AUSTRALIA Yes No 1% 0 - 78,500 25% 78,500 - 157,000 40% 40% 157,000 - 371,300 60% 75% >371,300 75%

PGC.AX Paragon Care Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 399,960,000 75% 75% >399,960,000 75%

PFL.AX Patties Foods Limited AUSTRALIA Yes No 1% 0 - 14,200 25% 14,200 - 28,400 40% 40% 28,400 - 46,800 60% 75% >46,800 75%

PEK.AX Peak Resources Limited AUSTRALIA Yes - No CR No 0.3% 0 - 252,800 25% 252,800 - 505,600 40% 40% 505,600 - 632,000 75% 75% >632,000 75%

PPC.AX Peet Limited AUSTRALIA Yes - No CR No 1% 0 - 13,400 25% 13,400 - 26,800 40% 40% 26,800 - 227,800 60% 75% >227,800 75%

PEN.AX Peninsula Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 802,200 25% 802,200 - 1,604,400 40% 40% 1,604,400 - 2,005,500 75% 75% >2,005,500 75%

PNN.AX Pepinnini Minerals Limited AUSTRALIA No No 1% 0 - 1,085,400 25% 1,085,400 - 2,170,800 40% 40% 2,170,800 - 2,713,500 75% 75% >2,713,500 75%

PEP.AX Pepper Group Limited AUSTRALIA Yes No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 50% 60% >400,000 75%

PIC.AX Perpetual Equity Investment Company Limited AUSTRALIA Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 125,000 35% 45% >125,000 75%

PPT.AX Perpetual Limited AUSTRALIA Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 10,000 20% 20% 10,000 - 95,000 30% 50% >95,000 75%

PRU.AX Perseus Mining Limited AUSTRALIA Yes - No CR No 1% 0 - 110,000 20% 110,000 - 650,100 30% 30% 650,100 - 2,200,000 50% 60% >2,200,000 75%

PRL.AX Petrel Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 70,000 25% 70,000 - 210,000 40% 40% 210,000 - 217,000 75% 75% >217,000 75%

PSA.AX Petsec Energy Limited AUSTRALIA No No 1% 0 - 233,600 25% 233,600 - 467,200 40% 40% 467,200 - 584,000 75% 75% >584,000 75%

PXS.AX Pharmaxis Limited AUSTRALIA Yes - No CR No 1% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 583,200 60% 75% >583,200 75%

POH.AX Phosphagenics Limited AUSTRALIA No No 1% 0 - 160,400 25% 160,400 - 320,800 40% 40% 320,800 - 510,000 60% 75% >510,000 75%

POZ.AX Phosphate Australia Limited AUSTRALIA No No 1% 0 - 1,677,400 25% 1,677,400 - 3,354,800 40% 40% 3,354,800 - 4,193,500 75% 75% >4,193,500 75%

PLS.AX Pilbara Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 1,400,000 25% 1,400,000 - 1,540,000 40% 40% 1,540,000 - 2,100,000 75% 75% >2,100,000 75%

PNC.AX Pioneer Credit Limited AUSTRALIA Yes - No CR No 1% 0 - 7,500 25% 7,500 - 15,000 40% 40% 15,000 - 74,992,500 75% 75% >74,992,500 75%

PMC.AX Platinum Capital Limited AUSTRALIA Yes No 1% 0 - 10,300 25% 10,300 - 20,600 40% 40% 20,600 - 206,000 60% 75% >206,000 75%

PTM.AX Platinum Investment Management Limited AUSTRALIA Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

PVE.AX Po Valley Energy Limited AUSTRALIA No No 1% 0 - 153,800 25% 153,800 - 307,600 40% 40% 307,600 - 384,500 75% 75% >384,500 75%

PNV.AX Polynovo Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 125,000 40% 40% 125,000 - 225,000 60% 75% >225,000 75%

POS.AX Poseidon Nickel Limited AUSTRALIA Yes - No CR No 1% 0 - 175,700 25% 175,700 - 351,400 40% 40% 351,400 - 439,200 75% 75% >439,200 75%

PWN.AX Potash West NL AUSTRALIA No No 0.3% 0 - 307,500 25% 307,500 - 615,000 40% 40% 615,000 - 768,700 75% 75% >768,700 75%

PPS.AX Praemium Limited AUSTRALIA Yes - No CR No 1% 0 - 119,000 25% 119,000 - 238,000 40% 40% 238,000 - 285,600 60% 75% >285,600 75%

PBT.AX Prana Biotechnology Limited AUSTRALIA Yes - No CR No 1% 0 - 20,200 25% 20,200 - 40,400 40% 40% 40,400 - 404,000 60% 75% >404,000 75%

PMV.AX Premier Investments Limited AUSTRALIA Yes Yes 1% 0 - 5,000 20% 5,000 - 50,000 35% 35% 50,000 - 190,000 50% 75% >190,000 75%

PRR.AX Prima Biomed Limited AUSTRALIA Yes - No CR No 1% 0 - 384,400 25% 384,400 - 768,800 40% 40% 768,800 - 4,612,800 60% 75% >4,612,800 75%

PRRO.AX Prima Biomed Ltd - JUN13 20c Call Option AUSTRALIA No No 1% 0 - 5,000 25% 5,000 - 15,000 50% 50% 15,000 - 30,000 75% 75% >30,000 75%

PRY.AX Primary Health Care Limited AUSTRALIA Yes No 1% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%

PRT.AX Prime Media Group Limited AUSTRALIA Yes No 1% 0 - 18,700 25% 18,700 - 37,400 40% 40% 37,400 - 205,700 60% 75% >205,700 75%

PBP.AX Probiotec Limited AUSTRALIA No No 1% 0 - 41,900 25% 41,900 - 83,800 40% 40% 83,800 - 104,700 75% 75% >104,700 75%

PRG.AX Programmed Maintenance Services Limited AUSTRALIA Yes - No CR Yes 0.7% 0 - 15,000 25% 15,000 - 45,000 40% 40% 45,000 - 225,000 50% 60% >225,000 75%

PRO.AX Prophecy International Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 45,000 40% 40% 45,000 - 149,985,000 75% 75% >149,985,000 75%

PVD.AX Pura Vida Energy NL AUSTRALIA Yes - No CR No 1% 0 - 32,100 25% 32,100 - 64,200 40% 40% 64,200 - 192,200 60% 75% >192,200 75%

QBE.AX QBE Insurance Group Limited AUSTRALIA Yes Yes 0.3% 0 - 44,500 5% 44,500 - 222,500 10% 10% 222,500 - 3,248,500 20% 40% >3,248,500 75%

QMS.AX QMS Media Limited AUSTRALIA Yes - No CR No 1% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 210,000 60% 75% >210,000 75%

QRX.AX QRxPharma Limited AUSTRALIA No No 1% 0 - 21,100 25% 21,100 - 42,200 40% 40% 42,200 - 103,300 60% 75% >103,300 75%

QAN.AX Qantas Airways Limited AUSTRALIA Yes Yes 0.3% 0 - 120,000 10% 120,000 - 999,600 20% 20% 999,600 - 7,560,000 30% 50% >7,560,000 75%

QUB.AX Qube Holdings Limited AUSTRALIA Yes - No CR No 0.3% 0 - 15,000 20% 15,000 - 150,000 35% 35% 150,000 - 825,000 50% 75% >825,000 75%

QHL.AX Quickstep Holdings Limited AUSTRALIA Yes No 1% 0 - 83,900 25% 83,900 - 167,800 40% 40% 167,800 - 451,300 60% 75% >451,300 75%

RCG.AX RCG Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 23,800 25% 23,800 - 47,600 40% 40% 47,600 - 333,200 60% 75% >333,200 75%

RCR.AX RCR Tomlinson Limited AUSTRALIA Yes Yes 1% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 140,000 60% 75% >140,000 75%

REA.AX REA Group Limited AUSTRALIA Yes Yes 1% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 210,000 30% 50% >210,000 75%

RFN.AX REFFIND Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 80,000 40% 40% 80,000 - 160,000 60% 75% >160,000 75%

RVA.AX REVA Medical Inc AUSTRALIA Yes - No CR No 1% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 75%

RNY.AX RNY Property Trust AUSTRALIA Yes - No CR No 1% 0 - 57,700 25% 57,700 - 115,400 40% 40% 115,400 - 144,200 75% 75% >144,200 75%

RXP.AX RXP Services Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 40,000 60% 75% >40,000 75%

RMS.AX Ramelius Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 97,100 25% 97,100 - 194,200 40% 40% 194,200 - 805,900 60% 75% >805,900 75%

RMSO.AX Ramelius Resources Ltd AUSTRALIA No No 1% 0 - 100,000 50% 100,000 - 200,000 75% 75% 200,000 - 300,000 75% 75% >300,000 75%

RHC.AX Ramsay Health Care Limited AUSTRALIA Yes Yes 0.3% 0 - 9,400 10% 9,400 - 37,600 20% 20% 37,600 - 216,200 30% 50% >216,200 75%

RRS.AX Range Resources Limited AUSTRALIA No No 1% 0 - 971,100 25% 971,100 - 1,942,200 40% 40% 1,942,200 - 2,427,700 75% 75% >2,427,700 75%

REC.AX Recall Holdings Limited AUSTRALIA Yes No 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 240,000 50% 50% >240,000 75%

RKN.AX Reckon Limited AUSTRALIA Yes No 1% 0 - 9,300 25% 9,300 - 18,600 40% 40% 18,600 - 75,700 60% 75% >75,700 75%

RED.AX Red 5 Limited AUSTRALIA Yes - No CR No 1% 0 - 650,000 25% 650,000 - 1,755,000 30% 30% 1,755,000 - 2,275,000 50% 60% >2,275,000 75%

RMP.AX Red Emperor Resources NL AUSTRALIA No No 0.3% 0 - 288,300 25% 288,300 - 576,600 40% 40% 576,600 - 720,700 75% 75% >720,700 75%

RHI.AX Red Hill Iron Limited AUSTRALIA No No 1% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 57,700 75% 75% >57,700 75%

RFX.AX RedFlow Limited AUSTRALIA Yes - No CR No 1% 0 - 80,000 25% 80,000 - 240,000 40% 40% 240,000 - 248,000 75% 75% >248,000 75%

RDF.AX Redflex Holdings Limited AUSTRALIA No No 1% 0 - 14,700 25% 14,700 - 29,400 40% 40% 29,400 - 36,700 75% 75% >36,700 75%

RDS.AX Redstone Resources Limited AUSTRALIA No No 1% 0 - 267,400 25% 267,400 - 534,800 40% 40% 534,800 - 668,500 75% 75% >668,500 75%

REH.AX Reece Limited AUSTRALIA Yes No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,300 60% 75% >4,300 75%

RGS.AX Regeneus Limited AUSTRALIA Yes - No CR No 1% 0 - 200,000 25% 200,000 - 400,000 50% 50% 400,000 - 1,999,600,000 75% 75% >1,999,600,000 75%

REX.AX Regional Express Holdings Limited AUSTRALIA Yes No 1% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 57,700 75% 75% >57,700 75%

REG.AX Regis Healthcare Limited AUSTRALIA Yes No 0.7% 0 - 20,000 15% 20,000 - 40,000 30% 30% 40,000 - 120,000 45% 60% >120,000 75%

RRL.AX Regis Resources Limited AUSTRALIA Yes Yes 1% 0 - 25,000 20% 25,000 - 250,000 35% 35% 250,000 - 1,500,000 50% 75% >1,500,000 75%

RWC.AX Reliance Worldwide Corporation Limited AUSTRALIA Yes No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 240,000 50% 60% >240,000 75%

RAP.AX ResApp Health Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 3,000,000 60% 75% >3,000,000 75%

RMD.AX ResMed Inc AUSTRALIA Yes Yes 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 3,015,000 30% 50% >3,015,000 75%

RSG.AX Resolute Mining Limited AUSTRALIA Yes Yes 1% 0 - 80,000 20% 80,000 - 800,000 35% 35% 800,000 - 3,040,000 50% 75% >3,040,000 75%

RES.AX Resource Generation Limited AUSTRALIA Yes - No CR No 0.3% 0 - 99,700 25% 99,700 - 199,400 40% 40% 199,400 - 249,200 75% 75% >249,200 75%

RSH.AX Respiri Limited AUSTRALIA Yes - No CR No 1% 0 - 69,600 25% 69,600 - 139,200 40% 40% 139,200 - 352,800 60% 75% >352,800 75%

RFG.AX Retail Food Group Limited AUSTRALIA Yes - No CR No 1% 0 - 4,100 20% 4,100 - 8,200 35% 35% 8,200 - 151,700 50% 75% >151,700 75%

REF.AX Reverse Corporation Limited AUSTRALIA No No 1% 0 - 256,300 25% 256,300 - 512,600 40% 40% 512,600 - 640,700 75% 75% >640,700 75%

RWD.AX Reward Minerals Limited AUSTRALIA No No 1% 0 - 33,500 25% 33,500 - 67,000 40% 40% 67,000 - 83,700 75% 75% >83,700 75%

RXM.AX Rex Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 40,600 25% 40,600 - 81,200 40% 40% 81,200 - 170,900 60% 75% >170,900 75%

REY.AX Rey Resources Limited AUSTRALIA No No 0.3% 0 - 222,300 25% 222,300 - 444,600 40% 40% 444,600 - 555,700 75% 75% >555,700 75%

RHP.AX Rhipe Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 499,950,000 75% 75% >499,950,000 75%

RIC.AX Ridley Corporation Limited AUSTRALIA Yes No 0.7% 0 - 22,800 25% 22,800 - 45,600 40% 40% 45,600 - 178,000 60% 75% >178,000 75%

RIO.AX Rio Tinto Limited AUSTRALIA Yes Yes 0.3% 0 - 9,000 5% 9,000 - 132,700 10% 10% 132,700 - 531,000 20% 40% >531,000 75%

RFL.AX Rubik Financial Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

RUL.AX RungePincockMinar Company Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 40,000 40% 40% 40,000 - 70,000 60% 75% >70,000 75%

RHL.AX Ruralco Holdings Limited AUSTRALIA Yes No 1% 0 - 5,600 25% 5,600 - 11,200 40% 40% 11,200 - 14,000 75% 75% >14,000 75%

SAI.AX SAI Global Limited AUSTRALIA Yes Yes 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 450,000 50% 75% >450,000 75%

SDI.AX SDI Limited AUSTRALIA No No 1% 0 - 27,100 25% 27,100 - 54,200 40% 40% 54,200 - 67,700 75% 75% >67,700 75%

SEK.AX SEEK Limited AUSTRALIA Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 800,000 30% 50% >800,000 75%

SGF.AX SG Fleet Group Limited AUSTRALIA Yes Yes 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 50,000 75% 75% >50,000 75%

SMX.AX SMS Management & Technology Limited AUSTRALIA Yes Yes 1% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

DJRE.AX SPDR(r) Dow Jones Global Real Estate Fund AUSTRALIA Yes - No CR No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

OZF.AX SPDR(r) S&P ASX 200 Financials EX A-REIT FAUSTRALIA Yes No 0.3% 0 - 3,000 5% 3,000 - 7,500 10% 10% 7,500 - 9,000 20% 25% >9,000 38%

STW.AX SPDR(r) S&P ASX 200 Fund AUSTRALIA Yes - No CR No 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 450,000 35% 45% >450,000 75%

SLF.AX SPDR(r) S&P ASX 200 Listed Property Fund AUSTRALIA Yes No 1% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 55,000 35% 45% >55,000 75%

OZR.AX SPDR(r) S&P ASX 200 Resources Fund AUSTRALIA Yes No 1% 0 - 3,000 25% 3,000 - 4,800 40% 40% 4,800 - 6,000 60% 75% >6,000 75%

SFY.AX SPDR(r) S&P ASX 50 Fund AUSTRALIA Yes No 1% 0 - 1,500 5% 1,500 - 4,500 20% 20% 4,500 - 9,000 30% 40% >9,000 75%

STS.AX SRG Limited AUSTRALIA No No 1% 0 - 38,400 25% 38,400 - 76,800 40% 40% 76,800 - 96,000 75% 75% >96,000 75%

SBM.AX ST Barbara Limited AUSTRALIA Yes No 1% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

SGN.AX STW Communications Group Limited AUSTRALIA Yes Yes 0.7% 0 - 20,000 20% 20,000 - 200,000 35% 35% 200,000 - 700,000 50% 75% >700,000 75%

SLM.AX Salmat Limited AUSTRALIA Yes No 0.7% 0 - 9,100 25% 9,100 - 18,200 40% 40% 18,200 - 20,400 60% 75% >20,400 75%

SO4.AX Salt Lake Potash Limited AUSTRALIA No No 1% 0 - 70,000 25% 70,000 - 112,000 40% 40% 112,000 - 140,000 60% 75% >140,000 75%

SSN.AX Samson Oil & Gas Limited AUSTRALIA Yes - No CR No 0.3% 0 - 683,400 25% 683,400 - 1,366,800 40% 40% 1,366,800 - 1,558,100 60% 75% >1,558,100 75%

SFR.AX Sandfire Resources NL AUSTRALIA Yes Yes 1% 0 - 8,000 20% 8,000 - 80,000 35% 35% 80,000 - 304,000 50% 75% >304,000 75%

SMI.AX Santana Minerals Limited AUSTRALIA No No 1% 0 - 369,000 25% 369,000 - 738,000 40% 40% 738,000 - 922,500 75% 75% >922,500 75%

STO.AX Santos Limited AUSTRALIA Yes Yes 0.3% 0 - 80,000 5% 80,000 - 300,000 10% 10% 300,000 - 800,000 20% 30% >800,000 38%

SAR.AX Saracen Mineral Holdings Limited AUSTRALIA Yes Yes 1% 0 - 60,000 25% 60,000 - 349,800 40% 40% 349,800 - 1,200,000 60% 75% >1,200,000 75%

SCG.AX Scentre Group AUSTRALIA Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 3,500,000 20% 40% >3,500,000 75%

SFC.AX Schaffer Corporation Limited AUSTRALIA No No 1% 0 - 3,300 25% 3,300 - 6,600 40% 40% 6,600 - 8,200 75% 75% >8,200 75%

SLK.AX SeaLink Travel Group Limited AUSTRALIA Yes - No CR No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%






SDM.AX Sedgman Limited AUSTRALIA No No 1% 0 - 31,500 25% 31,500 - 63,000 40% 40% 63,000 - 112,700 60% 75% >112,700 75%

SHV.AX Select Harvests Limited AUSTRALIA Yes - No CR No 1% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

SEN.AX Senetas Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 485,600 25% 485,600 - 971,200 40% 40% 971,200 - 1,243,100 60% 75% >1,243,100 75%

SXY.AX Senex Energy Limited AUSTRALIA Yes No 1% 0 - 60,000 20% 60,000 - 600,000 35% 35% 600,000 - 1,500,000 50% 75% >1,500,000 75%

SRV.AX Serv Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 4,200 25% 4,200 - 8,400 40% 40% 8,400 - 43,000 60% 75% >43,000 75%

SSM.AX Service Stream Limited AUSTRALIA Yes No 1% 0 - 76,900 25% 76,900 - 153,800 40% 40% 153,800 - 304,500 60% 75% >304,500 75%

SVW.AX Seven Group Holdings Limited AUSTRALIA Yes - No CR No 0.7% 0 - 4,000 20% 4,000 - 40,000 35% 35% 40,000 - 200,000 50% 75% >200,000 75%

SVWPA.AX Seven Group Holdings Limited AUSTRALIA Yes No 1% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 10,000 60% 75% >10,000 75%

SWM.AX Seven West Media Limited AUSTRALIA Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

SWL.AX Seymour Whyte Limited AUSTRALIA Yes - No CR No 0.3% 0 - 13,000 25% 13,000 - 26,000 40% 40% 26,000 - 29,200 60% 75% >29,200 75%

SFX.AX Sheffield Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 31,500 25% 31,500 - 63,000 40% 40% 63,000 - 70,800 60% 75% >70,800 75%

SHJ.AX Shine Corporate Limited AUSTRALIA Yes - No CR No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 99,000 60% 75% >99,000 75%

SCP.AX Shopping Centres Australasia Property Group AUSTRALIA Yes - No CR Yes 0.3% 0 - 20,000 20% 20,000 - 200,000 35% 35% 200,000 - 920,000 50% 75% >920,000 75%

SIP.AX Sigma Pharmaceuticals Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 30,000 20% 30,000 - 300,000 35% 35% 300,000 - 1,500,000 50% 75% >1,500,000 75%

SIH.AX Sihayo Gold Limited AUSTRALIA No No 0.3% 0 - 615,000 25% 615,000 - 1,230,000 40% 40% 1,230,000 - 1,537,500 75% 75% >1,537,500 75%

SLX.AX Silex Systems Limited AUSTRALIA Yes - No CR No 0.7% 0 - 25,000 25% 25,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

SIV.AX Silver Chef Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 77,500 75% 75% >77,500 75%

SLR.AX Silver Lake Resources Limited AUSTRALIA Yes No 1% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

SGM.AX Sims Metal Management Limited AUSTRALIA Yes No 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 498,000 30% 50% >498,000 75%

SEH.AX Sino Gas & Energy Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 87,900 25% 87,900 - 175,800 40% 40% 175,800 - 1,758,000 60% 75% >1,758,000 75%

SRX.AX Sirtex Medical Limited AUSTRALIA Yes - No CR Yes 1% 0 - 3,000 20% 3,000 - 30,000 35% 35% 30,000 - 99,000 50% 75% >99,000 75%

SKC.AX Sky City Entertainment Group Limited AUSTRALIA Yes - No CR No 1% 0 - 9,000 20% 9,000 - 90,000 35% 35% 90,000 - 324,000 50% 75% >324,000 75%

SKT.AX Sky Network Television Limited AUSTRALIA Yes Yes 1% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 528,000 30% 50% >528,000 75%

SGH.AX Slater & Gordon Limited AUSTRALIA Yes No 1% 0 - 25,000 20% 25,000 - 150,000 35% 35% 150,000 - 750,000 50% 60% >750,000 75%

SMA.AX SmartTrans Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 1,600,000 25% 1,600,000 - 4,800,000 40% 40% 4,800,000 - -1,181,469,175% 75% >-1,181,469,184 75%

SIQ.AX Smartgroup Corporation Limited AUSTRALIA Yes - No CR No 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 399,920,000 75% 75% >399,920,000 75%

SOM.AX SomnoMed Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

SHL.AX Sonic Healthcare Limited AUSTRALIA Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 650,000 30% 50% >650,000 75%

S32.AX South32 Limited AUSTRALIA Yes Yes 1% 0 - 100,000 5% 100,000 - 600,000 10% 10% 600,000 - 3,000,000 20% 40% >3,000,000 75%

SXE.AX Southern Cross Electrical Engineering Limited AUSTRALIA Yes - No CR No 1% 0 - 26,700 25% 26,700 - 53,400 40% 40% 53,400 - 105,900 60% 75% >105,900 75%

SXL.AX Southern Cross Media Group Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 15,000 20% 15,000 - 150,000 35% 35% 150,000 - 900,000 50% 75% >900,000 75%

SKI.AX Spark Infrastructure Group AUSTRALIA Yes - No CR Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 2,490,000 30% 50% >2,490,000 75%

SPK.AX Spark New Zealand Limited AUSTRALIA Yes Yes 0.3% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 469,000 30% 50% >469,000 75%

SFH.AX Specialty Fashion Group Limited AUSTRALIA Yes No 1% 0 - 21,700 25% 21,700 - 43,400 40% 40% 43,400 - 56,200 60% 75% >56,200 75%

SDA.AX SpeedCast International Limited AUSTRALIA Yes No 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

SRS.AX Spicers Limited AUSTRALIA No No 0.3% 0 - 461,300 25% 461,300 - 922,600 40% 40% 922,600 - 1,153,200 75% 75% >1,153,200 75%

SPO.AX Spotless Group Holdings Limited AUSTRALIA Yes - No CR Yes 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 600,000 50% 60% >600,000 75%

SMR.AX Stanmore Coal Limited AUSTRALIA No No 1% 0 - 90,000 25% 90,000 - 180,000 40% 40% 180,000 - 225,000 75% 75% >225,000 75%

SPL.AX Starpharma Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 24,900 25% 24,900 - 49,800 40% 40% 49,800 - 154,100 60% 75% >154,100 75%

SDF.AX Steadfast Group Limited AUSTRALIA Yes Yes 0.7% 0 - 11,400 25% 11,400 - 22,800 40% 40% 22,800 - 228,000 60% 75% >228,000 75%

SGP.AX Stockland Corporation Limited AUSTRALIA Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 5,005,000 20% 40% >5,005,000 75%

STA.AX Strandline Resources Limited AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

STX.AX Strike Energy Limited AUSTRALIA Yes - No CR No 1% 0 - 175,700 25% 175,700 - 351,400 40% 40% 351,400 - 395,300 60% 75% >395,300 75%

SRK.AX Strike Resources Limited AUSTRALIA No No 1% 0 - 450,000 25% 450,000 - 900,000 40% 40% 900,000 - 1,125,000 75% 75% >1,125,000 75%

SMN.AX Structural Monitoring Systems PLC AUSTRALIA Yes - No CR No 1% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 150,000 60% 75% >150,000 75%

SUD.AX Suda Limited AUSTRALIA Yes - No CR No 0.7% 0 - 500,000 20% 500,000 - 1,500,000 30% 30% 1,500,000 - 2,000,000 50% 60% >2,000,000 75%

SUN.AX Suncorp Group Limited AUSTRALIA Yes Yes 0.3% 0 - 34,000 5% 34,000 - 170,000 10% 10% 170,000 - 2,006,000 20% 40% >2,006,000 75%

SEA.AX Sundance Energy Australia Limited AUSTRALIA Yes No 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 6,000,000 50% 60% >6,000,000 75%

SDL.AX Sundance Resources Limited AUSTRALIA Yes - No CR No 0.7% 0 - 325,000 20% 325,000 - 1,998,700 30% 30% 1,998,700 - 6,500,000 50% 60% >6,500,000 75%

SDG.AX Sunland Group Limited AUSTRALIA Yes - No CR No 0.7% 0 - 10,800 25% 10,800 - 21,600 40% 40% 21,600 - 67,100 60% 75% >67,100 75%

SUL.AX Super Retail Group Limited AUSTRALIA Yes - No CR No 1% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 426,000 30% 50% >426,000 75%

SLC.AX Superloop Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SRF.AX SurfStitch Group Limited AUSTRALIA Yes - No CR No 1% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 600,000 60% 75% >600,000 75%

SWK.AX Swick Mining Services Limited AUSTRALIA Yes No 1% 0 - 68,300 25% 68,300 - 136,600 40% 40% 136,600 - 170,700 75% 75% >170,700 75%

SYD.AX Sydney Airport Limited AUSTRALIA Yes Yes 0.3% 0 - 70,000 10% 70,000 - 700,000 20% 20% 700,000 - 4,970,000 30% 50% >4,970,000 75%

SYR.AX Syrah Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 6,700 25% 6,700 - 13,400 40% 40% 13,400 - 125,600 60% 75% >125,600 75%

TFC.AX TFS Corporation Limited AUSTRALIA Yes No 1% 0 - 17,400 25% 17,400 - 34,800 40% 40% 34,800 - 208,800 60% 75% >208,800 75%

THO.AX THO Services Limited AUSTRALIA No No 1% 0 - 1,317,900 25% 1,317,900 - 2,635,800 40% 40% 2,635,800 - 3,294,700 75% 75% >3,294,700 75%

TNG.AX TNG Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 100,000 40% 40% 100,000 - 125,000 75% 75% >125,000 75%

TPM.AX TPG Telecom Limited AUSTRALIA Yes Yes 1% 0 - 9,000 10% 9,000 - 90,000 20% 20% 90,000 - 603,000 30% 50% >603,000 75%

TPE.AX TPI Enterprises Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 99,990,000 75% 75% >99,990,000 75%

TAH.AX Tabcorp Holdings Limited AUSTRALIA Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%

TLM.AX Talisman Mining Limited AUSTRALIA Yes - No CR No 1% 0 - 153,800 25% 153,800 - 307,600 40% 40% 307,600 - 384,500 75% 75% >384,500 75%

TPD.AX Talon Petroleum Limited AUSTRALIA No No 1% 0 - 559,100 25% 559,100 - 1,118,200 40% 40% 1,118,200 - 1,397,700 75% 75% >1,397,700 75%

TWD.AX Tamawood Limited AUSTRALIA Yes No 1% 0 - 6,700 25% 6,700 - 13,400 40% 40% 13,400 - 16,700 75% 75% >16,700 75%

TAM.AX Tanami Gold NL AUSTRALIA No No 1% 0 - 450,000 25% 450,000 - 900,000 40% 40% 900,000 - 1,125,000 75% 75% >1,125,000 75%

TAP.AX Tap Oil Limited AUSTRALIA Yes No 0.7% 0 - 38,000 25% 38,000 - 76,000 40% 40% 76,000 - 130,700 60% 75% >130,700 75%

TGR.AX Tassal Group Limited AUSTRALIA Yes Yes 1% 0 - 5,100 25% 5,100 - 10,200 40% 40% 10,200 - 102,000 60% 75% >102,000 75%

TTS.AX Tatts Group Limited AUSTRALIA Yes Yes 0.3% 0 - 35,000 10% 35,000 - 350,000 20% 20% 350,000 - 1,995,000 30% 50% >1,995,000 75%

TNE.AX TechnologyOne Limited AUSTRALIA Yes Yes 1% 0 - 50,000 25% 50,000 - 100,000 40% 40% 100,000 - 200,000 60% 75% >200,000 75%

TLS.AX Telstra Corporation Limited AUSTRALIA Yes Yes 0.3% 0 - 100,000 5% 100,000 - 1,500,000 10% 10% 1,500,000 - 7,100,000 20% 40% >7,100,000 75%

TGG.AX Templeton Global Growth Fund Limited AUSTRALIA Yes No 1% 0 - 13,000 25% 13,000 - 26,000 40% 40% 26,000 - 100,100 60% 75% >100,100 75%

TPP.AX Tempo Australia Limited AUSTRALIA No No 0.3% 0 - 307,500 25% 307,500 - 615,000 40% 40% 615,000 - 768,700 75% 75% >768,700 75%

TEN.AX Ten Network Holdings Limited AUSTRALIA Yes No 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 400,000 50% 75% >400,000 75%

TGZ.AX Teranga Gold Corporation AUSTRALIA Yes - No CR No 0.3% 0 - 15,600 25% 15,600 - 31,200 40% 40% 31,200 - 143,500 60% 75% >143,500 75%

TER.AX TerraCom Limited AUSTRALIA No No 0.3% 0 - 175,700 25% 175,700 - 351,400 40% 40% 351,400 - 411,100 60% 75% >411,100 75%

TZN.AX Terramin Australia Limited AUSTRALIA No No 1% 0 - 485,600 25% 485,600 - 971,200 40% 40% 971,200 - 1,214,000 75% 75% >1,214,000 75%

CJC.AX The Carajas Copper Company Limited AUSTRALIA No No 0.3% 0 - 4,612,800 25% 4,612,800 - 9,225,600 40% 40% 9,225,600 - 11,532,000 75% 75% >11,532,000 75%

TRS.AX The Reject Shop Limited AUSTRALIA Yes - No CR No 1% 0 - 1,700 20% 1,700 - 3,400 35% 35% 3,400 - 85,000 50% 75% >85,000 75%

SGR.AX The Star Entertainment Group Limited AUSTRALIA Yes Yes 1% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 2,160,000 30% 30% >2,160,000 75%

A2M.AX The a2 Milk Company Limited AUSTRALIA Yes No 1% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 50% 60% >600,000 75%

TSM.AX ThinkSmart Limited AUSTRALIA Yes - No CR No 1% 0 - 41,500 25% 41,500 - 83,000 40% 40% 83,000 - 209,900 60% 75% >209,900 75%

TGA.AX Thorn Group Limited AUSTRALIA Yes No 1% 0 - 9,000 25% 9,000 - 18,000 40% 40% 18,000 - 166,500 60% 75% >166,500 75%

TOP.AX Thorney Opportunities Limited AUSTRALIA Yes - No CR No 0.3% 0 - 25,000 10% 25,000 - 75,000 20% 20% 75,000 - 249,975,000 75% 75% >249,975,000 30%

THX.AX Thundelarra Limited AUSTRALIA No No 1% 0 - 527,200 25% 527,200 - 1,054,400 40% 40% 1,054,400 - 1,318,000 75% 75% >1,318,000 75%

TGS.AX Tiger Resources Limited AUSTRALIA Yes No 1% 0 - 200,000 25% 200,000 - 600,000 40% 40% 600,000 - 1,000,000 50% 60% >1,000,000 75%

TOE.AX Toro Energy Limited AUSTRALIA Yes No 1% 0 - 288,300 25% 288,300 - 576,600 40% 40% 576,600 - 720,700 75% 75% >720,700 75%

TCH.AX Touch Corporation Limited AUSTRALIA Yes No 1% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

TWR.AX Tower Limited AUSTRALIA No No 0.7% 0 - 11,900 25% 11,900 - 23,800 40% 40% 23,800 - 29,700 75% 75% >29,700 75%

TOX.AX Tox Free Solutions Limited AUSTRALIA Yes Yes 1% 0 - 5,700 25% 5,700 - 11,400 40% 40% 11,400 - 114,000 60% 75% >114,000 75%

TME.AX Trade ME Group Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 580,000 50% 75% >580,000 75%

TSE.AX Transfield Services Limited AUSTRALIA Yes No 0.7% 0 - 50,000 20% 50,000 - 500,000 35% 35% 500,000 - 2,000,000 50% 75% >2,000,000 75%

TCL.AX Transurban Group AUSTRALIA Yes Yes 0.3% 0 - 60,200 5% 60,200 - 180,600 10% 10% 180,600 - 2,046,800 20% 40% >2,046,800 75%

TWE.AX Treasury Wine Estates Limited AUSTRALIA Yes - No CR Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 2,520,000 30% 50% >2,520,000 75%

TON.AX Triton Minerals Limited AUSTRALIA Yes - No CR No 1% 0 - 10,000 25% 10,000 - 100,000 25% 25% 100,000 - 500,000 25% 25% >500,000 25%

TONOA.AX Triton Minerals Ltd AUSTRALIA No No 1% 0 - 1,000,000 25% 1,000,000 - 6,000,000 40% 40% 6,000,000 - 20,000,000 50% 60% >20,000,000 75%

TRY.AX Troy Resources Limited AUSTRALIA Yes - No CR No 1% 0 - 35,000 25% 35,000 - 210,000 40% 40% 210,000 - 700,000 60% 75% >700,000 75%

ETF.AX UBS IQ Morningstar Australia Quality ETF AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 5,000 20% 20% 5,000 - 10,000 35% 45% >10,000 75%

UGL.AX UGL Limited AUSTRALIA Yes - No CR No 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 498,000 30% 50% >498,000 75%

UXC.AX UXC Limited AUSTRALIA Yes No 1% 0 - 17,700 25% 17,700 - 35,400 40% 40% 35,400 - 323,000 60% 75% >323,000 75%

UNS.AX Unilife Corporation AUSTRALIA Yes - No CR No 1% 0 - 75,000 25% 75,000 - 150,000 40% 40% 150,000 - 300,000 60% 75% >300,000 75%

UML.AX Unity Mining Limited AUSTRALIA No No 1% 0 - 450,000 25% 450,000 - 900,000 40% 40% 900,000 - 1,125,000 75% 75% >1,125,000 75%

UPG.AX Unity Pacific Group AUSTRALIA No No 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 49,995,000 75% 75% >49,995,000 75%

UBI.AX Universal Biosensors Inc AUSTRALIA Yes - No CR No 1% 0 - 41,900 25% 41,900 - 83,800 40% 40% 83,800 - 104,700 75% 75% >104,700 75%

UNV.AX Universal Coal PLC AUSTRALIA No No 0.3% 0 - 141,900 25% 141,900 - 283,800 40% 40% 283,800 - 354,700 75% 75% >354,700 75%

UBN.AX Urbanise.com Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 125,000 60% 75% >125,000 75%

VMG.AX VDM Group Limited AUSTRALIA No No 1% 0 - 2,050,100 25% 2,050,100 - 4,100,200 40% 40% 4,100,200 - 5,125,200 75% 75% >5,125,200 75%

VXL.AX Valence Industries Limited AUSTRALIA Yes - No CR No 1% 0 - 60,000 25% 60,000 - 180,000 40% 40% 180,000 - 300,000 75% 75% >300,000 75%

VAF.AX Vanguard Australian Fixed Interest Index ETF AUSTRALIA Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

VAP.AX Vanguard Australian Property Securities Index EAUSTRALIA Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

VHY.AX Vanguard Australian Shares High Yield ETF AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

VAS.AX Vanguard Australian Shares Index ETF AUSTRALIA Yes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

VSO.AX Vanguard MSCI Australian Small Companies IndAUSTRALIA Yes No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

VTS.AX Vanguard US Total Market Shares Index ETF AUSTRALIA Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

VMS.AX Venture Minerals Limited AUSTRALIA No No 0.3% 0 - 94,600 25% 94,600 - 189,200 40% 40% 189,200 - 236,500 75% 75% >236,500 75%

VLW.AX Villa World Limited AUSTRALIA Yes - No CR No 1% 0 - 11,500 25% 11,500 - 69,000 40% 40% 69,000 - 70,100 75% 75% >70,100 75%

VRL.AX Village Roadshow Limited AUSTRALIA Yes - No CR Yes 1% 0 - 2,500 20% 2,500 - 5,000 35% 35% 5,000 - 120,000 50% 75% >120,000 75%

VLA.AX Viralytics Limited AUSTRALIA Yes - No CR No 1% 0 - 34,000 25% 34,000 - 102,000 40% 40% 102,000 - 119,000 60% 75% >119,000 75%

VAH.AX Virgin Australia Holdings Limited AUSTRALIA Yes - No CR No 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

VRT.AX Virtus Health Limited AUSTRALIA Yes - No CR Yes 1% 0 - 3,000 20% 3,000 - 30,000 35% 35% 30,000 - 120,000 50% 75% >120,000 75%

VTG.AX Vita Group Limited AUSTRALIA Yes - No CR No 1% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 93,000 75% 75% >93,000 75%

VIT.AX Vitaco Holdings Limited AUSTRALIA Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 1,400,000 60% 75% >1,400,000 75%

VMT.AX Vmoto Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 180,000 60% 75% >180,000 75%

VOC.AX Vocus Communications Limited AUSTRALIA Yes - No CR No 1% 0 - 5,400 25% 5,400 - 10,800 40% 40% 10,800 - 108,000 60% 75% >108,000 75%

WAM.AX WAM Capital Limited AUSTRALIA Yes - No CR No 1% 0 - 9,200 25% 9,200 - 18,400 40% 40% 18,400 - 184,000 60% 75% >184,000 75%

WAX.AX WAM Research Limited AUSTRALIA Yes No 1% 0 - 15,800 25% 15,800 - 31,600 40% 40% 31,600 - 79,000 60% 75% >79,000 75%

WAXO.AX WAM Research Ltd 1.20 JUN 2015 CALL AUSTRALIA No No 1% 0 - 100,000 25% 100,000 - 200,000 50% 50% 200,000 - 300,000 60% 60% >300,000 75%

WHN.AX WHL Energy Limited AUSTRALIA No No 0.3% 0 - 1,537,600 25% 1,537,600 - 3,075,200 40% 40% 3,075,200 - 3,844,000 75% 75% >3,844,000 75%

WPG.AX WPG Resources Limited AUSTRALIA No No 1% 0 - 595,200 25% 595,200 - 1,190,400 40% 40% 1,190,400 - 1,488,000 75% 75% >1,488,000 75%

WGO.AX Waratah Resources Limited AUSTRALIA No No 1% 0 - 738,000 25% 738,000 - 1,476,000 40% 40% 1,476,000 - 1,845,000 75% 75% >1,845,000 75%






WCB.AX Warrnambool Cheese And Butter Factory CompAUSTRALIA No No 1% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

SOL.AX Washington H. Soul Pattinson and Company LimAUSTRALIA Yes No 1% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 22,500 60% 75% >22,500 75%

WTP.AX Watpac Limited AUSTRALIA Yes No 1% 0 - 18,900 25% 18,900 - 37,800 40% 40% 37,800 - 120,700 60% 75% >120,700 75%

WEB.AX Webjet Limited AUSTRALIA Yes - No CR No 1% 0 - 6,200 25% 6,200 - 12,400 40% 40% 12,400 - 124,000 60% 75% >124,000 75%

WBA.AX Webster Limited AUSTRALIA Yes - No CR No 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 199,980,000 75% 75% >199,980,000 75%

WLD.AX Wellard Limited AUSTRALIA Yes No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 550,000 60% 75% >550,000 75%

WES.AX Wesfarmers Limited AUSTRALIA Yes Yes 0.3% 0 - 11,300 5% 11,300 - 101,700 10% 10% 101,700 - 858,800 20% 40% >858,800 75%

WSA.AX Western Areas Limited AUSTRALIA Yes No 0.7% 0 - 10,000 20% 10,000 - 100,000 35% 35% 100,000 - 480,000 50% 75% >480,000 75%

WFD.AX Westfield Corporation AUSTRALIA Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 3,570,000 20% 40% >3,570,000 75%

WBC.AX Westpac Banking Corporation AUSTRALIA Yes Yes 0.3% 0 - 40,000 5% 40,000 - 260,000 10% 10% 260,000 - 1,000,000 20% 40% >1,000,000 75%

WEC.AX White Energy Company Limited AUSTRALIA No No 1% 0 - 102,500 25% 102,500 - 205,000 40% 40% 205,000 - 256,200 75% 75% >256,200 75%

WHF.AX Whitefield Limited AUSTRALIA Yes No 1% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 14,600 60% 75% >14,600 75%

WHC.AX Whitehaven Coal Limited AUSTRALIA Yes - No CR No 1% 0 - 70,000 25% 70,000 - 700,000 40% 40% 700,000 - 2,520,000 50% 60% >2,520,000 75%

WIG.AX Wilson Group Limited AUSTRALIA No No 1% 0 - 31,300 25% 31,300 - 62,600 40% 40% 62,600 - 78,200 75% 75% >78,200 75%

WLC.AX Wollongong Coal Limited AUSTRALIA No No 1% 0 - 200,000 25% 200,000 - 600,000 40% 40% 600,000 - 1,999,800,000 75% 75% >1,999,800,000 75%

WPL.AX Woodside Petroleum Limited AUSTRALIA Yes Yes 0.3% 0 - 12,700 5% 12,700 - 101,600 10% 10% 101,600 - 711,200 20% 40% >711,200 75%

WOW.AX Woolworths Limited AUSTRALIA Yes Yes 0.3% 0 - 14,800 5% 14,800 - 103,600 10% 10% 103,600 - 1,050,800 20% 40% >1,050,800 75%

WOR.AX WorleyParsons Limited AUSTRALIA Yes No 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 650,000 30% 50% >650,000 75%

XAM.AX Xanadu Mines Limited AUSTRALIA No No 0.3% 0 - 283,900 25% 283,900 - 567,800 40% 40% 567,800 - 709,700 75% 75% >709,700 75%

XIP.AX Xenith IP Group Limited AUSTRALIA Yes No 1% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 1,000,000 50% 60% >1,000,000 75%

XRO.AX Xero Limited AUSTRALIA Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

YAL.AX Yancoal Australia Limited AUSTRALIA No No 0.3% 0 - 26,500 25% 26,500 - 53,000 40% 40% 53,000 - 66,200 75% 75% >66,200 75%

YBR.AX Yellow Brick Road Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 36,200 25% 36,200 - 72,400 40% 40% 72,400 - 90,500 75% 75% >90,500 75%

YOW.AX Yowie Group Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 250,000 75% 75% >250,000 75%

ZIP.AX Ziptel Limited AUSTRALIA Yes - No CR No 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 300,000 60% 75% >300,000 75%

AYS.AX amaysim Australia Limited AUSTRALIA Yes Yes 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 50% 60% >300,000 75%

CAR.AX carsales.com Limited AUSTRALIA Yes No 1% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 553,000 30% 50% >553,000 75%

ECG.AX eCargo Holdings Limited AUSTRALIA Yes - No CR No 1% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 175,000 60% 75% >175,000 75%

ESV.AX eServGlobal Limited AUSTRALIA Yes No 1% 0 - 20,100 25% 20,100 - 40,200 40% 40% 40,200 - 84,800 60% 75% >84,800 75%

ICQ.AX iCarAsia Limited AUSTRALIA Yes - No CR No 1% 0 - 20,100 25% 20,100 - 40,200 40% 40% 40,200 - 276,300 60% 75% >276,300 75%

ISU.AX iSelect Limited AUSTRALIA Yes - No CR Yes 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 320,000 60% 75% >320,000 75%

ISD.AX iSentia Group Limited AUSTRALIA Yes Yes 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 600,000 50% 75% >600,000 75%

IAF.AX iShares Composite Bond ETF AUSTRALIA Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IVV.AX iShares Core S&P 500 ETF AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IJH.AX iShares Core S&P Mid-Cap ETF AUSTRALIA Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IJR.AX iShares Core S&P Small-Cap ETF AUSTRALIA Yes No 0.3% 0 - 100 10% 100 - 300 16% 16% 300 - 300 24% 30% >300 30%

IEU.AX iShares Europe ETF AUSTRALIA Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IOO.AX iShares Global 100 ETF AUSTRALIA Yes No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

IXI.AX iShares Global Consumer Staples ETF AUSTRALIA Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IXJ.AX iShares Global Healthcare ETF AUSTRALIA Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IVE.AX iShares MSCI EAFE AUSTRALIA Yes No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

IJP.AX iShares MSCI Japan ETF AUSTRALIA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

ISG.AX iShares MSCI Singapore ETF AUSTRALIA Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

ILC.AX iShares S&P ASX 20 ETF AUSTRALIA Yes No 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

ISO.AX iShares S&P ASX Small Ordinaries ETF AUSTRALIA Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

ISX.AX iSignthis Limited AUSTRALIA Yes - No CR No 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 2,200,000 60% 75% >2,200,000 75%

IWG.AX iWebGate Limited AUSTRALIA No No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 380,000 60% 75% >380,000 75%

MIG.AX migme Limited AUSTRALIA Yes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 90,000 60% 75% >90,000 75%

OML.AX oOh!media Limited AUSTRALIA Yes Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 150,000 60% 75% >150,000 75%

ACKB.BR Ackermans & Van Haaren NV BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 15,200 50% 60% >15,200 75%

AOO.BR Aedifica SA BELGIUM Yes No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 8,000 60% 75% >8,000 75%

AGFB.BR Agfa-Gevaert NV BELGIUM Yes Yes 0.3% 0 - 5,700 25% 5,700 - 11,400 40% 40% 11,400 - 114,000 60% 75% >114,000 75%

ABI.BR Anheuser-Busch InBev SA NV BELGIUM Yes Yes 0.3% 0 - 10,000 5% 10,000 - 50,000 10% 10% 50,000 - 200,000 20% 40% >200,000 75%

BHFKB.BR BHF Kleinwort Benson Group SA BELGIUM Yes Yes 0.3% 0 - 3,400 25% 3,400 - 6,800 40% 40% 6,800 - 35,700 60% 75% >35,700 75%

BAR.BR Barco NV BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 14,000 50% 60% >14,000 75%

BEFB.BR Befimmo NV SA BELGIUM Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,900 60% 75% >9,900 75%

BCART.BR Biocartis Group NV BELGIUM Stockbroking onlyYes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 7,000 60% 75% >7,000 75%

BRED.BR Brederode SA BELGIUM Yes No 0.3% 0 - 2,500 25% 2,500 - 7,500 40% 40% 7,500 - 24,997,500 75% 75% >24,997,500 ERROR

CYAD.BR Celyad SA BELGIUM Yes - No CR Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 7,000 60% 75% >7,000 75%

COFB.BR Cofinimmo SA BELGIUM Yes Yes 0.3% 0 - 1,100 20% 1,100 - 6,600 30% 30% 6,600 - 17,300 50% 60% >17,300 75%

CFEB.BR Compagnie d' Entreprises CFE SA BELGIUM Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 6,000 60% 75% >6,000 75%

DECB.BR Deceuninck NV BELGIUM Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

DEXI.BR Dexia SA BELGIUM Yes Yes 0.3% 0 - 300 25% 300 - 600 40% 40% 600 - 1,700 60% 75% >1,700 75%

EVSB.BR EVS Broadcast Equipment SA BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ELI.BR Elia System Operator SA BELGIUM Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,200 60% 75% >16,200 75%

DELB.BR Etablissements Delhaize Freres et Cie "Le LionBELGIUM Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

COLR.BR Etn Fr Colruyt NV BELGIUM Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

EUAV.BR Euronav NV BELGIUM Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

FAGRO.BR Fagron NV BELGIUM Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 25,000 30% 30% 25,000 - 50,000 50% 60% >50,000 75%

GIMV.BR GIMV NV BELGIUM Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,500 60% 75% >7,500 75%

GBLB.BR Groupe Bruxelles Lambert SA BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

IBAB.BR Ion Beam Applications SA BELGIUM Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 28,000 60% 75% >28,000 75%

KBCA.BR KBC Ancor ASA BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

KBC.BR KBC Group NV BELGIUM Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 264,000 35% 45% >264,000 75%

KIPO.BR Kinepolis Group NV BELGIUM Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MDXH.BR MDxHealth SA BELGIUM Yes - No CR No 0.3% 0 - 4,500 25% 4,500 - 31,500 40% 40% 31,500 - 44,995,500 75% 75% >44,995,500 ERROR

MLXS.BR Melexis NV BELGIUM Yes - No CR Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 20,000 60% 75% >20,000 75%

MSTAR.BR Mobistar SA NV BELGIUM Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

BEKB.BR NV Bekaert SA BELGIUM Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

NYR.BR Nyrstar NV BELGIUM Yes Yes 0.3% 0 - 18,000 20% 18,000 - 109,900 30% 30% 109,900 - 360,000 50% 60% >360,000 75%

ONTEX.BR Ontex Group NV BELGIUM Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 8,000 20% 20% 8,000 - 40,000 35% 45% >40,000 75%

OPIN.BR Option NV BELGIUM Yes No 0.3% 0 - 35,300 25% 35,300 - 70,600 40% 40% 70,600 - 152,100 60% 75% >152,100 75%

PROX.BR Proximus PLC BELGIUM Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 250,000 35% 45% >250,000 75%

IETB.BR S.A. D'Ieteren NV BELGIUM Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SIOE.BR Sioen Industries NV BELGIUM Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 24,997,500 75% 75% >24,997,500 ERROR

SOF.BR Sofina SA BELGIUM Yes Yes 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

SOLB.BR Solvay SA BELGIUM Yes - No CR Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 80,000 20% 40% >80,000 75%

TNET.BR Telenet Group Holding NV BELGIUM Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

TESB.BR Tessenderlo Chemie NV BELGIUM Yes Yes 0.3% 0 - 1,300 20% 1,300 - 7,800 30% 30% 7,800 - 26,000 50% 60% >26,000 75%

THR.BR ThromboGenics NV BELGIUM Yes - No CR No 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

G9U.BR TiGenix NV BELGIUM Yes - No CR No 0.3% 0 - 140,000 25% 140,000 - 420,000 40% 40% 420,000 - 1,399,860,000 75% 75% >1,399,860,000 ERROR

UCB.BR UCB SA BELGIUM Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

UMI.BR Umicore SA BELGIUM Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

VIOH.BR VIOHALCO SA BELGIUM Yes No 0.3% 0 - 12,500 25% 12,500 - 37,500 40% 40% 37,500 - 50,000 75% 75% >50,000 75%

VELD.BR Van De Velde NV BELGIUM Yes Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

WDPP.BR Warehouses De Pauw SCA BELGIUM Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

AGES.BR ageas SA NV BELGIUM Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

BPOST.BR bpost SA NV BELGIUM Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

ARX.TO ARC Resources Limited CANADA Yes Yes 0.3% 0 - 3,000 20% 3,000 - 21,000 35% 35% 21,000 - 390,000 50% 75% >390,000 75%

AOI.TO Africa Oil Corporation CANADA Yes - No CR Call In 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

AEM.TO Agnico Eagle Mines Limited CANADA Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 500,000 35% 50% >500,000 75%

AGU.TO Agrium Inc CANADA Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 381,000 20% 40% >381,000 75%

AC.TO Air Canada CANADA Yes - No CR No 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 930,000 40% 55% >930,000 75%

BOS.TO Airboss of America Corporation CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ASR.TO Alacer Gold Corporation CANADA Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 975,000 40% 55% >975,000 75%

AGI.TO Alamos Gold Inc CANADA Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

ALG.V Algold Resources Limited CANADA Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ATDb.TO Alimentation Couche-Tard Inc CANADA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 651,000 35% 45% >651,000 75%

ALS.TO Altius Minerals Corporation CANADA Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

AGC.V Amarillo Gold Corporation CANADA No Yes 0.3% 0 - 84,000 25% 84,000 - 168,000 40% 40% 168,000 - 210,000 75% 75% >210,000 75%

AYA.TO Amaya Inc CANADA Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 270,000 50% 60% >270,000 75%

AEN.V Antrim Energy Inc CANADA Stockbroking onlyYes 0.3% 0 - 246,500 25% 246,500 - 493,000 40% 40% 493,000 - 616,200 75% 75% >616,200 75%

AR.TO Argonaut Gold Inc CANADA Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 160,000 40% 40% 160,000 - 440,000 60% 75% >440,000 75%

AKG.TO Asanko Gold Inc CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

ATH.TO Athabasca Oil Corporation CANADA Yes - No CR No 0.3% 0 - 7,000 15% 7,000 - 42,000 25% 25% 42,000 - 1,449,000 40% 55% >1,449,000 75%

AMI.TO AuRico Metals Inc CANADA Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

AVO.TO Avigilon Corporation CANADA Yes - No CR No 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

BTO.TO B2Gold Corporation CANADA Yes - No CR Yes 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

BCE.TO BCE Inc CANADA Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 783,000 20% 40% >783,000 75%

ZEB.TO BMO S&P TSX Equal Weight Banks Index ETF CANADA Yes No 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 25,000 40% 55% >25,000 75%

BMO.TO Bank of Montreal CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 129,600 10% 10% 129,600 - 525,000 20% 40% >525,000 75%

BNK.TO Bankers Petroleum Limited CANADA Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

ABX.TO Barrick Gold Corporation CANADA Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,650,000 20% 40% >1,650,000 75%

BTE.TO Baytex Energy Corporation CANADA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

BXE.TO Bellatrix Exploration Limited CANADA Yes No 0.3% 0 - 25,000 15% 25,000 - 50,000 30% 30% 50,000 - 250,000 45% 60% >250,000 75%

BB.TO BlackBerry Limited CANADA Yes - No CR Yes 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 3,015,000 30% 50% >3,015,000 75%

PXX.TO BlackPearl Resources Inc CANADA Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 35,000 40% 40% 35,000 - 500,000 60% 75% >500,000 75%

BBDb.TO Bombardier Inc CANADA Yes Yes 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 3,015,000 30% 50% >3,015,000 75%

BNP.TO Bonavista Energy Corporation CANADA Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 525,000 60% 75% >525,000 75%

BAMa.TO Brookfield Asset Management Inc CANADA Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 50% >400,000 75%






GIBa.TO CGI Group Inc CANADA Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 450,000 35% 45% >450,000 75%

CCO.TO Cameco Corporation CANADA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

CF.TO Canaccord Genuity Group Inc CANADA Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 150,000 60% 75% >150,000 75%

CNE.TO Canacol Energy Limited CANADA Stockbroking onlyYes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 500,000 40% 55% >500,000 75%

CAR_u.TO Canadian Apartment Properties REIT CANADA Yes Yes 0.3% 0 - 3,500 20% 3,500 - 21,000 30% 30% 21,000 - 262,500 50% 60% >262,500 75%

CM.TO Canadian Imperial Bank of Commerce CANADA Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 412,000 20% 40% >412,000 75%

CNR.TO Canadian National Railway Company CANADA Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 600,000 20% 40% >600,000 75%

CNQ.TO Canadian Natural Resources Limited CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 960,000 20% 40% >960,000 75%

COS.TO Canadian Oil Sands Limited CANADA Yes Yes 0.3% 0 - 15,000 20% 15,000 - 150,000 35% 35% 150,000 - 795,000 50% 75% >795,000 75%

CP.TO Canadian Pacific Railway Limited CANADA Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 217,500 20% 40% >217,500 75%

CTCa.TO Canadian Tire Corporation Limited CANADA Yes No 0.3% 0 - 1,000 5% 1,000 - 6,000 10% 10% 6,000 - 100,000 25% 40% >100,000 75%

CUS.TO Canexus Corporation CANADA Yes - No CR No 0.3% 0 - 12,000 20% 12,000 - 60,000 30% 30% 60,000 - 240,000 50% 60% >240,000 75%

CFP.TO Canfor Corporation CANADA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

CGC.V Canopy Growth Corp CANADA Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CSE.TO Capstone Infrastructure Corporation CANADA Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

CAS.TO Cascades Inc CANADA Yes Yes 0.3% 0 - 2,700 25% 2,700 - 5,400 40% 40% 5,400 - 43,800 60% 75% >43,800 75%

CVE.TO Cenovus Energy Inc CANADA Yes Yes 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 1,372,000 35% 50% >1,372,000 75%

CEE.TO Centamin PLC CANADA Yes Yes 0.3% 0 - 19,900 25% 19,900 - 39,800 40% 40% 39,800 - 71,000 60% 75% >71,000 75%

CG.TO Centerra Gold Inc CANADA Yes Yes 0.3% 0 - 7,000 20% 7,000 - 39,900 30% 30% 39,900 - 140,000 50% 60% >140,000 75%

CGG.TO China Gold International Resources CorporationCANADA Yes Call In 0.3% 0 - 4,900 25% 4,900 - 9,800 40% 40% 9,800 - 98,000 60% 75% >98,000 75%

CCA.TO Cogeco Cable Inc CANADA Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CUF_u.TO Cominar REIT CANADA Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 150,000 50% 60% >150,000 75%

CXR.TO Concordia Healthcare Corporation CANADA Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

CSU.TO Constellation Software Inc CANADA No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CJRb.TO Corus Entertainment Inc CANADA Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

CPG.TO Crescent Point Energy Corporation CANADA Yes - No CR Yes 0.3% 0 - 6,000 25% 6,000 - 42,000 40% 40% 42,000 - 1,200,000 60% 75% >1,200,000 75%

CR.TO Crew Energy Inc CANADA Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

CWV.V Crown Point Energy Inc CANADA No Yes 0.3% 0 - 27,600 25% 27,600 - 55,200 40% 40% 55,200 - 165,000 60% 75% >165,000 75%

DML.TO Denison Mines Corporation CANADA Yes Call In 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

DGC.TO Detour Gold Corporation CANADA Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

DOL.TO Dollarama Inc CANADA Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 180,000 35% 45% >180,000 75%

DRG_u.TO Dream Global REIT CANADA Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

DPM.TO Dundee Precious Metals Inc CANADA Yes Yes 0.3% 0 - 7,000 20% 7,000 - 39,900 30% 30% 39,900 - 140,000 50% 60% >140,000 75%

EXF.TO EXFO Inc CANADA Yes Yes 0.3% 0 - 3,800 25% 3,800 - 7,600 40% 40% 7,600 - 11,400 60% 75% >11,400 75%

ELR.TO Eastern Platinum Limited CANADA Yes Call In 0.3% 0 - 217,500 25% 217,500 - 435,000 40% 40% 435,000 - 1,787,800 60% 75% >1,787,800 75%

EOM.TO Eco Oro Minerals Corporation CANADA Stockbroking onlyYes 0.3% 0 - 45,100 25% 45,100 - 90,200 40% 40% 90,200 - 112,700 75% 75% >112,700 75%

ELD.TO Eldorado Gold Corporation CANADA Yes Yes 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 1,980,000 30% 50% >1,980,000 75%

EFN.TO Element Financial Corporation CANADA Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 1,050,000 35% 45% >1,050,000 75%

ENB.TO Enbridge Inc CANADA Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 770,000 20% 40% >770,000 75%

ECA.TO Encana Corporation CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,815,000 20% 40% >1,815,000 75%

EDV.TO Endeavour Mining Corporation CANADA Yes - No CR Yes 0.3% 0 - 700 25% 700 - 4,200 40% 40% 4,200 - 137,200 60% 75% >137,200 75%

EDR.TO Endeavour Silver Corporation CANADA Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

EFR.TO Energy Fuels Inc CANADA No Yes 0.3% 0 - 1,900 25% 1,900 - 3,800 40% 40% 3,800 - 38,000 60% 75% >38,000 75%

ESI.TO Ensign Energy Services Inc CANADA Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

XRC.TO Exeter Resource Corporation CANADA Stockbroking onlyCall In 0.3% 0 - 21,500 25% 21,500 - 43,000 40% 40% 43,000 - 53,700 75% 75% >53,700 75%

FFH.TO Fairfax Financial Holdings Limited CANADA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

FO.V Falcon Oil & Gas Limited CANADA No Yes 0.3% 0 - 99,900 25% 99,900 - 199,800 40% 40% 199,800 - 330,600 60% 75% >330,600 75%

FR.TO First Majestic Silver Corporation CANADA Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

FF.V First Mining Finance Corporation CANADA Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 700,000 60% 75% >700,000 75%

FM.TO First Quantum Minerals Limited CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,500,000 20% 40% >1,500,000 75%

FCU.TO Fission Uranium Corporation CANADA Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 576,000 60% 75% >576,000 75%

FSY.TO Forsys Metals Corporation CANADA Stockbroking onlyYes 0.3% 0 - 34,900 25% 34,900 - 69,800 40% 40% 69,800 - 87,200 75% 75% >87,200 75%

FTS.TO Fortis Inc CANADA Yes Yes 0.3% 0 - 2,500 5% 2,500 - 10,000 10% 10% 10,000 - 450,000 25% 40% >450,000 75%

FVI.TO Fortuna Silver Mines Inc CANADA Yes Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

FNV.TO Franco-Nevada Corporation CANADA Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 210,000 35% 45% >210,000 75%

FRU.TO Freehold Royalties Limited CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

WN.TO George Weston Limited CANADA Yes Yes 0.3% 0 - 1,000 10% 1,000 - 10,000 20% 20% 10,000 - 50,000 30% 50% >50,000 75%

GIL.TO Gildan Activewear Inc CANADA Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 50% >400,000 75%

G.TO Goldcorp Inc CANADA Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 1,225,000 20% 40% >1,225,000 75%

GSC.TO Golden Star Resources Limited CANADA Stockbroking onlyYes 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 60% 75% >600,000 75%

GCM.TO Gran Colombia Gold Corporation CANADA Stockbroking onlyYes 0.3% 0 - 7,300 25% 7,300 - 14,600 40% 40% 14,600 - 26,500 60% 75% >26,500 75%

GXO .TO Granite Oil Corporation CANADA Yes No 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

GC.TO Great Canadian Gaming Corporation CANADA Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 26,000 60% 75% >26,000 75%

GPR.TO Great Panther Silver Limited CANADA No Yes 0.3% 0 - 13,800 25% 13,800 - 27,600 40% 40% 27,600 - 102,900 60% 75% >102,900 75%

GWGh.V Great Western Minerals Group Limited CANADA No Yes 0.3% 0 - 176,100 25% 176,100 - 352,200 40% 40% 352,200 - 489,500 60% 75% >489,500 75%

GUY.TO Guyana Goldfields Inc CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

HCG.TO Home Capital Group Inc CANADA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

HNL.TO Horizon North Logistics Inc CANADA Yes No 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

HNU.TO Horizons BetaPro NYMEX Natural Gas Bull PlusCANADA Yes - No CR No 0.3% 0 - 30,000 10% 30,000 - 120,000 20% 20% 120,000 - 180,000 35% 45% >180,000 75%

HBM.TO HudBay Minerals Inc CANADA Yes Yes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

HBC.TO Hudson's Bay Company CANADA Yes No 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

HSE.TO Husky Energy Inc CANADA Yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 378,000 30% 50% >378,000 75%

IMG.TO IAMGOLD Corporation CANADA Yes Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 1,200,000 35% 45% >1,200,000 75%

IMO.TO Imperial Oil Limited CANADA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 249,000 30% 50% >249,000 75%

IAG.TO Industrial Alliance Insurance and Financial ServiCANADA Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

IPL.TO Inter Pipeline Limited CANADA Yes Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 549,000 60% 75% >549,000 75%

IAE.TO Ithaca Energy Inc CANADA Yes - No CR Call In 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 859,000 50% 60% >859,000 75%

IVN.TO Ivanhoe Mines Limited CANADA Yes Call In 0.3% 0 - 11,100 25% 11,100 - 22,200 40% 40% 22,200 - 216,400 60% 75% >216,400 75%

KAM.V Kaminak Gold Corporation CANADA Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 150,000 60% 75% >150,000 75%

KAT.TO Katanga Mining Limited CANADA Yes Yes 0.3% 0 - 44,600 25% 44,600 - 89,200 40% 40% 89,200 - 111,500 75% 75% >111,500 75%

K.TO Kinross Gold Corporation CANADA Yes Yes 0.3% 0 - 80,000 10% 80,000 - 800,000 20% 20% 800,000 - 3,520,000 30% 50% >3,520,000 75%

KGI.TO Kirkland Lake Gold Inc CANADA Yes Call In 0.3% 0 - 9,000 25% 9,000 - 54,900 40% 40% 54,900 - 180,000 60% 75% >180,000 75%

LSG.TO Lake Shore Gold Corporation CANADA Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 900,000 60% 75% >900,000 75%

LB.TO Laurentian Bank of Canada CANADA Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

LTS.TO Lightstream Resources Limited CANADA Yes Call In 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

L.TO Loblaw Companies Limited CANADA Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 351,000 20% 40% >351,000 75%

LUC.TO Lucara Diamond Corporation CANADA Yes Yes 0.3% 0 - 11,100 25% 11,100 - 22,200 40% 40% 22,200 - 222,000 60% 75% >222,000 75%

LUN.TO Lundin Mining Corporation CANADA Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

MEG.TO MEG Energy Corporation CANADA Yes Yes 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 450,000 35% 45% >450,000 75%

MDA.TO Macdonald Dettwiler & Associates Limited CANADA Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

MG.TO Magna International Inc CANADA Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 768,000 20% 40% >768,000 75%

MDI.TO Major Drilling Group International Inc CANADA Yes No 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

MND.TO Mandalay Resources Corporation CANADA No No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%

MFC.TO Manulife Financial Corporation CANADA Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,720,000 20% 40% >1,720,000 75%

MFI.TO Maple Leaf Foods Inc CANADA Yes No 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

MMT.TO Mart Resources Inc CANADA Stockbroking onlyYes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

MRE.TO Martinrea International Inc CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

MX.TO Methanex Corporation CANADA Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 264,000 35% 45% >264,000 75%

MRU.TO Metro Inc CANADA Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%

MPV.TO Mountain Province Diamonds Inc CANADA Yes Yes 0.3% 0 - 3,400 25% 3,400 - 6,800 40% 40% 6,800 - 23,100 60% 75% >23,100 75%

NA.TO National Bank of Canada CANADA Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 576,000 20% 40% >576,000 75%

NUS.TO Nautilus Minerals Inc CANADA Yes - No CR Call In 0.3% 0 - 15,000 25% 15,000 - 45,000 40% 40% 45,000 - 105,000 75% 75% >105,000 75%

NXE.V NexGen Energy Limited CANADA Yes - No CR No 0.3% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 450,000 60% 75% >450,000 75%

NKO.TO Niko Resources Limited CANADA Stockbroking onlyYes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

NCQ.TO NovaCopper Inc CANADA Stockbroking onlyCall In 0.3% 0 - 11,800 25% 11,800 - 23,600 40% 40% 23,600 - 29,500 75% 75% >29,500 75%

OR.TO Osisko Gold Royalties Limited CANADA Yes Yes 0.3% 0 - 5,000 20% 5,000 - 35,000 30% 30% 35,000 - 500,000 50% 60% >500,000 75%

PRE.TO Pacific Exploration & Production Corporation CANADA Yes Call In 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

PDN.TO Paladin Energy Limited CANADA Yes Yes 0.3% 0 - 20,000 20% 20,000 - 140,000 30% 30% 140,000 - 3,660,000 50% 60% >3,660,000 75%

PSI.TO Pason Systems Inc CANADA Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

PPL.TO Pembina Pipeline Corporation CANADA Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PWT.TO Penn West Petroleum Limited CANADA Yes Call In 0.3% 0 - 30,000 25% 30,000 - 300,000 40% 40% 300,000 - 990,000 50% 60% >990,000 75%

PEY.TO Peyto Exploration & Development Corporation CANADA Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

PNP.TO Pinetree Capital Limited CANADA Stockbroking onlyCall In 0.3% 0 - 37,700 25% 37,700 - 75,400 40% 40% 75,400 - 134,500 60% 75% >134,500 75%

POT.TO Potash Corporation of Saskatchewan Inc CANADA Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 200,000 35% 45% >200,000 75%

POW.TO Power Corporation of Canada CANADA Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 35% 35% 9,000 - 349,500 50% 75% >349,500 75%

PG.TO Premier Gold Mines Limited CANADA Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 376,000 60% 75% >376,000 75%

P.TO Primero Mining Corporation CANADA No Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

PLI.TO ProMetic Life Sciences Inc CANADA Yes Yes 0.3% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 400,000 50% 60% >400,000 75%

BIN.TO Progressive Waste Solutions Limited CANADA Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

QEC.TO Questerre Energy Corporation CANADA Yes Yes 0.3% 0 - 14,700 25% 14,700 - 29,400 40% 40% 29,400 - 74,800 60% 75% >74,800 75%

QSR.TO Restaurant Brands International Inc CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

QSP_u.TO Restaurant Brands International Limited PartnerCANADA Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

RCIb.TO Rogers Communications Inc CANADA Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 450,000 20% 40% >450,000 75%

RON.TO Rona Inc CANADA Yes No 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

RY.TO Royal Bank of Canada CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 129,700 10% 10% 129,700 - 525,000 20% 40% >525,000 75%

RMX.TO Rubicon Minerals Corporation CANADA Yes No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 525,000 60% 75% >525,000 75%

RUS.TO Russel Metals Inc CANADA Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

SMF.TO SEMAFO Inc CANADA Yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

SNC.TO SNC-Lavalin Group Inc CANADA Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

SSL.TO Sandstorm Gold Limited CANADA Yes - No CR Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%






SVC.TO Sandvine Corporation CANADA Yes - No CR No 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

SAP.TO Saputo Inc CANADA Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 35% 35% 6,000 - 225,000 50% 75% >225,000 75%

SVY.TO Savanna Energy Services Corporation CANADA Yes Yes 0.3% 0 - 2,200 25% 2,200 - 4,400 40% 40% 4,400 - 44,000 60% 75% >44,000 75%

SCC.TO Sears Canada Inc CANADA Yes Call In 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 28,000 60% 75% >28,000 75%

SES.TO Secure Energy Services Inc CANADA Yes No 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

SNM.V ShaMaran Petroleum Corporation CANADA No Yes 0.3% 0 - 39,300 25% 39,300 - 78,600 40% 40% 78,600 - 379,200 60% 75% >379,200 75%

SJRb.TO Shaw Communications Inc CANADA Yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 426,000 30% 50% >426,000 75%

S.TO Sherritt International Corporation CANADA Yes Call In 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

SLW.TO Silver Wheaton Corporation CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,320,000 20% 40% >1,320,000 75%

SVM.TO Silvercorp Metals Inc CANADA Yes Yes 0.3% 0 - 5,900 25% 5,900 - 11,800 40% 40% 11,800 - 79,600 60% 75% >79,600 75%

SGQ.TO SouthGobi Resources Limited CANADA Yes Call In 0.3% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 66,500 60% 75% >66,500 75%

SLF.TO Sun Life Financial Inc CANADA Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 524,000 20% 40% >524,000 75%

SU.TO Suncor Energy Inc CANADA Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,000,000 20% 40% >1,000,000 75%

T.TO TELUS Corporation CANADA Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 980,000 20% 40% >980,000 75%

X.TO TMX Group Limited CANADA Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,500 60% 75% >14,500 75%

THO.TO Tahoe Resources Inc CANADA Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

TCKb.TO Teck Resources Limited CANADA Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,410,000 20% 40% >1,410,000 75%

TPL.TO Tethys Petroleum Limited CANADA Yes Yes 0.3% 0 - 29,800 25% 29,800 - 59,600 40% 40% 59,600 - 96,800 60% 75% >96,800 75%

BNS.TO The Bank of Nova Scotia CANADA Yes Yes 0.3% 0 - 7,000 5% 7,000 - 110,200 10% 10% 110,200 - 581,000 20% 40% >581,000 75%

PJCa.TO The Jean Coutu Group (PJC) Inc CANADA Yes No 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

TD.TO The Toronto-Dominion Bank CANADA Yes Yes 0.3% 0 - 10,000 5% 10,000 - 150,000 10% 10% 150,000 - 750,000 20% 40% >750,000 75%

TCM.TO Thompson Creek Metals Company Inc CANADA Yes Yes 0.3% 0 - 6,000 25% 6,000 - 12,000 40% 40% 12,000 - 120,000 60% 75% >120,000 75%

TRI.TO Thomson Reuters Corporation CANADA Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 847,000 20% 40% >847,000 75%

TXG.TO Torex Gold Resources Inc CANADA Yes No 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

TXP.TO Touchstone Exploration Inc CANADA Yes No 0.3% 0 - 25,000 25% 25,000 - 50,000 40% 40% 50,000 - 62,500 75% 75% >62,500 75%

TOU.TO Tourmaline Oil Corporation CANADA Yes No 0.3% 0 - 7,000 20% 7,000 - 39,900 30% 30% 39,900 - 140,000 50% 60% >140,000 75%

TA.TO TransAlta Corporation CANADA Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

TNP.TO TransAtlantic Petroleum Limited CANADA Yes Yes 0.3% 0 - 21,500 25% 21,500 - 43,000 40% 40% 43,000 - 53,700 75% 75% >53,700 75%

TRP.TO TransCanada Corporation CANADA Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 524,000 20% 40% >524,000 75%

TML.TO Treasury Metals Inc CANADA No Yes 0.3% 0 - 42,500 25% 42,500 - 85,000 40% 40% 85,000 - 106,200 75% 75% >106,200 75%

TET.TO Trilogy Energy Corporation CANADA Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

U.TO Uranium Participation Corporation CANADA Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

UR.TO Urthecast Corporation CANADA Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

VRX.TO Valeant Pharmaceuticals International Inc CANADA Yes - No CR Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 240,000 20% 40% >240,000 75%

VET.TO Vermilion Energy Inc CANADA Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

WZR.V Westernzagros Resources Limited CANADA Stockbroking onlyCall In 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

WTE.TO Westshore Terminals Investment Corporation CANADA Yes No 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

YRI.TO Yamana Gold Inc CANADA Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 2,500,000 20% 40% >2,500,000 75%

Y.TO Yellow Pages Limited CANADA Yes Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 45,000 40% 55% >45,000 75%

XIC.TO iShares Core S&P TSX Capped Composite IndeCANADA Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%

ABS.PA AB Science SA FRANCE Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 75,000 60% 75% >75,000 75%

ACNF.PA ANF Immobilier FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,600 60% 75% >3,600 75%

AREVA.PA AREVA SA FRANCE Yes No 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

AXAF.PA AXA Group FRANCE Yes Yes 0.3% 0 - 20,000 5% 20,000 - 300,000 10% 10% 300,000 - 1,200,000 20% 40% >1,200,000 75%

ACCP.PA Accor SA FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 90,000 10% 10% 90,000 - 450,000 20% 40% >450,000 75%

ADOC.PA Adocia SA FRANCE Yes - No CR Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 50,000 60% 75% >50,000 75%

ADP.PA Aeroports de Paris SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

BTPP.PA Affine R.E. FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,200 60% 75% >4,200 75%

AIRF.PA Air France-KLM SA FRANCE Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 1,360,000 35% 45% >1,360,000 75%

AIRP.PA Air Liquide SA FRANCE Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 240,000 20% 40% >240,000 75%

AIR.PA Airbus Group SE FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 112,500 10% 10% 112,500 - 450,000 20% 40% >450,000 75%

ABIO.PA Albioma FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,200 60% 75% >14,200 75%

ALUA.PA Alcatel-Lucent FRANCE Yes - No CR Yes 0.3% 0 - 140,000 5% 140,000 - 1,505,000 10% 10% 1,505,000 - 7,700,000 20% 40% >7,700,000 75%

ALPHY.PA Ales Groupe FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ALSO.PA Alstom SA FRANCE Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 700,000 20% 40% >700,000 75%

LTEN.PA Alten SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 18,700 50% 60% >18,700 75%

ALTT.PA Altran Technologies SA FRANCE Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

AMUN.PA Amundi Asset Management FRANCE Yes Yes 0.3% 0 - 10,000 25% 10,000 - 70,000 40% 40% 70,000 - 200,000 50% 60% >200,000 75%

AFRN.PA Amundi ETF Floating Rate Euro Corporate 1-3 UFRANCE Yes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

APRL.PA April SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,800 60% 75% >9,800 75%

ARCH.PA Archos SA FRANCE Yes Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%

AKE.PA Arkema SA FRANCE Yes - No CR Yes 0.3% 0 - 1,700 10% 1,700 - 10,200 20% 20% 10,200 - 34,000 35% 45% >34,000 75%

ARTF.PA Artprice.com FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 19,200 60% 75% >19,200 75%

ASY.PA Assystem SA FRANCE Yes Yes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 15,000 60% 75% >15,000 75%

ATAR.PA Atari SA FRANCE No No 0.3% 0 - 25,000 25% 25,000 - 50,000 40% 40% 50,000 - 75,000 60% 75% >75,000 75%

ATOS.PA Atos SE FRANCE Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

AUBT.PA Aubay FRANCE Yes Yes 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

OSI.PA Ausy SA FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AVOM.PA Avenir Telecom SA FRANCE Yes No 0.3% 0 - 38,600 25% 38,600 - 77,200 40% 40% 77,200 - 86,800 60% 75% >86,800 75%

AXW.PA Axway Software SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 6,500 60% 75% >6,500 75%

EEE.PA BNP Paribas Easy FTSE EPRA NAREIT Euroz FRANCE Yes Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 48,000 35% 45% >48,000 75%

BNPP.PA BNP Paribas SA FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 102,900 10% 10% 102,900 - 405,000 20% 40% >405,000 75%

CHBE.PA Beneteau SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 20,000 60% 75% >20,000 75%

BNSI.PA Beni Stabili SpA FRANCE No No 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

BLUE.PA Blue Solutions SA FRANCE Yes No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 24,000 60% 75% >24,000 75%

BOIR.PA Boiron SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,300 60% 75% >5,300 75%

BOLL.PA Bollore FRANCE Yes Yes 0.3% 0 - 100,000 15% 100,000 - 300,000 25% 25% 300,000 - 420,000 40% 55% >420,000 75%

BOND.PA Bonduelle SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,400 60% 75% >9,400 75%

GPBN.PA Bourbon FRANCE Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

BOUY.PA Bouygues SA FRANCE Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 528,000 20% 40% >528,000 75%

BVI.PA Bureau Veritas SA FRANCE Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ALCBO.PA CBo Territoria SA FRANCE Yes No 0.3% 0 - 3,600 25% 3,600 - 7,200 40% 40% 7,200 - 8,100 60% 75% >8,100 75%

CFAO.PA CFAO SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

GEPH.PA CGG FRANCE Yes Yes 0.3% 0 - 60,000 10% 60,000 - 360,000 20% 20% 360,000 - 1,200,000 35% 45% >1,200,000 75%

CNPP.PA CNP Assurances SA FRANCE Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

SIGF.PA CS Communication & Systemes SA FRANCE No No 0.3% 0 - 5,300 25% 5,300 - 10,600 40% 40% 10,600 - 13,200 75% 75% >13,200 75%

CRTO.PA Caisse Regionale de Credit Agricole Mutuel de LFRANCE Yes No 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

CAIF.PA Caisse Regionale de Credit Agricole Mutuel de PFRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CAPP.PA Cap Gemini SA FRANCE Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 352,000 20% 40% >352,000 75%

CARR.PA Carrefour SA FRANCE Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 903,000 20% 40% >903,000 75%

CASP.PA Casino Guichard-Perrachon SA FRANCE Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 60,000 35% 45% >60,000 75%

CGR.PA CeGeREAL SA. FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

CGDM.PA Cegedim SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

CEGI.PA Cegid Group SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,600 60% 75% >5,600 75%

ALCLS.PA Cellectis SA FRANCE Yes - No CR Yes 0.3% 0 - 2,700 25% 2,700 - 16,300 40% 40% 16,300 - 72,400 60% 75% >72,400 75%

CRIP.PA Chargeurs SA FRANCE Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

DIOR.PA Christian Dior SE FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

COFA.PA Coface SA FRANCE Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 90,000 35% 45% >90,000 75%

MICP.PA Compagnie Generale DES Etablissements MichFRANCE Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 300,000 20% 40% >300,000 75%

PLOF.PA Compagnie Plastic Omnium SA FRANCE Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

SGOB.PA Compagnie de Saint-Gobain SA FRANCE Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 588,000 20% 40% >588,000 75%

CDAF.PA Compagnie des Alpes SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 6,700 60% 75% >6,700 75%

CAGR.PA Credit Agricole SA FRANCE Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,225,000 20% 40% >2,225,000 75%

DBV.PA DBV Technologies SA FRANCE Yes - No CR Yes 0.3% 0 - 9,500 25% 9,500 - 28,500 40% 40% 28,500 - 94,990,500 75% 75% >94,990,500 ERROR

DANO.PA Danone FRANCE Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 475,000 20% 40% >475,000 75%

DAST.PA Dassault Systemes SA FRANCE Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 60,000 35% 45% >60,000 75%

DBG.PA Derichebourg FRANCE Yes Yes 0.3% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 92,000 60% 75% >92,000 75%

DVTM.PA Devoteam SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

ENGIE.PA ENGIE SA FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 228,700 10% 10% 228,700 - 1,380,000 20% 40% >1,380,000 75%

ESIG.PA ESI Group SA FRANCE Yes - No CR No 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 2,000 60% 75% >2,000 75%

ALEZV.PA EasyVista FRANCE No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EDEN.PA Edenred SA FRANCE Yes Yes 0.3% 0 - 15,000 10% 15,000 - 75,000 20% 20% 75,000 - 195,000 35% 45% >195,000 75%

FOUG.PA Eiffage SA FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

EDF.PA Electricite de France SA FRANCE Yes Yes 0.3% 0 - 4,000 5% 4,000 - 60,000 10% 10% 60,000 - 676,000 20% 40% >676,000 75%

ELIOR.PA Elior FRANCE Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 25% 25% 50,000 - 150,000 35% 45% >150,000 75%

ERMT.PA Eramet SA FRANCE Yes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 25,500 50% 60% >25,500 75%

ERYP.PA Erytech Pharma SA FRANCE Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

ESSI.PA Essilor International SA FRANCE Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 300,000 20% 40% >300,000 75%

ESSF.PA Esso S.A.F. FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MAUP.PA Etablissements Maurel & Prom SA FRANCE Yes - No CR Yes 0.3% 0 - 9,000 20% 9,000 - 60,000 30% 30% 60,000 - 180,000 50% 60% >180,000 75%

TAM.PA Etam Developpement SCA FRANCE No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,200 60% 75% >5,200 75%

ELER.PA Euler Hermes Group SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 9,400 50% 60% >9,400 75%

EURA.PA Eur AE FRANCE Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

EDLP.PA Euro Disney SCA FRANCE Yes - No CR No 0.3% 0 - 28,000 25% 28,000 - 56,000 40% 40% 56,000 - 278,800 60% 75% >278,800 75%

EUFI.PA Eurofins Scientific SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 7,500 40% 55% >7,500 75%

ENX.PA Euronext NV FRANCE Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

EUCAR.PA Europcar Groupe SA FRANCE Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

ALEUP.PA Europlasma SA FRANCE Yes - No CR No 0.3% 0 - 165,000 25% 165,000 - 495,000 40% 40% 495,000 - 1,649,835,000 75% 75% >1,649,835,000 ERROR

ETL.PA Eutelsat Communications SA FRANCE Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

ALTVO.PA Evolis SA FRANCE Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR






EXEP.PA Exel Industries SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

LBCP.PA F. Marc de Lacharriere (Fimalac) SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

FTRN.PA FUTUREN SA FRANCE Yes - No CR Yes 0.3% 0 - 10,700 25% 10,700 - 21,400 40% 40% 21,400 - 214,000 60% 75% >214,000 75%

FAIP.PA Faiveley Transport SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,300 60% 75% >4,300 75%

EPED.PA Faurecia SA FRANCE Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

EPMF.PA Financiere de l'Odet FRANCE Yes Yes 0.3% 0 - 600 25% 600 - 1,900 40% 40% 1,900 - 2,300 75% 75% >2,300 75%

LINP.PA Finatis SA FRANCE No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

FLMI.PA Fleury Michon SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ALFOC.PA Focus Home Interactive SA FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

FDR.PA Fonciere des Regions FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

GFIP.PA GFI Informatique SA FRANCE Yes No 0.3% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 8,000 60% 75% >8,000 75%

GLTN.PA GL Events FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,500 60% 75% >8,500 75%

GLFT.PA GameLoft S.E. FRANCE Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

GAUM.PA Gaumont SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

GTT.PA Gaztransport & Technigaz SA FRANCE Yes Yes 0.3% 0 - 8,500 10% 8,500 - 34,000 20% 20% 34,000 - 84,991,500 75% 75% >84,991,500 ERROR

GFCP.PA Gecina SA FRANCE Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

GNFT.PA Genfit SA FRANCE Yes - No CR Yes 0.3% 0 - 9,000 25% 9,000 - 54,900 40% 40% 54,900 - 180,000 60% 75% >180,000 75%

GPIF.PA Gerard Perrier Industrie SA FRANCE No No 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

CITT.PA Groupe CRIT SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,800 60% 75% >5,800 75%

GETP.PA Groupe Eurotunnel SA FRANCE Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

GFLO.PA Groupe Flo SA FRANCE Yes No 0.3% 0 - 3,900 25% 3,900 - 7,800 40% 40% 7,800 - 14,100 60% 75% >14,100 75%

FNAC.PA Groupe Fnac SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ALGIL.PA Groupe Guillin SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

LPER.PA Groupe Laurent-Perrier FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

OPEN.PA Groupe Open FRANCE Yes No 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 5,100 60% 75% >5,100 75%

PARP.PA Groupe Partouche SA FRANCE Yes No 0.3% 0 - 12,900 25% 12,900 - 25,800 40% 40% 25,800 - 37,000 60% 75% >37,000 75%

GRBT.PA Guerbet SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

PYHE.PA Haulotte Group SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HAVA.PA Havas SA FRANCE Yes Yes 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

HERIG.PA Herige FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

HRMS.PA Hermes International Societe en commandite paFRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 8,500 40% 55% >8,500 75%

HIMD.PA Hi-Media SA FRANCE Stockbroking onlyNo 0.3% 0 - 400 25% 400 - 800 40% 40% 800 - 5,400 60% 75% >5,400 75%

HIPAY.PA HiPay Group SA FRANCE Yes No 0.3% 0 - 3,600 25% 3,600 - 21,600 40% 40% 21,600 - 72,000 50% 60% >72,000 75%

HIGH.PA High Co. SA FRANCE Yes No 0.3% 0 - 2,100 25% 2,100 - 4,200 40% 40% 4,200 - 6,800 60% 75% >6,800 75%

ALHYG.PA Hybrigenics SA FRANCE Yes - No CR No 0.3% 0 - 54,500 25% 54,500 - 163,500 40% 40% 163,500 - 272,500 60% 75% >272,500 75%

INSD.PA INSIDE Secure FRANCE Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

ICAD.PA Icade SA FRANCE Yes Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 36,000 40% 55% >36,000 75%

ILD.PA Iliad SA FRANCE Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

IMTP.PA Imerys SA FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

ETOF.PA Infotel SA FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

INGC.PA Ingenico Group FRANCE Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

IPH.PA Innate Pharma SA FRANCE Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

IPAR.PA InterParfums SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,200 60% 75% >9,200 75%

IPN.PA Ipsen SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ISOS.PA Ipsos SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

IAM.PA Itissalat Al-Maghrib (IAM) SA FRANCE Yes No 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 11,200 60% 75% >11,200 75%

JCDX.PA JCDecaux SA FRANCE Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

JCQ.PA Jacquet Metal Service SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,900 60% 75% >9,900 75%

KOF.PA Kaufman & Broad SA FRANCE Yes Call In 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

PRTP.PA Kering SA FRANCE Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 110,000 20% 40% >110,000 75%

LOIM.PA Klepierre SA FRANCE Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

KORI.PA Korian SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,400 60% 75% >5,400 75%

OREP.PA L'Oreal SA FRANCE Yes Yes 0.3% 0 - 2,500 5% 2,500 - 40,000 10% 10% 40,000 - 195,000 20% 40% >195,000 75%

LDCP.PA L.D.C. SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

LVMH.PA LVMH Moet Hennessy Louis Vuitton S.E. FRANCE Yes Yes 0.3% 0 - 3,000 5% 3,000 - 44,200 10% 10% 44,200 - 177,000 20% 40% >177,000 75%

LAFP.PA Lafarge SA FRANCE No Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 351,000 20% 40% >351,000 75%

LHN.PA LafargeHolcim Limited FRANCE Yes Yes 0.3% 0 - 300 5% 300 - 600 8% 8% 600 - 900 10% 12% >900 15%

LAGA.PA Lagardere SCA FRANCE Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

LAN.PA Lanson-BCC FRANCE Stockbroking onlyNo 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

LAEP.PA Latecoere SA FRANCE Yes Call In 0.3% 0 - 9,000 25% 9,000 - 27,000 40% 40% 27,000 - 63,000 50% 60% >63,000 75%

LNA.PA Le Noble-Age FRANCE Yes - No CR No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

LECS.PA Lectra SA FRANCE Yes Yes 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 17,200 60% 75% >17,200 75%

LEGD.PA Legrand SA FRANCE Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 300,000 20% 40% >300,000 75%

LZTL.PA Les Hotels De Paris SA FRANCE Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

LDSV.PA Linedata Services SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,800 60% 75% >5,800 75%

GFII.PA Lisi SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

LOCI.PA Locindus SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ALUCI.PA Lucibel SA FRANCE Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

LYXRIO.PA Lyxor Brazil (Ibovespa) UCITS ETF C-EUR FRANCE Yes No 0.3% 0 - 300,000 10% 300,000 - 2,025,000 20% 20% 2,025,000 - 3,000,000 35% 45% >3,000,000 75%

BX4.PA Lyxor CAC 40 Daily Double Short UCITS ETF FRANCE Yes - No CR Yes 0.3% 0 - 2,175,000 10% 2,175,000 - 15,225,00020% 20% 15,225,000 - 20,118,700 35% 45% >20,118,700 75%

ASI.PA Lyxor China Enterprise (HSCEI) UCITS ETF C- FRANCE Yes Yes 0.3% 0 - 140,000 10% 140,000 - 840,000 20% 20% 840,000 - 1,505,000 35% 45% >1,505,000 75%

CRB.PA Lyxor Commodities Thomson Reuters CorecomFRANCE Yes Yes 0.3% 0 - 425,000 10% 425,000 - 2,550,000 20% 20% 2,550,000 - 4,462,500 35% 45% >4,462,500 75%

MSE.PA Lyxor Euro Stoxx 50 (DR) UCITS ETF D-EUR FRANCE Yes Yes 0.3% 0 - 9,675,000 10% 9,675,000 - 60,468,70020% 20% 60,468,700 - 94,331,200 35% 45% >94,331,200 75%

JPN.PA Lyxor Japan (TOPIX) (DR) UCITS ETF D-EUR FRANCE Yes No 0.3% 0 - 10,000 15% 10,000 - 50,000 25% 25% 50,000 - 100,000 40% 55% >100,000 75%

LYXLEM.PA Lyxor MSCI Emerging Markets UCITS ETF C-E FRANCE Yes Yes 0.3% 0 - 3,225,000 10% 3,225,000 - 20,156,20020% 20% 20,156,200 - 29,831,200 35% 45% >29,831,200 75%

HLTW.PA Lyxor MSCI World Health Care TR UCITS ETF -FRANCE Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

CAC.PA Lyxor UCITS ETF CAC 40 (DR) D-EUR FRANCE Yes Yes 0.3% 0 - 30,000 5% 30,000 - 180,000 10% 10% 180,000 - 300,000 25% 40% >300,000 75%

DSB.PA Lyxor UCITS ETF Daily Double Short Bund FRANCE Yes No 0.3% 0 - 18,500 10% 18,500 - 92,500 20% 20% 92,500 - 166,500 35% 45% >166,500 75%

LVC.PA Lyxor UCITS ETF Daily Leverage CAC 40 FRANCE Yes - No CR Yes 0.3% 0 - 10,000,000 10% 10,000,000 - 60,000,0020% 20% 60,000,000 - 95,000,000 35% 45% >95,000,000 75%

BXX.PA Lyxor UCITS ETF Euro Stoxx 50 Daily Double SFRANCE Yes - No CR Yes 0.3% 0 - 900,000 10% 900,000 - 5,400,000 20% 20% 5,400,000 - 9,000,000 35% 45% >9,000,000 75%

LVE.PA Lyxor UCITS ETF Euro Stoxx 50 Daily LeverageFRANCE Yes - No CR No 0.3% 0 - 2,100,000 10% 2,100,000 - 15,225,00020% 20% 15,225,000 - 19,950,000 35% 45% >19,950,000 75%

LGRE.PA Lyxor UCITS ETF FTSE Athex Large Cap FRANCE Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

HK.PA Lyxor UCITS ETF Hong Kong (HSI) D-EUR FRANCE Yes Yes 0.3% 0 - 325,000 10% 325,000 - 2,031,200 20% 20% 2,031,200 - 3,493,700 35% 45% >3,493,700 75%

INR.PA Lyxor UCITS ETF MSCI India C-EUR FRANCE Yes Yes 0.3% 0 - 575,000 10% 575,000 - 3,450,000 20% 20% 3,450,000 - 6,037,500 35% 45% >6,037,500 75%

KRW.PA Lyxor UCITS ETF MSCI Korea C-EUR FRANCE Yes No 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 1,500,000 35% 45% >1,500,000 75%

LYXBNK.PA Lyxor UCITS ETF Stoxx Europe 600 Banks FRANCE Yes Yes 0.3% 0 - 10,000 10% 10,000 - 35,000 20% 20% 35,000 - 100,000 35% 45% >100,000 75%

BRES.PA Lyxor UCITS ETF Stoxx Europe 600 Basic ResoFRANCE Yes - No CR No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

LYXOIL.PA Lyxor UCITS ETF Stoxx Europe 600 Oil & Gas FRANCE Yes Yes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 75,000 35% 45% >75,000 75%

SEL.PA Lyxor UCITS ETF Stoxx Europe Select DividendFRANCE Yes No 0.3% 0 - 500,000 10% 500,000 - 3,000,000 20% 20% 3,000,000 - 5,000,000 35% 45% >5,000,000 75%

ULVO.PA Lyxor UCITS ETF Unleveraged S&P 500 VIX FuFRANCE No No 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 10,000 50% 75% >10,000 75%

MGIP.PA MGI Coutier SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MFCP.PA Maisons France Confort SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MANP.PA Manitou BF SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 18,000 60% 75% >18,000 75%

MATP.PA Manutan International SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MBWS.PA Marie Brizard Wine & Spirits SA FRANCE Yes - No CR Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

MKEA.PA Mauna Kea Technologies SAS FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 12,200 60% 75% >12,200 75%

MERY.PA Mercialys SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CBLP.PA Mersen SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,000 60% 75% >14,000 75%

METEX.PA Metabolic Explorer SA FRANCE Yes No 0.3% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 140,000 60% 75% >140,000 75%

MMTP.PA Metropole Television SA FRANCE Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

MNTP.PA Montupet SA FRANCE Yes No 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 30,000 40% 55% >30,000 75%

MBRI.PA Mr. Bricolage SA FRANCE Yes No 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 2,700 75% 75% >2,700 75%

SONO.PA NRJ Group SA FRANCE Yes Yes 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 13,800 60% 75% >13,800 75%

NANOB.PA Nanobiotix SA FRANCE Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 80,000 60% 75% >80,000 75%

CNAT.PA Natixis FRANCE Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

NPOS.PA Neopost SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

ETGM.PA Netgem SA FRANCE Yes No 0.3% 0 - 3,500 25% 3,500 - 7,000 40% 40% 7,000 - 16,300 60% 75% >16,300 75%

NEXS.PA Nexans SA FRANCE Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

NEXI.PA Nexity FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

NXTV.PA NextRadioTV SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 13,000 60% 75% >13,000 75%

NCOX.PA Nicox SA FRANCE Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 25,000 40% 40% 25,000 - 35,000 60% 75% >35,000 75%

NOKIA.PA Nokia Corporation FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 45,000 10% 10% 45,000 - 149,985,000 75% 75% >149,985,000 ERROR

XPO.PA Norbert Dentressangle SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

NUME.PA Numericable-SFR FRANCE Yes - No CR Yes 0.3% 0 - 12,000 10% 12,000 - 72,000 20% 20% 72,000 - 240,000 35% 45% >240,000 75%

ORP.PA ORPEA SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

SABT.PA Oeneo SA FRANCE Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 27,000 60% 75% >27,000 75%

C4X.PA Onxeo SA FRANCE Yes - No CR Yes 0.3% 0 - 16,500 25% 16,500 - 99,000 40% 40% 99,000 - 148,500 60% 75% >148,500 75%

ORAN.PA Orange FRANCE Yes Yes 0.3% 0 - 40,000 5% 40,000 - 400,000 10% 10% 400,000 - 2,600,000 20% 40% >2,600,000 75%

ORCO.PA Orco Property Group SA FRANCE No No 0.3% 0 - 7,200 25% 7,200 - 14,400 40% 40% 14,400 - 95,400 60% 75% >95,400 75%

PSBP.PA PSB Industries FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

PARF.PA Paref SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

PARRO.PA Parrot SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,200 60% 75% >10,200 75%

PERP.PA Pernod-Ricard SA FRANCE Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 282,500 20% 40% >282,500 75%

PEUP.PA Peugeot SA FRANCE Yes Yes 0.3% 0 - 55,400 10% 55,400 - 332,400 20% 20% 332,400 - 1,495,800 35% 45% >1,495,800 75%

PVAC.PA Pierre & Vacances SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 6,500 60% 75% >6,500 75%

ALPDX.PA Piscines Desjoyaux SA FRANCE No No 0.3% 0 - 2,400 25% 2,400 - 4,800 40% 40% 4,800 - 6,000 75% 75% >6,000 75%

PLVP.PA Plastiques du Val de Loire FRANCE Yes - No CR Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 4,999,500 75% 75% >4,999,500 ERROR

ALPRO.PA Prodware FRANCE Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

PUBP.PA Publicis Groupe SA FRANCE Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 348,000 20% 40% >348,000 75%

GENC.PA Rallye SA FRANCE Yes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 40,000 50% 60% >40,000 75%






RXPA.PA Recylex SA FRANCE Stockbroking onlyNo 0.3% 0 - 3,300 25% 3,300 - 6,600 40% 40% 6,600 - 44,500 60% 75% >44,500 75%

RCOP.PA Remy Cointreau SA FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

RENA.PA Renault SA FRANCE Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 332,000 20% 40% >332,000 75%

RXL.PA Rexel SA FRANCE Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

RUBF.PA Rubis FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

ELIS.PA S.A. Elis FRANCE Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

SCOR.PA SCOR SE FRANCE Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

SEBF.PA SEB SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

SESFd.PA SES SA FRANCE Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

IISP.PA SII (Societe pour l'Informatique Industrielle) SA FRANCE Yes No 0.3% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 5,300 60% 75% >5,300 75%

SPIE.PA SPIE SA FRANCE Yes Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 174,000 60% 75% >174,000 75%

SRPG.PA SRP Groupe SA FRANCE Yes Yes 0.3% 0 - 16,500 25% 16,500 - 99,000 40% 40% 99,000 - 330,000 50% 60% >330,000 75%

STM.PA STMicroelectronics NV FRANCE Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 1,920,000 35% 45% >1,920,000 75%

SAF.PA Safran SA FRANCE Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 350,000 20% 40% >350,000 75%

S1A.PA Saft Groupe SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SASY.PA Sanofi FRANCE Yes Yes 0.3% 0 - 10,000 5% 10,000 - 82,000 10% 10% 82,000 - 330,000 20% 40% >330,000 75%

STDM.PA Sartorius Stedim Biotech SA FRANCE Yes Yes 0.3% 0 - 6,000 25% 6,000 - 18,000 40% 40% 18,000 - 23,500 60% 75% >23,500 75%

SAVEN.PA Savencia SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

SLBP.PA Schlumberger Limited FRANCE Yes No 0.3% 0 - 9,100 25% 9,100 - 45,500 40% 40% 45,500 - 182,000 60% 75% >182,000 75%

SCHN.PA Schneider Electric SE FRANCE Yes Yes 0.3% 0 - 4,000 5% 4,000 - 60,000 10% 10% 60,000 - 380,000 20% 40% >380,000 75%

CCHE.PA Seche Environnement SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

SEQ.PA Sequana SA FRANCE Yes - No CR Yes 0.3% 0 - 3,600 25% 3,600 - 7,200 40% 40% 7,200 - 72,000 60% 75% >72,000 75%

BICP.PA Societe BIC SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

FFPP.PA Societe Fonciere Financiere et de ParticipationsFRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,400 60% 75% >4,400 75%

SOGN.PA Societe Generale Group FRANCE Yes Yes 0.3% 0 - 15,000 5% 15,000 - 127,600 10% 10% 127,600 - 510,000 20% 40% >510,000 75%

TEIF.PA Societe de la Tour Eiffel SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

EXHO.PA Sodexo SA FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SOIT.PA Soitec SA FRANCE Yes Yes 0.3% 0 - 32,500 20% 32,500 - 195,000 30% 30% 195,000 - 650,000 50% 60% >650,000 75%

LOCAL.PA Solocal Group SA FRANCE Yes - No CR Yes 0.3% 0 - 5,300 15% 5,300 - 21,200 25% 25% 21,200 - 63,600 40% 55% >63,600 75%

DAMA.PA Somfy SA FRANCE Yes - No CR Yes 0.3% 0 - 100 25% 100 - 200 40% 40% 200 - 999,900 75% 75% >999,900 ERROR

SOPR.PA Sopra Steria Group FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,200 60% 75% >5,200 75%

SPIS.PA Spir Communication FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,800 60% 75% >4,800 75%

STF.PA Stef SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,200 60% 75% >3,200 75%

SEVI.PA Suez Environnement Company SA FRANCE Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

SSI.PA SuperSonic Imagine SA FRANCE Yes No 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 14,998,500 75% 75% >14,998,500 ERROR

SWOR.PA Sword Group SE FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,700 60% 75% >5,700 75%

SDGI.PA Synergie SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,300 60% 75% >8,300 75%

TFFP.PA TF1 Group FRANCE Yes Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

TEFE.PA TFF Group FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

TOTF.PA TOTAL SA FRANCE Yes Yes 0.3% 0 - 25,000 5% 25,000 - 135,000 10% 10% 135,000 - 550,000 20% 40% >550,000 75%

TKTT.PA Tarkett SA FRANCE Yes Yes 0.3% 0 - 35,000,000 10% 35,000,000 - 175,000,025% 25% 175,000,000 - 280,000,0 40% 50% >280,000,000 75%

TCH.PA Technicolor SA FRANCE Yes Yes 0.3% 0 - 8,000 15% 8,000 - 45,600 25% 25% 45,600 - 160,000 40% 55% >160,000 75%

TECF.PA Technip SA FRANCE Yes Yes 0.3% 0 - 10,000 5% 10,000 - 60,000 10% 10% 60,000 - 200,000 20% 40% >200,000 75%

ROCH.PA Teleperformance SA FRANCE Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

TERR.PA Terreis (France) FRANCE Yes Yes 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 2,000 60% 75% >2,000 75%

TESI.PA Tessi SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

TCFP.PA Thales SA FRANCE Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

THHG.PA Thermador Groupe SA FRANCE Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

EGAB.PA Total Gabon FRANCE No Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

TGEL.PA Toupargel Groupe SA FRANCE Yes No 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 3,700 75% 75% >3,700 75%

TRNG.PA Transgene SA FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

TRIA.PA Trigano SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,200 60% 75% >17,200 75%

TXCL.PA TxCell SA FRANCE Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

L3C.PA U10 SA FRANCE Yes No 0.3% 0 - 2,800 25% 2,800 - 5,600 40% 40% 5,600 - 15,700 60% 75% >15,700 75%

UBIP.PA Ubisoft Entertainment SA FRANCE Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

ALUMS.PA Umanis SA FRANCE No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

VEIL.PA VIEL & Cie FRANCE Yes No 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 12,500 75% 75% >12,500 75%

SGEF.PA VINCI SA FRANCE Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 462,000 20% 40% >462,000 75%

VLOF.PA Valeo SA FRANCE Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 135,000 35% 45% >135,000 75%

VLLP.PA Vallourec SA FRANCE Yes Yes 0.3% 0 - 36,400 5% 36,400 - 218,400 10% 10% 218,400 - 1,820,000 20% 40% >1,820,000 75%

VLS.PA Valneva SE FRANCE Yes - No CR No 0.3% 0 - 9,200 20% 9,200 - 52,500 30% 30% 52,500 - 184,000 50% 60% >184,000 75%

VIE.PA Veolia Environnement SA FRANCE Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 999,000 20% 40% >999,000 75%

VIAD.PA Viadeo SA FRANCE Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

VCTP.PA Vicat SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 12,500 50% 60% >12,500 75%

VILM.PA Vilmorin & Cie SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 60% 75% >3,500 75%

VIRB.PA Virbac SA FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,200 60% 75% >3,200 75%

VIV.PA Vivendi SA FRANCE Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,180,000 20% 40% >1,180,000 75%

VRKP.PA Vranken Pommery Monopole FRANCE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MWDP.PA Wendel FRANCE Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

WLN.PA Worldline SA FRANCE Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 60,000 40% 50% >60,000 75%

ZCCM.PA ZCCM Investments Holdings PLC FRANCE Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 1,700 40% 40% 1,700 - 9,999,000 75% 75% >9,999,000 ERROR

ZODC.PA Zodiac Aero SAE FRANCE Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

BIOX.PA bioMerieux SA FRANCE Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 13,200 50% 60% >13,200 75%

DBXSX.PA db x-trackers Euro Stoxx 50(r) Short Daily UCITFRANCE Yes Yes 0.3% 0 - 825,000 10% 825,000 - 4,950,000 20% 20% 4,950,000 - 8,456,200 35% 45% >8,456,200 75%

2GBG.DE 2G energy AG GERMANY Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,800 60% 75% >4,800 75%

UUUG.DE 3U Holding AG GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

3W9K.DE 3W Power SA GERMANY Stockbroking onlyNo 1% 0 - 15,500 25% 15,500 - 46,500 40% 40% 46,500 - 154,984,500 75% 75% >154,984,500 ERROR

VSCk.DE 4SC AG GERMANY Yes - No CR No 1% 0 - 7,400 25% 7,400 - 14,800 40% 40% 14,800 - 18,500 75% 75% >18,500 75%

AAQG.DE AAP Implantate AG GERMANY Stockbroking onlyNo 1% 0 - 5,500 25% 5,500 - 22,000 40% 40% 22,000 - 54,994,500 75% 75% >54,994,500 ERROR

ADLG.DE ADLER Real Estate Aktiengesellschaft GERMANY Yes - No CR Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 40,000 60% 75% >40,000 75%

ADAG.DE ADVA Optical Networking SE GERMANY Yes Yes 1% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 62,000 60% 75% >62,000 75%

ACWNn.DE AS Creation Tapeten AG GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ATSV.DE AT&S Austria Technologie & Systemtechnik AktGERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 3,700 40% 40% 3,700 - 14,998,500 75% 75% >14,998,500 ERROR

AOFG.DE ATOSS Software AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

NSUG.DE AUDI AG GERMANY Yes - No CR No 1% 0 - 100 25% 100 - 100 40% 40% 100 - 999,900 75% 75% >999,900 ERROR

ARLG.DE Aareal Bank AG GERMANY Yes Yes 1% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

E7SG.DE Accentro Real Estate AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

ADSGn.DE Adida SA GERMANY Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 490,000 20% 40% >490,000 75%

ADDG.DE Adler Modemarkte AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%

AB1.DE Air Berlin PLC GERMANY Yes No 1% 0 - 5,800 25% 5,800 - 11,600 40% 40% 11,600 - 97,100 60% 75% >97,100 75%

AIRG.DE Airbus Group SE GERMANY Yes No 0.7% 0 - 11,200 10% 11,200 - 56,000 20% 20% 56,000 - 224,000 35% 45% >224,000 75%

AIXGn.DE Aixtron SE GERMANY Yes Yes 0.7% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

MTVG.DE Albis Leasing AG GERMANY Stockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 14,998,500 75% 75% >14,998,500 ERROR

A1OS.DE All for One Steeb AG GERMANY Stockbroking onlyYes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

AEIG.DE Allgeier SE GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 2,200 40% 40% 2,200 - 9,999,000 75% 75% >9,999,000 ERROR

ALVG.DE Allianz SE GERMANY Yes Yes 0.3% 0 - 6,000 5% 6,000 - 46,200 10% 10% 46,200 - 186,000 20% 40% >186,000 75%

ANOG.DE Alno AG GERMANY Stockbroking onlyNo 1% 0 - 20,000 25% 20,000 - 40,000 40% 40% 40,000 - 199,980,000 75% 75% >199,980,000 ERROR

ATFG.DE Alphaform AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

AOXG.DE Alstria Office Reit-AG GERMANY Yes Yes 0.7% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 150,000 50% 60% >150,000 75%

AMDG.DE Amadeus FiRe AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,100 60% 75% >4,100 75%

AAPL.DE Apple Inc GERMANY Yes Yes 0.3% 0 - 10,500 10% 10,500 - 52,500 20% 20% 52,500 - 210,000 35% 45% >210,000 75%

AROG.DE Arcandor AG GERMANY Stockbroking onlyNo 1% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 249,975,000 75% 75% >249,975,000 ERROR

AYDGn.DE Artnet AG GERMANY Stockbroking onlyNo 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

5ABG.DE Asian Bamboo AG GERMANY Stockbroking onlyNo 1% 0 - 6,500 25% 6,500 - 13,000 40% 40% 13,000 - 22,100 60% 75% >22,100 75%

AR4G.DE Aurelius SE & Co. KGaA GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

NAFG.DE Aurubi SA GERMANY Yes Yes 0.7% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SPRGn.DE Axel Springer SE GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

DTDGk.DE B+S Banksysteme Aktiengesellschaft GERMANY Stockbroking onlyNo 1% 0 - 2,500 25% 2,500 - 7,500 40% 40% 7,500 - 24,997,500 75% 75% >24,997,500 ERROR

BASFn.DE BASF SE GERMANY Yes Yes 0.3% 0 - 10,000 5% 10,000 - 72,800 10% 10% 72,800 - 290,000 20% 40% >290,000 75%

B5AG.DE BAUER Aktiengesellschaft GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,200 60% 75% >15,200 75%

BIONn.DE BB Biotech AG GERMANY Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 50,000 50% 60% >50,000 75%

BMSA.DE BRAAS Monier Building Group SA GERMANY Yes No 1% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 24,997,500 75% 75% >24,997,500 ERROR

BWOG.DE BUWOG AG GERMANY Yes No 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 25,000 50% 75% >25,000 75%

BLMG.DE Baader Bank AG GERMANY Yes No 1% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 11,500 75% 75% >11,500 75%

ABX.DE Barrick Gold Corporation GERMANY Yes No 0.3% 0 - 1,000 5% 1,000 - 6,000 10% 10% 6,000 - 85,000 25% 40% >85,000 75%

BSLG.DE Basler AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

BST1.DE Bastei Lubbe AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 3,500 60% 75% >3,500 75%

BYWGnx.DE BayWa AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 17,700 50% 60% >17,700 75%

BYWG.DE BayWa AG GERMANY Yes - No CR No 1% 0 - 300 25% 300 - 700 40% 40% 700 - 3,499,600 75% 75% >3,499,600 ERROR

BAYGn.DE Bayer AG GERMANY Yes Yes 0.3% 0 - 8,000 5% 8,000 - 59,200 10% 10% 59,200 - 240,000 20% 40% >240,000 75%

BMWG.DE Bayerische Motoren Werke Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 6,000 5% 6,000 - 70,500 10% 10% 70,500 - 282,000 20% 40% >282,000 75%

BMWG_p.DE Bayerische Motoren Werke Aktiengesellschaft GERMANY Yes Yes 0.7% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

USEG.DE Beate Uhse AG GERMANY Stockbroking onlyNo 1% 0 - 15,700 25% 15,700 - 31,400 40% 40% 31,400 - 39,200 75% 75% >39,200 75%

BC8G.DE Bechtle AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 18,500 50% 60% >18,500 75%

BEIG.DE Beiersdorf AG GERMANY Yes Yes 0.3% 0 - 6,000 5% 6,000 - 18,000 10% 10% 18,000 - 60,000 20% 40% >60,000 75%

BEZGn.DE Berentzen-Gruppe AG GERMANY Stockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

BDTG.DE Bertrandt AG GERMANY Yes Yes 1% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 8,100 50% 60% >8,100 75%

BIJG.DE Bijou Brigitte modische Accessoires AktiengeseGERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

GBFG.DE Bilfinger SE GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

B8FGn.DE Biofrontera AG GERMANY Yes - No CR No 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 49,995,000 75% 75% >49,995,000 ERROR






BIOG.DE Biotest AG GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

BIOG_p.DE Biotest AG GERMANY Yes - No CR Yes 1% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 21,800 50% 60% >21,800 75%

BVB.DE Borussia Dortmund GmbH & Co. KommanditgeGERMANY Yes Yes 1% 0 - 13,600 25% 13,600 - 40,800 40% 40% 40,800 - 54,400 60% 75% >54,400 75%

BNRGn.DE Brenntag AG GERMANY Yes Yes 0.7% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 60,000 35% 45% >60,000 75%

O2C.DE C.A.T. Oil AG GERMANY Yes No 1% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

CSHG.DE CENIT AG GERMANY Stockbroking onlyYes 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

CEVG.DE CENTROTEC Sustainable AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

CWCG.DE CEWE Stiftung & Co. KGaA GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

CU1G.DE CHORUS Clean Energy AG GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 10,000 40% 40% 10,000 - 30,000 60% 75% >30,000 75%

EVDG.DE CTS Eventim AG & Co. KGaA GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 14,700 50% 60% >14,700 75%

COKG.DE Cancom SE GERMANY Yes Yes 1% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

HWAG.DE Capital Stage AG GERMANY Yes Yes 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 30,000 60% 75% >30,000 75%

AFXG.DE Carl Zeiss Meditec AG GERMANY Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CLSGn.DE Celesio AG GERMANY Yes Yes 0.7% 0 - 15,000 10% 15,000 - 45,000 20% 20% 45,000 - 150,000 35% 45% >150,000 75%

TRVC.DE Citigroup Inc GERMANY Yes No 1% 0 - 16,600 25% 16,600 - 83,000 40% 40% 83,000 - 332,000 60% 75% >332,000 75%

BAFk.DE Clere AG GERMANY Yes No 1% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

KBUG.DE Colonia Real Estate AG GERMANY Yes No 0.7% 0 - 2,600 25% 2,600 - 5,200 40% 40% 5,200 - 5,800 60% 75% >5,800 75%

CBPSI20.DE ComStage PSI 20(r) UCITS ETF GERMANY Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

CBSX86R.DE ComStage STOXX (r) Europe 600 Real Estate GERMANY Yes No 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 60% 75% >4,999,500 75%

CBKG.DE Commerzbank AG GERMANY Yes Yes 0.7% 0 - 45,000 5% 45,000 - 450,000 10% 10% 450,000 - 1,800,000 20% 40% >1,800,000 75%

X0C2.DE Commerzbank ETC 2x Brent Oil Daily Long GERMANY Yes - No CR No 1% 0 - 10,500 25% 10,500 - 73,500 40% 40% 73,500 - 105,000 60% 75% >105,000 75%

COPMa.DE CompuGroup Medical SE GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,500 60% 75% >16,500 75%

EV4G.DE Constantin Medien AG GERMANY Yes Yes 0.7% 0 - 7,000 25% 7,000 - 14,000 40% 40% 14,000 - 52,000 60% 75% >52,000 75%

CONG.DE Continental Aktiengesellschaft GERMANY Yes Yes 0.7% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 142,500 20% 40% >142,500 75%

1COV.DE Covestro AG GERMANY Yes - No CR Yes 1% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

CE2G.DE CropEnergie SA GERMANY Yes Yes 1% 0 - 2,200 25% 2,200 - 4,400 40% 40% 4,400 - 18,400 60% 75% >18,400 75%

CURG.DE Curasan AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 19,998,000 75% 75% >19,998,000 ERROR

T5OG.DE CytoTool SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

DMRE.DE DEMIRE Deutsche Mittelstand Real Estate AG GERMANY Stockbroking onlyNo 1% 0 - 24,500 25% 24,500 - 73,500 40% 40% 73,500 - 244,975,500 75% 75% >244,975,500 ERROR

DFTGn.DE DF Deutsche Forfait AG GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

DICn.DE DIC Asset AG GERMANY Yes Yes 1% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 34,000 60% 75% >34,000 75%

GILG.DE DMG Mori AG GERMANY Yes Yes 1% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

PMOX.DE DO Deutsche Office AG GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

DAIGn.DE Daimler AG GERMANY Yes Yes 0.3% 0 - 10,000 5% 10,000 - 89,800 10% 10% 89,800 - 360,000 20% 40% >360,000 75%

DAMG.DE Data Modul AG GERMANY Yes - No CR No 1% 0 - 300 25% 300 - 700 40% 40% 700 - 3,499,600 75% 75% >3,499,600 ERROR

ERMGk.DE Deag Deutsche Entertainment Ag GERMANY Stockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

DEXGn.DE Delticom AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,400 60% 75% >8,400 75%

DE1n.F Deufol SE GERMANY Stockbroking onlyNo 1% 0 - 12,100 25% 12,100 - 24,200 40% 40% 24,200 - 30,200 75% 75% >30,200 75%

DBKGn.DE Deutsche Bank AG GERMANY Yes Yes 0.3% 0 - 20,000 5% 20,000 - 24,000 15% 25% 24,000 - 120,000 30% 40% >120,000 75%

DBANn.DE Deutsche Beteiligung SA GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,800 60% 75% >7,800 75%

DB1Gn.DE Deutsche Boerse AG GERMANY Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 274,500 20% 40% >274,500 75%

DEQGn.DE Deutsche Euroshop AG GERMANY Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LHAG.DE Deutsche Lufthansa Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,320,000 20% 40% >1,320,000 75%

PBBG.DE Deutsche Pfandbriefbank AG GERMANY Yes Yes 1% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

DPWGn.DE Deutsche Post AG GERMANY Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 915,000 20% 40% >915,000 75%

DR0G.DE Deutsche Rohstoff AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

DTEGn.DE Deutsche Telekom AG GERMANY Yes Yes 0.3% 0 - 45,000 5% 45,000 - 495,000 10% 10% 495,000 - 1,980,000 20% 40% >1,980,000 75%

DWNG.DE Deutsche Wohnen AG GERMANY Yes Yes 0.7% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

DEZG.DE Deutz AG GERMANY Yes Yes 1% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

DLGS.DE Dialog Semiconductor PLC GERMANY Yes Yes 1% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

DIEG.DE Dierig Holding AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

HNLG.DE Dr. Honle AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

DRWG_p.DE Dragerwerk AG & Co. KGaA GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,700 50% 60% >10,700 75%

DRWG.DE Dragerwerk AG & Co. KGaA GERMANY Yes - No CR Yes 1% 0 - 500 25% 500 - 2,500 40% 40% 2,500 - 4,999,500 75% 75% >4,999,500 ERROR

DRIG.DE Drillisch Aktiengesellschaft GERMANY Yes Yes 1% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

DUEG.DE Durr Aktiengesellschaft GERMANY Yes Yes 1% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

EONGn.DE E.ON SE GERMANY Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,710,000 20% 40% >1,710,000 75%

ED4.DE EDAG Engineering Group AG GERMANY Yes Yes 1% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

ELGG.DE ELMOS Semiconductor AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,700 60% 75% >14,700 75%

XDES2.DE ETFS DAX Daily 2x Short GO UCITS GERMANY Yes - No CR No 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%

BTCGk.DE EYEMAXX Real Estate AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ESYG.DE Easy Software AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EUZG.DE Eckert & Ziegler Strahlen & Medizintechnik AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,200 60% 75% >3,200 75%

EING_p.DE Einhell Germany AG GERMANY Yes - No CR No 1% 0 - 400 25% 400 - 800 40% 40% 800 - 3,999,600 75% 75% >3,999,600 ERROR

ZILGn.DE ElringKlinger AG GERMANY Yes Yes 1% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ELBG.DE Elumeo SE GERMANY Yes No 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

EBKG.DE EnBW Energie Baden-Wuerttemberg AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EKTG.DE Energiekontor AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ECXn.DE Epigenomic SA GERMANY Yes - No CR Yes 1% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

EVKn.DE Evonik Industrie SA GERMANY Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

EVTG.DE Evotec AG GERMANY Yes Yes 1% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

FRSG.DE FORI SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CEAG.DE FRIWO AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

FB2A.DE Facebook Inc GERMANY Yes - No CR No 0.3% 0 - 500,000 5% 500,000 - 8,000,000 10% 10% 8,000,000 - 25,000,000 25% 40% >25,000,000 75%

FVIG.DE Fair Value REIT-AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

2FE.DE Ferrari NV GERMANY Stockbroking onlyNo 0.3% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 20,000 20% 24% >20,000 30%

FRU.DE Ferratum Oyj GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

FIEG.DE Fielmann Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 22,000 50% 60% >22,000 75%

FLAG.DE FinTech Group AG GERMANY Yes - No CR No 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SISG.DE First Sensor AG GERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 3,700 40% 40% 3,700 - 14,998,500 75% 75% >14,998,500 ERROR

FEVG.DE Fortec Elektronik AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

FPHG.DE Francotyp Postalia Holding AG GERMANY Yes - No CR No 1% 0 - 2,500 25% 2,500 - 6,200 40% 40% 6,200 - 24,997,500 75% 75% >24,997,500 ERROR

FRAG.DE Fraport AG GERMANY Yes Yes 0.7% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

FMEG.DE Fresenius Medical Care AG & Co. KGAA GERMANY Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 351,000 20% 40% >351,000 75%

FREG.DE Fresenius SE & Co KGaA GERMANY Yes Yes 0.3% 0 - 4,500 5% 4,500 - 45,000 10% 10% 45,000 - 571,500 20% 40% >571,500 75%

FPEG.DE Fuchs Petrolub SE GERMANY Yes Yes 0.7% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 25,000 50% 60% >25,000 75%

FPEG_p.DE Fuchs Petrolub SE GERMANY Yes Yes 0.7% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 40,000 35% 45% >40,000 75%

GFJG.DE GAGFAH SA GERMANY No No 0.7% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

G1AG.DE GEA Group Aktiengesellschaft GERMANY Yes Yes 0.7% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

GFTG.DE GFT Technologie SA GERMANY Yes Yes 1% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 25,200 60% 75% >25,200 75%

GKSG.DE GK Software AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

GMEG.DE Geratherm Medical AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

GSJGn.DE German Startups Group Berlin GmbH & Co. KGGERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

GXIG.DE Gerresheimer AG GERMANY Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

GWIG.DE Gerry Weber International AG GERMANY Yes Yes 0.7% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

GSC1n.DE Gesco AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

GFKG.DE GfK SE GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,600 60% 75% >3,600 75%

GGS.DE Gigaset AG GERMANY Yes No 1% 0 - 12,600 25% 12,600 - 25,200 40% 40% 25,200 - 91,600 60% 75% >91,600 75%

QCEG.MU Global PVQ SE GERMANY Stockbroking onlyNo 1% 0 - 705,500 25% 705,500 - 1,411,000 40% 40% 1,411,000 - 1,763,700 75% 75% >1,763,700 75%

GMMG.DE Grammer AG GERMANY Yes Yes 1% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

GYC.DE Grand City Properties SA GERMANY Yes - No CR Yes 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 75,000 60% 75% >75,000 75%

GLJn.DE GrenkeLeasing AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 60% 75% >3,500 75%

2HR.DE H&R AG GERMANY Yes Yes 0.7% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 11,100 60% 75% >11,100 75%

HABG.DE Hamborner REIT AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HHFGn.DE Hamburger Hafen und Logistik AG GERMANY Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HNRGn.DE Hannover Ruck SE GERMANY Yes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

HLAG.DE Hapag-Lloyd AG GERMANY Yes Yes 1% 0 - 3,500 25% 3,500 - 21,000 40% 40% 21,000 - 70,000 50% 60% >70,000 75%

HAWG.DE Hawesko Holding AG GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

HEIG.DE HeidelbergCement AG GERMANY Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 375,000 20% 40% >375,000 75%

HDDG.DE Heidelberger Druckmaschinen AktiengesellschaGERMANY Yes - No CR Yes 1% 0 - 25,000 15% 25,000 - 150,000 25% 25% 150,000 - 500,000 40% 55% >500,000 75%

H2Fn.DE Heliocentris Energy Solution SA GERMANY No No 1% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 39,996,000 75% 75% >39,996,000 ERROR

HLE.DE Hella KGaA Hueck & Company GERMANY Yes - No CR Yes 0.7% 0 - 3,500 15% 3,500 - 21,000 25% 25% 21,000 - 38,500 40% 55% >38,500 75%

H5EG.DE Helma Eigenheimbau AG GERMANY Yes - No CR No 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

HNKG.DE Henkel AG & Co. KGaA GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

HNKG_p.DE Henkel AG & Co. KGaA GERMANY Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 250,000 20% 40% >250,000 75%

HLGZ.DE Highlight Communication SA GERMANY Yes Yes 0.7% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 19,300 60% 75% >19,300 75%

HOTG.DE Hochtief AG GERMANY Yes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

HBMG.DE Hornbach Baumarkt AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

HBH.DE Hornbach Holding AG & Co. KGaA GERMANY Yes - No CR Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 2,500 60% 75% >2,500 75%

BOSSn.DE Hugo Bos SA GERMANY Yes Yes 1% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

HYQGn.DE Hypoport AG GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

IKBG.F IKB Deutsche Industriebank Aktiengesellschaft GERMANY No No 1% 0 - 14,400 25% 14,400 - 28,800 40% 40% 28,800 - 46,800 60% 75% >46,800 75%

INHG.DE INDUS Holding AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,200 60% 75% >15,200 75%

JWBG.DE ISARIA Wohnbau AG GERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 4,200 40% 40% 4,200 - 14,998,500 75% 75% >14,998,500 ERROR

IVUG.DE IVU Traffic Technologie SA GERMANY Yes - No CR No 1% 0 - 5,000 25% 5,000 - 10,500 40% 40% 10,500 - 49,995,000 75% 75% >49,995,000 ERROR

IS7G.DE InTiCa System SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

IVXG.DE InVision AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

IFXGn.DE Infineon Technologie SA GERMANY Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 3,080,000 20% 40% >3,080,000 75%

IXXG.DE Init Innovation in Traffic System SA GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,800 60% 75% >3,800 75%

ISHG.DE Intershop Communication SA GERMANY Stockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR






ISRG.DE Isra Vision AG. GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,200 60% 75% >3,200 75%

I7NG.DE ItN Nanovation AG GERMANY Stockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

JENG.DE Jenoptik AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

JUNG_p.DE Jungheinrich AG GERMANY Yes Yes 1% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SDFGn.DE K+S Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

KWGG.DE KHD Humboldt Wedag International AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

KGX.DE KION GROUP AG GERMANY Yes Yes 0.7% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

HACGn.DE KP SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

K1RG.DE KROMI Logistik AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

KSBG_p.DE KSB Aktiengesellschaft GERMANY Yes - No CR Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

KSBG.DE KSB Aktiengesellschaft GERMANY Yes - No CR No 1% 0 - 100 25% 100 - 200 40% 40% 200 - 999,900 75% 75% >999,900 ERROR

7KTG.DE KTG Agrar SE GERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 14,998,500 75% 75% >14,998,500 ERROR

KU2G.DE KUKA Aktiengesellschaft GERMANY Yes No 0.7% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

KWSG.DE KWS Saat SE GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

KD8Gn.MU Kabel Deutschland Holding AG GERMANY Yes - No CR Yes 0.7% 0 - 3,000 10% 3,000 - 9,000 20% 20% 9,000 - 20,000 35% 45% >20,000 75%

KA8Gn.DE Klassik Radio AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

KCOGn.DE Klockner & Co SE GERMANY Yes Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SKBG.DE Koenig & Bauer AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,100 60% 75% >5,100 75%

KBCG.DE Kontron AG GERMANY Yes Yes 0.7% 0 - 2,200 25% 2,200 - 4,400 40% 40% 4,400 - 44,000 60% 75% >44,000 75%

KRNG.DE Krone SA GERMANY Yes Yes 0.7% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

LEGn.DE LEG Immobilien AG GERMANY Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 50,000 35% 45% >50,000 75%

LEOGn.DE LEONI AG GERMANY Yes Yes 1% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

LPKG.DE LPKF Laser & Electronic SA GERMANY Yes No 1% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

ECKG.DE LUDWIG BECK am Rathauseck - Textilhaus FeGERMANY Stockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

LUSGn.DE Lang & Schwarz Aktiengesellschaft GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

LXSG.DE Lanxes SA GERMANY Yes Yes 1% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 448,000 30% 50% >448,000 75%

LEIG.DE Leifheit AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

LING.DE Linde Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 160,500 20% 40% >160,500 75%

LO24n.DE Lotto24 AG GERMANY Stockbroking onlyNo 0.3% 0 - 2,900 25% 2,900 - 5,800 40% 40% 5,800 - 38,400 60% 75% >38,400 75%

L8I1.DE Lyxor China Enterprise (HSCEI) UCITS ETF C- GERMANY Yes - No CR No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

LYXLEVDAX.DE Lyxor Daily LevDAX UCITS ETF GERMANY Yes - No CR No 0.7% 0 - 725,000 10% 725,000 - 4,531,200 20% 20% 4,531,200 - 7,431,200 35% 45% >7,431,200 75%

LYXINR.DE Lyxor UCITS ETF MSCI India C-EUR GERMANY Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

LYXRUS.DE Lyxor UCITS ETF Russia (Dow Jones Russia GGERMANY Yes - No CR No 0.3% 0 - 500 10% 500 - 3,500 20% 20% 3,500 - 5,000 35% 45% >5,000 75%

MAXG.DE M.A.X. Automation Ag GERMANY Yes - No CR No 1% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 7,000 60% 75% >7,000 75%

MANG.DE MAN SE GERMANY Yes Yes 0.3% 0 - 5,000 10% 5,000 - 15,000 20% 20% 15,000 - 30,000 35% 45% >30,000 75%

MANG_p.DE MAN SE GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MBBG.DE MBB SE GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

MEOG.DE METRO AG GERMANY Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 372,000 35% 45% >372,000 75%

MEOG_p.DE METRO AG GERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

MLPG.DE MLP AG GERMANY Yes Yes 0.7% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 28,100 60% 75% >28,100 75%

MSAG.DE MS Industrie AG GERMANY Yes - No CR No 1% 0 - 3,500 25% 3,500 - 5,900 40% 40% 5,900 - 7,700 60% 75% >7,700 75%

MTXGn.DE MTU Aero Engine SA GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MVVGn.DE MVV Energie AG GERMANY Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MF6G.DE MagForce AG GERMANY Yes - No CR No 1% 0 - 7,500 25% 7,500 - 22,500 40% 40% 22,500 - 74,992,500 75% 75% >74,992,500 ERROR

M5ZG.DE Manz AG GERMANY Yes No 1% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,500 50% 60% >10,500 75%

MZXG.DE Masterflex SE GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

MAKG.DE Maternus-Kliniken AG GERMANY Stockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

M3VGn.DE MeVis Medical Solution SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

MDG1k.DE MediGene AG GERMANY Yes - No CR No 1% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 10,600 60% 75% >10,600 75%

MEDG.DE Mediclin AG GERMANY Stockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

MDNG.DE Medion AG GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MHHG.DE Medisana AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

MUMG.DE Mensch und Maschine Software SE GERMANY Yes - No CR Yes 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

MRCG.DE Merck KGaA GERMANY Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 260,000 20% 40% >260,000 75%

HWSAk.DE Metric Mobility Solution SA GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

MBQGn.DE Mobotix AG GERMANY Yes - No CR No 1% 0 - 7,000 25% 7,000 - 21,000 40% 40% 21,000 - 69,993,000 75% 75% >69,993,000 ERROR

MGNG.DE Mologen AG GERMANY Yes - No CR No 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 6,000 60% 75% >6,000 75%

MORG.DE Morphosy SA GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MUBG.DE Muhlbauer Holding AG & Co. KommanditgesellsGERMANY Yes No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

MLLG.DE Muller - Die lila Logistik AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

MUVGn.DE Munchener Ruckversicherungs-Gesellschaft AkGERMANY Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 153,000 20% 40% >153,000 75%

MPCKk.DE Munchmeyer Petersen Capital AG GERMANY Stockbroking onlyNo 1% 0 - 8,100 25% 8,100 - 16,200 40% 40% 16,200 - 20,200 75% 75% >20,200 75%

MYRKk.DE MyHammer Holding AG GERMANY Stockbroking onlyNo 1% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 50,000 50% 60% >50,000 75%

NOEJ.DE NORMA Group SE GERMANY Yes Yes 0.7% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

NEKG.DE Nemetschek AG GERMANY Yes - No CR Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,200 60% 75% >4,200 75%

NXUG.DE Nexu SA GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

NOKS.F Nokia Corporation GERMANY Stockbroking onlyYes 0.3% 0 - 115,400 10% 115,400 - 577,000 20% 20% 577,000 - 2,308,000 35% 45% >2,308,000 75%

NC5Ak.DE NorCom Information Technology AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NDXG.DE Nordex SE GERMANY Yes Yes 0.7% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

OHBG.DE OHB SE GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 6,500 60% 75% >6,500 75%

OBSG.DE ORBI SA GERMANY Stockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

OSRn.DE OSRAM Licht AG GERMANY Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

O4BG.DE OVB Holding AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ORCO.SG Orco Property Group SA GERMANY No No 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

PNEGn.DE PNE Wind AG GERMANY Yes Yes 1% 0 - 4,400 25% 4,400 - 8,800 40% 40% 8,800 - 88,000 60% 75% >88,000 75%

PSAGn.DE PSI Aktiengesellschaft fur Produkte und SystemGERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,200 60% 75% >16,200 75%

BUMI.F PT Bumi Resources Tbk GERMANY Yes - No CR No 1% 0 - 75,000 25% 75,000 - 300,000 40% 40% 300,000 - 750,000 60% 75% >750,000 75%

PUMG.DE PUMA SE GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 5,800 50% 60% >5,800 75%

TPEG.DE PVATePla AG GERMANY Stockbroking onlyYes 0.7% 0 - 3,700 25% 3,700 - 7,400 40% 40% 7,400 - 8,300 60% 75% >8,300 75%

PA8G.DE Paion AG GERMANY Yes - No CR Yes 1% 0 - 3,600 25% 3,600 - 7,200 40% 40% 7,200 - 72,000 60% 75% >72,000 75%

PGNG.DE Paragon AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

P1ZGn.DE Patrizia Immobilien AG GERMANY Yes Yes 0.7% 0 - 2,200 20% 2,200 - 11,000 30% 30% 11,000 - 44,000 50% 60% >44,000 75%

PGAG.DE Pearl Gold AG GERMANY Stockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

PV.DE Pfeiffer Vacuum Technology AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,500 50% 60% >10,500 75%

PS4G.DE Phoenix Solar Aktiengesellschaft GERMANY Stockbroking onlyNo 1% 0 - 2,600 25% 2,600 - 5,200 40% 40% 5,200 - 42,900 60% 75% >42,900 75%

PSHG_p.DE Porsche Automobil Holding SE GERMANY Yes Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 150,000 35% 45% >150,000 75%

PRAG.DE Praktiker AG GERMANY Stockbroking onlyNo 1% 0 - 799,600 25% 799,600 - 1,599,200 40% 40% 1,599,200 - 1,999,000 75% 75% >1,999,000 75%

PSMGn.DE ProSiebenSat.1 Media SE GERMANY Yes Yes 1% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 340,000 35% 45% >340,000 75%

PWOG.DE Progress-Werk Oberkirch Aktiengesellschaft GERMANY Yes - No CR No 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

LKOHy.DE Public Oil Company LUKOIL GERMANY Yes - No CR No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

QSCG.DE QSC AG GERMANY Yes Yes 1% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

QGEN.DE Qiagen NV GERMANY Yes Yes 0.7% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

RSL2.DE R. Stahl AG GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

RIB.DE RIB Software AG GERMANY Yes - No CR No 1% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 25,300 60% 75% >25,300 75%

RY8.DE ROY Ceramics SE GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

RRTL.DE RTL Group SA GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

RWEG.DE RWE AG GERMANY Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 830,000 20% 40% >830,000 75%

RWEG_p.DE RWE AG GERMANY Yes Yes 1% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

RAAG.DE Rational AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,200 50% 60% >3,200 75%

RTCG.DE RealTech AG GERMANY Stockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 39,996,000 75% 75% >39,996,000 ERROR

RHMG.DE Rheinmetall AG GERMANY Yes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

RHKG.DE Rhon-Klinikum Aktiengesellschaft GERMANY Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

RKET.DE Rocket Internet SE GERMANY Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 100,000 35% 45% >100,000 75%

RSTI.DE Rofin-Sinar Technologies Inc GERMANY Stockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

SAPG.DE SAP SE GERMANY Yes Yes 0.3% 0 - 9,000 5% 9,000 - 103,500 10% 10% 103,500 - 414,000 20% 40% >414,000 75%

F3CG.DE SFC Energy AG GERMANY Stockbroking onlyNo 1% 0 - 2,500 25% 2,500 - 7,500 40% 40% 7,500 - 24,997,500 75% 75% >24,997,500 ERROR

SGCG.DE SGL Carbon SE GERMANY Yes Call In 0.7% 0 - 3,800 15% 3,800 - 22,800 25% 25% 22,800 - 76,000 40% 55% >76,000 75%

SHSGk.DE SHS VIVEON AG GERMANY Stockbroking onlyNo 1% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 3,200 75% 75% >3,200 75%

SW1.DE SHW AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

SK1Gn.DE SKW Stahl-Metallurgie Holding AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%

AM3D.DE SLM Solutions Group AG GERMANY Yes - No CR No 1% 0 - 3,500 25% 3,500 - 10,500 40% 40% 10,500 - 34,996,500 75% 75% >34,996,500 ERROR

S92G.DE SMA Solar Technology AG GERMANY Yes Yes 1% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

S4AG.DE SMT Scharf AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

SHFG.DE SNP Schneider-Neureither & Partner AG GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SPYW.DE SPDR(r) S&P Euro Dividend Aristocrats UCITSGERMANY Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 350,000 35% 45% >350,000 75%

ZPRG.DE SPDR(r) S&P Global Dividend Aristocrats UCITGERMANY Stockbroking onlyNo 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

SPYG.DE SPDR(r) S&P UK Dividend Aristocrats UCITS EGERMANY Yes No 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%

SBSG.DE STRATEC Biomedical AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,800 60% 75% >4,800 75%

SFQN.DE Saf-Holland SA GERMANY Yes Yes 1% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

SZGG.DE Salzgitter AG GERMANY Yes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SATG.DE Sartorius Aktiengesellschaft GERMANY Stockbroking onlyYes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

SATG_p.DE Sartorius Aktiengesellschaft GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,600 60% 75% >5,600 75%

SHA_p.DE Schaeffler AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

SLTG.DE Schaltbau Holding AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

SWAG.DE Schloss Wachenheim AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SWEGn.DE Schweizer Electronic AG GERMANY Yes - No CR No 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

G24n.DE Scout24 AG GERMANY Yes - No CR Yes 1% 0 - 26,500 25% 26,500 - 159,000 40% 40% 159,000 - 530,000 50% 60% >530,000 75%

YSNG.DE Secunet Security Network SA GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SIEGn.DE Siemens Aktiengesellschaft GERMANY Yes Yes 0.3% 0 - 8,000 5% 8,000 - 62,900 10% 10% 62,900 - 248,000 20% 40% >248,000 75%

WAFGn.DE Siltronic AG GERMANY Yes Yes 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 8,000 60% 75% >8,000 75%






SNGG.DE Singulus Technologie SA GERMANY Stockbroking onlyNo 0.7% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 81,600 60% 75% >81,600 75%

SZZG.DE SinnerSchrader AG GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 49,995,000 75% 75% >49,995,000 ERROR

LNSX.DE Sixt Leasing AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SIXG_p.DE Sixt Societas Europaea GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,700 60% 75% >11,700 75%

SIXG.DE Sixt Societas Europaea GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,700 60% 75% >16,700 75%

8S9.DE Snowbird AG GERMANY Stockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

AT8.DE Social Commerce Group SE GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

9984.DE SoftBank Group Corporation GERMANY Stockbroking onlyNo 0.3% 0 - 1,500 10% 1,500 - 4,500 20% 20% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

SYTG.DE Softing AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

SOWG.DE Software Aktiengesellschaft GERMANY Yes Yes 0.7% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SWVKk.DE SolarWorld AG GERMANY Yes No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,800 60% 75% >5,800 75%

NS4E.DE Source JPX-Nikkei 400 UCITS ETF EUR HedgeGERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

EZEX.DE Source STOXX Eurozone Exporters UCITS ETFGERMANY Yes No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,500 60% 75% >4,500 75%

SPME.DE Splendid Medien AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

STAB.DE Stabilus SA GERMANY Yes Yes 0.7% 0 - 6,000 20% 6,000 - 18,000 30% 30% 18,000 - 36,000 40% 50% >36,000 75%

STAGn.DE Stada-Arzneimittel AG GERMANY Yes Yes 0.7% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

STEM.DE Steilmann SE GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

SNHG.DE Steinhoff International Holdings NV GERMANY Yes Yes 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 600,000 60% 75% >600,000 75%

STOG_p.DE Sto SE & Co. KGaA GERMANY Yes - No CR Yes 1% 0 - 300 25% 300 - 900 40% 40% 900 - 1,200 60% 75% >1,200 75%

SAXG.DE Stroer SE GERMANY Yes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SZUG.DE Suedzucker AG GERMANY Yes Yes 0.7% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 475,000 35% 45% >475,000 75%

SURG.DE Surteco SE GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,300 60% 75% >8,300 75%

SMHNn.DE Suss MicroTec AG GERMANY Yes Yes 1% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 34,000 60% 75% >34,000 75%

LIO1k.DE Sygnis SA GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SY1G.DE Symrise AG GERMANY Yes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SYZG.DE Syzygy AG GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,000 60% 75% >4,000 75%

TEGG.DE TAG Immobilien AG. GERMANY Yes Yes 0.7% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

TTKG.DE TAKKT AG GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

TLIG.DE TELES Aktiengesellschaft InformationstechnoloGERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

TLGG.DE TLG Immobilien AG GERMANY Yes Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

TOTF.DE TOTAL SA GERMANY Stockbroking onlyNo 0.3% 0 - 13,500 25% 13,500 - 67,500 40% 40% 67,500 - 270,000 60% 75% >270,000 75%

TUIGn.DE TUI AG GERMANY Yes Yes 0.7% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

TLXGn.DE Talanx AG GERMANY Yes Yes 0.7% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

TTRGn.DE Technotran SA GERMANY Yes - No CR No 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

TC1n.DE Tele Columbu SA GERMANY Yes Yes 1% 0 - 9,000 25% 9,000 - 45,000 40% 40% 45,000 - 63,000 60% 75% >63,000 75%

O2Dn.DE Telefonica Deutschland Holding AG GERMANY Yes Yes 0.7% 0 - 12,000 10% 12,000 - 69,900 20% 20% 69,900 - 240,000 35% 45% >240,000 75%

TGTG.DE Telegate AG GERMANY Stockbroking onlyNo 0.7% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 6,700 60% 75% >6,700 75%

RYS1.DE The Royal Bank of Scotland Group PLC GERMANY Stockbroking onlyNo 0.3% 0 - 1,000 5% 1,000 - 6,000 10% 10% 6,000 - 20,000 25% 40% >20,000 75%

TKAG.DE ThyssenKrupp AG GERMANY Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 1,188,000 20% 40% >1,188,000 75%

TTIGn.DE Tom Tailor Holding AG GERMANY Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

TFAG.DE Tomorrow Focu SA GERMANY Yes No 1% 0 - 2,900 25% 2,900 - 5,800 40% 40% 5,800 - 13,600 60% 75% >13,600 75%

UBUD.DE UBS (Irl) ETF plc - Solactive Global Pure Gold MGERMANY Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

UIQ1.DE UBS ETFs plc - MSCI EMU Growth SF UCITS EGERMANY Yes No 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 1,500 60% 75% >1,500 75%

ULCG.DE UNITEDLABELS Aktiengesellschaft GERMANY Stockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

OSPGk.DE USU Software AG GERMANY Yes - No CR No 1% 0 - 700 25% 700 - 1,700 40% 40% 1,700 - 6,999,300 75% 75% >6,999,300 ERROR

UTDI.DE United Internet AG GERMANY Yes Yes 0.7% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

UP7G.DE United Power Technology AG GERMANY Stockbroking onlyNo 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 199,980,000 75% 75% >199,980,000 ERROR

UZUG.DE Uzin Utz AG GERMANY Stockbroking onlyNo 1% 0 - 200 25% 200 - 300 40% 40% 300 - 1,999,800 75% 75% >1,999,800 ERROR

VBHKk.DE VBH Holding AG GERMANY Stockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 39,996,000 75% 75% >39,996,000 ERROR

VBKG.DE VERBIO Vereinigte BioEnergie AG GERMANY Yes - No CR Yes 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

V3VGn.DE VITA 34 AG GERMANY Stockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

VT9G.DE VTG Aktiengesellschaft GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,800 60% 75% >7,800 75%

VIBG_p.DE Villeroy & Boch AG GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,200 60% 75% >11,200 75%

V6CG.DE Viscom AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

VOWG.DE Volkswagen AG GERMANY Yes Yes 1% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

VOWG_p.DE Volkswagen AG GERMANY Yes Yes 0.3% 0 - 3,000 5% 3,000 - 29,700 10% 10% 29,700 - 120,000 20% 40% >120,000 75%

ANNGn.DE Vonovia SE GERMANY Yes Yes 1% 0 - 13,000 15% 13,000 - 52,000 24% 24% 52,000 - 117,000 45% 60% >117,000 75%

VOSG.DE Vossloh AG GERMANY Yes Yes 0.7% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 14,000 50% 60% >14,000 75%

V33G.DE Vtion Wireless Technology AG GERMANY Stockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

WCMKk.DE WCM Beteiligungs- und Grundbesitz-AG GERMANY Yes - No CR Yes 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 120,000 60% 75% >120,000 75%

WCHG.DE Wacker Chemie AG GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

WACGn.DE Wacker Neuson SE GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,200 60% 75% >14,200 75%

WSUG.DE Washtec AG GERMANY Yes Yes 0.7% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 2,700 75% 75% >2,700 75%

WUGG.DE Westag & Getalit Aktiengesellschaft GERMANY Stockbroking onlyNo 1% 0 - 800 25% 800 - 1,600 40% 40% 1,600 - 7,999,200 75% 75% >7,999,200 ERROR

WUGGn.DE Westag & Getalit Aktiengesellschaft GERMANY Yes No 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

WEG1.DE Westgrund Aktiengesellschaft GERMANY Yes Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

WIGGk.DE Wige Media AG GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

WBAG.DE Wild Bunch AG GERMANY Yes No 1% 0 - 3,500 25% 3,500 - 10,500 40% 40% 10,500 - 34,996,500 75% 75% >34,996,500 ERROR

WL6G.DE Wilex AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

WING.DE Wincor Nixdorf Aktiengesellschaft GERMANY Yes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

WDIG.DE Wirecard AG GERMANY Yes No 0.7% 0 - 2,500 10% 2,500 - 7,500 30% 30% 7,500 - 30,000 50% 60% >30,000 75%

WUWGn.DE Wustenrot & Wurttembergische AG GERMANY Yes Yes 1% 0 - 4,500 25% 4,500 - 9,000 40% 40% 9,000 - 44,995,500 75% 75% >44,995,500 ERROR

OBCGn.DE XING AG GERMANY Yes - No CR Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,700 60% 75% >4,700 75%

4GLD.DE Xetra-Gold GERMANY Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

YOCG.DE YOC AG GERMANY Stockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

TIMGn.DE ZEAL Network SE GERMANY Yes Yes 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,200 60% 75% >11,200 75%

ZALG.DE Zalando SE GERMANY Yes Yes 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 70,000 35% 45% >70,000 75%

ZEFG.DE Zhongde Waste Technology Ag GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

ADNGk.DE adesso AG GERMANY Stockbroking onlyNo 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

BTBA.DE bmp Holding AG GERMANY Stockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

CNWKk.DE co.don AG GERMANY Stockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

CDBG.DE comdirect bank AG GERMANY Yes Yes 0.7% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 17,500 60% 75% >17,500 75%

XCHA.DE db x-trackers CSI300 UCITS ETF 1C GERMANY Yes - No CR No 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

XDAX.DE db x-trackers DAX(r) UCITS ETF (DR) 1C GERMANY Yes Yes 0.3% 0 - 12,500 10% 12,500 - 75,000 20% 20% 75,000 - 125,000 35% 45% >125,000 75%

XSSX.DE db x-trackers Euro Stoxx 50(r) Short Daily UCITGERMANY Yes Yes 0.7% 0 - 900,000 10% 900,000 - 5,400,000 20% 20% 5,400,000 - 9,000,000 35% 45% >9,000,000 75%

XD3E.DE db x-trackers Euro Stoxx(r) Select Dividend 30 UGERMANY Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 300,000 35% 45% >300,000 75%

XTXC.DE db x-trackers II iTraxx(r) Crossover UCITS ETF GERMANY Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

XD5E.DE db x-trackers MSCI EMU Index UCITS ETF (DR GERMANY Yes Yes 0.3% 0 - 1,000 10% 1,000 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

XSDX.DE db x-trackers ShortDAX(r) Daily UCITS ETF 1C GERMANY Yes No 0.7% 0 - 2,325,000 10% 2,325,000 - 15,112,50020% 20% 15,112,500 - 24,993,700 35% 45% >24,993,700 75%

XS7S.DE db x-trackers Stoxx(r) Europe 600 Banks Short GERMANY Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 80,000 60% 75% >80,000 75%

XGSD.DE db x-trackers Stoxx(r) Global Select Dividend 10GERMANY Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

E4CG.DE ecotel communication ag GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EMQG.DE emQtec AG GERMANY Stockbroking onlyNo 1% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 999,900,000 75% 75% >999,900,000 ERROR

EUCAn.DE euromicron Aktiengesellschaft GERMANY Yes No 0.7% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,000 60% 75% >11,000 75%

FNTGn.DE freenet AG GERMANY Yes Yes 0.7% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

FAOGn.DE i:FAO AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

IS3K.DE iShares $ Short Duration High Yield Corporate BGERMANY Yes No 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 1,500 35% 45% >1,500 75%

IS04.DE iShares $ Treasury Bond 20+yr UCITS ETF GERMANY Yes No 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

GDAXIEX.DE iShares Core DAX(r) UCITS ETF (DE) GERMANY Yes Yes 0.7% 0 - 10,000 5% 10,000 - 60,000 10% 10% 60,000 - 100,000 25% 40% >100,000 75%

SXR1.DE iShares Core MSCI Pacific ex Japan UCITS ET GERMANY Yes - No CR No 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 1,500 35% 45% >1,500 75%

SXR8.DE iShares Core S&P 500 UCITS ETF GERMANY Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

DJDVPEX.DE iShares Dow Jones U.S. Select Dividend UCITSGERMANY Yes No 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

STX50EEX.DE iShares EURO STOXX 50 UCITS ETF (DE) GERMANY Yes Yes 0.7% 0 - 6,225,000 10% 6,225,000 - 34,237,50020% 20% 34,237,500 - 60,693,700 35% 45% >60,693,700 75%

IUSR.DE iShares EURO STOXX 50 ex-Financials UCITSGERMANY Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

SX7EEX.DE iShares EURO STOXX Banks 30-15 UCITS ET GERMANY Yes Yes 0.7% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 80,000 35% 45% >80,000 75%

36B1.DE iShares Euro Corporate Bond BB-B UCITS ETFGERMANY Yes No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

IS05.DE iShares Euro Government Bond 20yr Target DuGERMANY Yes No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

IS3M.DE iShares Euro Ultrashort Bond UCITS ETF GERMANY Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

SXRW.DE iShares FTSE 100 UCITS ETF (Acc) GERMANY Yes No 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 1,500 35% 45% >1,500 75%

IBC0.DE iShares FactorSelect MSCI Europe UCITS ETF GERMANY Yes No 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

IBCY.DE iShares FactorSelect MSCI USA UCITS ETF GERMANY Yes No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

IBCZ.DE iShares FactorSelect MSCI World UCITS ETF GERMANY Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

EUN3.DE iShares Global Government Bond UCITS ETF GERMANY Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

36BY.DE iShares JPX-Nikkei 400 EUR Hedged UCITS ETGERMANY Yes - No CR No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

MDAXIEX.DE iShares MDAX(r) UCITS ETF (DE) GERMANY Yes Yes 0.7% 0 - 825,000 10% 825,000 - 4,950,000 20% 20% 4,950,000 - 8,456,200 35% 45% >8,456,200 75%

36BZ.DE iShares MSCI China A UCITS ETF GERMANY Yes - No CR No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

IS3G.DE iShares MSCI EMU Large Cap UCITS ETF GERMANY Yes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IS3H.DE iShares MSCI EMU Mid Cap UCITS ETF GERMANY Yes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

CEBP.DE iShares MSCI EMU USD Hedged UCITS ETF GERMANY Yes No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CEMR.DE iShares MSCI Europe Momentum Factor UCITSGERMANY Yes No 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

CEMQ.DE iShares MSCI Europe Quality Factor UCITS ET GERMANY Yes No 1% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 250,000 60% 75% >250,000 75%

CEMT.DE iShares MSCI Europe Size Factor UCITS ETF GERMANY Yes No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

CEMS.DE iShares MSCI Europe Value Factor UCITS ETF GERMANY Yes No 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

IS3U.DE iShares MSCI France UCITS ETF GERMANY Yes No 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

QDVD.DE iShares MSCI USA Dividend IQ UCITS ETF GERMANY Yes No 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

IS3R.DE iShares MSCI World Momentum Factor UCITS GERMANY Yes No 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%

IS3T.DE iShares MSCI World Size Factor UCITS ETF GERMANY Yes No 1% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 400,000 60% 75% >400,000 75%

IQQW.DE iShares MSCI World UCITS ETF (Dist) GERMANY Yes No 0.7% 0 - 1,425,000 10% 1,425,000 - 8,550,000 20% 20% 8,550,000 - 14,962,500 35% 45% >14,962,500 75%

IS3S.DE iShares MSCI World Value Factor UCITS ETF GERMANY Yes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

QDVK.DE iShares S&P 500 Consumer Discretionary SectGERMANY Yes No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%






QDVH.DE iShares S&P 500 Financials Sector UCITS ETFGERMANY Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

QDVG.DE iShares S&P 500 Health Care Sector UCITS ETGERMANY Yes No 1% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 40,000 60% 75% >40,000 75%

SXAPEX.DE iShares STOXX Europe 600 Automobiles & ParGERMANY Yes No 0.3% 0 - 26,500 10% 26,500 - 159,000 20% 20% 159,000 - 265,000 35% 45% >265,000 75%

SX7PEX.DE iShares STOXX Europe 600 Banks UCITS ETF GERMANY Yes Yes 0.7% 0 - 1,275,000 10% 1,275,000 - 7,650,000 20% 20% 7,650,000 - 14,981,200 35% 45% >14,981,200 75%

SXPPEX.DE iShares STOXX Europe 600 Basic Resources UGERMANY Yes Yes 0.7% 0 - 240,000 10% 240,000 - 1,500,000 20% 20% 1,500,000 - 2,520,000 35% 45% >2,520,000 75%

SX4PEX.DE iShares STOXX Europe 600 Chemicals UCITS GERMANY Yes No 0.3% 0 - 16,000 10% 16,000 - 96,000 20% 20% 96,000 - 144,000 35% 45% >144,000 75%

SXOPEX.DE iShares STOXX Europe 600 Construction & Ma GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,000 60% 75% >4,000 75%

SXFPEX.DE iShares STOXX Europe 600 Financial Services GERMANY Yes Yes 1% 0 - 29,500 25% 29,500 - 177,000 40% 40% 177,000 - 295,000 60% 75% >295,000 75%

SX3PEX.DE iShares STOXX Europe 600 Food & Beverage UGERMANY Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SXDPEX.DE iShares STOXX Europe 600 Health Care UCITSGERMANY Yes Yes 0.7% 0 - 475,000 10% 475,000 - 2,968,700 20% 20% 2,968,700 - 4,987,500 35% 45% >4,987,500 75%

SXNPEX.DE iShares STOXX Europe 600 Industrial Goods & GERMANY Yes No 0.3% 0 - 25,500 10% 25,500 - 153,000 20% 20% 153,000 - 255,000 35% 45% >255,000 75%

SXIPEX.DE iShares STOXX Europe 600 Insurance UCITS EGERMANY Yes No 0.3% 0 - 34,000 10% 34,000 - 204,000 20% 20% 204,000 - 340,000 35% 45% >340,000 75%

SXMPEX.DE iShares STOXX Europe 600 Media UCITS ETF GERMANY Yes No 1% 0 - 34,000 25% 34,000 - 204,000 40% 40% 204,000 - 340,000 60% 75% >340,000 75%

SXEPEX.DE iShares STOXX Europe 600 Oil & Gas UCITS EGERMANY Yes Yes 0.3% 0 - 43,500 10% 43,500 - 261,000 20% 20% 261,000 - 435,000 35% 45% >435,000 75%

SXQPEX.DE iShares STOXX Europe 600 Personal & HousehGERMANY Yes No 1% 0 - 17,500 25% 17,500 - 105,000 40% 40% 105,000 - 175,000 60% 75% >175,000 75%

SREEEX.DE iShares STOXX Europe 600 Real Estate UCITSGERMANY Yes Yes 0.3% 0 - 72,000 10% 72,000 - 432,000 20% 20% 432,000 - 720,000 35% 45% >720,000 75%

SXRPEX.DE iShares STOXX Europe 600 Retail UCITS ETF GERMANY Yes No 1% 0 - 38,000 25% 38,000 - 228,000 40% 40% 228,000 - 380,000 60% 75% >380,000 75%

SX8PEX.DE iShares STOXX Europe 600 Technology UCITSGERMANY Yes No 1% 0 - 40,500 25% 40,500 - 243,000 40% 40% 243,000 - 405,000 60% 75% >405,000 75%

SXKPEX.DE iShares STOXX Europe 600 Telecommunicatio GERMANY Yes Yes 0.3% 0 - 41,000 10% 41,000 - 246,000 20% 20% 246,000 - 410,000 35% 45% >410,000 75%

SXTPEX.DE iShares STOXX Europe 600 Travel & Leisure U GERMANY Yes No 1% 0 - 44,500 25% 44,500 - 267,000 40% 40% 267,000 - 445,000 60% 75% >445,000 75%

STOXXIEX.DE iShares STOXX Europe 600 UCITS ETF (DE) GERMANY Yes Yes 0.7% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

SX6PEX.DE iShares STOXX Europe 600 Utilities UCITS ETFGERMANY Yes No 0.3% 0 - 44,500 10% 44,500 - 267,000 20% 20% 267,000 - 445,000 35% 45% >445,000 75%

SD3PEX.DE iShares STOXX Europe Select Dividend 30 UCIGERMANY Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%

SDGPEX.DE iShares STOXX Global Select Dividend 100 UC GERMANY Yes No 0.3% 0 - 12,500 10% 12,500 - 75,000 20% 20% 75,000 - 125,000 35% 45% >125,000 75%

QDVM.DE iShares TA-25 Israel UCITS ETF GERMANY Yes No 1% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

TECDAXEX.DE iShares TecDAX(r) UCITS ETF (DE) GERMANY Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

CEM2.DE iShares US Equity Buyback Achievers UCITS EGERMANY Yes No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,000 60% 75% >4,000 75%

RXPXEX.DE iShares eb.rexx(r) Government Germany 10.5+yGERMANY Stockbroking onlyNo 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

M7UG.DE m-u-t AG GERMANY Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 3,000 60% 75% >3,000 75%

MSGL.DE msg life ag GERMANY Yes No 1% 0 - 8,800 25% 8,800 - 17,600 40% 40% 17,600 - 22,000 75% 75% >22,000 75%

XMYn.DE mybet Holding SE GERMANY Stockbroking onlyNo 1% 0 - 10,300 25% 10,300 - 20,600 40% 40% 20,600 - 23,100 60% 75% >23,100 75%

WDL.DE windeln.de AG GERMANY Yes Yes 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

ZO1G.DE zooplu SA GERMANY Yes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

1361.HK 361 Degrees International Limited HONG KONG Yes - No CR Yes 0.3% 0 - 64,600 25% 64,600 - 129,200 40% 40% 129,200 - 872,100 60% 75% >872,100 75%

2018.HK AAC Technologies Holdings Inc HONG KONG Yes - No CR Yes 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 900,000 35% 45% >900,000 75%

1299.HK AIA Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 90,000 5% 90,000 - 1,507,500 10% 10% 1,507,500 - 7,020,000 20% 40% >7,020,000 75%

2300.HK AMVIG Holdings Limited HONG KONG Yes Yes 0.3% 0 - 40,200 25% 40,200 - 80,400 40% 40% 80,400 - 293,800 60% 75% >293,800 75%

2020.HK ANTA Sports Products Limited HONG KONG Yes Yes 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

1045.HK APT Satellite Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

0522.HK ASM Pacific Technology Limited HONG KONG Yes Yes 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

0161.HK AVIC International Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 8,000 25% 8,000 - 48,000 40% 40% 48,000 - 800,000 60% 75% >800,000 75%

3383.HK Agile Property Holdings Limited HONG KONG Yes Yes 0.3% 0 - 80,000 15% 80,000 - 475,200 25% 25% 475,200 - 1,600,000 40% 55% >1,600,000 75%

1288.HK Agricultural Bank of China Limited HONG KONG Yes - No CR Yes 0.3% 0 - 750,000 10% 750,000 - 4,500,000 20% 20% 4,500,000 - 36,750,000 35% 45% >36,750,000 75%

0753.HK Air China Limited HONG KONG Yes Yes 0.3% 0 - 200,000 15% 200,000 - 1,000,000 25% 25% 1,000,000 - 4,000,000 40% 55% >4,000,000 75%

0538.HK Ajisen China Holdings Limited HONG KONG Yes Yes 0.3% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 400,000 50% 60% >400,000 75%

0241.HK Alibaba Health Information Technology Limited HONG KONG Yes - No CR No 0.3% 0 - 709,000 25% 709,000 - 4,254,000 40% 40% 4,254,000 - 5,672,000 60% 75% >5,672,000 75%

1060.HK Alibaba Pictures Group Limited HONG KONG Yes - No CR No 0.3% 0 - 2,990,500 25% 2,990,500 - 17,943,00040% 40% 17,943,000 - 56,819,500 60% 75% >56,819,500 75%

2600.HK Aluminum Corporation Of China Limited HONG KONG Yes No 0.3% 0 - 120,000 15% 120,000 - 724,800 25% 25% 724,800 - 2,400,000 40% 55% >2,400,000 75%

0347.HK Angang Steel Company Limited HONG KONG Yes No 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 2,200,000 35% 45% >2,200,000 75%

0914.HK Anhui Conch Cement Company Limited HONG KONG Yes Yes 0.3% 0 - 90,000 10% 90,000 - 549,900 20% 20% 549,900 - 4,230,000 35% 45% >4,230,000 75%

0995.HK Anhui Expressway Company Limited HONG KONG Yes Yes 0.3% 0 - 32,700 25% 32,700 - 65,400 40% 40% 65,400 - 645,800 60% 75% >645,800 75%

0073.HK Asian Citrus Holdings Limited HONG KONG Yes - No CR No 1% 0 - 68,400 25% 68,400 - 136,800 40% 40% 136,800 - 1,368,000 60% 75% >1,368,000 75%

2357.HK AviChina Industry & Technology Company LimitHONG KONG Yes - No CR Yes 0.3% 0 - 100,000 15% 100,000 - 600,000 25% 25% 600,000 - 2,000,000 40% 55% >2,000,000 75%

2009.HK BBMG Corporation HONG KONG Yes Yes 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%

2388.HK BOC Hong Kong Holdings Limited HONG KONG Yes Yes 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 4,500,000 20% 40% >4,500,000 75%

1211.HK BYD Company Limited HONG KONG Yes - No CR No 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

0285.HK BYD Electronic International Company Limited HONG KONG Yes Yes 0.3% 0 - 120,000 15% 120,000 - 724,800 25% 25% 724,800 - 2,400,000 40% 55% >2,400,000 75%

3988.HK Bank of China Limited HONG KONG Yes Yes 0.3% 0 - 1,150,000 5% 1,150,000 - 14,950,00010% 10% 14,950,000 - 78,200,000 20% 40% >78,200,000 75%

3328.HK Bank of Communications Company Limited HONG KONG Yes Yes 0.3% 0 - 275,000 10% 275,000 - 3,025,000 20% 20% 3,025,000 - 15,125,000 30% 50% >15,125,000 75%

1121.HK Baofeng Modern International Holdings CompanHONG KONG Yes No 0.3% 0 - 293,600 25% 293,600 - 587,200 40% 40% 587,200 - 954,200 60% 75% >954,200 75%

0694.HK Beijing Capital International Airport Company LimHONG KONG Yes Yes 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

0392.HK Beijing Enterprises Holdings Limited HONG KONG Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

0371.HK Beijing Enterprises Water Group Limited HONG KONG Yes - No CR No 0.3% 0 - 220,000 10% 220,000 - 1,500,400 20% 20% 1,500,400 - 4,400,000 35% 45% >4,400,000 75%

0588.HK Beijing North Star Company Limited HONG KONG Yes Yes 0.3% 0 - 78,300 25% 78,300 - 156,600 40% 40% 156,600 - 362,500 60% 75% >362,500 75%

1599.HK Beijing Urban Construction Design & Developm HONG KONG Yes - No CR No 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 60% 75% >600,000 75%

1880.HK Belle International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 130,000 5% 130,000 - 1,495,000 10% 10% 1,495,000 - 10,010,000 20% 40% >10,010,000 75%

1112.HK Biostime International Holdings Limited (China) HONG KONG Yes - No CR No 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

0963.HK Bloomage BioTechnology Corporation Limited HONG KONG Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 380,000 60% 75% >380,000 75%

3998.HK Bosideng International Holdings Limited HONG KONG Yes No 0.3% 0 - 200,000 20% 200,000 - 1,000,000 30% 30% 1,000,000 - 4,000,000 50% 60% >4,000,000 75%

0434.HK Boyaa Interactive International Limited HONG KONG Yes - No CR No 0.3% 0 - 250,000 20% 250,000 - 1,500,000 30% 30% 1,500,000 - 4,500,000 50% 60% >4,500,000 75%

1768.HK Bracell Limited HONG KONG Yes No 0.3% 0 - 85,000 25% 85,000 - 170,000 40% 40% 170,000 - 212,500 75% 75% >212,500 75%

0933.HK Brightoil Petroleum Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 58,200 25% 58,200 - 116,400 40% 40% 116,400 - 1,164,000 60% 75% >1,164,000 75%

1114.HK Brilliance China Automotive Holdings Limited HONG KONG Yes Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 1,600,000 35% 45% >1,600,000 75%

0159.HK Brockman Mining Limited HONG KONG No No 0.3% 0 - 300,500 25% 300,500 - 601,000 40% 40% 601,000 - 844,400 60% 75% >844,400 75%

1224.HK C C Land Holdings Limited HONG KONG Yes Yes 0.3% 0 - 69,800 25% 69,800 - 139,600 40% 40% 139,600 - 592,600 60% 75% >592,600 75%

0699.HK CAR Inc HONG KONG Yes No 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 3,450,000 60% 75% >3,450,000 75%

1816.HK CGN Power Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 2,784,000 10% 2,784,000 - 16,704,00020% 20% 16,704,000 - 69,600,000 35% 45% >69,600,000 75%

3899.HK CIMC Enric Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 35,000 15% 35,000 - 210,000 25% 25% 210,000 - 700,000 40% 55% >700,000 75%

0267.HK CITIC Limited HONG KONG Yes Yes 0.3% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 4,500,000 30% 50% >4,500,000 75%

1205.HK CITIC Resources Holdings Limited HONG KONG Yes No 0.3% 0 - 136,000 25% 136,000 - 272,000 40% 40% 272,000 - 1,175,000 60% 75% >1,175,000 75%

6030.HK CITIC Securities Company Limited HONG KONG Yes Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 1,600,000 35% 45% >1,600,000 75%

0001.HK CK Hutchison Holdings Limited HONG KONG Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

0002.HK CLP Holdings Limited HONG KONG No No 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

0883.HK CNOOC Limited HONG KONG Yes Yes 0.3% 0 - 220,000 5% 220,000 - 3,520,000 10% 10% 3,520,000 - 20,240,000 20% 40% >20,240,000 75%

1766.HK CRRC Corporation Limited HONG KONG Yes - No CR No 0.3% 0 - 109,000 15% 109,000 - 654,000 25% 25% 654,000 - 8,175,000 40% 55% >8,175,000 75%

0497.HK CSI Properties Limited HONG KONG Yes - No CR No 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 3,400,000 50% 60% >3,400,000 75%

1093.HK CSPC Pharmaceutical Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 400,000 10% 400,000 - 2,400,000 20% 20% 2,400,000 - 6,800,000 35% 45% >6,800,000 75%

0985.HK CST Mining Group Limited HONG KONG Yes - No CR No 0.3% 0 - 2,118,000 25% 2,118,000 - 4,236,000 40% 40% 4,236,000 - 21,180,000 60% 75% >21,180,000 75%

0341.HK Cafe de Coral Holdings Limited HONG KONG Yes Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

0293.HK Cathay Pacific Airways Limited HONG KONG Yes Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 1,500,000 30% 50% >1,500,000 75%

2778.HK Champion REIT HONG KONG Yes Yes 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

0951.HK Chaowei Power Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 145,000 25% 145,000 - 870,000 40% 40% 870,000 - 1,015,000 60% 75% >1,015,000 75%

1038.HK Cheung Kong Infrastructure Holdings Limited HONG KONG Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

11131.HK Cheung Kong Property Holdings Limited HONG KONG No No 0.3% 0 - 25,000 20% 25,000 - 150,000 32% 32% 150,000 - 500,000 40% 48% >500,000 60%

0031.HK China Aerospace International Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 159,500 25% 159,500 - 319,000 40% 40% 319,000 - 3,190,000 60% 75% >3,190,000 75%

0606.HK China Agri-Industries Holdings Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0633.HK China All Access (Holdings) Limited HONG KONG Yes - No CR No 0.3% 0 - 50,000 25% 50,000 - 125,000 40% 40% 125,000 - 3,000,000 60% 75% >3,000,000 75%

0940.HK China Animal Healthcare Limited HONG KONG Yes - No CR No 0.3% 0 - 350,000 25% 350,000 - 2,100,000 40% 40% 2,100,000 - 2,800,000 60% 75% >2,800,000 75%

3983.HK China BlueChemical Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0998.HK China CITIC Bank Corporation Limited HONG KONG Yes Yes 0.3% 0 - 275,000 10% 275,000 - 1,498,700 20% 20% 1,498,700 - 5,500,000 35% 45% >5,500,000 75%

1919.HK China COSCO Holdings Company Limited HONG KONG Yes No 0.3% 0 - 150,000 15% 150,000 - 900,000 25% 25% 900,000 - 3,000,000 40% 55% >3,000,000 75%

1259.HK China Child Care Corporation Limited HONG KONG Yes - No CR No 0.3% 0 - 120,000 20% 120,000 - 724,800 30% 30% 724,800 - 2,400,000 50% 60% >2,400,000 75%

1359.HK China Cinda Asset Management Company LimiHONG KONG Yes - No CR Yes 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 3,000,000 35% 45% >3,000,000 75%

1898.HK China Coal Energy Company Limited HONG KONG Yes No 0.3% 0 - 375,000 10% 375,000 - 2,501,200 20% 20% 2,501,200 - 7,500,000 35% 45% >7,500,000 75%

1800.HK China Communications Construction CompanyHONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 2,000,000 35% 45% >2,000,000 75%

0552.HK China Communications Services Corporation L HONG KONG Yes Yes 0.3% 0 - 130,000 15% 130,000 - 774,800 25% 25% 774,800 - 2,600,000 40% 55% >2,600,000 75%

0939.HK China Construction Bank Corporation HONG KONG Yes Yes 0.3% 0 - 825,000 5% 825,000 - 9,900,000 10% 10% 9,900,000 - 47,025,000 20% 40% >47,025,000 75%

0904.HK China Culiangwang Beverages Holdings LimitedHONG KONG Yes No 0.3% 0 - 165,600 25% 165,600 - 331,200 40% 40% 331,200 - 972,000 60% 75% >972,000 75%

3818.HK China Dongxiang (Group) Company Limited HONG KONG Yes Yes 0.3% 0 - 250,000 15% 250,000 - 1,500,000 25% 25% 1,500,000 - 5,000,000 40% 55% >5,000,000 75%

0670.HK China Eastern Airlines Corporation Limited HONG KONG Yes No 0.3% 0 - 130,000 20% 130,000 - 774,800 30% 30% 774,800 - 2,600,000 50% 60% >2,600,000 75%

6818.HK China Everbright Bank Company Limited HONG KONG Yes Yes 0.3% 0 - 217,500 10% 217,500 - 1,305,000 20% 20% 1,305,000 - 10,222,500 35% 45% >10,222,500 75%

0165.HK China Everbright Limited HONG KONG Yes Yes 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

0506.HK China Foods Limited HONG KONG Yes Yes 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

6881.HK China Galaxy Securities Company Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 7,500,000 35% 45% >7,500,000 75%

0384.HK China Gas Holdings Limited HONG KONG Yes Yes 0.3% 0 - 478,000 10% 478,000 - 2,868,000 20% 20% 2,868,000 - 3,346,000 35% 45% >3,346,000 75%

0658.HK China High Speed Transmission Equipment GroHONG KONG Yes Yes 0.3% 0 - 80,000 15% 80,000 - 475,200 25% 25% 475,200 - 1,600,000 40% 55% >1,600,000 75%

1101.HK China Huarong Energy Company Limited HONG KONG Yes - No CR No 0.3% 0 - 325,000 15% 325,000 - 1,998,700 25% 25% 1,998,700 - 6,500,000 40% 55% >6,500,000 75%

6863.HK China Huishan Dairy Holdings Company LimitedHONG KONG Yes No 0.3% 0 - 300,000 20% 300,000 - 4,200,000 30% 30% 4,200,000 - 144,000,000 50% 60% >144,000,000 75%

1886.HK China Huiyuan Juice Group Limited HONG KONG Yes - No CR No 0.3% 0 - 29,700 25% 29,700 - 59,400 40% 40% 59,400 - 594,000 60% 75% >594,000 75%

1900.HK China ITS (Holdings) Company Limited HONG KONG Yes - No CR No 0.3% 0 - 76,000 25% 76,000 - 152,000 40% 40% 152,000 - 1,520,000 60% 75% >1,520,000 75%

3908.HK China International Capital Corporation Limited HONG KONG Yes - No CR No 0.3% 0 - 30,000 15% 30,000 - 180,000 25% 25% 180,000 - 1,050,000 40% 55% >1,050,000 75%

2039.HK China International Marine Containers Group CoHONG KONG Yes - No CR No 0.3% 0 - 70,500 15% 70,500 - 423,000 25% 25% 423,000 - 1,057,500 40% 55% >1,057,500 75%

1027.HK China Jicheng Holdings Limited HONG KONG No No 1% 0 - 14,000 25% 14,000 - 70,000 40% 40% 70,000 - 546,000 60% 75% >546,000 75%

0817.HK China Jinmao Holdings Group Limited HONG KONG Yes Yes 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

0931.HK China LNG Group Limited HONG KONG Yes - No CR No 0.3% 0 - 12,866,500 25% 12,866,500 - 38,599,5040% 40% 38,599,500 - -196,885,3875% 75% >-196,885,380 ERROR

2128.HK China Lesso Group Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 1,550,000 60% 75% >1,550,000 75%

2628.HK China Life Insurance Company Limited HONG KONG Yes Yes 0.3% 0 - 130,000 5% 130,000 - 2,015,000 10% 10% 2,015,000 - 11,310,000 20% 40% >11,310,000 75%

1234.HK China Lilang Limited HONG KONG Yes Yes 0.3% 0 - 25,800 25% 25,800 - 51,600 40% 40% 51,600 - 516,000 60% 75% >516,000 75%

0916.HK China Longyuan Power Group Corporation Limi HONG KONG Yes Yes 0.3% 0 - 200,000 10% 200,000 - 1,200,000 20% 20% 1,200,000 - 7,200,000 35% 45% >7,200,000 75%

1371.HK China LotSynergy Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 1,750,000 15% 1,750,000 - 9,992,500 25% 25% 9,992,500 - 35,000,000 40% 55% >35,000,000 75%






1829.HK China Machinery Engineering Corporation HONG KONG Yes Yes 0.3% 0 - 160,000 15% 160,000 - 960,000 25% 25% 960,000 - 3,840,000 40% 55% >3,840,000 75%

2319.HK China Mengniu Dairy Company Limited HONG KONG Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 3,000,000 20% 40% >3,000,000 75%

3968.HK China Merchants Bank Company Limited HONG KONG Yes Yes 0.3% 0 - 190,000 10% 190,000 - 999,400 20% 20% 999,400 - 8,740,000 35% 45% >8,740,000 75%

0144.HK China Merchants Holdings (International) Comp HONG KONG Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 2,000,000 30% 50% >2,000,000 75%

0340.HK China Mining Resources Group Limited HONG KONG No No 0.3% 0 - 1,699,900 25% 1,699,900 - 3,399,800 40% 40% 3,399,800 - 6,697,600 60% 75% >6,697,600 75%

1988.HK China Minsheng Banking Corporation Limited HONG KONG Yes Yes 0.3% 0 - 575,000 10% 575,000 - 3,501,700 20% 20% 3,501,700 - 16,100,000 35% 45% >16,100,000 75%

0941.HK China Mobile Limited HONG KONG Yes Yes 0.3% 0 - 70,000 5% 70,000 - 875,000 10% 10% 875,000 - 3,500,000 20% 40% >3,500,000 75%

1117.HK China Modern Dairy Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 210,000 10% 210,000 - 1,499,400 20% 20% 1,499,400 - 4,200,000 35% 45% >4,200,000 75%

3993.HK China Molybdenum Company Limited HONG KONG Yes No 0.3% 0 - 41,500 20% 41,500 - 83,000 30% 30% 83,000 - 830,000 50% 60% >830,000 75%

3323.HK China National Building Material Company LimiteHONG KONG Yes Yes 0.3% 0 - 275,000 10% 275,000 - 1,498,700 20% 20% 1,498,700 - 5,500,000 35% 45% >5,500,000 75%

8071.HK China Netcom Technology Holdings Limited HONG KONG Yes No 0.3% 0 - 461,400 25% 461,400 - 922,800 40% 40% 922,800 - 9,228,000 60% 75% >9,228,000 75%

0603.HK China Oil And Gas Group Limited HONG KONG Yes No 0.3% 0 - 240,000 15% 240,000 - 1,500,000 25% 25% 1,500,000 - 4,800,000 40% 55% >4,800,000 75%

2883.HK China Oilfield Services Limited HONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,400,000 35% 45% >1,400,000 75%

0581.HK China Oriental Group Company Limited HONG KONG Yes No 0.3% 0 - 113,300 25% 113,300 - 226,600 40% 40% 226,600 - 283,200 75% 75% >283,200 75%

0688.HK China Overseas Land & Investment Limited HONG KONG Yes Yes 0.3% 0 - 80,000 5% 80,000 - 800,000 10% 10% 800,000 - 9,520,000 20% 40% >9,520,000 75%

2669.HK China Overseas Property Holdings Limited HONG KONG No No 0.3% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 800,000 50% 60% >800,000 75%

2601.HK China Pacific Insurance (Group) Company Limi HONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,400,000 35% 45% >1,400,000 75%

0386.HK China Petroleum & Chemical Corporation HONG KONG Yes Yes 0.3% 0 - 1,125,000 10% 1,125,000 - 10,620,00020% 20% 10,620,000 - 42,750,000 30% 50% >42,750,000 75%

1345.HK China Pioneer Pharma Holdings Limited HONG KONG Yes No 0.3% 0 - 87,500 25% 87,500 - 525,000 40% 40% 525,000 - 1,400,000 60% 75% >1,400,000 75%

2133.HK China Polymetallic Mining Limited HONG KONG No No 0.3% 0 - 211,800 25% 211,800 - 423,600 40% 40% 423,600 - 529,500 75% 75% >529,500 75%

2380.HK China Power International Development LimitedHONG KONG Yes Yes 0.3% 0 - 120,000 20% 120,000 - 724,800 30% 30% 724,800 - 2,400,000 50% 60% >2,400,000 75%

0735.HK China Power New Energy Development CompaHONG KONG Yes No 0.3% 0 - 450,000 25% 450,000 - 2,502,000 40% 40% 2,502,000 - 9,000,000 60% 75% >9,000,000 75%

1194.HK China Precious Metal Resources Holdings ComHONG KONG Yes No 0.3% 0 - 150,000 20% 150,000 - 900,000 30% 30% 900,000 - 3,000,000 50% 60% >3,000,000 75%

0866.HK China Qinfa Group Limited HONG KONG No No 0.3% 0 - 222,800 25% 222,800 - 445,600 40% 40% 445,600 - 1,479,300 60% 75% >1,479,300 75%

1186.HK China Railway Construction Corporation LimitedHONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,400,000 35% 45% >1,400,000 75%

0390.HK China Railway Group Limited HONG KONG Yes Yes 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 2,200,000 35% 45% >2,200,000 75%

3969.HK China Railway Signal & Communication CorporHONG KONG Yes - No CR No 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 1,500,000 50% 60% >1,500,000 75%

0769.HK China Rare Earth Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 115,400 25% 115,400 - 230,800 40% 40% 230,800 - 1,788,700 60% 75% >1,788,700 75%

1508.HK China Reinsurance (Group) Corporation HONG KONG Yes No 0.3% 0 - 500,000 20% 500,000 - 3,000,000 32% 32% 3,000,000 - 10,000,000 40% 48% >10,000,000 60%

0291.HK China Resources Beer (Holdings) Company LimHONG KONG Yes Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 1,500,000 30% 50% >1,500,000 75%

1109.HK China Resources Land Limited HONG KONG Yes - No CR Yes 0.3% 0 - 60,000 10% 60,000 - 600,000 20% 20% 600,000 - 4,020,000 30% 50% >4,020,000 75%

0836.HK China Resources Power Holdings Company LimHONG KONG Yes Yes 0.3% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 3,500,000 30% 50% >3,500,000 75%

0691.HK China Shanshui Cement Group Limited HONG KONG Yes - No CR No 0.3% 0 - 210,000 15% 210,000 - 1,499,400 25% 25% 1,499,400 - 4,200,000 40% 55% >4,200,000 75%

1088.HK China Shenhua Energy Company Limited HONG KONG Yes Yes 0.3% 0 - 70,000 5% 70,000 - 700,000 10% 10% 700,000 - 9,030,000 20% 40% >9,030,000 75%

2866.HK China Shipping Container Lines Company Limit HONG KONG Yes Yes 0.3% 0 - 300,000 10% 300,000 - 2,001,000 20% 20% 2,001,000 - 6,000,000 35% 45% >6,000,000 75%

1138.HK China Shipping Development Company Limited HONG KONG Yes No 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 2,200,000 35% 45% >2,200,000 75%

0750.HK China Singyes Solar Technologies Holdings LimHONG KONG Yes - No CR No 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 2,280,000 35% 45% >2,280,000 75%

0139.HK China Soft Power Technology Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 400,000 25% 400,000 - 2,400,000 40% 40% 2,400,000 - 42,000,000 60% 75% >42,000,000 75%

1668.HK China South City Holdings Limited HONG KONG Yes No 0.3% 0 - 475,000 15% 475,000 - 3,002,000 25% 25% 3,002,000 - 9,500,000 40% 55% >9,500,000 75%

1055.HK China Southern Airlines Company Limited HONG KONG Yes Yes 0.3% 0 - 160,000 15% 160,000 - 950,400 25% 25% 950,400 - 3,200,000 40% 55% >3,200,000 75%

3311.HK China State Construction International Holdings HONG KONG Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 4,925,000 35% 45% >4,925,000 75%

0956.HK China Suntien Green Energy Corporation LimiteHONG KONG Yes Yes 0.3% 0 - 90,000 20% 90,000 - 549,900 30% 30% 549,900 - 1,800,000 50% 60% >1,800,000 75%

0966.HK China Taiping Insurance Holdings Company LimHONG KONG Yes Yes 0.3% 0 - 45,000 15% 45,000 - 274,900 25% 25% 274,900 - 900,000 40% 55% >900,000 75%

0728.HK China Telecom Corporation Limited HONG KONG Yes Yes 0.3% 0 - 425,000 10% 425,000 - 2,499,000 20% 20% 2,499,000 - 8,500,000 35% 45% >8,500,000 75%

0308.HK China Travel International Investment Hong KonHONG KONG Yes Yes 0.3% 0 - 83,900 25% 83,900 - 167,800 40% 40% 167,800 - 1,678,000 60% 75% >1,678,000 75%

0762.HK China Unicom (Hong Kong) Limited HONG KONG Yes Yes 0.3% 0 - 130,000 5% 130,000 - 1,495,000 10% 10% 1,495,000 - 10,010,000 20% 40% >10,010,000 75%

2202.HK China Vanke Company Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 6,400,000 35% 45% >6,400,000 75%

1866.HK China XLX Fertiliser Limited HONG KONG No No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 225,000 60% 75% >225,000 75%

1068.HK China Yurun Food Group Limited HONG KONG Yes No 0.3% 0 - 140,000 15% 140,000 - 849,800 25% 25% 849,800 - 2,800,000 40% 55% >2,800,000 75%

1333.HK China Zhongwang Holdings Limited HONG KONG Yes No 0.3% 0 - 54,100 25% 54,100 - 108,200 40% 40% 108,200 - 1,082,000 60% 75% >1,082,000 75%

3188.HK ChinaAMC ETF Series - ChinaAMC CSI 300 IndHONG KONG Yes - No CR No 0.3% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 200,000 50% 60% >200,000 75%

0127.HK Chinese Estates Holdings Limited HONG KONG Yes Yes 0.3% 0 - 7,600 25% 7,600 - 15,200 40% 40% 15,200 - 44,300 60% 75% >44,300 75%

8089.HK Chinese Strategic Holdings Limited HONG KONG Yes No 0.3% 0 - 277,800 25% 277,800 - 555,600 40% 40% 555,600 - 1,516,700 60% 75% >1,516,700 75%

1111.HK Chong Hing Bank Limited HONG KONG Yes - No CR Yes 0.3% 0 - 7,000 25% 7,000 - 14,000 40% 40% 14,000 - 21,000 60% 75% >21,000 75%

3618.HK Chongqing Rural Commercial Bank Company LHONG KONG Yes Yes 0.3% 0 - 192,000 15% 192,000 - 1,152,000 25% 25% 1,152,000 - 5,376,000 40% 55% >5,376,000 75%

0116.HK Chow Sang Sang Holdings International LimitedHONG KONG Yes - No CR Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

1929.HK Chow Tai Fook Jewellery Group Limited HONG KONG Yes - No CR No 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

1778.HK Colour Life Services Group Company Limited HONG KONG Yes - No CR No 0.3% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 750,000 60% 75% >750,000 75%

2342.HK Comba Telecom Systems Holdings Limited HONG KONG Yes Yes 0.3% 0 - 120,000 20% 120,000 - 724,800 30% 30% 724,800 - 2,400,000 50% 60% >2,400,000 75%

2369.HK Coolpad Group Limited HONG KONG Yes - No CR No 0.3% 0 - 190,000 10% 190,000 - 999,400 20% 20% 999,400 - 3,800,000 35% 45% >3,800,000 75%

1199.HK Cosco Pacific Limited HONG KONG Yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 2,520,000 30% 50% >2,520,000 75%

2298.HK Cosmo Lady (China) Holdings Company LimitedHONG KONG Yes - No CR Yes 0.3% 0 - 12,000 25% 12,000 - 72,000 40% 40% 72,000 - 636,000 60% 75% >636,000 75%

2007.HK Country Garden Holdings Company Limited HONG KONG Yes Yes 0.3% 0 - 140,000 10% 140,000 - 849,800 20% 20% 849,800 - 2,800,000 35% 45% >2,800,000 75%

8207.HK Credit China Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 1,500,000 20% 1,500,000 - 4,500,000 30% 30% 4,500,000 - 2,113,598,1175% 75% >2,113,598,112 ERROR

2356.HK Dah Sing Banking Group Limited HONG KONG Yes Yes 0.3% 0 - 30,000 20% 30,000 - 180,000 30% 30% 180,000 - 600,000 50% 60% >600,000 75%

0440.HK Dah Sing Financial Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

2880.HK Dalian Port (PDA) Company Limited HONG KONG Yes - No CR No 0.3% 0 - 68,000 25% 68,000 - 136,000 40% 40% 136,000 - 1,360,000 60% 75% >1,360,000 75%

3699.HK Dalian Wanda Commercial Properties CompanHONG KONG Yes No 0.3% 0 - 18,500 10% 18,500 - 92,500 20% 20% 92,500 - 1,369,000 35% 45% >1,369,000 75%

0210.HK Daphne International Holdings Limited HONG KONG Yes No 0.3% 0 - 80,000 15% 80,000 - 475,200 25% 25% 475,200 - 1,600,000 40% 55% >1,600,000 75%

0991.HK Datang International Power Generation CompanHONG KONG Yes No 0.3% 0 - 190,000 15% 190,000 - 999,400 25% 25% 999,400 - 3,800,000 40% 55% >3,800,000 75%

1163.HK Dejin Resources Group Company Limited HONG KONG No No 0.3% 0 - 410,100 25% 410,100 - 820,200 40% 40% 820,200 - 1,025,200 75% 75% >1,025,200 75%

0861.HK Digital China Holdings Limited HONG KONG Yes Yes 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

1072.HK Dongfang Electric Corporation Limited HONG KONG Yes No 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

0489.HK Dongfeng Motor Group Company Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 2,000,000 35% 45% >2,000,000 75%

0895.HK Dongjiang Environmental Company Limited HONG KONG Yes - No CR No 0.3% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 180,000 60% 75% >180,000 75%

3386.HK Dongpeng Holdings Company Limited HONG KONG No No 0.3% 0 - 200,000 25% 200,000 - 500,000 40% 40% 500,000 - 1,400,000 60% 60% >1,400,000 75%

2688.HK ENN Energy Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

0838.HK EVA Precision Industrial Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 126,700 25% 126,700 - 253,400 40% 40% 253,400 - 2,375,600 60% 75% >2,375,600 75%

0717.HK Emperor Capital Group Limited HONG KONG Yes No 0.3% 0 - 335,600 25% 335,600 - 671,200 40% 40% 671,200 - 1,714,900 60% 75% >1,714,900 75%

0887.HK Emperor Watch & Jewellery Limited HONG KONG Yes - No CR No 0.3% 0 - 230,700 25% 230,700 - 461,400 40% 40% 461,400 - 4,614,000 60% 75% >4,614,000 75%

0330.HK Esprit Holdings Limited HONG KONG Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

0708.HK Evergrande Health Industry Group Limited HONG KONG Yes - No CR No 0.3% 0 - 100,000 25% 100,000 - 3,000,000 40% 40% 3,000,000 - 10,000,000 60% 75% >10,000,000 75%

3333.HK Evergrande Real Estate Group Limited HONG KONG Yes No 0.3% 0 - 325,000 10% 325,000 - 1,998,700 20% 20% 1,998,700 - 6,500,000 35% 45% >6,500,000 75%

2038.HK FIH Mobile Limited HONG KONG Yes No 0.3% 0 - 170,000 15% 170,000 - 999,600 25% 25% 999,600 - 3,400,000 40% 55% >3,400,000 75%

1777.HK Fantasia Holdings Group Company Limited HONG KONG Yes Yes 0.3% 0 - 93,600 25% 93,600 - 187,200 40% 40% 187,200 - 1,872,000 60% 75% >1,872,000 75%

3360.HK Far East Horizon Limited HONG KONG Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 40,000 40% 40% 40,000 - 1,100,000 60% 75% >1,100,000 75%

0142.HK First Pacific Company Limited HONG KONG Yes Yes 0.3% 0 - 70,000 15% 70,000 - 424,900 25% 25% 424,900 - 1,400,000 40% 55% >1,400,000 75%

0227.HK First Shanghai Investments Limited HONG KONG Yes - No CR No 0.3% 0 - 198,800 25% 198,800 - 397,600 40% 40% 397,600 - 970,100 60% 75% >970,100 75%

0038.HK First Tractor Company Limited HONG KONG Yes Yes 0.3% 0 - 70,000 25% 70,000 - 424,900 40% 40% 424,900 - 1,400,000 60% 75% >1,400,000 75%

0656.HK Fosun International Limited HONG KONG Yes Yes 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%

1448.HK Fu Shou Yuan International Group Limited HONG KONG Yes Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 1,080,000 60% 75% >1,080,000 75%

3800.HK GCL-Poly Energy Holdings Limited HONG KONG Yes No 0.3% 0 - 1,000,000 10% 1,000,000 - 6,000,000 20% 20% 6,000,000 - 48,000,000 35% 45% >48,000,000 75%

1776.HK GF Securities Company Limited HONG KONG Yes No 0.3% 0 - 485,000 10% 485,000 - 2,910,000 20% 20% 2,910,000 - 11,640,000 35% 45% >11,640,000 75%

0493.HK GOME Electrical Appliances Holding Limited HONG KONG Yes No 0.3% 0 - 1,025,000 10% 1,025,000 - 5,996,200 20% 20% 5,996,200 - 20,500,000 35% 45% >20,500,000 75%

0027.HK Galaxy Entertainment Group Limited HONG KONG Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 3,605,000 20% 40% >3,605,000 75%

0175.HK Geely Automobile Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 550,000 10% 550,000 - 3,498,000 20% 20% 3,498,000 - 11,000,000 35% 45% >11,000,000 75%

0678.HK Genting Hong Kong Limited HONG KONG No No 0.3% 0 - 40,600 25% 40,600 - 81,200 40% 40% 81,200 - 101,500 75% 75% >101,500 75%

0709.HK Giordano International Limited HONG KONG Yes - No CR Yes 0.3% 0 - 22,900 25% 22,900 - 45,800 40% 40% 45,800 - 458,000 60% 75% >458,000 75%

0805.HK Glencore PLC HONG KONG Yes No 0.3% 0 - 147,500 25% 147,500 - 737,500 40% 40% 737,500 - 2,950,000 60% 75% >2,950,000 75%

0787.HK Global Brands Group Holding Limited HONG KONG Yes - No CR Yes 0.3% 0 - 90,000 5% 90,000 - 900,000 10% 10% 900,000 - 9,900,000 20% 40% >9,900,000 75%

0393.HK Glorious Sun Enterprises Limited HONG KONG Yes No 0.3% 0 - 69,500 25% 69,500 - 139,000 40% 40% 139,000 - 225,800 60% 75% >225,800 75%

3308.HK Golden Eagle Retail Group Limited HONG KONG Yes No 0.3% 0 - 35,000 15% 35,000 - 210,000 25% 25% 210,000 - 700,000 40% 55% >700,000 75%

0801.HK Golden Meditech Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 200,000 25% 200,000 - 1,200,000 40% 40% 1,200,000 - 3,800,000 60% 75% >3,800,000 75%

1086.HK Goodbaby International Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0041.HK Great Eagle Holdings Limited HONG KONG Yes Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

2333.HK Great Wall Motor Company Limited HONG KONG Yes No 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 3,360,000 35% 45% >3,360,000 75%

3900.HK Greentown China Holdings Limited HONG KONG Yes Yes 0.3% 0 - 35,000 15% 35,000 - 210,000 25% 25% 210,000 - 700,000 40% 55% >700,000 75%

0270.HK Guangdong Investment Limited HONG KONG Yes Yes 0.3% 0 - 70,000 15% 70,000 - 424,900 25% 25% 424,900 - 1,400,000 40% 55% >1,400,000 75%

0525.HK Guangshen Railway Company Limited HONG KONG Yes Yes 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

2238.HK Guangzhou Automobile Group Company LimitedHONG KONG Yes Yes 0.3% 0 - 90,000 10% 90,000 - 549,900 20% 20% 549,900 - 1,800,000 35% 45% >1,800,000 75%

0874.HK Guangzhou Baiyunshan Pharmaceutical HoldingHONG KONG Yes Yes 0.3% 0 - 189,000 25% 189,000 - 567,000 40% 40% 567,000 - 756,000 60% 75% >756,000 75%

2777.HK Guangzhou R&F Properties Company Limited HONG KONG Yes Yes 0.3% 0 - 45,000 15% 45,000 - 274,900 25% 25% 274,900 - 900,000 40% 55% >900,000 75%

0053.HK Guoco Group Limited HONG KONG No No 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 28,000 60% 75% >28,000 75%

1456.HK Guolian Securities Company Limited HONG KONG Yes No 0.3% 0 - 100,000 25% 100,000 - 400,000 40% 40% 400,000 - 600,000 60% 75% >600,000 75%

2280.HK HC International Inc HONG KONG Yes - No CR No 0.3% 0 - 35,000 15% 35,000 - 210,000 25% 25% 210,000 - 700,000 40% 55% >700,000 75%

0190.HK HKC (Holdings) Limited HONG KONG Yes No 0.3% 0 - 518,900 25% 518,900 - 1,037,800 40% 40% 1,037,800 - 3,357,200 60% 75% >3,357,200 75%

0480.HK HKR International Limited HONG KONG Yes Yes 0.3% 0 - 36,500 25% 36,500 - 73,000 40% 40% 73,000 - 208,400 60% 75% >208,400 75%

6823.HK HKT Trust and HKT Limited HONG KONG Yes - No CR Yes 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%

0005.HK HSBC Holdings PLC HONG KONG Yes Yes 0.3% 0 - 160,000 5% 160,000 - 780,800 10% 10% 780,800 - 3,120,000 20% 40% >3,120,000 75%

1169.HK Haier Electronics Group Company Limited HONG KONG Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

0665.HK Haitong International Securities Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 6,450,000 60% 75% >6,450,000 75%

6837.HK Haitong Securities Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 2,000,000 35% 45% >2,000,000 75%

0010.HK Hang Lung Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

0101.HK Hang Lung Properties Limited HONG KONG Yes Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 2,490,000 30% 50% >2,490,000 75%

0011.HK Hang Seng Bank Limited HONG KONG Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 528,000 30% 50% >528,000 75%

2828.HK Hang Seng H-Share Index ETF HONG KONG Yes No 0.3% 0 - 12,500 10% 12,500 - 75,000 20% 20% 75,000 - 125,000 35% 45% >125,000 75%

1133.HK Harbin Electric Company Limited HONG KONG Yes Yes 0.3% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

3118.HK Harvest Funds (Hong Kong) ETF - Harvest MSCHONG KONG Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

0097.HK Henderson Investment Limited HONG KONG Yes No 0.3% 0 - 215,300 25% 215,300 - 430,600 40% 40% 430,600 - 2,745,000 60% 75% >2,745,000 75%

0012.HK Henderson Land Development Company LimiteHONG KONG Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%






0136.HK HengTen Networks Group Ltd HONG KONG Yes - No CR No 0.3% 0 - 1,000,000 15% 1,000,000 - 15,000,00025% 25% 15,000,000 - 25,000,000 40% 55% >25,000,000 75%

1044.HK Hengan International Group Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

3389.HK Hengdeli Holdings Limited HONG KONG Yes No 0.3% 0 - 90,000 25% 90,000 - 549,900 40% 40% 549,900 - 1,800,000 60% 75% >1,800,000 75%

0818.HK Hi Sun Technology (China) Limited HONG KONG Yes - No CR Yes 0.3% 0 - 51,700 25% 51,700 - 103,400 40% 40% 103,400 - 1,034,000 60% 75% >1,034,000 75%

1393.HK Hidili Industry International Development LimitedHONG KONG Yes No 0.3% 0 - 134,600 25% 134,600 - 269,200 40% 40% 269,200 - 2,456,400 60% 75% >2,456,400 75%

0007.HK Hoifu Energy Group Limited HONG KONG Yes - No CR No 0.3% 0 - 91,000 25% 91,000 - 546,000 40% 40% 546,000 - 1,001,000 60% 75% >1,001,000 75%

0044.HK Hong Kong Aircraft Engineering Company LimiteHONG KONG Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 11,000 60% 75% >11,000 75%

0388.HK Hong Kong Exchanges & Clearing Limited HONG KONG Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 1,503,000 20% 40% >1,503,000 75%

0737.HK Hopewell Highway Infrastructure Limited HONG KONG Yes Yes 0.3% 0 - 36,000 25% 36,000 - 72,000 40% 40% 72,000 - 720,000 60% 75% >720,000 75%

0054.HK Hopewell Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

0754.HK Hopson Development Holdings Limited HONG KONG Yes Yes 0.3% 0 - 16,700 25% 16,700 - 33,400 40% 40% 33,400 - 334,000 60% 75% >334,000 75%

0336.HK Huabao International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 110,000 20% 110,000 - 650,100 30% 30% 650,100 - 2,200,000 50% 60% >2,200,000 75%

1071.HK Huadian Power International Corporation LimitedHONG KONG Yes Yes 0.3% 0 - 120,000 15% 120,000 - 724,800 25% 25% 724,800 - 2,400,000 40% 55% >2,400,000 75%

0902.HK Huaneng Power International Inc HONG KONG Yes Yes 0.3% 0 - 130,000 10% 130,000 - 774,800 20% 20% 774,800 - 2,600,000 35% 45% >2,600,000 75%

0958.HK Huaneng Renewables Corporation Limited HONG KONG Yes Yes 0.3% 0 - 700,000 10% 700,000 - 4,200,000 20% 20% 4,200,000 - 7,700,000 35% 45% >7,700,000 75%

3698.HK Huishang Bank Corporation Limited HONG KONG Yes Yes 0.3% 0 - 200,000 20% 200,000 - 600,000 30% 30% 600,000 - 1,200,000 50% 60% >1,200,000 75%

0215.HK Hutchison Telecommunications Hong Kong Hol HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0014.HK Hysan Development Company Limited HONG KONG Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

0799.HK IGG Inc HONG KONG Yes - No CR Yes 0.3% 0 - 30,000 15% 30,000 - 180,000 25% 25% 180,000 - 7,290,000 40% 55% >7,290,000 75%

1398.HK Industrial and Commercial Bank of China LimiteHONG KONG Yes Yes 0.3% 0 - 925,000 5% 925,000 - 13,181,200 10% 10% 13,181,200 - 52,725,000 20% 40% >52,725,000 75%

1833.HK Intime Retail (Group) Company Limited HONG KONG Yes No 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

0177.HK Jiangsu Expressway Company Limited HONG KONG Yes Yes 0.3% 0 - 45,000 15% 45,000 - 274,900 25% 25% 274,900 - 900,000 40% 55% >900,000 75%

0358.HK Jiangxi Copper Company Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 2,000,000 35% 45% >2,000,000 75%

0179.HK Johnson Electric Holdings Limited HONG KONG Yes Yes 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

0173.HK K. Wah International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

1813.HK KWG Property Holdings Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0683.HK Kerry Properties Limited HONG KONG Yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

0148.HK Kingboard Chemical Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

1888.HK Kingboard Laminates Holdings Limited HONG KONG Yes Yes 0.3% 0 - 42,800 25% 42,800 - 85,600 40% 40% 85,600 - 695,500 60% 75% >695,500 75%

0268.HK Kingdee International Software Group CompanyHONG KONG Yes No 0.3% 0 - 190,000 10% 190,000 - 999,400 20% 20% 999,400 - 3,800,000 35% 45% >3,800,000 75%

3888.HK Kingsoft Corporation Limited HONG KONG Yes No 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 4,950,000 35% 45% >4,950,000 75%

0034.HK Kowloon Development Company Limited HONG KONG Yes Yes 0.3% 0 - 13,600 25% 13,600 - 27,200 40% 40% 27,200 - 238,000 60% 75% >238,000 75%

0439.HK KuangChi Science Limited HONG KONG Yes - No CR No 0.3% 0 - 60,000 25% 60,000 - 360,000 40% 40% 360,000 - 6,540,000 60% 75% >6,540,000 75%

0135.HK Kunlun Energy Company Limited HONG KONG Yes No 0.3% 0 - 80,000 5% 80,000 - 800,000 10% 10% 800,000 - 10,000,000 20% 40% >10,000,000 75%

0973.HK L'Occitane International SA HONG KONG Yes Yes 0.3% 0 - 25,000 15% 25,000 - 150,000 25% 25% 150,000 - 500,000 40% 55% >500,000 75%

2314.HK Lee & Man Paper Manufacturing Limited HONG KONG Yes Yes 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

0992.HK Lenovo Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 130,000 5% 130,000 - 1,495,000 10% 10% 1,495,000 - 20,020,000 20% 40% >20,020,000 75%

1089.HK Leyou Technologies Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 500,000 20% 500,000 - 3,000,000 30% 30% 3,000,000 - 12,500,000 50% 60% >12,500,000 75%

0494.HK Li & Fung Limited HONG KONG Yes Yes 0.3% 0 - 90,000 5% 90,000 - 900,000 10% 10% 900,000 - 9,990,000 20% 40% >9,990,000 75%

2331.HK Li Ning Company Limited HONG KONG Yes Yes 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%

1212.HK Lifestyle International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

0823.HK Link Real Estate Investment Trust HONG KONG Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

0194.HK Liu Chong Hing Investment Limited HONG KONG Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 300,000 60% 75% >300,000 75%

3339.HK Lonking Holdings Limited HONG KONG Yes Yes 0.3% 0 - 230,000 20% 230,000 - 1,499,600 30% 30% 1,499,600 - 4,600,000 50% 60% >4,600,000 75%

0590.HK Luk Fook Holdings (International) Limited HONG KONG Yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

2282.HK MGM China Holdings Limited HONG KONG Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

1555.HK MIE Holdings Corporation HONG KONG Yes No 0.3% 0 - 89,700 25% 89,700 - 179,400 40% 40% 179,400 - 1,457,600 60% 75% >1,457,600 75%

1208.HK MMG Limited HONG KONG Yes No 0.3% 0 - 81,300 25% 81,300 - 162,600 40% 40% 162,600 - 1,626,000 60% 75% >1,626,000 75%

0066.HK MTR Corporation Limited HONG KONG Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

0323.HK Maanshan Iron & Steel Company Limited HONG KONG Yes No 0.3% 0 - 150,000 20% 150,000 - 900,000 30% 30% 900,000 - 3,000,000 50% 60% >3,000,000 75%

1999.HK Man Wah Holdings Limited HONG KONG Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

0848.HK Maoye International Holdings Limited HONG KONG No No 0.3% 0 - 99,400 25% 99,400 - 198,800 40% 40% 198,800 - 1,739,500 60% 75% >1,739,500 75%

0273.HK Mason Financial Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 2,030,000 25% 2,030,000 - 12,180,00040% 40% 12,180,000 - -1,176,866,75% 75% >-1,176,866,480 ERROR

0200.HK Melco International Development Limited HONG KONG Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

1618.HK Metallurgical Corporation of China Limited HONG KONG Yes No 0.3% 0 - 93,600 25% 93,600 - 187,200 40% 40% 187,200 - 1,872,000 60% 75% >1,872,000 75%

1200.HK Midland Holdings Limited HONG KONG Yes Yes 0.3% 0 - 37,900 25% 37,900 - 75,800 40% 40% 75,800 - 758,000 60% 75% >758,000 75%

0425.HK Minth Group Limited HONG KONG Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

0276.HK Mongolia Energy Corporation Limited HONG KONG No No 0.3% 0 - 100,000 25% 100,000 - 200,000 40% 40% 200,000 - 798,000 60% 75% >798,000 75%

0659.HK NWS Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

3918.HK Naga Corporation Limited HONG KONG Yes - No CR Yes 0.3% 0 - 80,000 15% 80,000 - 475,200 25% 25% 475,200 - 1,600,000 40% 55% >1,600,000 75%

1868.HK Neo-Neon Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 76,000 25% 76,000 - 152,000 40% 40% 152,000 - 988,000 60% 75% >988,000 75%

1336.HK New China Life Insurance Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 60,000 20% 20% 60,000 - 120,000 35% 45% >120,000 75%

0917.HK New World China Land Limited HONG KONG Yes No 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

0825.HK New World Department Store China Limited HONG KONG Yes No 0.3% 0 - 32,100 25% 32,100 - 64,200 40% 40% 64,200 - 345,000 60% 75% >345,000 75%

0017.HK New World Development Company Limited HONG KONG Yes Yes 0.3% 0 - 130,000 10% 130,000 - 1,495,000 20% 20% 1,495,000 - 6,500,000 30% 50% >6,500,000 75%

2689.HK Nine Dragons Paper (Holdings) Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 2,000,000 35% 45% >2,000,000 75%

0433.HK North Mining Shares Company Limited HONG KONG Yes No 0.3% 0 - 3,000,000 20% 3,000,000 - 9,000,000 30% 30% 9,000,000 - 12,000,000 75% 75% >12,000,000 75%

0316.HK Orient Overseas International Limited HONG KONG Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

0398.HK Oriental Watch Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 65,300 25% 65,300 - 130,600 40% 40% 130,600 - 421,800 60% 75% >421,800 75%

0327.HK PAX Global Technology Limited HONG KONG Yes - No CR No 0.3% 0 - 150,000 15% 150,000 - 900,000 25% 25% 900,000 - 3,150,000 40% 55% >3,150,000 75%

0008.HK PCCW Limited HONG KONG Yes Yes 0.3% 0 - 100,000 15% 100,000 - 600,000 25% 25% 600,000 - 2,000,000 40% 55% >2,000,000 75%

2328.HK PICC Property and Casualty Company Limited HONG KONG Yes Yes 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 3,000,000 35% 45% >3,000,000 75%

2343.HK Pacific Basin Shipping Limited HONG KONG Yes No 0.3% 0 - 120,000 15% 120,000 - 724,800 25% 25% 724,800 - 2,400,000 40% 55% >2,400,000 75%

3368.HK Parkson Retail Group Limited HONG KONG Yes No 0.3% 0 - 110,000 20% 110,000 - 650,100 30% 30% 650,100 - 2,200,000 50% 60% >2,200,000 75%

0857.HK PetroChina Company Limited HONG KONG Yes Yes 0.3% 0 - 350,000 5% 350,000 - 5,512,500 10% 10% 5,512,500 - 32,550,000 20% 40% >32,550,000 75%

2318.HK Ping An Insurance (Group) Company of China LHONG KONG Yes Yes 0.3% 0 - 60,000 5% 60,000 - 900,000 10% 10% 900,000 - 3,900,000 20% 40% >3,900,000 75%

0635.HK Playmates Holdings Limited HONG KONG No No 0.3% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 60% 75% >200,000 75%

3636.HK Poly Culture Group Corporation Limited HONG KONG Yes - No CR Yes 0.3% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 999,900,000 75% 75% >999,900,000 ERROR

0119.HK Poly Property Group Company Limited HONG KONG Yes Yes 0.3% 0 - 110,000 15% 110,000 - 650,100 25% 25% 650,100 - 2,200,000 40% 55% >2,200,000 75%

0208.HK Polytec Asset Holdings Limited HONG KONG Yes No 0.3% 0 - 105,000 25% 105,000 - 210,000 40% 40% 210,000 - 1,916,200 60% 75% >1,916,200 75%

0589.HK Ports Design Limited HONG KONG Yes No 0.3% 0 - 24,400 25% 24,400 - 48,800 40% 40% 48,800 - 280,600 60% 75% >280,600 75%

3813.HK Pou Sheng International (Holdings) Limited HONG KONG Yes Yes 0.3% 0 - 340,000 25% 340,000 - 680,000 40% 40% 680,000 - 1,254,600 60% 75% >1,254,600 75%

0006.HK Power Assets Holdings Limited HONG KONG Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

1913.HK Prad ASA HONG KONG No No 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

2918.HK RCG Holdings Limited HONG KONG No No 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 5,950,000 60% 75% >5,950,000 75%

0555.HK REXLot Holdings Limited HONG KONG Yes No 0.3% 0 - 925,000 10% 925,000 - 5,503,700 20% 20% 5,503,700 - 18,500,000 35% 45% >18,500,000 75%

2010.HK Real Nutriceutical Group Limited HONG KONG Yes - No CR No 0.3% 0 - 71,000 25% 71,000 - 142,000 40% 40% 142,000 - 1,420,000 60% 75% >1,420,000 75%

0575.HK Regent Pacific Group Limited HONG KONG Yes - No CR No 0.3% 0 - 1,250,000 25% 1,250,000 - 1,875,000 35% 30% 1,875,000 - 2,500,000 60% 35% >2,500,000 75%

1387.HK Renhe Commercial Holdings Company Limited HONG KONG Yes No 0.3% 0 - 323,000 25% 323,000 - 646,000 40% 40% 646,000 - 6,460,000 60% 75% >6,460,000 75%

1098.HK Road King Infrastructure Limited HONG KONG Yes Yes 0.3% 0 - 18,500 25% 18,500 - 37,000 40% 40% 37,000 - 121,700 60% 75% >121,700 75%

1308.HK SITC International Holdings Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 37,400 25% 37,400 - 74,800 40% 40% 74,800 - 748,000 60% 75% >748,000 75%

0880.HK SJM Holdings Limited HONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,400,000 35% 45% >1,400,000 75%

0983.HK SOCAM Development Limited HONG KONG No No 0.3% 0 - 16,700 25% 16,700 - 33,400 40% 40% 33,400 - 187,800 60% 75% >187,800 75%

2840.HK SPDR(r) Gold Sh AE HONG KONG Yes No 0.3% 0 - 3,000 5% 3,000 - 21,000 10% 10% 21,000 - 30,000 25% 40% >30,000 75%

0178.HK Sa Sa International Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 250,000 25% 250,000 - 750,000 40% 40% 750,000 - 1,000,000 60% 75% >1,000,000 75%

0531.HK Samson Holding Limited HONG KONG Yes No 0.3% 0 - 115,400 25% 115,400 - 230,800 40% 40% 230,800 - 1,500,200 60% 75% >1,500,200 75%

1910.HK Samsonite International SA HONG KONG Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

1928.HK Sands China Limited HONG KONG Yes Yes 0.3% 0 - 100,000 10% 100,000 - 1,125,000 20% 20% 1,125,000 - 4,500,000 30% 50% >4,500,000 75%

0981.HK Semiconductor Manufacturing International CorpHONG KONG Yes No 0.3% 0 - 1,225,000 10% 1,225,000 - 7,497,000 20% 20% 7,497,000 - 24,500,000 35% 45% >24,500,000 75%

1066.HK Shandong Weigao Group Medical Polymer ComHONG KONG Yes - No CR Yes 0.3% 0 - 12,000 10% 12,000 - 96,000 20% 20% 96,000 - 5,256,000 35% 45% >5,256,000 75%

1103.HK Shanghai Dasheng Agriculture Finance Techno HONG KONG Yes - No CR No 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 14,900,000 50% 60% >14,900,000 75%

2727.HK Shanghai Electric Group Company Limited HONG KONG Yes - No CR No 0.3% 0 - 120,000 20% 120,000 - 724,800 30% 30% 724,800 - 2,400,000 50% 60% >2,400,000 75%

2196.HK Shanghai Fosun Pharmaceutical (Group) CompHONG KONG Yes Yes 0.3% 0 - 48,000 10% 48,000 - 288,000 20% 20% 288,000 - 1,056,000 35% 45% >1,056,000 75%

1385.HK Shanghai Fudan Microelectronics Group CompaHONG KONG Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 425,000 60% 75% >425,000 75%

0363.HK Shanghai Industrial Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

2607.HK Shanghai Pharmaceuticals Holding Company L HONG KONG Yes - No CR Yes 0.3% 0 - 30,000 15% 30,000 - 90,000 25% 25% 90,000 - 180,000 40% 55% >180,000 75%

0069.HK Shangri-La Asia Limited HONG KONG Yes Yes 0.3% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

2066.HK Shengjing Bank Company Limited HONG KONG Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

0548.HK Shenzhen Expressway Company Limited HONG KONG Yes Yes 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 1,400,000 50% 60% >1,400,000 75%

0152.HK Shenzhen International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 780,500 10% 780,500 - 4,683,000 30% 30% 4,683,000 - 13,010,900 50% 60% >13,010,900 75%

0604.HK Shenzhen Investment Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0813.HK Shimao Property Holdings Limited HONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,400,000 35% 45% >1,400,000 75%

0697.HK Shougang Concord International Enterprises CoHONG KONG Yes No 0.3% 0 - 327,100 25% 327,100 - 654,200 40% 40% 654,200 - 6,542,000 60% 75% >6,542,000 75%

0639.HK Shougang Fushan Resources Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 150,000 20% 150,000 - 900,000 30% 30% 900,000 - 3,000,000 50% 60% >3,000,000 75%

0272.HK Shui On Land Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0242.HK Shun Tak Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 90,000 20% 90,000 - 549,900 30% 30% 549,900 - 1,800,000 50% 60% >1,800,000 75%

1165.HK Shunfeng International Clean Energy Limited HONG KONG Yes - No CR No 0.3% 0 - 80,000 15% 80,000 - 475,200 25% 25% 475,200 - 1,600,000 40% 55% >1,600,000 75%

0107.HK Sichuan Expressway Company Limited HONG KONG Yes Yes 0.3% 0 - 60,100 25% 60,100 - 120,200 40% 40% 120,200 - 1,202,000 60% 75% >1,202,000 75%

0886.HK Silver Base Group Holdings Limited HONG KONG Yes No 0.3% 0 - 129,200 25% 129,200 - 258,400 40% 40% 258,400 - 1,196,300 60% 75% >1,196,300 75%

0171.HK Silver Grant International Industries Limited HONG KONG No Yes 0.3% 0 - 130,500 25% 130,500 - 261,000 40% 40% 261,000 - 845,600 60% 75% >845,600 75%

0716.HK Singamas Container Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 71,800 25% 71,800 - 143,600 40% 40% 143,600 - 1,436,000 60% 75% >1,436,000 75%

1177.HK Sino Biopharmaceutical Limited HONG KONG Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 8,500,000 35% 45% >8,500,000 75%

0083.HK Sino Land Company Limited HONG KONG Yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 3,000,000 30% 50% >3,000,000 75%

0702.HK Sino Oil and Gas Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 1,000,000 25% 1,000,000 - 6,000,000 40% 40% 6,000,000 - 51,000,000 60% 75% >51,000,000 75%

3377.HK Sino-Ocean Land Holdings Limited HONG KONG Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0623.HK SinoMedia Holding Limited HONG KONG Yes No 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

0297.HK Sinofert Holdings Limited HONG KONG Yes No 0.3% 0 - 120,000 20% 120,000 - 724,800 30% 30% 724,800 - 2,400,000 50% 60% >2,400,000 75%

0338.HK Sinopec Shanghai Petrochemical Company LimHONG KONG Yes Yes 0.3% 0 - 230,000 15% 230,000 - 1,499,600 25% 25% 1,499,600 - 4,600,000 40% 55% >4,600,000 75%

1033.HK Sinopec Yizheng Chemical Fibre Company Lim HONG KONG Yes No 0.3% 0 - 130,000 20% 130,000 - 774,800 30% 30% 774,800 - 2,600,000 50% 60% >2,600,000 75%

1099.HK Sinopharm Group Company Limited HONG KONG Yes Yes 0.3% 0 - 500,000 10% 500,000 - 1,500,000 20% 20% 1,500,000 - 2,000,000 35% 45% >2,000,000 75%






1297.HK Sinosoft Technology Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 3,030,000 60% 75% >3,030,000 75%

0598.HK Sinotrans Limited HONG KONG Yes No 0.3% 0 - 180,000 15% 180,000 - 1,000,800 25% 25% 1,000,800 - 3,600,000 40% 55% >3,600,000 75%

0368.HK Sinotrans Shipping Limited HONG KONG Yes Yes 0.3% 0 - 49,700 25% 49,700 - 99,400 40% 40% 99,400 - 994,000 60% 75% >994,000 75%

3808.HK Sinotruk (Hong Kong) Limited HONG KONG No Yes 0.3% 0 - 32,500 25% 32,500 - 65,000 40% 40% 65,000 - 463,100 60% 75% >463,100 75%

0751.HK Skyworth Digital Holdings Limited HONG KONG Yes Yes 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 3,000,000 35% 45% >3,000,000 75%

0410.HK Soho China Limited HONG KONG Yes Yes 0.3% 0 - 70,000 15% 70,000 - 424,900 25% 25% 424,900 - 1,400,000 40% 55% >1,400,000 75%

0967.HK Sound Global Limited HONG KONG Yes - No CR No 0.3% 0 - 351,500 20% 351,500 - 1,054,500 30% 30% 1,054,500 - 1,757,500 50% 60% >1,757,500 75%

1878.HK SouthGobi Resources Limited HONG KONG Yes No 0.3% 0 - 21,900 25% 21,900 - 43,800 40% 40% 43,800 - 92,100 60% 75% >92,100 75%

1700.HK Springland International Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 150,000 25% 150,000 - 450,000 40% 40% 450,000 - 600,000 60% 75% >600,000 75%

2888.HK Standard Chartered PLC HONG KONG Yes No 0.3% 0 - 38,800 10% 38,800 - 194,000 20% 20% 194,000 - 776,000 35% 45% >776,000 75%

1836.HK Stella International Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 6,900 25% 6,900 - 13,800 40% 40% 13,800 - 138,000 60% 75% >138,000 75%

0086.HK Sun Hung Kai & Company Limited HONG KONG Yes Yes 0.3% 0 - 24,800 25% 24,800 - 49,600 40% 40% 49,600 - 496,000 60% 75% >496,000 75%

0016.HK Sun Hung Kai Properties Limited HONG KONG Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,995,000 20% 40% >1,995,000 75%

1918.HK Sunac China Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 6,800,000 35% 45% >6,800,000 75%

0435.HK Sunlight REIT HONG KONG Yes Yes 0.3% 0 - 453,500 25% 453,500 - 1,360,500 40% 40% 1,360,500 - 239,579,204 75% 75% >239,579,204 ERROR

2382.HK Sunny Optical Technology (Group) Company Li HONG KONG Yes Yes 0.3% 0 - 70,000 15% 70,000 - 424,900 25% 25% 424,900 - 1,400,000 40% 55% >1,400,000 75%

0019.HK Swire Pacific Limited HONG KONG Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 700,000 30% 50% >700,000 75%

0087.HK Swire Pacific Limited HONG KONG Yes No 0.3% 0 - 7,800 25% 7,800 - 15,600 40% 40% 15,600 - 156,000 60% 75% >156,000 75%

1070.HK TCL Multimedia Technology Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 45,000 25% 45,000 - 274,900 40% 40% 274,900 - 900,000 60% 75% >900,000 75%

0903.HK TPV Technology Limited HONG KONG Yes Yes 0.3% 0 - 79,300 25% 79,300 - 158,600 40% 40% 158,600 - 1,586,000 60% 75% >1,586,000 75%

0206.HK TSC Group Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 100,000 20% 100,000 - 300,000 30% 30% 300,000 - 400,000 50% 60% >400,000 75%

3823.HK Tech Pro Technology Development Limited HONG KONG Yes No 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 3,000,000 40% 55% >3,000,000 75%

0669.HK Techtronic Industries Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

0511.HK Television Broadcasts Limited HONG KONG Yes - No CR Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

0700.HK Tencent Holdings Limited HONG KONG Yes Yes 0.3% 0 - 15,000 5% 15,000 - 111,400 10% 10% 111,400 - 450,000 20% 40% >450,000 75%

0321.HK Texwinca Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 17,400 25% 17,400 - 34,800 40% 40% 34,800 - 348,000 60% 75% >348,000 75%

0023.HK The Bank of East Asia Limited HONG KONG Yes No 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 1,000,000 30% 50% >1,000,000 75%

0003.HK The Hong Kong and China Gas Company LimiteHONG KONG Yes Yes 0.3% 0 - 70,000 10% 70,000 - 700,000 20% 20% 700,000 - 4,970,000 30% 50% >4,970,000 75%

0045.HK The Hongkong and Shanghai Hotels Limited HONG KONG Yes Yes 0.3% 0 - 12,200 25% 12,200 - 24,400 40% 40% 24,400 - 161,600 60% 75% >161,600 75%

1339.HK The People's Insurance Company (Group) of ChHONG KONG Yes Yes 0.3% 0 - 3,079,000 10% 3,079,000 - 9,237,000 20% 20% 9,237,000 - 18,474,000 35% 45% >18,474,000 75%

0004.HK The Wharf (Holdings) Limited HONG KONG Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,995,000 20% 40% >1,995,000 75%

0826.HK Tiangong International Company Limited HONG KONG Yes - No CR No 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

0882.HK Tianjin Development Holdings Limited HONG KONG Yes Yes 0.3% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

3382.HK Tianjin Port Development Holdings Limited HONG KONG Yes Yes 0.3% 0 - 160,000 25% 160,000 - 950,400 40% 40% 950,400 - 3,200,000 60% 75% >3,200,000 75%

0819.HK Tianneng Power International Limited HONG KONG Yes - No CR No 0.3% 0 - 955,000 15% 955,000 - 2,865,000 25% 25% 2,865,000 - 958,155,408 75% 75% >958,155,408 75%

0322.HK Tingyi Cayman Islands Holding Corporation HONG KONG Yes Yes 0.3% 0 - 35,000 10% 35,000 - 350,000 20% 20% 350,000 - 3,010,000 30% 50% >3,010,000 75%

2800.HK Tracker Fund of Hong Kong HONG KONG Yes No 0.3% 0 - 600,000 5% 600,000 - 3,499,900 10% 10% 3,499,900 - 6,000,000 25% 40% >6,000,000 75%

0536.HK Tradelink Electronic Commerce Limited HONG KONG Yes No 0.3% 0 - 50,500 25% 50,500 - 101,000 40% 40% 101,000 - 1,010,000 60% 75% >1,010,000 75%

0062.HK Transport International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 8,700 25% 8,700 - 17,400 40% 40% 17,400 - 19,600 60% 75% >19,600 75%

0696.HK TravelSky Technology Limited HONG KONG Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 2,180,000 35% 45% >2,180,000 75%

0891.HK Trinity Limited HONG KONG Yes - No CR No 0.3% 0 - 55,900 25% 55,900 - 111,800 40% 40% 111,800 - 1,118,000 60% 75% >1,118,000 75%

0732.HK Truly International Holdings Limited HONG KONG Yes - No CR Yes 0.3% 0 - 140,000 15% 140,000 - 849,800 25% 25% 849,800 - 2,800,000 40% 55% >2,800,000 75%

0168.HK Tsingtao Brewery Company Limited HONG KONG Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

0690.HK Uni-Bio Science Group Limited HONG KONG No No 0.3% 0 - 2,710,000 25% 2,710,000 - 8,130,000 40% 40% 8,130,000 - 1,327,486,2275% 75% >1,327,486,224 ERROR

0220.HK Uni-President China Holdings Limited HONG KONG Yes Yes 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

0467.HK United Energy Group Limited HONG KONG Yes No 0.3% 0 - 100,900 25% 100,900 - 201,800 40% 40% 201,800 - 851,500 60% 75% >851,500 75%

0686.HK United Photovoltaics Group Limited HONG KONG Yes - No CR No 0.3% 0 - 1,000,000 20% 1,000,000 - 6,000,000 30% 30% 6,000,000 - 19,000,000 50% 60% >19,000,000 75%

0082.HK V1 Group Limited HONG KONG Yes No 0.3% 0 - 575,000 15% 575,000 - 3,501,700 25% 25% 3,501,700 - 11,500,000 40% 55% >11,500,000 75%

0806.HK Value Partners Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 5,400,000 60% 75% >5,400,000 75%

8032.HK Viva China Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 3,400,000 60% 75% >3,400,000 75%

0303.HK Vtech Holdings Limited HONG KONG Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

2827.HK W.I.S.E. - CSI 300 China Tracker HONG KONG Yes No 0.3% 0 - 220,000 15% 220,000 - 1,500,000 25% 25% 1,500,000 - 1,999,900 40% 55% >1,999,900 75%

0288.HK WH Group Limited HONG KONG Yes - No CR Yes 0.3% 0 - 500,000 10% 500,000 - 3,000,000 20% 20% 3,000,000 - 8,000,000 35% 45% >8,000,000 75%

0151.HK Want Want China Holdings Limited HONG KONG Yes No 0.3% 0 - 80,000 10% 80,000 - 800,000 20% 20% 800,000 - 6,480,000 30% 50% >6,480,000 75%

3393.HK Wasion Group Holdings Limited HONG KONG Yes Yes 0.3% 0 - 183,000 20% 183,000 - 549,000 30% 30% 549,000 - 915,000 50% 60% >915,000 75%

2338.HK Weichai Power Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

2698.HK Weiqiao Textile Company Limited HONG KONG Yes Yes 0.3% 0 - 29,800 25% 29,800 - 59,600 40% 40% 59,600 - 596,000 60% 75% >596,000 75%

2233.HK West China Cement Limited HONG KONG Yes No 0.3% 0 - 137,400 25% 137,400 - 274,800 40% 40% 274,800 - 2,748,000 60% 75% >2,748,000 75%

0020.HK Wheelock and Company Limited HONG KONG Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

1733.HK Winsway Enterprises Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 311,300 25% 311,300 - 622,600 40% 40% 622,600 - 3,088,000 60% 75% >3,088,000 75%

1661.HK Wisdom Sports Group HONG KONG Yes - No CR No 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 4,080,000 40% 55% >4,080,000 75%

1369.HK Wuzhou International Holdings Limited HONG KONG Yes No 0.3% 0 - 250,000 10% 250,000 - 1,500,000 20% 20% 1,500,000 - 5,250,000 35% 45% >5,250,000 75%

1128.HK Wynn Macau Limited HONG KONG Yes Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 3,780,000 35% 45% >3,780,000 75%

0520.HK Xiabuxiabu Catering Management (China) HoldinHONG KONG No No 0.3% 0 - 30,000 25% 30,000 - 75,000 40% 40% 75,000 - 120,000 60% 75% >120,000 75%

3378.HK Xiamen International Port Company Limited HONG KONG Yes - No CR Yes 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 8,580,000 60% 75% >8,580,000 75%

1148.HK Xinchen China Power Holdings Limited HONG KONG Yes - No CR No 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

1899.HK Xingda International Holdings Limited HONG KONG Yes Yes 0.3% 0 - 35,000 25% 35,000 - 210,000 40% 40% 210,000 - 700,000 60% 75% >700,000 75%

2208.HK Xinjiang GoldWind Science & Technology CompHONG KONG Yes - No CR No 0.3% 0 - 200,000 15% 200,000 - 1,200,000 25% 25% 1,200,000 - 3,200,000 40% 55% >3,200,000 75%

0868.HK Xinyi Glass Holdings Limited HONG KONG Yes Yes 0.3% 0 - 130,000 10% 130,000 - 774,800 20% 20% 774,800 - 2,600,000 35% 45% >2,600,000 75%

1171.HK Yanzhou Coal Mining Company Limited HONG KONG Yes No 0.3% 0 - 300,000 25% 300,000 - 2,001,000 40% 40% 2,001,000 - 6,000,000 60% 75% >6,000,000 75%

0551.HK Yue Yuen Industrial (Holdings) Limited HONG KONG Yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

0123.HK Yuexiu Property Company Limited HONG KONG Yes - No CR No 0.3% 0 - 300,000 15% 300,000 - 2,001,000 25% 25% 2,001,000 - 6,000,000 40% 55% >6,000,000 75%

1052.HK Yuexiu Transport Infrastructure Limited HONG KONG Yes Yes 0.3% 0 - 33,900 25% 33,900 - 67,800 40% 40% 67,800 - 508,500 60% 75% >508,500 75%

0763.HK ZTE Corporation HONG KONG Yes Yes 0.3% 0 - 90,000 10% 90,000 - 549,900 10% 10% 549,900 - 1,800,000 10% 10% >1,800,000 10%

1818.HK Zhaojin Mining Industry Company Limited HONG KONG Yes No 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 1,600,000 35% 45% >1,600,000 75%

0576.HK Zhejiang Expressway Company Limited HONG KONG Yes Yes 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

1220.HK Zhidao International (Holdings) Limited HONG KONG Yes - No CR No 0.3% 0 - 20,000 25% 20,000 - 260,000 40% 40% 260,000 - 11,000,000 60% 75% >11,000,000 75%

3898.HK Zhuzhou CSR Times Electric Company LimitedHONG KONG Yes - No CR Yes 0.3% 0 - 100,000 15% 100,000 - 600,000 25% 25% 600,000 - 1,400,000 40% 55% >1,400,000 75%

2899.HK Zijin Mining Group Company Limited HONG KONG Yes Yes 0.3% 0 - 1,875,000 50% 1,875,000 - 11,250,00075% 75% 11,250,000 - 30,000,000 90% 90% >30,000,000 90%

1157.HK Zoomlion Heavy Industry Science and TechnoloHONG KONG Yes - No CR No 0.3% 0 - 836,000 15% 836,000 - 2,508,000 25% 25% 2,508,000 - 4,180,000 40% 55% >4,180,000 75%

2823.HK iShares FTSE A50 China Index ETF HONG KONG Yes No 0.3% 0 - 925,000 5% 925,000 - 5,499,900 10% 10% 5,499,900 - 9,500,000 25% 40% >9,500,000 75%

2801.HK iShares MSCI China Index ETF HONG KONG Yes No 0.3% 0 - 20,000 10% 20,000 - 120,000 30% 30% 120,000 - 333,400 50% 60% >333,400 75%

ARYN.I ARYZTA AG IRELAND Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

ABBY.I Abbey PLC IRELAND Yes No 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 2,700 75% 75% >2,700 75%

ALBK.I Allied Irish Banks PLC IRELAND Yes No 0.3% 0 - 240,000 30% 240,000 - 1,500,000 40% 40% 1,500,000 - 3,499,200 50% 60% >3,499,200 75%

AMNX.I Aminex PLC IRELAND Yes No 0.3% 0 - 705,500 25% 705,500 - 1,411,000 40% 40% 1,411,000 - 1,763,700 75% 75% >1,763,700 75%

APGNA.I Applegreen PLC IRELAND Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 50% 60% >400,000 75%

GCC.I C&C Group PLC IRELAND Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 300,000 35% 45% >300,000 75%

DQ5.I CPL Resources PLC IRELAND Stockbroking onlyYes 0.3% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 50,000 60% 75% >50,000 75%

CRH.I CRH PLC IRELAND Yes Yes 0.3% 0 - 60,000 5% 60,000 - 300,000 10% 10% 300,000 - 1,200,000 20% 22% >1,200,000 75%

DHG.I Dalata Hotel Group PLC IRELAND Yes - No CR Yes 0.3% 0 - 72,000 20% 72,000 - 432,000 30% 30% 432,000 - 720,000 40% 50% >720,000 75%

DLE.I Datalex PLC IRELAND Stockbroking onlyYes 0.3% 0 - 9,400 25% 9,400 - 18,800 40% 40% 18,800 - 46,200 60% 75% >46,200 75%

DQ7.I Donegal Investment Group PLC IRELAND Stockbroking onlyNo 0.3% 0 - 11,500 25% 11,500 - 34,500 40% 40% 34,500 - 114,988,500 75% 75% >114,988,500 ERROR

FBD.I FBD Holdings PLC IRELAND Yes Yes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 20,000 50% 60% >20,000 75%

FACF.I Falcon Oil & Gas Limited IRELAND Stockbroking onlyNo 0.3% 0 - 3,500 25% 3,500 - 7,000 30% 30% 7,000 - 10,500 50% 50% >10,500 75%

FFY.I Fyffes PLC IRELAND Yes Yes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 425,000 60% 75% >425,000 75%

GL9.I Glanbia PLC IRELAND Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

GWMO.I Great Western Mining Corp PLC IRELAND Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

GN1.I Green REIT PLC IRELAND Yes Yes 0.3% 0 - 100,000 20% 100,000 - 300,000 30% 30% 300,000 - 600,000 50% 60% >600,000 75%

HBRN.I Hibernia REIT PLC IRELAND Yes - No CR Yes 0.3% 0 - 250,000 20% 250,000 - 750,000 30% 30% 750,000 - 1,500,000 50% 60% >1,500,000 75%

IFG.I IFG Group PLC IRELAND Stockbroking onlyYes 0.3% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 150,000 50% 75% >150,000 75%

INME.I Independent News & Media PLC IRELAND Stockbroking onlyYes 0.3% 0 - 150,000 25% 150,000 - 900,000 30% 30% 900,000 - 2,001,000 50% 75% >2,001,000 75%

IR5B_u.I Irish Continental Group PLC IRELAND Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

IRES.I Irish Residential Properties REIT PLC IRELAND Yes - No CR No 0.3% 0 - 150,000 25% 150,000 - 450,000 40% 40% 450,000 - 750,000 50% 75% >750,000 75%

KDR.I Karelian Diamond Resources PLC IRELAND Stockbroking onlyNo 0.3% 0 - 12,500 25% 12,500 - 37,500 40% 40% 37,500 - 124,987,500 75% 75% >124,987,500 ERROR

JEV.I Kenmare Resources PLC IRELAND Yes - No CR No 0.3% 0 - 57,400 25% 57,400 - 114,800 40% 40% 114,800 - 143,500 75% 75% >143,500 75%

KYGa.I Kerry Group PLC IRELAND Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 232,000 35% 45% >232,000 75%

KSP.I Kingspan Group PLC IRELAND Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

MSTY.I Mainstay Medical International PLC IRELAND Stockbroking onlyNo 0.3% 0 - 100 25% 100 - 0 40% 40% 0 - 999,900 75% 75% >999,900 ERROR

MLCM.I Malin Corporation PLC IRELAND Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

MCON.I Mincon Group PLC IRELAND Yes - No CR No 0.3% 0 - 35,000 25% 35,000 - 134,700 40% 40% 134,700 - 647,500 50% 60% >647,500 75%

OGN.I Origin Enterprises PLC IRELAND Yes Yes 0.3% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 300,000 50% 60% >300,000 75%

ORM.I Ormonde Mining PLC IRELAND Stockbroking onlyNo 0.3% 0 - 184,500 25% 184,500 - 369,000 40% 40% 369,000 - 461,200 75% 75% >461,200 75%

OVG.I Ovoca Gold PLC IRELAND Stockbroking onlyNo 0.3% 0 - 126,300 25% 126,300 - 252,600 40% 40% 252,600 - 315,700 75% 75% >315,700 75%

PPB.I Paddy Power PLC IRELAND Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

PCI.I Petroceltic International PLC IRELAND Stockbroking onlyNo 0.3% 0 - 25,000 25% 25,000 - 75,000 40% 40% 75,000 - 249,975,000 75% 75% >249,975,000 ERROR

PTR.I Petroneft Resources PLC IRELAND Stockbroking onlyNo 0.3% 0 - 149,900 25% 149,900 - 299,800 40% 40% 299,800 - 374,700 75% 75% >374,700 75%

PACC.I Prime Active Capital PLC IRELAND Stockbroking onlyNo 0.3% 0 - 104,300 25% 104,300 - 208,600 40% 40% 208,600 - 260,700 75% 75% >260,700 75%

PZQA.I Providence Resources PLC IRELAND Stockbroking onlyYes 0.3% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 11,500 75% 75% >11,500 75%

RYA.I Ryanair Holdings PLC IRELAND Yes Yes 0.3% 0 - 43,800 10% 43,800 - 267,600 20% 20% 267,600 - 788,400 35% 45% >788,400 75%

SKG.I Smurfit Kappa Group PLC IRELAND Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 600,000 35% 45% >600,000 75%

BKIR.I The Governor and Company of the Bank of IrelaIRELAND Yes Yes 0.3% 0 - 1,800,900 10% 1,800,900 - 9,004,500 20% 20% 9,004,500 - 36,018,000 35% 45% >36,018,000 75%

T7O.I Total Produce PLC IRELAND Yes Yes 0.3% 0 - 12,800 25% 12,800 - 25,600 40% 40% 25,600 - 256,000 60% 75% >256,000 75%

TLW.I Tullow Oil PLC IRELAND Yes Yes 0.3% 0 - 64,100 20% 64,100 - 320,500 30% 30% 320,500 - 1,137,700 50% 60% >1,137,700 75%

WTIE.I WisdomTree ISEQ 20(r) UCITS ETF IRELAND Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

IL0A.I permanent tsb Group Holdings PLC IRELAND Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 120,000 50% 60% >120,000 75%

9202.T ANA Holdings Inc JAPAN Yes - No CR No 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 9,500,000 20% 40% >9,500,000 75%

7936.T ASICS Corporation JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

4813.T Access Company Limited JAPAN Yes - No CR No 0.3% 0 - 10 20% 10 - 30 25% 25% 30 - 9,990 75% 75% >9,990 75%

6857.T Advantest Corporation JAPAN Yes - No CR No 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%






8267.T Aeon Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

4088.T Air Water Inc JAPAN Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

7259.T Aisin Seiki Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,980 20% 20% 34,980 - 120,000 35% 45% >120,000 75%

2802.T Ajinomoto Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,005,000 20% 40% >1,005,000 75%

6770.T Alps Electric Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,200,000 35% 45% >1,200,000 75%

6113.T Amada Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

8304.T Aozora Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 1,200,000 35% 45% >1,200,000 75%

5201.T Asahi Glass Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 3,000,000 30% 50% >3,000,000 75%

2502.T Asahi Group Holdings Limited JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 952,000 20% 40% >952,000 75%

3407.T Asahi Kasei Corporation JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 3,000,000 20% 40% >3,000,000 75%

4503.T Astellas Pharma Inc JAPAN Yes - No CR Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 560,000 20% 40% >560,000 75%

7832.T BANDAI NAMCO Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

5108.T Bridgestone Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 930,000 20% 40% >930,000 75%

6448.T Brother Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

1721.T COMSYS Holdings Corporation JAPAN Yes - No CR No 0.3% 0 - 15,000 10% 15,000 - 105,000 20% 20% 105,000 - 450,000 35% 45% >450,000 75%

7779.T CYBERDYNE Inc JAPAN Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 30,000 20% 20% 30,000 - 1,250,000 35% 45% >1,250,000 75%

7751.T Canon Inc JAPAN Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,140,000 20% 40% >1,140,000 75%

9697.T Capcom Company Limited JAPAN No No 0.3% 0 - 7,000 10% 7,000 - 40,000 20% 20% 40,000 - 449,999 35% 45% >449,999 75%

6952.T Casio Computer Company Limited JAPAN Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 30,000 20% 20% 30,000 - 1,100,000 35% 45% >1,100,000 75%

9022.T Central Japan Railway Company JAPAN Yes - No CR Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 210,000 20% 40% >210,000 75%

6366.T Chiyoda Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

9502.T Chubu Electric Power Company Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

4519.T Chugai Pharmaceutical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 550,000 35% 45% >550,000 75%

7762.T Citizen Holdings Company Limited JAPAN Yes - No CR No 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,000,000 35% 45% >1,000,000 75%

7186.T Concordia Financial Group Limited JAPAN Yes Yes ERROR 0 - ERROR 25% ERROR - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERROR

2193.T Cookpad Inc JAPAN Yes - No CR No 0.3% 0 - 40 10% 40 - 360 20% 20% 360 - 3,600 35% 45% >3,600 75%

5021.T Cosmo Energy Holdings Company Limited JAPAN Yes - No CR No 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 140,000 50% 60% >140,000 75%

8253.T Credit Saison Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

11111.HK CyberAgent Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 550,000 35% 45% >550,000 75%

7912.T Dai Nippon Printing Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

4202.T Daicel Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

5471.T Daido Steel Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

7262.T Daihatsu Motor Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

4568.T Daiichi Sankyo Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,500,000 20% 40% >1,500,000 75%

6367.T Daikin Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 610,000 20% 40% >610,000 75%

8840.T Daikyo Inc JAPAN No Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 30% 30% 15,000 - 45,000 52% 52% >45,000 75%

1878.T Daito Trust Construction Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 180,000 20% 40% >180,000 75%

1925.T Daiwa House Industry Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

8601.T Daiwa Securities Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 40,000 5% 40,000 - 400,000 10% 10% 400,000 - 3,640,000 20% 40% >3,640,000 75%

2432.T DeNA Company Limited JAPAN Stockbroking onlyYes 0.3% 0 - 40,551 15% 40,551 - 202,755 25% 25% 202,755 - 811,020 40% 55% >811,020 75%

4061.T Denka Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

6902.T Denso Corporation JAPAN Yes - No CR Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 648,000 20% 40% >648,000 75%

4324.T Dentsu Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 450,000 35% 45% >450,000 75%

7532.T Don Quijote Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

5714.T Dowa Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 20,000 20% 20% 20,000 - 500,000 35% 45% >500,000 75%

9020.T East Japan Railway Company JAPAN Yes - No CR Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 462,000 20% 40% >462,000 75%

6361.T Ebara Corporation JAPAN No Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

4523.T Eisai Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 625,000 20% 40% >625,000 75%

9513.T Electric Power Development Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

4901.T FUJIFILM Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,230,000 20% 40% >1,230,000 75%

8028.T FamilyMart Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

6954.T Fanuc Corporation JAPAN Yes - No CR Yes 0.3% 0 - 6,000 5% 6,000 - 51,960 10% 10% 51,960 - 210,000 20% 40% >210,000 75%

9983.T Fast Retailing Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 2,500 5% 2,500 - 24,750 10% 10% 24,750 - 100,000 20% 40% >100,000 75%

6504.T Fuji Electric Company Limited JAPAN No Yes 0.3% 0 - 100,000 10% 100,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

7270.T Fuji Heavy Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 1,250,000 20% 40% >1,250,000 75%

4676.T Fuji Media Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5803.T Fujikura Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 30,000 20% 20% 30,000 - 900,000 35% 45% >900,000 75%

6702.T Fujitsu Limited JAPAN Yes - No CR Yes 0.3% 0 - 40,000 5% 40,000 - 400,000 10% 10% 400,000 - 5,600,000 20% 40% >5,600,000 75%

8354.T Fukuoka Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

5801.T Furukawa Electric Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 1,600,000 35% 45% >1,600,000 75%

6674.T GS Yuasa Corporation JAPAN Yes - No CR Yes 0.3% 0 - 45,000 10% 45,000 - 274,950 20% 20% 274,950 - 900,000 35% 45% >900,000 75%

3632.T Gree Inc JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 1,610,000 35% 45% >1,610,000 75%

9603.T H.I.S. Company Limited JAPAN Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 300,000 35% 45% >300,000 75%

1808.T HASEKO Corporation JAPAN No No 0.3% 0 - 250,000 10% 250,000 - 1,500,000 20% 20% 1,500,000 - 3,000,000 35% 45% >3,000,000 75%

9042.T Hankyu Hanshin Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

8803.T Heiwa Real Estate Company Limited JAPAN No No 0.3% 0 - 80,000 20% 80,000 - 240,000 30% 30% 240,000 - 425,000 50% 60% >425,000 75%

7205.T Hino Motors Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 1,155,000 35% 45% >1,155,000 75%

6806.T Hirose Electric Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

4530.T Hisamitsu Pharmaceutical Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

4217.T Hitachi Chemical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,980 20% 20% 34,980 - 120,000 35% 45% >120,000 75%

6305.T Hitachi Construction Machinery Company LimiteJAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

6501.T Hitachi Limited JAPAN Yes - No CR Yes 0.3% 0 - 130,000 5% 130,000 - 1,093,300 10% 10% 1,093,300 - 4,420,000 20% 40% >4,420,000 75%

5486.T Hitachi Metals Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

9509.T Hokkaido Electric Power Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

3865.T Hokuetsu Kishu Paper Company Limited JAPAN Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 9,000 25% 25% 9,000 - 475,000 40% 55% >475,000 75%

8377.T Hokuhoku Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 35,000 15% 35,000 - 210,000 25% 25% 210,000 - 700,000 40% 55% >700,000 75%

9505.T Hokuriku Electric Power Company JAPAN Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

7267.T Honda Motor Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 229,500 10% 10% 229,500 - 925,000 20% 40% >925,000 75%

7741.T Hoya Corporation JAPAN Yes - No CR Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 724,000 20% 40% >724,000 75%

7013.T IHI Corporation JAPAN Yes - No CR Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 3,780,000 35% 45% >3,780,000 75%

8001.T ITOCHU Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,700,000 20% 40% >2,700,000 75%

4062.T Ibiden Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5019.T Idemitsu Kosan Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

1605.T Inpex Corporation JAPAN Yes - No CR No 0.3% 0 - 1,000 5% 1,000 - 50,000 10% 10% 50,000 - 2,500,000 25% 40% >2,500,000 75%

3099.T Isetan Mitsukoshi Holdings Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

7202.T Isuzu Motors Limited JAPAN Yes - No CR Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 5,460,000 20% 40% >5,460,000 75%

3086.T J. Front Retailing Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

5411.T JFE Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,680,000 20% 40% >1,680,000 75%

1963.T JGC Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 651,000 20% 40% >651,000 75%

4185.T JSR Corporation JAPAN No No 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

6473.T JTEKT Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5020.T JX Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 40,000 5% 40,000 - 400,000 10% 10% 400,000 - 5,000,000 20% 40% >5,000,000 75%

9201.T Japan Airlines Company Limited JAPAN Yes - No CR No 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 350,000 35% 45% >350,000 75%

8697.T Japan Exchange Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 650,000 35% 45% >650,000 75%

7182.T Japan Post Bank Company Limited JAPAN Yes - No CR No 0.3% 0 - 35,000 5% 35,000 - 210,000 10% 10% 210,000 - 1,225,000 20% 40% >1,225,000 75%

6178.T Japan Post Holdings Company Limited JAPAN Yes - No CR No 0.3% 0 - 35,000 5% 35,000 - 210,000 10% 10% 210,000 - 1,225,000 20% 40% >1,225,000 75%

7181.T Japan Post Insurance Company Limited JAPAN Yes - No CR No 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 500,000 35% 45% >500,000 75%

2914.T Japan Tobacco Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 228,750 10% 10% 228,750 - 1,050,000 20% 40% >1,050,000 75%

9433.T KDDI Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 630,000 20% 40% >630,000 75%

1812.T Kajima Corporation JAPAN Yes - No CR Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 4,920,000 35% 45% >4,920,000 75%

2371.T Kakaku.com. Inc JAPAN Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,300,000 35% 45% >1,300,000 75%

4613.T Kansai Paint Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

4452.T Kao Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 847,000 20% 40% >847,000 75%

7012.T Kawasaki Heavy Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 130,000 10% 130,000 - 774,800 20% 20% 774,800 - 4,030,000 35% 45% >4,030,000 75%

9107.T Kawasaki Kisen Kaisha Limited JAPAN Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 201,000 20% 20% 201,000 - 7,800,000 35% 45% >7,800,000 75%

9008.T Keio Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

9009.T Keisei Electric Railway Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

6861.T Keyence Corporation JAPAN Yes - No CR Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 75,000 20% 40% >75,000 75%

2801.T Kikkoman Corporation JAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

9041.T Kintetsu Group Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

2503.T Kirin Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 150,000 10% 10% 150,000 - 1,875,000 25% 40% >1,875,000 75%

5406.T Kobe Steel Limited JAPAN Yes - No CR Yes 0.3% 0 - 300,000 10% 300,000 - 2,001,000 20% 20% 2,001,000 - 12,000,000 35% 45% >12,000,000 75%

7276.T Koito Manufacturing Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

6301.T Komatsu Limited JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,650,000 20% 40% >1,650,000 75%

9766.T Konami Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

4902.T Konica Minolta Inc JAPAN Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

6326.T Kubota Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 2,475,000 20% 40% >2,475,000 75%

3405.T Kuraray Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

6370.T Kurita Water Industries Limited JAPAN No No 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

6971.T Kyocera Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 777,000 20% 40% >777,000 75%

4151.T Kyowa Hakko Kirin Company Limited JAPAN Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 500,000 35% 45% >500,000 75%

9508.T Kyushu Electric Power Company Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5938.T LIXIL Group Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 615,000 35% 45% >615,000 75%

8202.T Laox Company Limited JAPAN Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 350,000 20% 20% 350,000 - 6,650,000 35% 45% >6,650,000 75%

2651.T Lawson Inc JAPAN Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,010 20% 20% 20,010 - 60,000 35% 45% >60,000 75%

2413.T M3 Inc JAPAN No No 0.3% 0 - 500 10% 500 - 10,000 20% 20% 10,000 - 750,000 35% 45% >750,000 75%

9962.T MISUMI Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,010 25% 25% 20,010 - 60,000 40% 55% >60,000 75%

6586.T Makita Corporation JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 305,000 35% 45% >305,000 75%

8002.T Marubeni Corporation JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 4,830,000 20% 40% >4,830,000 75%

8252.T Marui Group Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%






8628.T Matsui Securities Company Limited JAPAN Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 10,000 20% 20% 10,000 - 675,000 35% 45% >675,000 75%

7261.T Mazda Motor Corporation JAPAN Yes - No CR Yes 0.3% 0 - 179,848 10% 179,848 - 899,240 20% 20% 899,240 - 3,596,960 35% 45% >3,596,960 75%

7459.T MediPal Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

6508.T Meidensha Corporation JAPAN Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 400,000 60% 75% >400,000 75%

2269.T Meiji Holdings Company Limited JAPAN Yes - No CR No 0.3% 0 - 100 10% 100 - 4,000 20% 20% 4,000 - 175,000 35% 45% >175,000 75%

6479.T Minebea Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 40,000 20% 20% 40,000 - 1,750,000 35% 45% >1,750,000 75%

4544.T Miraca Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,010 25% 25% 20,010 - 60,000 40% 55% >60,000 75%

4188.T Mitsubishi Chemical Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 70,000 10% 70,000 - 700,000 20% 20% 700,000 - 3,010,000 30% 50% >3,010,000 75%

8058.T Mitsubishi Corporation JAPAN Yes - No CR Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 1,750,000 20% 40% >1,750,000 75%

6503.T Mitsubishi Electric Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,850,000 20% 40% >2,850,000 75%

8802.T Mitsubishi Estate Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,395,000 20% 40% >1,395,000 75%

4182.T Mitsubishi Gas Chemical Company Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

7011.T Mitsubishi Heavy Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 70,000 5% 70,000 - 700,000 10% 10% 700,000 - 5,600,000 20% 40% >5,600,000 75%

5711.T Mitsubishi Materials Corporation JAPAN Yes - No CR Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 1,200,000 35% 45% >1,200,000 75%

7211.T Mitsubishi Motors Corporation JAPAN Yes - No CR No 0.3% 0 - 45,000 10% 45,000 - 274,950 20% 20% 274,950 - 1,530,000 35% 45% >1,530,000 75%

4508.T Mitsubishi Tanabe Pharma Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

8306.T Mitsubishi UFJ Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 170,000 5% 170,000 - 1,441,600 10% 10% 1,441,600 - 5,780,000 20% 40% >5,780,000 75%

8593.T Mitsubishi UFJ Lease & Finance Company Limi JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

8031.T Mitsui & Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 2,240,000 20% 40% >2,240,000 75%

4183.T Mitsui Chemicals Inc JAPAN Yes - No CR Yes 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 6,380,000 35% 45% >6,380,000 75%

7003.T Mitsui Engineering & Shipbuilding Company LimJAPAN Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 76,000 20% 20% 76,000 - 3,000,000 35% 45% >3,000,000 75%

8801.T Mitsui Fudosan Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,095,000 20% 40% >1,095,000 75%

9104.T Mitsui OSK Lines Limited JAPAN Yes - No CR Yes 0.3% 0 - 170,000 10% 170,000 - 999,600 20% 20% 999,600 - 4,250,000 35% 45% >4,250,000 75%

6767.T Mitsumi Electric Company Limited JAPAN Yes - No CR No 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

8411.T Mizuho Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 425,000 5% 425,000 - 4,075,750 10% 10% 4,075,750 - 16,150,000 20% 40% >16,150,000 75%

8698.T Monex Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 80,000 15% 80,000 - 480,000 25% 25% 480,000 - 1,280,000 40% 55% >1,280,000 75%

6701.T NEC Corporation JAPAN Yes - No CR No 0.3% 0 - 170,000 10% 170,000 - 999,600 20% 20% 999,600 - 5,610,000 35% 45% >5,610,000 75%

5333.T NGK Insulators Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 825,000 35% 45% >825,000 75%

5334.T NGK Spark Plug Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

2282.T NH Foods Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5401.T NIPPON STEEL & SUMITOMO METAL CorporaJAPAN Yes - No CR Yes 0.3% 0 - 140,000 5% 140,000 - 1,505,000 10% 10% 1,505,000 - 11,480,000 20% 40% >11,480,000 75%

7240.T NOK Corporation JAPAN Yes - No CR Yes 0.3% 0 - 6,000 15% 6,000 - 34,980 25% 25% 34,980 - 120,000 40% 55% >120,000 75%

6471.T NSK Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

6472.T NTN Corporation JAPAN Yes - No CR Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

9437.T NTT DOCOMO Inc JAPAN Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 300,000 10% 10% 300,000 - 2,120,000 20% 40% >2,120,000 75%

9613.T NTT Data Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 450,000 35% 45% >450,000 75%

6268.T Nabtesco Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

6594.T Nidec Corporation JAPAN Yes - No CR No 0.3% 0 - 100 5% 100 - 20,000 10% 10% 20,000 - 775,000 25% 40% >775,000 75%

7731.T Nikon Corporation JAPAN No No 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 1,950,000 30% 50% >1,950,000 75%

7974.T Nintendo Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,499 10% 1,499 - 8,999 20% 20% 8,999 - 19,993 35% 45% >19,993 75%

5214.T Nippon Electric Glass Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

9062.T Nippon Express Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

3863.T Nippon Paper Industries Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,980 20% 20% 34,980 - 120,000 35% 45% >120,000 75%

5202.T Nippon Sheet Glass Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 300,000 10% 300,000 - 2,000,010 20% 20% 2,000,010 - 4,500,000 35% 45% >4,500,000 75%

4114.T Nippon Shokubai Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

9432.T Nippon Telegraph and Telephone Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 150,000 10% 10% 150,000 - 630,000 20% 40% >630,000 75%

9404.T Nippon Television Holdings Inc JAPAN No No 0.3% 0 - 6,000 15% 6,000 - 34,980 25% 25% 34,980 - 120,000 40% 55% >120,000 75%

9101.T Nippon Yusen Kabushiki K ASA JAPAN No Yes 0.3% 0 - 160,000 10% 160,000 - 950,400 20% 20% 950,400 - 5,280,000 35% 45% >5,280,000 75%

8086.T Nipro Corporation JAPAN No No 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 140,000 40% 55% >140,000 75%

7201.T Nissan Motor Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 60,000 5% 60,000 - 600,000 10% 10% 600,000 - 3,720,000 20% 40% >3,720,000 75%

2002.T Nisshin Seifun Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

2897.T Nissin Foods Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

9843.T Nitori Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

6988.T Nitto Denko Corporation JAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 783,000 20% 40% >783,000 75%

8604.T Nomura Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 150,000 5% 150,000 - 1,242,000 10% 10% 1,242,000 - 4,950,000 20% 40% >4,950,000 75%

4307.T Nomura Research Institute Limited JAPAN Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,010 20% 20% 20,010 - 60,000 35% 45% >60,000 75%

1615.T Nomura TSE Bank Listed JAPAN No No 0.3% 0 - 950,000 10% 950,000 - 5,500,025 20% 20% 5,500,025 - 9,500,000 35% 45% >9,500,000 75%

6645.T OMRON Corporation JAPAN Yes - No CR No 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 672,000 35% 45% >672,000 75%

8591.T ORIX Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,300,000 20% 40% >2,300,000 75%

1802.T Obayashi Corporation JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

9007.T Odakyu Electric Railway Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

3861.T Oji Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

7733.T Olympus Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 25% 25,000 - 131,750 40% 40% 131,750 - 525,000 60% 75% >525,000 75%

4661.T Oriental Land Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 130,000 20% 40% >130,000 75%

9532.T Osaka Gas Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 60,000 10% 60,000 - 600,000 20% 20% 600,000 - 3,000,000 30% 50% >3,000,000 75%

4578.T Otsuka Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 852,000 20% 40% >852,000 75%

6752.T Panasonic Corporation JAPAN Yes - No CR Yes 0.3% 0 - 110,000 10% 110,000 - 754,600 20% 20% 754,600 - 2,970,000 30% 50% >2,970,000 75%

7956.T Pigeon Corporation JAPAN Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 9,000 20% 20% 9,000 - 450,000 35% 45% >450,000 75%

6963.T ROHM Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 50,000 5% 50,000 - 250,000 10% 10% 250,000 - 450,000 25% 40% >450,000 75%

4755.T Rakuten Inc JAPAN Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 2,500,000 35% 45% >2,500,000 75%

8308.T Resona Holdings Inc JAPAN No Yes 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 6,450,000 20% 40% >6,450,000 75%

7752.T Ricoh Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 2,505,000 20% 40% >2,505,000 75%

5947.T Rinnai Corporation JAPAN No No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

9735.T SECOM Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 426,000 20% 40% >426,000 75%

6273.T SMC Corporation JAPAN Yes - No CR Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 90,000 20% 40% >90,000 75%

6417.T Sankyo Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

8136.T Sanrio Company Limited JAPAN Yes - No CR No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 530,000 35% 45% >530,000 75%

2501.T Sapporo Holdings Limited JAPAN No Yes 0.3% 0 - 40,000 15% 40,000 - 240,000 25% 25% 240,000 - 550,000 40% 55% >550,000 75%

6460.T Sega Sammy Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 770,000 35% 45% >770,000 75%

6724.T Seiko Epson Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 585,000 35% 45% >585,000 75%

4204.T Sekisui Chemical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

1928.T Sekisui House Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,995,000 20% 40% >1,995,000 75%

3382.T Seven & i Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 900,000 20% 40% >900,000 75%

6753.T Sharp Corporation JAPAN Yes - No CR No 0.3% 0 - 275,537 10% 275,537 - 1,377,685 20% 20% 1,377,685 - 5,510,740 35% 45% >5,510,740 75%

9507.T Shikoku Electric Power Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

7701.T Shimadzu Corporation JAPAN Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

8227.T Shimamura Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

7309.T Shimano Inc JAPAN Yes - No CR Yes 0.3% 0 - 30,000 25% 30,000 - 90,000 40% 40% 90,000 - 299,970,000 75% 75% >299,970,000 ERROR

1803.T Shimizu Corporation JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

4063.T Shin-Etsu Chemical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 625,000 20% 40% >625,000 75%

8303.T Shinsei Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 120,000 10% 120,000 - 724,800 20% 20% 724,800 - 2,400,000 35% 45% >2,400,000 75%

4507.T Shionogi & Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

4911.T Shiseido Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 950,000 30% 50% >950,000 75%

4004.T Showa Denko K.K. JAPAN Yes - No CR Yes 0.3% 0 - 120,000 10% 120,000 - 724,800 20% 20% 724,800 - 2,400,000 35% 45% >2,400,000 75%

5002.T Showa Shell Sekiyu K.K. JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 105,000 20% 20% 105,000 - 780,000 35% 45% >780,000 75%

9984.T SoftBank Group Corporation JAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 18,000 20% 25% 18,000 - 90,000 40% 40% >90,000 75%

2768.T Sojitz Corporation JAPAN Yes - No CR Yes 0.3% 0 - 90,000 10% 90,000 - 549,900 20% 20% 549,900 - 1,800,000 35% 45% >1,800,000 75%

8630.T Sompo Japan Nipponkoa Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 700,000 20% 40% >700,000 75%

6758.T Sony Corporation JAPAN Yes - No CR Yes 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 2,000,000 20% 40% >2,000,000 75%

8729.T Sony Financial Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

9684.T Square Enix Holdings Company Limited JAPAN No No 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 425,000 35% 45% >425,000 75%

6923.T Stanley Electric Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

3092.T Start Today Company Limited JAPAN Yes - No CR No 0.3% 0 - 500 10% 500 - 7,000 20% 20% 7,000 - 325,000 35% 45% >325,000 75%

3436.T Sumco Corporation JAPAN Yes - No CR Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

4005.T Sumitomo Chemical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 4,130,000 35% 45% >4,130,000 75%

8053.T Sumitomo Corporation JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,500,000 20% 40% >2,500,000 75%

5802.T Sumitomo Electric Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

6302.T Sumitomo Heavy Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

8316.T Sumitomo Mitsui Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 25,000 5% 25,000 - 185,000 10% 10% 185,000 - 750,000 20% 40% >750,000 75%

8309.T Sumitomo Mitsui Trust Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 100,000 5% 100,000 - 1,000,000 10% 10% 1,000,000 - 7,100,000 20% 40% >7,100,000 75%

8830.T Sumitomo Realty & Development Company LimJAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 801,000 20% 40% >801,000 75%

5110.T Sumitomo Rubber Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

7269.T Suzuki Motor Corporation JAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 999,000 20% 40% >999,000 75%

6869.T Sysmex Corporation JAPAN Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

8795.T T&D Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

6762.T TDK Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 400,000 35% 45% >400,000 75%

6481.T THK Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,990 20% 20% 54,990 - 180,000 35% 45% >180,000 75%

5233.T Taiheiyo Cement Corporation JAPAN Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 4,600,000 35% 45% >4,600,000 75%

1801.T Taisei Corporation JAPAN Yes - No CR Yes 0.3% 0 - 130,000 10% 130,000 - 774,800 20% 20% 774,800 - 4,030,000 35% 45% >4,030,000 75%

4091.T Taiyo Nippon Sanso Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

6976.T Taiyo Yuden Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 810,000 35% 45% >810,000 75%

8233.T Takashimaya Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

4502.T Takeda Pharmaceutical Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 729,000 20% 40% >729,000 75%

3401.T Teijin Limited JAPAN Yes - No CR Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

2181.T Temp Holdings Company Limited JAPAN Yes - No CR No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 4,000 35% 45% >4,000 75%

4543.T Terumo Corporation JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 399,000 35% 45% >399,000 75%

8332.T The Bank of Yokohama Limited JAPAN Yes - No CR No 0.3% 0 - 35,000 10% 35,000 - 350,000 20% 20% 350,000 - 2,485,000 30% 50% >2,485,000 75%

8331.T The Chiba Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

8382.T The Chugoku Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 6,000 20% 6,000 - 34,980 30% 30% 34,980 - 120,000 50% 60% >120,000 75%

9504.T The Chugoku Electric Power Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%






8750.T The Dai-Ichi Life Insurance Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,995,000 20% 40% >1,995,000 75%

8379.T The Hiroshima Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

8385.T The Iyo Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

5631.T The Japan Steel Works Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

8333.T The Joyo Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

9503.T The Kansai Electric Power Company Inc JAPAN Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

8327.T The Nishi-Nippon City Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

8355.T The Shizuoka Bank Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5101.T The Yokohama Rubber Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

9001.T Tobu Railway Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

9602.T Toho Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,010 25% 25% 20,010 - 60,000 40% 55% >60,000 75%

9533.T Toho Gas Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

9506.T Tohoku Electric Power Co. Inc JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 575,000 35% 50% >575,000 75%

8766.T Tokio Marine Holdings Inc JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 1,001,000 20% 40% >1,001,000 75%

4043.T Tokuyama Corporation JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

9501.T Tokyo Electric Power Company Inc JAPAN Yes - No CR Yes 0.3% 0 - 183,691 10% 183,691 - 918,455 20% 20% 918,455 - 3,673,820 35% 45% >3,673,820 75%

8035.T Tokyo Electron Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 595,000 20% 40% >595,000 75%

9531.T Tokyo Gas Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 3,990,000 20% 40% >3,990,000 75%

8804.T Tokyo Tatemono Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 2,000,000 35% 45% >2,000,000 75%

9005.T Tokyu Corporation JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

3289.T Tokyu Fudosan Holdings Corporation JAPAN Yes - No CR Yes 0.3% 0 - 180,000 10% 180,000 - 900,000 20% 20% 900,000 - 3,420,000 35% 45% >3,420,000 75%

5012.T TonenGeneral Sekiyu k.k. JAPAN Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,970 20% 20% 39,970 - 140,000 35% 45% >140,000 75%

7911.T Toppan Printing Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

3402.T Toray Industries Inc JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 3,990,000 20% 40% >3,990,000 75%

6502.T Toshiba Corporation JAPAN Yes - No CR No 0.3% 0 - 100,000 5% 100,000 - 1,000,000 10% 10% 1,000,000 - 7,900,000 20% 40% >7,900,000 75%

5332.T Toto Limited JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

5901.T Toyo Seikan Group Holdings Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

2875.T Toyo Suisan Kaisha Limited JAPAN Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

6201.T Toyota Industries Corporation JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

7203.T Toyota Motor Corporation JAPAN Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 148,500 10% 10% 148,500 - 592,500 20% 40% >592,500 75%

8015.T Toyota Tsusho Corporation JAPAN Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,980 20% 20% 34,980 - 120,000 35% 45% >120,000 75%

4704.T Trend Micro Inc JAPAN Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,980 20% 20% 34,980 - 120,000 35% 45% >120,000 75%

3391.T Tsuruha Holdings Inc JAPAN Yes - No CR No 0.3% 0 - 200 10% 200 - 600 20% 20% 600 - 1,000 35% 45% >1,000 75%

4732.T USS Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

4208.T Ube Industries Limited JAPAN Yes - No CR Yes 0.3% 0 - 90,000 10% 90,000 - 549,900 20% 20% 549,900 - 1,800,000 35% 45% >1,800,000 75%

8113.T Unicharm Corporation JAPAN Yes - No CR Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 476,000 20% 40% >476,000 75%

6925.T Ushio Inc JAPAN Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

9021.T West Japan Railway Company JAPAN Yes - No CR Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 350,000 20% 40% >350,000 75%

4689.T Yahoo Japan Corporation JAPAN Yes - No CR Yes 0.3% 0 - 137,768 10% 137,768 - 688,840 20% 20% 688,840 - 2,755,360 35% 45% >2,755,360 75%

2267.T Yakult Honsha Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

9831.T Yamada Denki Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 4,960,000 35% 45% >4,960,000 75%

8418.T Yamaguchi Financial Group Inc JAPAN Yes - No CR Yes 0.3% 0 - 7,000 15% 7,000 - 39,970 25% 25% 39,970 - 140,000 40% 55% >140,000 75%

7272.T Yamaha Motor Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

9064.T Yamato Holdings Company Limited JAPAN Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 952,000 20% 40% >952,000 75%

6506.T Yaskawa Electric Corporation JAPAN Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 1,200,000 35% 45% >1,200,000 75%

6841.T Yokogawa Electric Corporation JAPAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

4205.T ZEON Corporation JAPAN Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

ABNd.AS ABN AMRO Group NV NETHERLANDYes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

AEGN.AS AEGON NV NETHERLANDYes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 3,500,000 20% 40% >3,500,000 75%

AMG.AS AMG Advanced Metallurgical Group NV NETHERLANDYes Yes 0.3% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 32,000 60% 75% >32,000 75%

AAA.AS AP Alternative Assets LP NETHERLANDYes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,200 60% 75% >14,200 75%

ARDS.AS ARCADIS NV NETHERLANDYes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

ASMI.AS ASM International NV NETHERLANDYes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ASML.AS ASML Holding NV NETHERLANDYes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 365,000 20% 40% >365,000 75%

AALB.AS Aalberts Industries NV NETHERLANDYes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ACCG.AS Accell Group NV NETHERLANDYes Yes 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

AKZO.AS Akzo Nobel NV NETHERLANDYes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 351,000 20% 40% >351,000 75%

ATCA.AS Altice NV NETHERLANDYes Yes 0.3% 0 - 65,000 10% 65,000 - 325,000 20% 20% 325,000 - 780,000 35% 35% >780,000 75%

ATCB.AS Altice NV NETHERLANDYes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 35% >500,000 75%

ARBN.AS Amsterdam Commodities NV NETHERLANDYes Yes 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

APAM.AS Aperam NETHERLANDYes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ISPA.AS ArcelorMittal NETHERLANDYes Yes 0.3% 0 - 70,000 5% 70,000 - 492,100 10% 10% 492,100 - 1,960,000 20% 40% >1,960,000 75%

BESI.AS BE Semiconductor Industries NV NETHERLANDYes Yes 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 28,000 60% 75% >28,000 75%

BALNc.AS Ballast Nedam NV NETHERLANDNo No 0.3% 0 - 13,000 25% 13,000 - 39,000 40% 40% 39,000 - 129,987,000 75% 75% >129,987,000 ERROR

BTBN.AS Batenburg Techniek NV NETHERLANDStockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

BETR.AS Beter Bed Holding NV NETHERLANDYes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%

BINCK.AS BinckBank NV NETHERLANDYes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

BRUN.AS Brunel International NV NETHERLANDYes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 34,500 50% 60% >34,500 75%

CORB.AS Corbion NV NETHERLANDYes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

DOCD.AS DOCDATA NV NETHERLANDYes No 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

DPA.AS DPA Group NV NETHERLANDStockbroking onlyNo 0.3% 0 - 10,500 25% 10,500 - 31,500 40% 40% 31,500 - 104,989,500 75% 75% >104,989,500 ERROR

DLL.AS Delta Lloyd NV NETHERLANDYes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 650,000 30% 50% >650,000 75%

ESPE.AS Esperite NV NETHERLANDStockbroking onlyNo 0.3% 0 - 6,500 25% 6,500 - 19,500 40% 40% 19,500 - 64,993,500 75% 75% >64,993,500 ERROR

ECT.AS Eurocastle Investment Limited NETHERLANDYes Yes 0.3% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 3,800 60% 75% >3,800 75%

SIPFc.AS Eurocommercial Properties NV NETHERLANDYes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

FLOW.AS Flow Traders NV NETHERLANDYes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

FUGRc.AS Fugro NV NETHERLANDYes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 220,000 30% 50% >220,000 75%

GLPG.AS Galapagos NV NETHERLANDYes - No CR No 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 45,000 50% 60% >45,000 75%

GTO.AS Gemalto NV NETHERLANDYes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 210,000 20% 40% >210,000 75%

GVNV.AS Grandvision B.V. NETHERLANDYes Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 24% 24% 18,000 - 60,000 30% 36% >60,000 45%

GRHAc.AS Groothandelsgebouw NV NETHERLANDStockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

HLAN.AS HAL Trust NETHERLANDYes No 0.3% 0 - 1,000 25% 1,000 - 2,500 40% 40% 2,500 - 4,000 60% 75% >4,000 75%

HEIJ.AS Heijmans NV NETHERLANDYes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

HEIO.AS Heineken Holding NV NETHERLANDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

HEIN.AS Heineken NV NETHERLANDYes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 400,000 20% 40% >400,000 75%

HOLCO.AS Holland Colours NV NETHERLANDStockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

HUDN.AS Hunter Douglas NV NETHERLANDYes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ICTA.AS ICT Automatisering NV NETHERLANDStockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

IMCD.AS IMCD NV NETHERLANDYes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

ING.AS ING Groep NV NETHERLANDYes Yes 0.3% 0 - 60,000 5% 60,000 - 564,600 10% 10% 564,600 - 2,280,000 20% 40% >2,280,000 75%

INTER.AS Intertrust NV NETHERLANDYes Yes 0.3% 0 - 24,000 25% 24,000 - 144,000 40% 40% 144,000 - 480,000 50% 60% >480,000 75%

KASNc.AS KAS BANK NV NETHERLANDYes Yes 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

KARD.AS Kardan NV NETHERLANDStockbroking onlyNo 0.3% 0 - 35,800 25% 35,800 - 71,600 40% 40% 71,600 - 113,100 60% 75% >113,100 75%

SVEL.AS Kendrion NV NETHERLANDYes Yes 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 21,000 60% 75% >21,000 75%

AHLN.AS Koninklijke Ahold NV NETHERLANDYes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,500,000 20% 40% >1,500,000 75%

BAMN.AS Koninklijke BAM Groep NV NETHERLANDYes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

BRIL.AS Koninklijke Brill NV NETHERLANDStockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

DSMN.AS Koninklijke DSM NV NETHERLANDYes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 375,000 20% 40% >375,000 75%

KPN.AS Koninklijke KPN NV NETHERLANDYes - No CR Yes 0.3% 0 - 300,000 5% 300,000 - 1,800,000 10% 10% 1,800,000 - 7,500,000 20% 40% >7,500,000 75%

PHG.AS Koninklijke Philips N.V NETHERLANDYes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 915,000 20% 40% >915,000 75%

NTCN.AS Koninklijke Ten Cate nv NETHERLANDYes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

BSWSc.AS Koninklijke Wessanen NV NETHERLANDYes Yes 0.3% 0 - 3,600 25% 3,600 - 7,200 40% 40% 7,200 - 72,000 60% 75% >72,000 75%

BOLS.AS Lucas Bols B.V. NETHERLANDYes Yes 0.3% 0 - 5,500 25% 5,500 - 33,000 40% 40% 33,000 - 110,000 50% 60% >110,000 75%

MCIN.AS MacIntosh Retail Group NV NETHERLANDStockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

NEDP.AS N.V. Nederlandsche Apparatenfabriek "Nedap" NETHERLANDYes No 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

NN.AS NN Group NV NETHERLANDYes No 0.3% 0 - 5,000 10% 5,000 - 20,000 20% 20% 20,000 - 100,000 35% 45% >100,000 75%

NSTEc.AS NSI NV NETHERLANDYes Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%

NEWN.AS Neways Electronics International NV NETHERLANDStockbroking onlyNo 0.3% 0 - 8,500 25% 8,500 - 34,000 40% 40% 34,000 - 84,991,500 75% 75% >84,991,500 ERROR

OCI.AS OCI NV NETHERLANDYes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 10,000 20% 20% 10,000 - 55,000 30% 50% >55,000 75%

ORDN.AS Ordina NV NETHERLANDYes - No CR Yes 0.3% 0 - 36,500 25% 36,500 - 109,500 40% 40% 109,500 - 182,500 60% 75% >182,500 75%

PSH.AS Pershing Square Holdings Limited NETHERLANDYes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 60,000 35% 45% >60,000 75%

PHAR.AS Pharming Group NV NETHERLANDYes - No CR No 0.3% 0 - 325,000 20% 325,000 - 1,998,700 30% 30% 1,998,700 - 6,500,000 50% 60% >6,500,000 75%

PTNL.AS PostNL NV NETHERLANDYes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

RELX.AS RELX NV NETHERLANDYes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 900,000 20% 40% >900,000 75%

RAND.AS Randstad Holding NV NETHERLANDYes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 250,000 20% 40% >250,000 75%

RFRG.AS Refresco Gerber NV NETHERLANDYes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

BOSN.AS Royal Boskalis Westminster NV NETHERLANDYes Yes 0.3% 0 - 2,000 10% 2,000 - 20,000 20% 20% 20,000 - 170,000 30% 50% >170,000 75%

RDSb.AS Royal Dutch Shell PLC NETHERLANDYes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 6,500 60% 75% >6,500 75%

RDSa.AS Royal Dutch Shell PLC NETHERLANDYes Yes 0.3% 0 - 40,000 5% 40,000 - 230,000 10% 10% 230,000 - 920,000 20% 40% >920,000 75%

IMUN.AS Royal Imtech NV NETHERLANDYes - No CR Yes 0.3% 0 - 21,100 10% 21,100 - 125,300 20% 20% 125,300 - 422,000 35% 45% >422,000 75%

VOPA.AS Royal Vopak NV NETHERLANDYes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SBMO.AS SBM Offshore NV NETHERLANDYes Yes 0.3% 0 - 10,000 25% 10,000 - 100,000 40% 40% 100,000 - 630,000 50% 60% >630,000 75%

AEXT.AS SPDR(r) AEX UCITS ETF NETHERLANDYes No 0.3% 0 - 180,000 5% 180,000 - 1,000,800 10% 10% 1,000,800 - 1,999,800 20% 40% >1,999,800 75%

SLIGR.AS Sligro Food Group NV NETHERLANDYes Yes 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

ARTN.AS Stern Groep NV NETHERLANDStockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

TWKNc.AS TKH Group NV NETHERLANDYes Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 51,000 60% 75% >51,000 75%

TNTE.AS TNT Express NV NETHERLANDYes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 90,000 20% 20% 90,000 - 801,000 30% 50% >801,000 75%

TLGNc.AS Telegraaf Media Groep NV NETHERLANDYes No 0.3% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 14,000 60% 75% >14,000 75%

TFG.AS Tetragon Financial Group Limited NETHERLANDStockbroking onlyYes 0.3% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 26,800 60% 75% >26,800 75%

TOM2.AS TomTom NV NETHERLANDYes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%






USGP.AS USG People NV NETHERLANDYes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

UNBP.AS Unibail-Rodamco SE NETHERLANDYes - No CR Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 126,000 20% 40% >126,000 75%

UNc.AS Unilever NV NETHERLANDYes Yes 0.3% 0 - 20,000 5% 20,000 - 215,000 10% 10% 215,000 - 860,000 20% 40% >860,000 75%

VALU8.AS Value8 NV NETHERLANDYes No 0.3% 0 - 3,500 25% 3,500 - 10,500 40% 40% 10,500 - 34,996,500 75% 75% >34,996,500 ERROR

VLAN.AS Van Lanschot NV NETHERLANDYes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

VERX.AS Vanguard FTSE Developed Europe ex UK UCITNETHERLANDYes No 0.3% 0 - 14,000 10% 14,000 - 70,000 20% 20% 70,000 - 154,000 35% 45% >154,000 75%

VASN.AS VastNed Retail NV NETHERLANDYes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

VTA.AS Volta Finance Limited NETHERLANDYes No 0.3% 0 - 8,500 10% 8,500 - 34,000 20% 20% 34,000 - 84,991,500 75% 75% >84,991,500 ERROR

WEHA.AS Wereldhave NV NETHERLANDYes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

WLSNc.AS Wolters Kluwer NV NETHERLANDYes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 350,000 30% 50% >350,000 75%

YATRA.AS Yatra Capital Limited NETHERLANDStockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SDIG.AS iShares $ Short Duration Corporate Bond UCITSNETHERLANDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

ERND.AS iShares $ Ultrashort Bond UCITS ETF NETHERLANDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IAEX.AS iShares AEX UCITS ETF NETHERLANDYes No 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 25,000 35% 45% >25,000 75%

EUEA.AS iShares EURO STOXX 50 UCITS ETF (Dist) NETHERLANDYes No 0.3% 0 - 3,150,000 10% 3,150,000 - 19,687,50020% 20% 19,687,500 - 29,925,000 35% 45% >29,925,000 75%

IBCI.AS iShares Euro Inflation Linked Government Bond NETHERLANDStockbroking onlyNo 0.3% 0 - 100 10% 100 - 600 20% 20% 600 - 1,100 35% 45% >1,100 75%

IPRP.AS iShares European Property Yield UCITS ETF NETHERLANDYes No 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

IWDE.AS iShares MSCI World EUR Hedged UCITS ETF NETHERLANDStockbroking onlyNo 0.3% 0 - 400 10% 400 - 1,200 20% 20% 1,200 - 2,400 35% 45% >2,400 75%

ALSS.LS Altri S.G.P.S S.A PORTUGAL Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

BBPI.LS Banco BPI SA PORTUGAL Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

BCP.LS Banco Comercial Portugues SA PORTUGAL Yes Yes 0.3% 0 - 1,025,000 10% 1,025,000 - 5,996,200 20% 20% 5,996,200 - 63,550,000 35% 45% >63,550,000 75%

SANT.LS Banco Santander SA PORTUGAL Yes No 0.3% 0 - 92,300 10% 92,300 - 461,500 20% 20% 461,500 - 1,846,000 35% 45% >1,846,000 75%

CPR.LS CIMPOR - Cimentos De Portugal SGPS SA PORTUGAL Yes No 0.3% 0 - 4,500 25% 4,500 - 9,000 40% 40% 9,000 - 27,800 60% 75% >27,800 75%

CTT.LS CTT - Correios De Portugal SA PORTUGAL Yes - No CR Yes 0.3% 0 - 18,000 15% 18,000 - 1,296,000 25% 25% 1,296,000 - 3,240,000 40% 50% >3,240,000 75%

CFN.LS Cofina SGPS SA PORTUGAL Yes No 0.3% 0 - 18,600 25% 18,600 - 37,200 40% 40% 37,200 - 334,800 60% 75% >334,800 75%

CORA.LS Corticeira Amorim SGPS SA PORTUGAL Yes Yes 0.3% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 11,500 75% 75% >11,500 75%

EDPR.LS EDP Renovaveis SA PORTUGAL Yes Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

EDP.LS EDP-Energias de Portugal SA PORTUGAL Yes Yes 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 900,000 35% 45% >900,000 75%

GALP.LS Galp Energia SGPS SA PORTUGAL Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

IBS.LS Ibersol SGPS SA PORTUGAL Yes No 0.3% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 4,200 75% 75% >4,200 75%

IMPA.LS Impresa-Sociedade Gestora de Participacoes SPORTUGAL Yes No 0.3% 0 - 8,300 25% 8,300 - 16,600 40% 40% 16,600 - 166,000 60% 75% >166,000 75%

INA.LS Investimentos Participacoes e Gestao SA (INAPPORTUGAL Stockbroking onlyNo 0.3% 0 - 40,000 25% 40,000 - 80,000 40% 40% 80,000 - 195,200 60% 75% >195,200 75%

JMT.LS Jeronimo Martins SGPS SA PORTUGAL Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

MARTI.LS Martifer SGPS SA PORTUGAL Stockbroking onlyNo 0.3% 0 - 13,000 25% 13,000 - 26,000 40% 40% 26,000 - 70,400 60% 75% >70,400 75%

MOTA.LS Mota-Engil SGPS SA PORTUGAL Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

NOS.LS NOS SGPS SA PORTUGAL Yes Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

NBA.LS Novabase SGPS SA PORTUGAL Yes No 0.3% 0 - 3,400 25% 3,400 - 6,800 40% 40% 6,800 - 17,300 60% 75% >17,300 75%

PHRA.LS Pharol SGPS SA PORTUGAL Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

NVGR.LS Portucel SA PORTUGAL Yes Yes 0.3% 0 - 3,800 25% 3,800 - 7,600 40% 40% 7,600 - 76,000 60% 75% >76,000 75%

RENE.LS REN - Redes Energeticas Nacionais SGPS SA PORTUGAL Yes Yes 0.3% 0 - 4,400 25% 4,400 - 8,800 40% 40% 8,800 - 85,800 60% 75% >85,800 75%

SCOAE.LS SDC- Investimentos SGPS SA PORTUGAL Stockbroking onlyNo 0.3% 0 - 25,500 25% 25,500 - 51,000 40% 40% 51,000 - 369,700 60% 75% >369,700 75%

SEM.LS SEMAPA - Sociedade de Investimento e GestaoPORTUGAL Yes Yes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 22,000 60% 75% >22,000 75%

SONAC.LS Sonae Capital S.g.p.s. SA PORTUGAL Yes Yes 0.3% 0 - 26,700 25% 26,700 - 53,400 40% 40% 53,400 - 327,000 60% 75% >327,000 75%

SONI.LS Sonae Industria S.G.P.S. SA PORTUGAL Yes No 0.3% 0 - 14,500 25% 14,500 - 29,000 40% 40% 29,000 - 290,000 60% 75% >290,000 75%

YSO.LS Sonae SGPS SA PORTUGAL Yes Yes 0.3% 0 - 40,000 15% 40,000 - 240,000 25% 25% 240,000 - 800,000 40% 55% >800,000 75%

SNC.LS Sonaecom S.G.P.S. SA PORTUGAL Yes Yes 0.3% 0 - 7,000 20% 7,000 - 39,900 30% 30% 39,900 - 140,000 50% 60% >140,000 75%

TDSA.LS Teixeira Duarte SA PORTUGAL Yes - No CR No 0.3% 0 - 34,500 25% 34,500 - 103,500 40% 40% 103,500 - 138,000 60% 75% >138,000 75%

AEM.SI AEM Holdings Limited SINGAPORE No No 0.3% 0 - 293,200 25% 293,200 - 586,400 40% 40% 586,400 - 733,000 75% 75% >733,000 75%

AART.SI AIMS AMP Capital Industrial REIT SINGAPORE Yes Yes 0.3% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 200,000 50% 60% >200,000 75%

ARAM.SI ARA Asset Management Limited SINGAPORE Yes Yes 0.3% 0 - 12,300 25% 12,300 - 24,600 40% 40% 24,600 - 239,800 60% 75% >239,800 75%

ASLM.SI ASL Marine Holdings Limited SINGAPORE No No 0.3% 0 - 30,200 25% 30,200 - 60,400 40% 40% 60,400 - 121,400 60% 75% >121,400 75%

AVIC.SI AVIC International Maritime Holdings Limited SINGAPORE No No 0.3% 0 - 175,900 25% 175,900 - 351,800 40% 40% 351,800 - 439,700 75% 75% >439,700 75%

AVJH.SI AVJennings Limited SINGAPORE No No 0.3% 0 - 32,100 25% 32,100 - 64,200 40% 40% 64,200 - 190,300 60% 75% >190,300 75%

ACCO.SI Accordia Golf Trust SINGAPORE Yes Yes 0.3% 0 - 15,000 25% 15,000 - 105,000 40% 40% 105,000 - 900,000 60% 75% >900,000 75%

ASCT.SI Advance SCT Limited SINGAPORE No No 0.3% 0 - 4,222,200 25% 4,222,200 - 8,444,400 40% 40% 8,444,400 - 15,917,600 60% 75% >15,917,600 75%

ADVA.SI Advanced Holdings Limited SINGAPORE No No 0.3% 0 - 71,600 25% 71,600 - 143,200 40% 40% 143,200 - 255,600 60% 75% >255,600 75%

AMRA.SI Amara Holdings Limited SINGAPORE No No 0.3% 0 - 41,800 25% 41,800 - 83,600 40% 40% 83,600 - 104,500 75% 75% >104,500 75%

ASHP.SI Ascendas Hospitality Trust SINGAPORE Yes Yes 0.3% 0 - 250,000 20% 250,000 - 750,000 30% 30% 750,000 - 775,000 75% 75% >775,000 75%

AINT.SI Ascendas India Trust SINGAPORE Yes Yes 0.3% 0 - 30,800 25% 30,800 - 61,600 40% 40% 61,600 - 431,200 60% 75% >431,200 75%

AEMN.SI Ascendas Real Estate Investment Trust SINGAPORE Yes Yes 0.3% 0 - 200,000 10% 200,000 - 2,000,000 20% 20% 2,000,000 - 5,000,000 30% 50% >5,000,000 75%

ASRT.SI Ascott Residence Trust SINGAPORE Yes Yes 0.3% 0 - 18,000 25% 18,000 - 36,000 40% 40% 36,000 - 360,000 60% 75% >360,000 75%

AEHL.SI Asia Enterprises Holding Limited SINGAPORE No No 0.3% 0 - 91,800 25% 91,800 - 183,600 40% 40% 183,600 - 229,500 75% 75% >229,500 75%

ASIA.SI Asian Pay Television Trust SINGAPORE Yes Yes 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

ATVE.SI Asiatravel.com Holdings Ltd SINGAPORE No No 0.3% 0 - 106,600 25% 106,600 - 213,200 40% 40% 213,200 - 266,500 75% 75% >266,500 75%

ATTI.SI Attilan Group Limited SINGAPORE No No 0.3% 0 - 224,600 25% 224,600 - 449,200 40% 40% 449,200 - 4,492,000 60% 75% >4,492,000 75%

AUSG.SI AusGroup Limited SINGAPORE Yes No 0.3% 0 - 84,400 25% 84,400 - 168,800 40% 40% 168,800 - 1,688,000 60% 75% >1,688,000 75%

SPAU.SI AusNet Services Limited SINGAPORE No No 0.3% 0 - 80,000 25% 80,000 - 475,200 40% 40% 475,200 - 1,600,000 60% 75% >1,600,000 75%

AZTS.SI Aztech Group Limited SINGAPORE No No 0.3% 0 - 164,900 25% 164,900 - 329,800 40% 40% 329,800 - 412,200 75% 75% >412,200 75%

BANY.SI Banyan Tree Holdings Limited SINGAPORE No No 0.3% 0 - 34,600 25% 34,600 - 69,200 40% 40% 69,200 - 86,500 75% 75% >86,500 75%

BEST.SI Best World International Limited SINGAPORE Yes - No CR No 0.3% 0 - 111,700 25% 111,700 - 223,400 40% 40% 223,400 - 279,200 75% 75% >279,200 75%

BIOS.SI Biosensors International Group Limited SINGAPORE Yes No 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

BLUM.SI Blumont Group Limited SINGAPORE No No 0.3% 0 - 450,000 25% 450,000 - 2,502,000 40% 40% 2,502,000 - 9,000,000 60% 75% >9,000,000 75%

BVHS.SI Bonvests Holdings Limited SINGAPORE No No 0.3% 0 - 18,200 25% 18,200 - 36,400 40% 40% 36,400 - 45,500 75% 75% >45,500 75%

BOUS.SI Boustead Projects Limited SINGAPORE Yes No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

BTSS.SI Boustead Singapore Limited SINGAPORE Yes Yes 0.3% 0 - 12,200 25% 12,200 - 24,400 40% 40% 24,400 - 216,500 60% 75% >216,500 75%

BRET.SI BreadTalk Group Limited SINGAPORE Yes No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 90,000 60% 75% >90,000 75%

BRWY.SI Broadway Industrial Group Limited SINGAPORE No No 0.3% 0 - 88,000 25% 88,000 - 176,000 40% 40% 176,000 - 220,000 75% 75% >220,000 75%

BSES.SI Bukit Sembawang Estates Limited SINGAPORE No Yes 0.3% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 13,000 60% 75% >13,000 75%

BCIL.SI Bund Center Investment Limited SINGAPORE No No 0.3% 0 - 100,000 30% 100,000 - 300,000 45% 45% 300,000 - 400,000 50% 60% >400,000 75%

CGTE.SI C&G Environmental Protection Holdings LimitedSINGAPORE No No 0.3% 0 - 91,800 25% 91,800 - 183,600 40% 40% 183,600 - 369,900 60% 75% >369,900 75%

CDLT.SI CDL Hospitality Trusts SINGAPORE Yes Yes 0.3% 0 - 13,400 25% 13,400 - 26,800 40% 40% 26,800 - 268,000 60% 75% >268,000 75%

CEFC.SI CEFC International Limited SINGAPORE No No 0.3% 0 - 479,800 25% 479,800 - 959,600 40% 40% 959,600 - 1,199,500 75% 75% >1,199,500 75%

CHOF.SI CH Offshore Limited SINGAPORE Yes No 0.3% 0 - 51,500 25% 51,500 - 103,000 40% 40% 103,000 - 128,700 75% 75% >128,700 75%

CFTS.SI CIMB FTSE ASEAN 40 SINGAPORE No No 0.3% 0 - 400 20% 400 - 2,400 30% 30% 2,400 - 6,600 50% 60% >6,600 75%

CITI.SI CITIC Envirotech Limited SINGAPORE Yes No 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

COSC.SI COSCO Corporation (Singapore) Limited SINGAPORE Yes No 0.3% 0 - 29,900 25% 29,900 - 59,800 40% 40% 59,800 - 598,000 60% 75% >598,000 75%

CSCH.SI CSC Holdings Limited SINGAPORE No No 0.3% 0 - 234,600 25% 234,600 - 469,200 40% 40% 469,200 - 586,500 75% 75% >586,500 75%

CSES.SI CSE Global Limited SINGAPORE Yes Yes 0.3% 0 - 34,300 25% 34,300 - 68,600 40% 40% 68,600 - 505,900 60% 75% >505,900 75%

CWTD.SI CWT Limited SINGAPORE Yes Yes 0.3% 0 - 16,200 25% 16,200 - 32,400 40% 40% 32,400 - 182,200 60% 75% >182,200 75%

CALT.SI Cache Logistics Trust SINGAPORE Yes - No CR Yes 0.3% 0 - 85,000 25% 85,000 - 510,000 40% 40% 510,000 - 850,000 50% 60% >850,000 75%

CMIT.SI Cambridge Industrial Trust SINGAPORE Yes Yes 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 900,000 50% 60% >900,000 75%

CACT.SI CapitaLand Commercial Trust SINGAPORE Yes Yes 0.3% 0 - 300,000 10% 300,000 - 3,000,000 20% 20% 3,000,000 - 5,400,000 30% 50% >5,400,000 75%

CATL.SI CapitaLand Limited SINGAPORE Yes Yes 0.3% 0 - 400,000 10% 400,000 - 2,000,000 20% 20% 2,000,000 - 4,000,000 30% 50% >4,000,000 75%

CMLT.SI CapitaLand Mall Trust SINGAPORE Yes Yes 0.3% 0 - 300,000 10% 300,000 - 3,000,000 20% 20% 3,000,000 - 6,000,000 30% 50% >6,000,000 75%

CRCT.SI CapitaLand Retail China Trust SINGAPORE Yes Yes 0.3% 0 - 16,000 25% 16,000 - 32,000 40% 40% 32,000 - 320,000 60% 75% >320,000 75%

CEDA.SI Cedar Strategic Holdings Limited SINGAPORE No No 0.3% 0 - 7,037,000 25% 7,037,000 - 14,074,00040% 40% 14,074,000 - 17,592,500 75% 75% >17,592,500 75%

CHAR.SI Charisma Energy Services Ltd SINGAPORE Yes - No CR No 0.3% 0 - 1,675,000 25% 1,675,000 - 9,999,700 40% 40% 9,999,700 - 33,500,000 60% 75% >33,500,000 75%

CNAO.SI China Aviation Oil (Singapore) Corporation LimitSINGAPORE Yes No 0.3% 0 - 20,100 25% 20,100 - 40,200 40% 40% 40,200 - 68,700 60% 75% >68,700 75%

CBRG.SI China Bearing (Singapore) Limited SINGAPORE No No 0.3% 0 - 586,400 25% 586,400 - 1,172,800 40% 40% 1,172,800 - 3,061,000 60% 75% >3,061,000 75%

CHDA.SI China Dairy Group Limited SINGAPORE No No 0.3% 0 - 175,900 25% 175,900 - 351,800 40% 40% 351,800 - 439,700 75% 75% >439,700 75%

CHEN.SI China Environment Limited SINGAPORE Yes - No CR No 0.3% 0 - 130,000 20% 130,000 - 774,800 30% 30% 774,800 - 2,600,000 50% 60% >2,600,000 75%

CEGL.SI China Essence Group Limited SINGAPORE No No 0.3% 0 - 1,111,100 25% 1,111,100 - 2,222,200 40% 40% 2,222,200 - 2,777,700 75% 75% >2,777,700 75%

CEWL.SI China Everbright Water Limited SINGAPORE Yes No 0.3% 0 - 17,500 20% 17,500 - 105,000 30% 30% 105,000 - 350,000 50% 60% >350,000 75%

CHFL.SI China Flexible Packaging Holdings Limited SINGAPORE No No 0.3% 0 - 1,005,300 25% 1,005,300 - 2,010,600 40% 40% 2,010,600 - 2,513,200 75% 75% >2,513,200 75%

CAEP.SI China Merchants Holdings (Pacific) Limited SINGAPORE Yes No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 580,000 60% 75% >580,000 75%

CMFC.SI China Minzhong Food Corporation Limited SINGAPORE No No 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

CSIL.SI China Sports International Limited SINGAPORE No No 0.3% 0 - 959,600 25% 959,600 - 1,919,200 40% 40% 1,919,200 - 2,399,000 75% 75% >2,399,000 75%

CTTG.SI China Taisan Technology Group Holdings LimiteSINGAPORE No No 0.3% 0 - 555,600 25% 555,600 - 1,111,200 40% 40% 1,111,200 - 1,389,000 75% 75% >1,389,000 75%

CESE.SI Chip Eng Seng Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 30,200 25% 30,200 - 60,400 40% 40% 60,400 - 407,700 60% 75% >407,700 75%

CHHS.SI Chuan Hup Holdings Limited SINGAPORE No No 0.3% 0 - 81,200 25% 81,200 - 162,400 40% 40% 162,400 - 203,000 75% 75% >203,000 75%

CTDM.SI City Developments Limited SINGAPORE Yes Yes 0.3% 0 - 38,000 10% 38,000 - 228,000 20% 20% 228,000 - 760,000 30% 50% >760,000 75%

CIVM.SI Civmec Limited SINGAPORE No No 0.3% 0 - 28,900 25% 28,900 - 57,800 40% 40% 57,800 - 325,100 60% 75% >325,100 75%

CMDG.SI ComfortDelGro Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 3,000,000 30% 50% >3,000,000 75%

CORD.SI Cordlife Group Limited SINGAPORE Yes - No CR No 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

CRMG.SI Courage Marine Group Limited SINGAPORE No No 0.3% 0 - 6,000 25% 6,000 - 12,000 40% 40% 12,000 - 15,000 75% 75% >15,000 75%

COUR.SI Courts Asia Limited SINGAPORE No No 0.3% 0 - 37,000 25% 37,000 - 74,000 40% 40% 74,000 - 573,500 60% 75% >573,500 75%

CREA.SI Creative Technology Limited SINGAPORE No No 0.3% 0 - 10,800 25% 10,800 - 21,600 40% 40% 21,600 - 27,000 75% 75% >27,000 75%

CROE.SI Croesus Retail Trust SINGAPORE Yes Yes 0.3% 0 - 1,000 25% 1,000 - 220,000 40% 40% 220,000 - 450,000 60% 75% >450,000 75%

DBSM.SI DBS Group Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 95,000 10% 95,000 - 950,000 20% 20% 950,000 - 1,900,000 30% 50% >1,900,000 75%

DAIR.SI Dairy Farm International Holdings Limited SINGAPORE No No 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

DATA.SI Datapulse Technology Limited SINGAPORE No No 0.3% 0 - 142,600 25% 142,600 - 285,200 40% 40% 285,200 - 393,500 60% 75% >393,500 75%

DMPL.SI Del Monte Pacific Limited SINGAPORE Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 580,000 60% 75% >580,000 75%

PEFO.SI Delfi Limited SINGAPORE Yes Yes 0.3% 0 - 6,600 25% 6,600 - 13,200 40% 40% 13,200 - 85,800 60% 75% >85,800 75%

DELO.SI Delong Holdings Limited SINGAPORE No No 0.3% 0 - 38,000 25% 38,000 - 76,000 40% 40% 76,000 - 95,000 75% 75% >95,000 75%

DMHL.SI Dyna-Mac Holdings Limited SINGAPORE No No 0.3% 0 - 200,000 25% 200,000 - 600,000 40% 40% 600,000 - 800,000 60% 75% >800,000 75%

ELPZ.SI Ellipsiz Limited SINGAPORE No No 0.3% 0 - 234,600 25% 234,600 - 469,200 40% 40% 469,200 - 760,100 60% 75% >760,100 75%

EHHL.SI Enviro-Hub Holdings Limited SINGAPORE No No 0.3% 0 - 335,100 25% 335,100 - 670,200 40% 40% 670,200 - 837,700 75% 75% >837,700 75%

EQCR.SI Equation Corp Ltd SINGAPORE No No 0.3% 0 - 1,919,200 25% 1,919,200 - 3,838,400 40% 40% 3,838,400 - 4,606,000 60% 75% >4,606,000 75%

EYSI.SI Eu Yan Sang International Limited SINGAPORE Yes - No CR No 0.3% 0 - 26,200 25% 26,200 - 52,400 40% 40% 52,400 - 110,300 60% 75% >110,300 75%

EUCN.SI Eucon Holding Limited SINGAPORE No No 0.3% 0 - 781,900 25% 781,900 - 1,563,800 40% 40% 1,563,800 - 1,954,700 75% 75% >1,954,700 75%






EZHL.SI Ezion Holdings Limited SINGAPORE Yes No 0.3% 0 - 200,000 20% 200,000 - 1,200,000 30% 30% 1,200,000 - 4,000,000 50% 60% >4,000,000 75%

BSHW.SI Ezion Holdings Ltd SINGAPORE Stockbroking onlyNo 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 2,000,000 50% 60% >2,000,000 75%

EZRA.SI Ezra Holdings Limited SINGAPORE Yes No 0.3% 0 - 450,000 15% 450,000 - 2,250,000 25% 25% 2,250,000 - 9,000,000 45% 60% >9,000,000 75%

FJBN.SI F J Benjamin Holdings Limited SINGAPORE No No 0.3% 0 - 108,300 25% 108,300 - 216,600 40% 40% 216,600 - 270,700 75% 75% >270,700 75%

FBCH.SI Fabchem China Limited SINGAPORE No No 0.3% 0 - 161,200 25% 161,200 - 322,400 40% 40% 322,400 - 403,000 75% 75% >403,000 75%

FEGL.SI Falcon Energy Group Limited SINGAPORE Yes No 0.3% 0 - 59,500 25% 59,500 - 119,000 40% 40% 119,000 - 833,000 60% 75% >833,000 75%

FAEH.SI Far East Hospitality Trust SINGAPORE Yes Yes 0.3% 0 - 26,200 25% 26,200 - 52,400 40% 40% 52,400 - 406,100 60% 75% >406,100 75%

FARE.SI Far East Orchard Limited SINGAPORE Yes Yes 0.3% 0 - 12,700 25% 12,700 - 25,400 40% 40% 25,400 - 31,700 75% 75% >31,700 75%

FEDL.SI Federal International (2000) Limited SINGAPORE No No 0.3% 0 - 406,000 25% 406,000 - 812,000 40% 40% 812,000 - 8,120,000 60% 75% >8,120,000 75%

FRET.SI First Real Estate Investment Trust SINGAPORE Yes Yes 0.3% 0 - 20,300 25% 20,300 - 40,600 40% 40% 40,600 - 324,800 60% 75% >324,800 75%

FRLD.SI First Resources Limited SINGAPORE Yes Yes 0.3% 0 - 85,000 20% 85,000 - 170,000 30% 30% 170,000 - 510,000 50% 60% >510,000 75%

FEMP.SI Food Empire Holdings Limited SINGAPORE No No 0.3% 0 - 41,800 25% 41,800 - 83,600 40% 40% 83,600 - 104,500 75% 75% >104,500 75%

FORT.SI Fortune Real Estate Investment Trust SINGAPORE Yes No 0.3% 0 - 21,600 25% 21,600 - 43,200 40% 40% 43,200 - 313,200 60% 75% >313,200 75%

FRNM.SI Fraser and Neave Limited SINGAPORE Yes No 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

FRCT.SI Frasers Centrepoint Limited SINGAPORE Yes Yes 0.3% 0 - 150,000 20% 150,000 - 300,000 40% 40% 300,000 - 600,000 60% 60% >600,000 75%

FCRT.SI Frasers Centrepoint Trust SINGAPORE Yes Yes 0.3% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 500,000 60% 75% >500,000 75%

FRCR.SI Frasers Commercial Trust SINGAPORE Yes Yes 0.3% 0 - 17,200 25% 17,200 - 34,400 40% 40% 34,400 - 313,900 60% 75% >313,900 75%

FUYU.SI Fu Yu Corporation Limited SINGAPORE Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 2,200,000 60% 75% >2,200,000 75%

FULL.SI Full Apex (Holdings) Limited SINGAPORE No No 0.3% 0 - 201,100 25% 201,100 - 402,200 40% 40% 402,200 - 502,700 75% 75% >502,700 75%

GLLI.SI GL Limited SINGAPORE Yes Yes 0.3% 0 - 25,400 25% 25,400 - 50,800 40% 40% 50,800 - 368,300 60% 75% >368,300 75%

GMGG.SI GMG Global Limited SINGAPORE Yes No 0.3% 0 - 234,600 25% 234,600 - 469,200 40% 40% 469,200 - 1,489,700 60% 75% >1,489,700 75%

GLVT.SI Gallant Venture Limited SINGAPORE Yes No 0.3% 0 - 64,000 25% 64,000 - 128,000 40% 40% 128,000 - 1,072,000 60% 75% >1,072,000 75%

GENH.SI Genting Hong Kong Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 110,000 20% 110,000 - 650,100 30% 30% 650,100 - 2,200,000 50% 60% >2,200,000 75%

GENS.SI Genting Singapore PLC SINGAPORE Yes Yes 0.3% 0 - 190,000 10% 190,000 - 1,995,000 20% 20% 1,995,000 - 8,550,000 30% 50% >8,550,000 75%

GEOE.SI Geo Energy Resources Limited SINGAPORE Yes - No CR No 0.3% 0 - 110,000 20% 110,000 - 650,100 30% 30% 650,100 - 2,200,000 50% 60% >2,200,000 75%

GLNV.SI Global Investments Limited SINGAPORE No No 0.3% 0 - 131,900 25% 131,900 - 263,800 40% 40% 263,800 - 519,600 60% 75% >519,600 75%

GLPL.SI Global Logistic Properties Limited SINGAPORE Yes Yes 0.3% 0 - 685,000 10% 685,000 - 6,850,000 20% 20% 6,850,000 - 13,700,000 30% 50% >13,700,000 75%

GTCL.SI Global Testing Corporation Limited SINGAPORE No No 0.3% 0 - 289,200 25% 289,200 - 578,400 40% 40% 578,400 - 723,000 75% 75% >723,000 75%

GAGR.SI Golden Agri-Resources Limited SINGAPORE Yes Yes 0.3% 0 - 325,000 10% 325,000 - 3,493,700 20% 20% 3,493,700 - 20,150,000 30% 50% >20,150,000 75%

GER.SI Golden Energy and Resources Limited SINGAPORE No No 0.3% 0 - 1,172,800 25% 1,172,800 - 2,345,600 40% 40% 2,345,600 - 2,638,800 60% 75% >2,638,800 75%

GELA.SI Great Eastern Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 10,300 60% 75% >10,300 75%

GUOC.SI GuocoLand Limited SINGAPORE Yes Yes 0.3% 0 - 9,700 25% 9,700 - 19,400 40% 40% 19,400 - 60,100 60% 75% >60,100 75%

HGMM.SI HG Metal Manufacturing Limited SINGAPORE No No 0.3% 0 - 260,600 25% 260,600 - 521,200 40% 40% 521,200 - 651,500 75% 75% >651,500 75%

HTLH.SI HTL International Holdings Limited SINGAPORE No No 0.3% 0 - 70,400 25% 70,400 - 140,800 40% 40% 140,800 - 159,100 60% 75% >159,100 75%

HPAR.SI Haw Par Corporation Limited SINGAPORE Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 39,300 60% 75% >39,300 75%

HNGX.SI Hengxin Technology Limited SINGAPORE No No 0.3% 0 - 124,200 25% 124,200 - 248,400 40% 40% 248,400 - 310,500 75% 75% >310,500 75%

HIPI.SI Hi-P International Limited SINGAPORE Yes No 0.3% 0 - 38,400 25% 38,400 - 76,800 40% 40% 76,800 - 100,900 60% 75% >100,900 75%

HSEN.SI Hiap Seng Engineering Limited SINGAPORE No No 0.3% 0 - 96,000 25% 96,000 - 192,000 40% 40% 192,000 - 240,000 75% 75% >240,000 75%

HBEE.SI Ho Bee Land Limited SINGAPORE Yes Yes 0.3% 0 - 10,700 25% 10,700 - 21,400 40% 40% 21,400 - 147,100 60% 75% >147,100 75%

HONG.SI Hong Fok Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 31,300 25% 31,300 - 62,600 40% 40% 62,600 - 127,700 60% 75% >127,700 75%

HLAA.SI Hong Leong Asia Limited SINGAPORE No No 0.3% 0 - 12,000 25% 12,000 - 24,000 40% 40% 24,000 - 36,000 60% 75% >36,000 75%

HLSF.SI Hong Leong Finance Limited SINGAPORE Yes Yes 0.3% 0 - 7,900 25% 7,900 - 15,800 40% 40% 15,800 - 25,700 60% 75% >25,700 75%

HKLD.SI Hongkong Land Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

HPPS.SI Hotel Properties Limited SINGAPORE Yes No 0.3% 0 - 7,200 25% 7,200 - 14,400 40% 40% 14,400 - 59,700 60% 75% >59,700 75%

HACH.SI Hu An Cable Holdings Limited SINGAPORE No No 0.3% 0 - 195,500 25% 195,500 - 391,000 40% 40% 391,000 - 1,540,500 60% 75% >1,540,500 75%

HUPS.SI Hupsteel Limited SINGAPORE No No 0.3% 0 - 98,200 25% 98,200 - 196,400 40% 40% 196,400 - 245,500 75% 75% >245,500 75%

HPHT.SI Hutchison Port Holdings Trust SINGAPORE Yes Yes 0.3% 0 - 100,000 10% 100,000 - 2,000,000 20% 20% 2,000,000 - 8,500,000 30% 50% >8,500,000 75%

HYFL.SI Hyflux Limited SINGAPORE Yes Yes 0.3% 0 - 16,800 25% 16,800 - 33,600 40% 40% 33,600 - 336,000 60% 75% >336,000 75%

IHHH.SI IHH Healthcare Berhad SINGAPORE Yes No 0.3% 0 - 14,800 25% 14,800 - 29,600 40% 40% 29,600 - 56,500 60% 75% >56,500 75%

IFAR.SI Indofood Agri Resources Limited SINGAPORE Yes Yes 0.3% 0 - 26,200 25% 26,200 - 52,400 40% 40% 52,400 - 524,000 60% 75% >524,000 75%

INFN.SI Infinio Group Limited SINGAPORE No No 0.3% 0 - 21,111,000 25% 21,111,000 - 42,222,0040% 40% 42,222,000 - 52,777,500 75% 75% >52,777,500 75%

INTK.SI InnoTek Limited SINGAPORE No No 0.3% 0 - 68,100 25% 68,100 - 136,200 40% 40% 136,200 - 170,200 75% 75% >170,200 75%

INNV.SI Innovalues Limited SINGAPORE No No 0.3% 0 - 140,700 25% 140,700 - 281,400 40% 40% 281,400 - 351,700 75% 75% >351,700 75%

INTR.SI Interra Resources Limited SINGAPORE No No 0.3% 0 - 56,300 25% 56,300 - 112,600 40% 40% 112,600 - 1,126,000 60% 75% >1,126,000 75%

JADA.SI Jadason Enterprises Limited SINGAPORE No No 0.3% 0 - 422,200 25% 422,200 - 844,400 40% 40% 844,400 - 1,055,500 75% 75% >1,055,500 75%

JAPF.SI Japfa Limited SINGAPORE Yes - No CR No 0.3% 0 - 60,000 25% 60,000 - 360,000 40% 40% 360,000 - 600,000 60% 75% >600,000 75%

JCYC.SI Jardine Cycle & Carriage Limited SINGAPORE Yes Yes 0.3% 0 - 2,000 10% 2,000 - 20,000 20% 20% 20,000 - 130,000 30% 50% >130,000 75%

JARD.SI Jardine Matheson Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

JSH.SI Jardine Strategic Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

JAYA.SI Jaya Holdings Limited SINGAPORE No No 0.3% 0 - 500,000 25% 500,000 - 3,000,000 40% 40% 3,000,000 - 5,000,000 60% 75% >5,000,000 75%

JUTN.SI Jiutian Chemical Group Limited SINGAPORE Yes No 0.3% 0 - 260,600 25% 260,600 - 521,200 40% 40% 521,200 - 4,495,300 60% 75% >4,495,300 75%

KMAR.SI K1 Ventures Limited SINGAPORE Yes No 0.3% 0 - 116,600 25% 116,600 - 233,200 40% 40% 233,200 - 1,515,800 60% 75% >1,515,800 75%

KSTL.SI KS Energy Limited SINGAPORE No No 0.3% 0 - 43,500 25% 43,500 - 87,000 40% 40% 87,000 - 176,600 60% 75% >176,600 75%

KPLM.SI Keppel Corporation Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 145,000 10% 145,000 - 1,450,000 20% 20% 1,450,000 - 2,900,000 30% 50% >2,900,000 75%

KEPE.SI Keppel DC REIT SINGAPORE Yes No 0.3% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 840,000 60% 75% >840,000 75%

KEPL.SI Keppel Infrastructure Trust SINGAPORE Yes Yes 0.3% 0 - 45,400 25% 45,400 - 90,800 40% 40% 90,800 - 296,400 60% 75% >296,400 75%

KASA.SI Keppel REIT SINGAPORE Yes Yes 0.3% 0 - 100,000 15% 100,000 - 600,000 25% 25% 600,000 - 2,000,000 40% 55% >2,000,000 75%

KTEL.SI Keppel Telecommunications & Transportation LSINGAPORE Yes - No CR Yes 0.3% 0 - 11,600 25% 11,600 - 23,200 40% 40% 23,200 - 99,600 60% 75% >99,600 75%

KRIS.SI KrisEnergy Limited SINGAPORE Yes No 0.3% 0 - 28,000 25% 28,000 - 56,000 40% 40% 56,000 - 560,000 60% 75% >560,000 75%

LHCF.SI Li Heng Chemical Fibre Technologies Limited SINGAPORE No No 0.3% 0 - 195,500 25% 195,500 - 391,000 40% 40% 391,000 - 488,700 75% 75% >488,700 75%

LIBG.SI Lian Beng Group Limited SINGAPORE Yes Yes 0.3% 0 - 39,800 25% 39,800 - 79,600 40% 40% 79,600 - 407,900 60% 75% >407,900 75%

LINC.SI Linc Energy Limited SINGAPORE Yes - No CR No 0.3% 0 - 50,000 20% 50,000 - 150,000 20% 20% 150,000 - 400,000 20% 20% >400,000 20%

LION.SI LionGold Corporation Limited SINGAPORE No No 0.3% 0 - 170,000 25% 170,000 - 999,600 40% 40% 999,600 - 3,400,000 60% 75% >3,400,000 75%

LMRT.SI Lippo Malls Indonesia Retail Trust SINGAPORE Yes Yes 0.3% 0 - 52,100 25% 52,100 - 104,200 40% 40% 104,200 - 1,042,000 60% 75% >1,042,000 75%

LOHO.SI Longcheer Holdings Limited SINGAPORE No No 0.3% 0 - 91,800 25% 91,800 - 183,600 40% 40% 183,600 - 229,500 75% 75% >229,500 75%

LKH.SI Low Keng Huat (Singapore) Limited SINGAPORE Yes No 0.3% 0 - 31,000 25% 31,000 - 62,000 40% 40% 62,000 - 77,500 75% 75% >77,500 75%

LUZH.SI Luzhou Bio-chem Technology Limited SINGAPORE No No 0.3% 0 - 383,800 25% 383,800 - 767,600 40% 40% 767,600 - 959,500 75% 75% >959,500 75%

LASI.SI Lyxor China Enterprise (HSCEI) UCITS ETF USSINGAPORE No No 0.3% 0 - 13,000 20% 13,000 - 19,500 30% 30% 19,500 - 26,000 50% 60% >26,000 75%

LCRB.SI Lyxor Commodities Thomson Reuters CorecomSINGAPORE No No 0.3% 0 - 10,000 20% 10,000 - 25,000 20% 20% 25,000 - 50,000 50% 60% >50,000 75%

LJPN.SI Lyxor Japan (TOPIX) (DR) UCITS ETF USD SINGAPORE No No 0.3% 0 - 2,600 20% 2,600 - 15,600 30% 30% 15,600 - 43,300 50% 60% >43,300 75%

LHSI.SI Lyxor UCITS ETF Hong Kong (HSI) USD SINGAPORE No No 0.3% 0 - 1,900 20% 1,900 - 11,400 30% 30% 11,400 - 31,600 50% 60% >31,600 75%

LAEJ.SI Lyxor UCITS ETF MSCI AC Asia-Pacific ex JapaSINGAPORE No No 0.3% 0 - 900 20% 900 - 5,400 30% 30% 5,400 - 7,400 50% 60% >7,400 75%

LKRW.SI Lyxor UCITS ETF MSCI Korea USD SINGAPORE No No 0.3% 0 - 2,000 20% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

LTWN.SI Lyxor UCITS ETF MSCI Taiwan USD SINGAPORE No No 0.3% 0 - 1,950,000 20% 1,950,000 - 9,999,900 20% 20% 9,999,900 - 19,999,900 35% 45% >19,999,900 75%

MONE.SI M1 Limited SINGAPORE Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

MFSO.SI MFS Technology Limited SINGAPORE No No 0.3% 0 - 193,700 25% 193,700 - 387,400 40% 40% 387,400 - 484,200 75% 75% >484,200 75%

SICL.SI MMP Resources Limited SINGAPORE Yes - No CR No 0.3% 0 - 300,000 25% 300,000 - 1,800,000 40% 40% 1,800,000 - 3,600,000 60% 75% >3,600,000 75%

MIIF.SI Macquarie International Infrastructure Fund LimiSINGAPORE No No 0.3% 0 - 188,500 25% 188,500 - 377,000 40% 40% 377,000 - 1,634,200 60% 75% >1,634,200 75%

MAGN.SI Magnus Energy Group Ltd SINGAPORE No No 0.3% 0 - 812,000 25% 812,000 - 1,624,000 40% 40% 1,624,000 - 8,526,000 60% 75% >8,526,000 75%

MOIL.SI Mandarin Oriental International Limited SINGAPORE Yes No 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 145,000 60% 75% >145,000 75%

MACT.SI Mapletree Commercial Trust SINGAPORE Yes Yes 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 1,500,000 50% 60% >1,500,000 75%

MAPE.SI Mapletree Greater China Commercial Trust SINGAPORE Yes Yes 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

MAPI.SI Mapletree Industrial Trust SINGAPORE Yes - No CR Yes 0.3% 0 - 200,000 20% 200,000 - 400,000 30% 30% 400,000 - 1,000,000 50% 60% >1,000,000 75%

MAPL.SI Mapletree Logistics Trust SINGAPORE Yes Yes 0.3% 0 - 200,000 20% 200,000 - 600,000 30% 30% 600,000 - 1,500,000 50% 60% >1,500,000 75%

MEMT.SI Memtech International Limited SINGAPORE No No 0.3% 0 - 277,800 25% 277,800 - 555,600 40% 40% 555,600 - 694,500 75% 75% >694,500 75%

MRTL.SI Mercator Lines (Singapore) Limited SINGAPORE No No 0.3% 0 - 203,000 25% 203,000 - 406,000 40% 40% 406,000 - 507,500 75% 75% >507,500 75%

MMPC.SI Mermaid Maritime Public Company Limited SINGAPORE No No 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

METE.SI Metech International Limited SINGAPORE No No 0.3% 0 - 1,111,100 25% 1,111,100 - 2,222,200 40% 40% 2,222,200 - 10,966,500 60% 75% >10,966,500 75%

MTHL.SI Metro Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 24,700 25% 24,700 - 49,400 40% 40% 49,400 - 130,100 60% 75% >130,100 75%

MIDA.SI Midas Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

MIEL.SI Mirach Energy Limited SINGAPORE No No 0.3% 0 - 550,000 25% 550,000 - 3,498,000 40% 40% 3,498,000 - 11,000,000 60% 75% >11,000,000 75%

NMCG.SI Nam Cheong Limited SINGAPORE Yes - No CR No 0.3% 0 - 62,100 25% 62,100 - 124,200 40% 40% 124,200 - 1,242,000 60% 75% >1,242,000 75%

NEPS.SI Neptune Orient Lines Limited SINGAPORE Yes No 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

NTYO.SI New Toyo International Holdings Limited SINGAPORE No No 0.3% 0 - 70,400 25% 70,400 - 140,800 40% 40% 140,800 - 176,000 75% 75% >176,000 75%

NOBG.SI Noble Group Limited SINGAPORE Yes - No CR No 0.3% 0 - 1,000,000 25% 1,000,000 - 4,000,000 40% 40% 4,000,000 - 10,000,000 60% 75% >10,000,000 75%

NUTR.SI NutryFarm International Limited SINGAPORE No No 0.3% 0 - 1,005,300 25% 1,005,300 - 2,010,600 40% 40% 2,010,600 - 2,312,100 60% 75% >2,312,100 75%

OKHG.SI OKH Global Limited SINGAPORE Yes No 0.3% 0 - 150,000 20% 150,000 - 900,000 30% 30% 900,000 - 3,000,000 50% 60% >3,000,000 75%

OKPH.SI OKP Holdings Limited SINGAPORE No No 0.3% 0 - 64,000 25% 64,000 - 128,000 40% 40% 128,000 - 160,000 75% 75% >160,000 75%

OSIL.SI OSIM International Limited SINGAPORE No No 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

OUEC.SI OUE Commercial Real Estate Investment TrustSINGAPORE Yes No 0.3% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 200,000 50% 60% >200,000 75%

OUER.SI OUE Hospitality Trust SINGAPORE No Yes 0.3% 0 - 150,000 25% 150,000 - 450,000 40% 40% 450,000 - 600,000 75% 75% >600,000 75%

OVES.SI OUE Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 9,100 25% 9,100 - 18,200 40% 40% 18,200 - 182,000 60% 75% >182,000 75%

OCEA.SI Ocean Sky International Limited SINGAPORE No No 0.3% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 999,900,000 75% 75% >999,900,000 ERROR

OCGL.SI Oceanus Group Limited SINGAPORE No No 0.3% 0 - 1,111,100 25% 1,111,100 - 2,222,200 40% 40% 2,222,200 - 10,999,800 60% 75% >10,999,800 75%

OLAM.SI Olam International Limited SINGAPORE Yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 2,000,000 30% 50% >2,000,000 75%

OTTO.SI Otto Marine Limited SINGAPORE Yes - No CR No 0.3% 0 - 550,000 20% 550,000 - 3,498,000 30% 30% 3,498,000 - 11,000,000 50% 60% >11,000,000 75%

OUEH.SI Ouhua Energy Holdings Limited SINGAPORE No No 0.3% 0 - 703,700 25% 703,700 - 1,407,400 40% 40% 1,407,400 - 1,759,200 75% 75% >1,759,200 75%

OCBC.SI Oversea-Chinese Banking Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 180,000 10% 180,000 - 1,800,000 20% 20% 1,800,000 - 3,600,000 30% 50% >3,600,000 75%

PACC.SI PACC Offshore Services Holdings Limited SINGAPORE Yes No 0.3% 0 - 200,000 10% 200,000 - 1,000,000 20% 20% 1,000,000 - 2,000,000 35% 45% >2,000,000 75%

PECL.SI PEC Limited SINGAPORE No No 0.3% 0 - 100,000 90% 100,000 - 200,000 90% 90% 200,000 - 300,000 90% 90% >300,000 90%

PACI.SI Pacific Radiance Limited SINGAPORE Yes No 0.3% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 400,000 60% 75% >400,000 75%

PNHG.SI Pan Hong Holdings Group Limited SINGAPORE No No 0.3% 0 - 105,600 25% 105,600 - 211,200 40% 40% 211,200 - 264,000 75% 75% >264,000 75%

PANU.SI Pan-United Corporation Limited SINGAPORE Yes No 0.3% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 91,400 60% 75% >91,400 75%

PWLR.SI Parkway Life Real Estate Investment Trust SINGAPORE Yes Yes 0.3% 0 - 9,000 25% 9,000 - 18,000 40% 40% 18,000 - 180,000 60% 75% >180,000 75%

PGUN.SI Penguin International Limited SINGAPORE Yes - No CR No 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 820,000 60% 75% >820,000 75%

PERE.SI Perennial Real Estate Holdings Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 400,000 60% 75% >400,000 75%

QMDT.SI Q & M Dental Group (Singapore) Limited SINGAPORE Yes - No CR No 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 850,000 60% 75% >850,000 75%

QTVA.SI QT Vascular Ltd SINGAPORE Yes - No CR No 0.3% 0 - 100,000 20% 100,000 - 600,000 30% 30% 600,000 - 2,000,000 50% 60% >2,000,000 75%

RHPG.SI RH PetroGas Limited SINGAPORE Yes - No CR No 0.3% 0 - 300,000 25% 300,000 - 1,800,000 40% 40% 1,800,000 - 2,700,000 60% 75% >2,700,000 75%

RLSE.SI Raffles Education Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 75,400 25% 75,400 - 150,800 40% 40% 150,800 - 315,900 60% 75% >315,900 75%






RAFG.SI Raffles Medical Group Limited SINGAPORE Yes No 0.3% 0 - 6,400 25% 6,400 - 12,800 40% 40% 12,800 - 128,000 60% 75% >128,000 75%

RELI.SI Religare Health Trust SINGAPORE Yes Yes 0.3% 0 - 5,000 25% 5,000 - 275,000 40% 40% 275,000 - 540,000 60% 75% >540,000 75%

REXI.SI Rex International Holding Ltd SINGAPORE Yes - No CR No 0.3% 0 - 500,000 25% 500,000 - 3,000,000 40% 40% 3,000,000 - 3,500,000 60% 75% >3,500,000 75%

RIMT.SI Rickmers Maritime SINGAPORE Yes No 0.3% 0 - 74,100 25% 74,100 - 148,200 40% 40% 148,200 - 324,500 60% 75% >324,500 75%

RVHL.SI Riverstone Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 20,000 25% 20,000 - 40,000 40% 40% 40,000 - 80,000 60% 75% >80,000 75%

ROTE.SI Rotary Engineering Limited SINGAPORE Yes No 0.3% 0 - 33,500 25% 33,500 - 67,000 40% 40% 67,000 - 292,400 60% 75% >292,400 75%

ROWS.SI Rowsley Limited SINGAPORE Yes - No CR No 0.3% 0 - 325,000 25% 325,000 - 1,998,700 40% 40% 1,998,700 - 6,500,000 60% 75% >6,500,000 75%

ROWS_t.SI Rowsley Ltd - $0.18 Warrants OCT16 SINGAPORE No No 0.3% 0 - 400,000 25% 400,000 - 2,400,000 40% 40% 2,400,000 - 7,200,000 60% 60% >7,200,000 75%

SPIC.SI S i2i Limited SINGAPORE No No 0.3% 0 - 2,345,700 25% 2,345,700 - 4,691,400 40% 40% 4,691,400 - 5,864,200 75% 75% >5,864,200 75%

SATS.SI SATS Limited SINGAPORE Yes Yes 0.3% 0 - 250,000 20% 250,000 - 500,000 30% 30% 500,000 - 750,000 50% 60% >750,000 75%

SBVV.SI SBS Transit Limited SINGAPORE Yes No 0.3% 0 - 16,800 25% 16,800 - 33,600 40% 40% 33,600 - 42,000 75% 75% >42,000 75%

SIAE.SI SIA Engineering Company Limited SINGAPORE Yes Yes 0.3% 0 - 4,500 25% 4,500 - 9,000 40% 40% 9,000 - 90,000 60% 75% >90,000 75%

SIIC.SI SIIC Environment Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 1,000,000 20% 1,000,000 - 6,000,000 30% 30% 6,000,000 - 14,000,000 50% 60% >14,000,000 75%

SMRT.SI SMRT Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 150,000 20% 150,000 - 300,000 30% 30% 300,000 - 1,050,000 50% 60% >1,050,000 75%

SGLD.SI SPDR(r) Gold Sh AE SINGAPORE Yes No 0.3% 0 - 7,000 20% 7,000 - 40,000 20% 20% 40,000 - 70,000 35% 45% >70,000 75%

STTF.SI SPDR(r) Straits Times Index ETF SINGAPORE Yes No 0.3% 0 - 9,500 20% 9,500 - 57,000 20% 20% 57,000 - 142,500 35% 45% >142,500 75%

SABA.SI Sabana Shari'ah Compliant Industrial Real EstaSINGAPORE Yes - No CR No 0.3% 0 - 60,000 25% 60,000 - 180,000 40% 40% 180,000 - 300,000 50% 60% >300,000 75%

SZNR.SI Saizen Real Estate Investment Trust SINGAPORE Yes No 0.3% 0 - 23,100 25% 23,100 - 46,200 40% 40% 46,200 - 81,000 60% 75% >81,000 75%

SAMU.SI Samudera Shipping Line Limited SINGAPORE No No 0.3% 0 - 149,700 25% 149,700 - 299,400 40% 40% 299,400 - 374,200 75% 75% >374,200 75%

SARI.SI Sarine Technologies Limited SINGAPORE Yes Yes 0.3% 0 - 9,200 25% 9,200 - 18,400 40% 40% 18,400 - 119,600 60% 75% >119,600 75%

SCIL.SI Sembcorp Industries Limited SINGAPORE Yes Yes 0.3% 0 - 150,000 10% 150,000 - 750,000 20% 20% 750,000 - 1,800,000 30% 50% >1,800,000 75%

SCMN.SI Sembcorp Marine Limited SINGAPORE Yes No 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

SHNG.SI Shangri-La Asia Limited SINGAPORE No No 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

SHEN.SI Sheng Siong Group Limited SINGAPORE Yes No 0.3% 0 - 35,200 25% 35,200 - 70,400 40% 40% 70,400 - 413,600 60% 75% >413,600 75%

SLVX.SI Silverlake Axis Limited SINGAPORE Yes No 0.3% 0 - 30,000 20% 30,000 - 60,000 30% 30% 60,000 - 300,000 40% 50% >300,000 75%

SGHC.SI Sin Ghee Huat Corporation Limited SINGAPORE No No 0.3% 0 - 75,400 25% 75,400 - 150,800 40% 40% 150,800 - 188,500 75% 75% >188,500 75%

SINA.SI Sinarmas Land Limited SINGAPORE Yes Yes 0.3% 0 - 43,500 25% 43,500 - 87,000 40% 40% 87,000 - 826,500 60% 75% >826,500 75%

SHDS.SI Sing Holdings Limited SINGAPORE Yes No 0.3% 0 - 57,100 25% 57,100 - 114,200 40% 40% 114,200 - 142,700 75% 75% >142,700 75%

SINV.SI Sing Investments & Finance Limited SINGAPORE No No 0.3% 0 - 15,900 25% 15,900 - 31,800 40% 40% 31,800 - 39,700 75% 75% >39,700 75%

SIAL.SI Singapore Airlines Limited SINGAPORE Yes Yes 0.3% 0 - 37,000 10% 37,000 - 222,000 20% 20% 222,000 - 740,000 30% 50% >740,000 75%

SGXL.SI Singapore Exchange Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 100,000 10% 100,000 - 500,000 20% 20% 500,000 - 1,400,000 30% 50% >1,400,000 75%

SPOS.SI Singapore Post Limited SINGAPORE Yes Yes 0.3% 0 - 200,000 20% 200,000 - 1,200,000 30% 30% 1,200,000 - 2,000,000 50% 60% >2,000,000 75%

SPRM.SI Singapore Press Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,500,000 30% 50% >1,500,000 75%

STEG.SI Singapore Technologies Engineering Limited SINGAPORE Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

STEL.SI Singapore Telecommunications Limited SINGAPORE Yes Yes 0.3% 0 - 400,000 10% 400,000 - 2,000,000 20% 20% 2,000,000 - 10,000,000 30% 50% >10,000,000 75%

SOGF.SI Sino Grandness Food Industry Group Limited SINGAPORE Yes - No CR No 0.3% 0 - 50,000 20% 50,000 - 300,000 30% 30% 300,000 - 1,000,000 50% 60% >1,000,000 75%

SNSR.SI Sinostar PEC Holdings Limited SINGAPORE No No 0.3% 0 - 315,100 25% 315,100 - 630,200 40% 40% 630,200 - 787,700 75% 75% >787,700 75%

SITT.SI Sinotel Technologies Limited SINGAPORE No No 0.3% 0 - 315,100 25% 315,100 - 630,200 40% 40% 630,200 - 787,700 75% 75% >787,700 75%

SINW.SI Sinwa Limited SINGAPORE No No 0.3% 0 - 103,000 25% 103,000 - 206,000 40% 40% 206,000 - 257,500 75% 75% >257,500 75%

SBSR.SI Soilbuild Business Space REIT SINGAPORE Yes Yes 0.3% 0 - 200,000 20% 200,000 - 1,200,000 30% 30% 1,200,000 - 5,000,000 50% 60% >5,000,000 75%

SFLD.SI Stamford Land Corporation Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 36,700 25% 36,700 - 73,400 40% 40% 73,400 - 97,900 60% 75% >97,900 75%

STAS.SI Stamford Tyres Corporation Limited SINGAPORE No No 0.3% 0 - 52,800 25% 52,800 - 105,600 40% 40% 105,600 - 132,000 75% 75% >132,000 75%

STAR.SI StarHub Limited SINGAPORE Yes Yes 0.3% 0 - 45,000 10% 45,000 - 180,000 20% 20% 180,000 - 900,000 30% 50% >900,000 75%

STHL.SI Starhill Global Real Estate Investment Trust SINGAPORE Yes Yes 0.3% 0 - 80,000 25% 80,000 - 480,000 40% 40% 480,000 - 1,200,000 50% 60% >1,200,000 75%

SVCH.SI SunVic Chemical Holdings Limited SINGAPORE No No 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

SUND.SI Sunningdale Tech Limited SINGAPORE Yes No 0.3% 0 - 135,300 25% 135,300 - 270,600 40% 40% 270,600 - 1,522,100 60% 75% >1,522,100 75%

SUNP.SI Sunpower Group Limited SINGAPORE No No 0.3% 0 - 170,300 25% 170,300 - 340,600 40% 40% 340,600 - 425,700 75% 75% >425,700 75%

SUNT.SI Suntec Real Estate Investment Trust SINGAPORE Yes Yes 0.3% 0 - 300,000 10% 300,000 - 1,200,000 20% 20% 1,200,000 - 3,600,000 35% 45% >3,600,000 75%

SPGP.SI Super Group Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

SWBR.SI Swiber Holdings Limited SINGAPORE Yes No 0.3% 0 - 33,200 25% 33,200 - 66,400 40% 40% 66,400 - 664,000 60% 75% >664,000 75%

SWCO.SI Swissco Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 270,000 60% 75% >270,000 75%

TPVH.SI TPV Technology Limited SINGAPORE No No 0.3% 0 - 81,200 25% 81,200 - 162,400 40% 40% 162,400 - 954,100 60% 75% >954,100 75%

TAIS.SI Tai Sin Electric Limited SINGAPORE No No 0.3% 0 - 60,300 25% 60,300 - 120,600 40% 40% 120,600 - 150,700 75% 75% >150,700 75%

TCIL.SI Tan Chong International Limited SINGAPORE Yes - No CR No 0.3% 0 - 43,600 25% 43,600 - 87,200 40% 40% 87,200 - 109,000 75% 75% >109,000 75%

TAT.SI Tat Hong Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 28,100 25% 28,100 - 56,200 40% 40% 56,200 - 112,400 60% 75% >112,400 75%

TBEV.SI Thai Beverage Public Company Limited SINGAPORE Yes Yes 0.3% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 3,000,000 35% 45% >3,000,000 75%

STRT.SI The Stratech Group Limited SINGAPORE Yes - No CR No 0.3% 0 - 200,000 25% 200,000 - 1,200,000 40% 40% 1,200,000 - 15,600,000 60% 75% >15,600,000 75%

TION.SI Tiong Woon Corporation Holding Limited SINGAPORE No No 0.3% 0 - 67,000 25% 67,000 - 134,000 40% 40% 134,000 - 335,600 60% 75% >335,600 75%

TRKL.SI Trek 2000 International Limited SINGAPORE Yes - No CR No 0.3% 0 - 100,000 25% 100,000 - 300,000 40% 40% 300,000 - 999,900,000 75% 75% >999,900,000 ERROR

TRIY.SI Triyards Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 33,000 25% 33,000 - 66,000 40% 40% 66,000 - 123,400 60% 75% >123,400 75%

TSHS.SI Tuan Sing Holdings Limited SINGAPORE Yes - No CR Yes 0.3% 0 - 75,400 25% 75,400 - 150,800 40% 40% 150,800 - 177,900 60% 75% >177,900 75%

UMSH.SI UMS Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 34,600 25% 34,600 - 69,200 40% 40% 69,200 - 269,800 60% 75% >269,800 75%

UOKH.SI UOB-Kay Hian Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 13,000 25% 13,000 - 26,000 40% 40% 26,000 - 48,200 60% 75% >48,200 75%

UTOS.SI UOL Group Limited SINGAPORE Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 528,000 30% 50% >528,000 75%

UAFC.SI Uni-Asia Holdings Limited SINGAPORE No No 0.3% 0 - 111,100 25% 111,100 - 222,200 40% 40% 222,200 - 277,700 75% 75% >277,700 75%

UTES.SI United Engineers Limited SINGAPORE Yes Yes 0.3% 0 - 12,000 25% 12,000 - 24,000 40% 40% 24,000 - 240,000 60% 75% >240,000 75%

UICS.SI United Industrial Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 7,300 25% 7,300 - 14,600 40% 40% 14,600 - 38,600 60% 75% >38,600 75%

UOBH.SI United Overseas Bank Limited SINGAPORE Yes Yes 0.3% 0 - 85,000 10% 85,000 - 850,000 20% 20% 850,000 - 1,700,000 30% 50% >1,700,000 75%

USCH.SI United SSE 50 China ETF SINGAPORE Yes No 0.3% 0 - 12,000 10% 12,000 - 72,000 20% 20% 72,000 - 120,000 35% 45% >120,000 75%

VHLD.SI Vallianz Holdings Ltd SINGAPORE Yes - No CR No 0.3% 0 - 1,000,000 25% 1,000,000 - 2,000,000 40% 40% 2,000,000 - 4,000,000 60% 75% >4,000,000 75%

VARD.SI Vard Holdings Limited SINGAPORE Yes No 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

VENM.SI Venture Corporation Limited SINGAPORE Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

VIBR.SI Vibrant Group Limited SINGAPORE Yes - No CR No 0.3% 0 - 207,000 25% 207,000 - 414,000 40% 40% 414,000 - 4,140,000 60% 75% >4,140,000 75%

WHHL.SI Wee Hur Holdings Limited SINGAPORE Yes - No CR No 0.3% 0 - 60,300 25% 60,300 - 120,600 40% 40% 120,600 - 1,206,000 60% 75% >1,206,000 75%

WPSL.SI Wheelock Properties (Singapore) Limited SINGAPORE Yes Yes 0.3% 0 - 13,700 25% 13,700 - 27,400 40% 40% 27,400 - 54,300 60% 75% >54,300 75%

WLIL.SI Wilmar International Limited SINGAPORE Yes Yes 0.3% 0 - 300,000 10% 300,000 - 1,500,000 20% 20% 1,500,000 - 3,000,000 30% 50% >3,000,000 75%

WTHS.SI Wing Tai Holdings Limited SINGAPORE Yes Yes 0.3% 0 - 60,000 20% 60,000 - 120,000 30% 30% 120,000 - 600,000 50% 60% >600,000 75%

WPML.SI World Precision Machinery Limited SINGAPORE No No 0.3% 0 - 56,300 25% 56,300 - 112,600 40% 40% 112,600 - 140,700 75% 75% >140,700 75%

YAZG.SI Yangzijiang Shipbuilding (Holdings) Limited SINGAPORE Yes Yes 0.3% 0 - 360,000 10% 360,000 - 2,160,000 20% 20% 2,160,000 - 7,200,000 30% 50% >7,200,000 75%

YNLG.SI Yanlord Land Group Limited SINGAPORE Yes No 0.3% 0 - 75,000 20% 75,000 - 150,000 30% 30% 150,000 - 750,000 50% 60% >750,000 75%

YING.SI Ying Li International Real Estate Limited SINGAPORE Yes No 0.3% 0 - 57,800 25% 57,800 - 115,600 40% 40% 115,600 - 1,156,000 60% 75% >1,156,000 75%

YOMA.SI Yoma Strategic Holdings Limited SINGAPORE Yes No 0.3% 0 - 80,000 20% 80,000 - 475,200 30% 30% 475,200 - 1,600,000 50% 60% >1,600,000 75%

YNAM.SI Yongnam Holdings Limited SINGAPORE Yes No 0.3% 0 - 88,000 25% 88,000 - 176,000 40% 40% 176,000 - 1,760,000 60% 75% >1,760,000 75%

YUUZ.SI Yuuzoo Corporation Limited SINGAPORE Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 2,030,000 60% 75% >2,030,000 75%

IFAS.SI iFAST Corporation Limited SINGAPORE Yes No 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 150,000 60% 75% >150,000 75%

AHYG.SI iShares Barclays Capital USD Asia High Yield BSINGAPORE No No 0.3% 0 - 2,500 20% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

INDI.SI iShares MSCI India Index ETF SINGAPORE Yes No 0.3% 0 - 275,000 20% 275,000 - 1,499,900 20% 20% 1,499,900 - 3,000,000 35% 45% >3,000,000 75%

MM2A.SI mm2 Asia Ltd SINGAPORE Yes - No CR No 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 750,000 60% 75% >750,000 75%

ADHJ.J ADvTECH Limited SOUTH AFRICYes - No CR Yes 1% 0 - 40 25% 40 - 200 40% 40% 200 - 2,760 60% 75% >2,760 75%

AFEJ.J AECI Limited SOUTH AFRICYes Yes 1% 0 - 20 20% 20 - 100 30% 30% 100 - 400 50% 60% >400 75%

ADEw.J Adbee (Rf) Limited SOUTH AFRICNo Yes 1% 0 - 280 25% 280 - 1,680 40% 40% 1,680 - 5,600 50% 60% >5,600 75%

AIPJ.J Adcock Ingram Holdings Limited SOUTH AFRICYes Yes 1% 0 - 80 15% 80 - 500 25% 25% 500 - 1,600 40% 55% >1,600 75%

ADRJ.J Adcorp Holdings Limited SOUTH AFRICYes Yes 1% 0 - 58 25% 58 - 116 40% 40% 116 - 623 60% 75% >623 75%

ETFGLDJ.J AfricaGold ETF SOUTH AFRICYes Yes 1% 0 - 25 25% 25 - 200 40% 40% 200 - 300 60% 75% >300 75%

AFXJ.J African Oxygen Limited SOUTH AFRICYes Yes 1% 0 - 91 25% 91 - 182 40% 40% 182 - 687 60% 75% >687 75%

ARIJ.J African Rainbow Minerals Limited SOUTH AFRICYes Yes 1% 0 - 25 10% 25 - 250 20% 20% 250 - 1,900 30% 50% >1,900 75%

AFHJ.J Alexander Forbes Group Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 500 15% 500 - 1,000 30% 30% 1,000 - 2,000 45% 60% >2,000 75%

AELJ.J Allied Electronics Corporation Limited SOUTH AFRICYes Yes 1% 0 - 75 25% 75 - 150 40% 40% 150 - 168 60% 75% >168 75%

AENJ.J Allied Electronics Corporation Limited SOUTH AFRICYes Yes 1% 0 - 74 25% 74 - 148 40% 40% 148 - 1,258 60% 75% >1,258 75%

AGLJ.J Anglo American PLC SOUTH AFRICYes Yes 1% 0 - 600 5% 600 - 3,210 10% 10% 3,210 - 12,600 20% 40% >12,600 75%

AMSJ.J Anglo American Platinum Limited SOUTH AFRICYes Yes 1% 0 - 25 10% 25 - 250 20% 20% 250 - 1,500 30% 50% >1,500 75%

ANGJ.J AngloGold Ashanti Limited SOUTH AFRICYes Yes 1% 0 - 60 5% 60 - 600 10% 10% 600 - 7,260 20% 40% >7,260 75%

ANBJ.J Anheuser-Busch InBev SA NV SOUTH AFRICNo Yes 1% 0 - 5 5% 5 - 30 8% 8% 30 - 100 10% 12% >100 15%

ACLJ.J ArcelorMittal South Africa Limited SOUTH AFRICYes Yes 1% 0 - 40 25% 40 - 250 40% 40% 250 - 800 60% 75% >800 75%

ARTJ.J Argent Industrial Limited SOUTH AFRICYes Yes 1% 0 - 358 25% 358 - 716 40% 40% 716 - 895 75% 75% >895 75%

AWAJ.J Arrowhead Properties Limited SOUTH AFRICNo Yes 1% 0 - 258 25% 258 - 516 40% 40% 516 - 2,138 60% 75% >2,138 75%

AWBJ.J Arrowhead Properties Limited SOUTH AFRICNo Yes 1% 0 - 263 25% 263 - 526 40% 40% 526 - 1,730 60% 75% >1,730 75%

ASCJ.J Ascendis Health Limited SOUTH AFRICStockbroking onlyYes 1% 0 - 383 25% 383 - 1,149 40% 40% 1,149 - 3,829,617 75% 75% >3,829,617 ERROR

APNJ.J Aspen Pharmacare Holdings Limited SOUTH AFRICYes Yes 1% 0 - 250 5% 250 - 1,500 10% 10% 1,500 - 3,500 20% 40% >3,500 75%

ASRJ.J Assore Limited SOUTH AFRICYes - No CR Yes 1% 0 - 10 20% 10 - 100 35% 35% 100 - 350 50% 75% >350 75%

ARLJ.J Astral Foods Limited SOUTH AFRICYes Yes 1% 0 - 22 25% 22 - 44 40% 40% 44 - 429 60% 75% >429 75%

APKJ.J Astrapak Limited SOUTH AFRICYes Yes 1% 0 - 249 25% 249 - 498 40% 40% 498 - 1,075 60% 75% >1,075 75%

ATTJ.J Attacq Limited SOUTH AFRICYes Yes 1% 0 - 630 15% 630 - 3,780 25% 25% 3,780 - 5,040 40% 55% >5,040 75%

AEGJ.J Aveng Limited SOUTH AFRICYes Yes 1% 0 - 90 20% 90 - 549 30% 30% 549 - 1,800 50% 60% >1,800 75%

AVIJ.J Avi Limited SOUTH AFRICYes Yes 1% 0 - 80 20% 80 - 500 30% 30% 500 - 1,600 50% 60% >1,600 75%

BILJ.J BHP Billiton PLC SOUTH AFRICYes Yes 1% 0 - 500 5% 500 - 2,595 10% 10% 2,595 - 10,500 20% 40% >10,500 75%

BGAJ.J Barclays Africa Group Limited SOUTH AFRICYes Yes 1% 0 - 90 10% 90 - 900 20% 20% 900 - 8,010 30% 50% >8,010 75%

BAWJ.J Barloworld Limited SOUTH AFRICYes Yes 1% 0 - 60 15% 60 - 349 25% 25% 349 - 1,200 40% 55% >1,200 75%

BSRJ.J Basil Read Holding Limited SOUTH AFRICYes Yes 1% 0 - 235 25% 235 - 470 40% 40% 470 - 1,290 60% 75% >1,290 75%

BELJ.J Bell Equipment Limited SOUTH AFRICNo Yes 1% 0 - 91 25% 91 - 182 40% 40% 182 - 227 75% 75% >227 75%

BLUJ.J Blue Label Telecoms Limited SOUTH AFRICYes - No CR Yes 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 1,500 60% 75% >1,500 75%

BATJ.J Brait S.E. SOUTH AFRICYes Yes 1% 0 - 70 20% 70 - 399 30% 30% 399 - 1,400 50% 60% >1,400 75%

BTIJ.J British American Tobac Company PLC SOUTH AFRICNo Yes 1% 0 - 300 5% 300 - 1,599 10% 10% 1,599 - 6,300 20% 40% >6,300 75%

CGRJ.J Calgro M3 Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

CCOJ.J Capital & Counties Properties PLC SOUTH AFRICNo Yes 1% 0 - 1,100 20% 1,100 - 3,245 35% 35% 3,245 - 8,250 50% 75% >8,250 75%

CPIJ.J Capitec Bank Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 15 20% 15 - 90 30% 30% 90 - 300 50% 60% >300 75%

CSBJ.J Cashbuild Limited SOUTH AFRICYes - No CR Yes 1% 0 - 20 25% 20 - 140 40% 40% 140 - 200 60% 75% >200 75%

CHPJ.J Choppies Enterprises Limited SOUTH AFRICYes - No CR Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

CLHJ.J City Lodge Hotels Limited SOUTH AFRICYes Yes 1% 0 - 15 25% 15 - 30 40% 40% 30 - 236 60% 75% >236 75%

CLSJ.J Clicks Group Limited SOUTH AFRICYes Yes 1% 0 - 90 15% 90 - 549 25% 25% 549 - 1,800 40% 55% >1,800 75%






CLRJ.J Clover Industries Limited SOUTH AFRICYes Yes 1% 0 - 97 25% 97 - 194 40% 40% 194 - 1,940 60% 75% >1,940 75%

CZAJ.J Coal of Africa Limited SOUTH AFRICYes Yes 1% 0 - 1,790 25% 1,790 - 3,580 40% 40% 3,580 - 4,475 75% 75% >4,475 75%

COMJ.J Comair Limited SOUTH AFRICYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,500 60% 75% >1,500 75%

CFRJ.J Compagnie Financiere Richemont SA SOUTH AFRICYes Yes 1% 0 - 150 5% 150 - 2,287 10% 10% 2,287 - 25,050 20% 40% >25,050 75%

CILJ.J Consolidated Infrastructure Group Limited SOUTH AFRICYes Yes 1% 0 - 76 25% 76 - 152 40% 40% 152 - 637 60% 75% >637 75%

CMLJ.J Coronation Fund Managers Limited SOUTH AFRICYes Yes 1% 0 - 200 15% 200 - 800 25% 25% 800 - 3,200 40% 55% >3,200 75%

COHJ.J Curro Holdings Limited SOUTH AFRICYes Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 600 60% 75% >600 75%

DRDJ.J DRDGOLD Limited SOUTH AFRICYes Yes 1% 0 - 383 25% 383 - 766 40% 40% 766 - 4,117 60% 75% >4,117 75%

DTCJ.J Datatec Limited SOUTH AFRICYes Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 60% 75% >1,000 75%

DLTJ.J Delta Property Fund Limited SOUTH AFRICYes - No CR Yes 1% 0 - 890 25% 890 - 2,670 40% 40% 2,670 - 8,899,110 75% 75% >8,899,110 ERROR

DSYJ.J Discovery Limited SOUTH AFRICYes Yes 1% 0 - 100 10% 100 - 1,000 20% 20% 1,000 - 7,300 30% 50% >7,300 75%

DSTJ.J Distell Group Limited SOUTH AFRICYes - No CR Yes 1% 0 - 150 20% 150 - 450 30% 30% 450 - 750 50% 60% >750 75%

EOHJ.J EOH Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 25 25% 25 - 150 40% 40% 150 - 500 60% 75% >500 75%

ELIJ.J Ellies Holdings Limited SOUTH AFRICYes Yes 1% 0 - 522 25% 522 - 1,044 40% 40% 1,044 - 5,481 60% 75% >5,481 75%

EMIJ.J Emira Property Fund Limited SOUTH AFRICYes Yes 1% 0 - 140 25% 140 - 280 40% 40% 280 - 2,800 60% 75% >2,800 75%

EQSJ.J Eqstra Holdings Limited SOUTH AFRICYes Yes 1% 0 - 261 25% 261 - 522 40% 40% 522 - 2,534 60% 75% >2,534 75%

EXXJ.J Exxaro Resources Limited SOUTH AFRICYes Yes 1% 0 - 60 10% 60 - 600 20% 20% 600 - 3,780 30% 50% >3,780 75%

FBRJ.J Famous Brands Limited SOUTH AFRICYes Yes 1% 0 - 18 25% 18 - 36 40% 40% 36 - 360 60% 75% >360 75%

FSRJ.J FirstRand Limited SOUTH AFRICYes Yes 1% 0 - 450 5% 450 - 4,500 10% 10% 4,500 - 54,900 20% 40% >54,900 75%

FFBJ.J Fortress Income Fund Limited SOUTH AFRICYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 500 60% 75% >500 75%

FFAJ.J Fortress Income Fund Limited SOUTH AFRICYes Yes 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 60% 75% >4,000 75%

GFIJ.J Gold Fields Limited SOUTH AFRICYes Yes 1% 0 - 150 10% 150 - 900 20% 20% 900 - 3,000 35% 45% >3,000 75%

GPLJ.J Grand Parade Investments Limited SOUTH AFRICYes - No CR Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

GNDJ.J Grindrod Limited SOUTH AFRICYes Yes 1% 0 - 90 20% 90 - 549 30% 30% 549 - 1,800 50% 60% >1,800 75%

GRFJ.J Group Five Limited SOUTH AFRICYes Yes 1% 0 - 39 25% 39 - 78 40% 40% 78 - 780 60% 75% >780 75%

GRTJ.J Growthpoint Properties Limited SOUTH AFRICYes Yes 1% 0 - 350 10% 350 - 3,500 20% 20% 3,500 - 24,850 30% 50% >24,850 75%

HARJ.J Harmony Gold Mining Company Limited SOUTH AFRICYes Yes 1% 0 - 150 15% 150 - 900 25% 25% 900 - 3,000 40% 55% >3,000 75%

HCIJ.J Hosken Consolidated Investments Limited SOUTH AFRICYes Yes 1% 0 - 40 25% 40 - 200 40% 40% 200 - 320 60% 75% >320 75%

HPAJ.J Hospitality Property Fund Limited SOUTH AFRICYes Yes 1% 0 - 114 25% 114 - 228 40% 40% 228 - 921 60% 75% >921 75%

HDCJ.J Hudaco Industries Limited SOUTH AFRICNo Yes 1% 0 - 17 25% 17 - 34 40% 40% 34 - 166 60% 75% >166 75%

HLMJ.J Hulamin Limited SOUTH AFRICYes Yes 1% 0 - 291 25% 291 - 582 40% 40% 582 - 1,216 60% 75% >1,216 75%

HYPJ.J Hyprop Investments Limited SOUTH AFRICYes Yes 1% 0 - 60 20% 60 - 349 30% 30% 349 - 1,200 50% 60% >1,200 75%

ILAJ.J Iliad Africa Limited SOUTH AFRICNo Yes 1% 0 - 298 25% 298 - 596 40% 40% 596 - 968 60% 75% >968 75%

ILVJ.J Illovo Sugar Limited SOUTH AFRICYes Yes 1% 0 - 65 25% 65 - 130 40% 40% 130 - 1,300 60% 75% >1,300 75%

IMPJ.J Impala Platinum Holdings Limited SOUTH AFRICYes Yes 1% 0 - 100 10% 100 - 1,000 20% 20% 1,000 - 9,800 30% 50% >9,800 75%

IPLJ.J Imperial Holdings Limited SOUTH AFRICYes Yes 1% 0 - 60 10% 60 - 600 20% 20% 600 - 4,020 30% 50% >4,020 75%

INLJ.J Investec Limited SOUTH AFRICYes Yes 1% 0 - 60 10% 60 - 600 20% 20% 600 - 3,780 30% 50% >3,780 75%

INPJ.J Investec PLC SOUTH AFRICYes - No CR Yes 1% 0 - 600 10% 600 - 6,000 20% 20% 6,000 - 15,000 30% 50% >15,000 75%

IPFJ.J Investec Property Fund Limited SOUTH AFRICYes - No CR Yes 1% 0 - 495 25% 495 - 2,970 40% 40% 2,970 - 3,960 60% 75% >3,960 75%

IVTJ.J Invicta Holdings Limited SOUTH AFRICYes Yes 1% 0 - 21 25% 21 - 126 40% 40% 126 - 325 60% 75% >325 75%

JSEJ.J JSE Limited SOUTH AFRICYes Yes 1% 0 - 22 25% 22 - 44 40% 40% 44 - 440 60% 75% >440 75%

KAPJ.J KAP Industrial Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 490 25% 490 - 980 40% 40% 980 - 3,983 60% 75% >3,983 75%

KEHJ.J Keaton Energy Holdings Limited SOUTH AFRICYes Yes 1% 0 - 622 25% 622 - 1,244 40% 40% 1,244 - 1,555 75% 75% >1,555 75%

KIOJ.J Kumba Iron Ore Limited SOUTH AFRICYes Yes 1% 0 - 40 10% 40 - 400 20% 20% 400 - 2,520 30% 50% >2,520 75%

LEWJ.J Lewis Group Limited SOUTH AFRICYes Yes 1% 0 - 40 20% 40 - 250 30% 30% 250 - 800 50% 60% >800 75%

LBHJ.J Liberty Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 30 20% 30 - 200 30% 30% 200 - 600 50% 60% >600 75%

LHCJ.J Life Healthcare Group Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 200 10% 200 - 2,000 20% 20% 2,000 - 15,000 30% 50% >15,000 75%

LONJ.J Lonmin PLC SOUTH AFRICYes Yes 1% 0 - 70 15% 70 - 280 25% 30% 280 - 490 40% 60% >490 75%

MMIJ.J MMI Holdings Limited SOUTH AFRICYes Yes 1% 0 - 200 15% 200 - 1,200 25% 25% 1,200 - 4,000 40% 55% >4,000 75%

MTNJ.J MTN Group Limited SOUTH AFRICYes - No CR Yes 1% 0 - 200 5% 200 - 2,000 10% 10% 2,000 - 18,000 20% 40% >18,000 75%

MSMJ.J Massmart Holdings Limited SOUTH AFRICYes Yes 1% 0 - 50 15% 50 - 300 25% 25% 300 - 1,000 40% 55% >1,000 75%

MDCJ.J Mediclinic International Limited SOUTH AFRICYes Yes 1% 0 - 112 10% 112 - 1,120 20% 20% 1,120 - 8,736 30% 50% >8,736 75%

MEIJ.J Mediclinic International Limited SOUTH AFRICNo Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

MRFJ.J Merafe Resources Limited SOUTH AFRICYes Yes 1% 0 - 1,790 25% 1,790 - 3,580 40% 40% 3,580 - 14,087 60% 75% >14,087 75%

MNDJ.J Mondi Limited SOUTH AFRICYes Yes 1% 0 - 20 10% 20 - 200 20% 20% 200 - 1,800 30% 50% >1,800 75%

MPTJ.J Mpact Limited SOUTH AFRICYes Yes 1% 0 - 66 25% 66 - 132 40% 40% 132 - 1,320 60% 75% >1,320 75%

MRPJ.J Mr Price Group Limited SOUTH AFRICYes Yes 1% 0 - 100 10% 100 - 600 20% 20% 600 - 2,000 35% 45% >2,000 75%

MURJ.J Murray & Roberts Holdings Limited SOUTH AFRICYes Yes 1% 0 - 100 20% 100 - 600 30% 30% 600 - 2,000 50% 60% >2,000 75%

NPKJ.J Nampak Limited SOUTH AFRICYes Yes 1% 0 - 150 15% 150 - 900 25% 25% 900 - 3,000 40% 55% >3,000 75%

NPNJn.J Naspers Limited SOUTH AFRICYes Yes 1% 0 - 60 5% 60 - 600 10% 10% 600 - 2,820 20% 40% >2,820 75%

NEDJ.J Nedbank Group Limited SOUTH AFRICYes Yes 1% 0 - 40 10% 40 - 400 20% 20% 400 - 3,760 30% 50% >3,760 75%

NTCJ.J Netcare Limited SOUTH AFRICYes Yes 1% 0 - 300 15% 300 - 1,800 25% 25% 1,800 - 6,000 40% 55% >6,000 75%

NEPJ.J New Europe Property Investments PLC SOUTH AFRICYes Yes 1% 0 - 21 25% 21 - 42 40% 40% 42 - 420 60% 75% >420 75%

GLDJ.J NewGold Debentures SOUTH AFRICYes Yes 1% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%

NGPLTJ.J NewGold Platinum ETF SOUTH AFRICYes - No CR Yes 1% 0 - 50 10% 50 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

NHMJ.J Northam Platinum Limited SOUTH AFRICYes Yes 1% 0 - 128 20% 128 - 768 30% 30% 768 - 2,560 50% 60% >2,560 75%

OCEJ.J Oceana Group Limited SOUTH AFRICYes Yes 1% 0 - 22 25% 22 - 44 40% 40% 44 - 440 60% 75% >440 75%

OCTJ.J Octodec Investments Limited SOUTH AFRICYes - No CR Yes 1% 0 - 190 25% 190 - 570 40% 40% 570 - 1,899,810 75% 75% >1,899,810 ERROR

OMLJ.J Old Mutual PLC SOUTH AFRICYes Yes 1% 0 - 5,250 10% 5,250 - 26,775 20% 20% 26,775 - 80,062 30% 50% >80,062 75%

OMNJ.J Omnia Holdings Limited SOUTH AFRICYes Yes 1% 0 - 10 20% 10 - 60 30% 30% 60 - 200 50% 60% >200 75%

PPCJ.J PPC Limited SOUTH AFRICYes Yes 1% 0 - 100 20% 100 - 600 30% 30% 600 - 2,000 50% 60% >2,000 75%

PSGJ.J PSG Group Limited SOUTH AFRICYes Yes 1% 0 - 22 25% 22 - 44 40% 40% 44 - 297 60% 75% >297 75%

PGLJ.J Pallinghurst Resources Limited SOUTH AFRICYes - No CR Yes 1% 0 - 920 10% 920 - 2,760 20% 20% 2,760 - 3,680 35% 45% >3,680 75%

PANJ.J Pan African Resources PLC SOUTH AFRICYes Yes 1% 0 - 4,500 25% 4,500 - 14,985 40% 40% 14,985 - 17,235 75% 75% >17,235 75%

PGRJ.J Peregrine Holdings Limited SOUTH AFRICYes Yes 1% 0 - 250 25% 250 - 500 40% 40% 500 - 750 60% 75% >750 75%

PETJ.J Petmin Limited SOUTH AFRICYes Yes 1% 0 - 1,023 25% 1,023 - 2,046 40% 40% 2,046 - 2,506 60% 75% >2,506 75%

PHMJ.J Phumelela Gaming & Leisure Limited SOUTH AFRICYes Yes 1% 0 - 102 25% 102 - 204 40% 40% 204 - 655 60% 75% >655 75%

PWKJ.J Pick n Pay Holdings Limited SOUTH AFRICYes Yes 1% 0 - 87 25% 87 - 174 40% 40% 174 - 957 60% 75% >957 75%

PIKJ.J Pick n Pay Stores Limited SOUTH AFRICYes Yes 1% 0 - 100 20% 100 - 600 30% 30% 600 - 2,000 50% 60% >2,000 75%

PNCJ.J Pinnacle Holdings Limited SOUTH AFRICYes - No CR Yes 1% 0 - 81 25% 81 - 162 40% 40% 162 - 1,620 60% 75% >1,620 75%

PFGJ.J Pioneer Food Group Limited SOUTH AFRICYes Yes 1% 0 - 300 20% 300 - 900 30% 30% 900 - 1,200 50% 60% >1,200 75%

QFHJ.J Quantum Foods Holdings Limited SOUTH AFRICYes Yes 1% 0 - 5 25% 5 - 30 40% 40% 30 - 49,995 75% 75% >49,995 ERROR

RCLJ.J RCL Foods Limited SOUTH AFRICYes Yes 1% 0 - 119 25% 119 - 238 40% 40% 238 - 1,057 60% 75% >1,057 75%

RMHJ.J RMB Holdings Limited SOUTH AFRICYes Yes 1% 0 - 100 10% 100 - 1,000 20% 20% 1,000 - 6,500 30% 50% >6,500 75%

RMIJ.J Rand Merchant Insurance Holdings Limited SOUTH AFRICYes Yes 1% 0 - 150 20% 150 - 900 30% 30% 900 - 3,000 50% 60% >3,000 75%

RBXJ.J Raubex Group Limited SOUTH AFRICYes Yes 1% 0 - 78 25% 78 - 156 40% 40% 156 - 1,560 60% 75% >1,560 75%

RPLJ.J Redefine International PLC SOUTH AFRICYes Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

RDFJ.J Redefine Properties Limited SOUTH AFRICYes Yes 1% 0 - 450 15% 450 - 2,749 25% 25% 2,749 - 9,000 40% 55% >9,000 75%

REIJ.J Reinet Investments S.C.A. SOUTH AFRICYes Yes 1% 0 - 200 10% 200 - 2,000 20% 20% 2,000 - 10,000 30% 50% >10,000 75%

REMJ.J Remgro Limited SOUTH AFRICYes Yes 1% 0 - 60 10% 60 - 600 20% 20% 600 - 4,020 30% 50% >4,020 75%

RESJ.J Resilient Property Income Fund Limited SOUTH AFRICYes Yes 1% 0 - 33 25% 33 - 66 40% 40% 66 - 660 60% 75% >660 75%

RLOJ.J Reunert Limited SOUTH AFRICYes Yes 1% 0 - 40 20% 40 - 250 30% 30% 250 - 800 50% 60% >800 75%

RFGJ.J Rhodes Food Group Holdings Limited SOUTH AFRICYes Yes 1% 0 - 410 25% 410 - 1,230 40% 40% 1,230 - 1,640 60% 75% >1,640 75%

ROCJ.J Rockcastle Global Real Estate Company LimiteSOUTH AFRICYes - No CR Yes 1% 0 - 585 15% 585 - 1,755 25% 25% 1,755 - 2,340 40% 55% >2,340 75%

SACJ.J SA Corporate Real Estate Limited SOUTH AFRICYes - No CR Yes 1% 0 - 2,893 25% 2,893 - 8,679 40% 40% 8,679 - 17,358 60% 75% >17,358 75%

SABJ.J SABMiller PLC SOUTH AFRICYes - No CR Yes 1% 0 - 250 5% 250 - 1,770 10% 10% 1,770 - 7,000 20% 40% >7,000 75%

SCLJ.J SacOil Holdings Limited SOUTH AFRICNo Yes 1% 0 - 2,984 25% 2,984 - 5,968 40% 40% 5,968 - 14,561 60% 75% >14,561 75%

SLMJ.J Sanlam Limited SOUTH AFRICYes Yes 1% 0 - 600 10% 600 - 6,000 20% 20% 6,000 - 20,400 30% 50% >20,400 75%

SNTJ.J Santam Limited SOUTH AFRICYes Yes 1% 0 - 10 25% 10 - 20 40% 40% 20 - 112 60% 75% >112 75%

SAPJ.J Sappi Limited SOUTH AFRICYes Yes 1% 0 - 200 15% 200 - 1,200 25% 25% 1,200 - 4,000 40% 55% >4,000 75%

SOLJ.J Sasol Limited SOUTH AFRICYes Yes 1% 0 - 60 5% 60 - 600 10% 10% 600 - 6,540 20% 40% >6,540 75%

STX40J.J Satrix 40 SOUTH AFRICYes Yes 1% 0 - 11,250 5% 11,250 - 69,975 10% 10% 69,975 - 100,012 20% 40% >100,012 75%

STXFINJ.J Satrix Fini SOUTH AFRICYes Yes 1% 0 - 2,750 10% 2,750 - 15,125 20% 20% 15,125 - 30,250 35% 45% >30,250 75%

STXINDJ.J Satrix Indi SOUTH AFRICYes Yes 1% 0 - 3,500 10% 3,500 - 20,125 20% 20% 20,125 - 35,000 35% 45% >35,000 75%

STXRESJ.J Satrix Resi SOUTH AFRICNo Yes 1% 0 - 450 10% 450 - 2,700 20% 20% 2,700 - 4,500 35% 45% >4,500 75%

SNUJ.J Sentula Mining Limited SOUTH AFRICNo Yes 1% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 20,000 75% 75% >20,000 75%

SHPJ.J Shoprite Holdings Limited SOUTH AFRICYes Yes 1% 0 - 150 10% 150 - 1,500 20% 20% 1,500 - 8,700 30% 50% >8,700 75%

SGLJ.J Sibanye Gold Limited SOUTH AFRICYes Yes 1% 0 - 300 15% 300 - 1,800 25% 25% 1,800 - 6,000 40% 55% >6,000 75%

SREJ.J Sirius Real Estate Limited SOUTH AFRICYes Yes 1% 0 - 50 25% 50 - 250 40% 40% 250 - 500 50% 75% >500 75%

SURJ.J Spur Corporation Limited SOUTH AFRICYes - No CR Yes 1% 0 - 54 25% 54 - 108 40% 40% 108 - 532 60% 75% >532 75%

SBKJ.J Standard Bank Group Limited SOUTH AFRICYes Yes 1% 0 - 150 5% 150 - 1,500 10% 10% 1,500 - 15,000 20% 40% >15,000 75%

SSKJ.J Stefanutti Stocks Holdings Limited SOUTH AFRICYes Yes 1% 0 - 186 25% 186 - 372 40% 40% 372 - 868 60% 75% >868 75%

SNHJ.J Steinhoff International Holdings N.V. SOUTH AFRICYes Yes 1% 0 - 200 5% 200 - 2,000 10% 10% 2,000 - 35,000 20% 40% >35,000 75%

SUIJ.J Sun International Limited SOUTH AFRICYes Yes 1% 0 - 19 25% 19 - 38 40% 40% 38 - 380 60% 75% >380 75%

SPGJ.J Super Group Limited SOUTH AFRICYes Yes 1% 0 - 65 25% 65 - 130 40% 40% 130 - 1,300 60% 75% >1,300 75%

SYCJ.J Sycom Property Fund SOUTH AFRICNo Yes 1% 0 - 76 25% 76 - 152 40% 40% 152 - 1,292 60% 75% >1,292 75%

TKGJ.J Telkom SA SOC Limited SOUTH AFRICYes Yes 1% 0 - 150 20% 150 - 900 30% 30% 900 - 3,000 50% 60% >3,000 75%

BVTJ.J The Bidvest Group Limited SOUTH AFRICYes Yes 1% 0 - 50 10% 50 - 500 20% 20% 500 - 4,000 30% 50% >4,000 75%

TFGJ.J The Foschini Group Limited SOUTH AFRICYes Yes 1% 0 - 100 10% 100 - 600 20% 20% 600 - 2,000 35% 45% >2,000 75%

SPPJ.J The SPAR Group Limited SOUTH AFRICYes Yes 1% 0 - 70 15% 70 - 399 25% 25% 399 - 1,400 40% 55% >1,400 75%

TBSJ.J Tiger Brands Limited SOUTH AFRICYes Yes 1% 0 - 40 10% 40 - 400 20% 20% 400 - 3,240 30% 50% >3,240 75%

TBGJ.J Tiso Blackstar Group SE SOUTH AFRICNo Yes 1% 0 - 154 25% 154 - 308 40% 40% 308 - 817 60% 75% >817 75%

TONJ.J Tongaat Hulett Limited SOUTH AFRICYes Yes 1% 0 - 30 20% 30 - 200 30% 30% 200 - 600 50% 60% >600 75%

TREJ.J Trencor Limited SOUTH AFRICYes Yes 1% 0 - 26 25% 26 - 52 40% 40% 52 - 520 60% 75% >520 75%

TRUJ.J Truworths International Limited SOUTH AFRICYes Yes 1% 0 - 150 10% 150 - 900 20% 20% 900 - 3,000 35% 45% >3,000 75%

TSHJ.J Tsogo Sun Holdings Limited SOUTH AFRICYes Yes 1% 0 - 69 25% 69 - 138 40% 40% 138 - 1,380 60% 75% >1,380 75%

VODJ.J Vodacom Group Limited SOUTH AFRICYes Yes 1% 0 - 200 10% 200 - 2,000 20% 20% 2,000 - 8,800 30% 50% >8,800 75%

VKEJ.J Vukile Property Fund Limited SOUTH AFRICYes - No CR Yes 1% 0 - 530 25% 530 - 3,180 40% 40% 3,180 - 4,770 60% 75% >4,770 75%

WEZJ.J Wesizwe Platinum Limited SOUTH AFRICYes Yes 1% 0 - 2,486 25% 2,486 - 4,972 40% 40% 4,972 - 6,215 75% 75% >6,215 75%

WBOJ.J Wilson Bayly Holmes-Ovcon Limited SOUTH AFRICYes Yes 1% 0 - 15 25% 15 - 90 40% 40% 90 - 300 60% 75% >300 75%






WHLJ.J Woolworths Holdings Limited SOUTH AFRICYes Yes 1% 0 - 366 10% 366 - 3,660 20% 20% 3,660 - 24,522 30% 50% >24,522 75%

ZEDJ.J Zeder Investments Limited SOUTH AFRICYes Yes 1% 0 - 431 25% 431 - 862 40% 40% 862 - 3,822 60% 75% >3,822 75%

DBXEUJ.J db x-trackers Euro STOXX 50 (South Africa) SOUTH AFRICYes - No CR Yes 1% 0 - 300 10% 300 - 1,800 20% 20% 1,800 - 3,000 35% 45% >3,000 75%

DBXUSJ.J db x-trackers MSCI USA (South Africa) SOUTH AFRICNo Yes 1% 0 - 255 10% 255 - 1,530 20% 20% 1,530 - 2,550 35% 45% >2,550 75%

ITUJ.J intu properties PLC SOUTH AFRICYes Yes 1% 0 - 700 10% 700 - 7,000 20% 20% 7,000 - 14,700 30% 50% >14,700 75%

ABG.MC Abengoa SA SPAIN Yes - No CR No 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

ABGek.MC Abengoa SA SPAIN Yes - No CR Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

ABE.MC Abertis Infraestructuras SA SPAIN yes Yes 0.3% 0 - 10,500 5% 10,500 - 105,000 10% 10% 105,000 - 1,249,500 20% 40% >1,249,500 75%

ANA.MC Acciona SA SPAIN yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 180,000 30% 50% >180,000 75%

ACX.MC Acerinox SA SPAIN yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 400,000 35% 45% >400,000 75%

ACS.MC Actividades de Construccion y Servicios SA SPAIN yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 549,000 20% 40% >549,000 75%

ADZ.MC Adolfo Dominguez SA SPAIN Stockbroking onlyNo 0.3% 0 - 1,900 25% 1,900 - 3,800 40% 40% 3,800 - 11,100 60% 75% >11,100 75%

ADVGR.MC Adveo Group International SA SPAIN yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,500 60% 75% >16,500 75%

AIR.MC Airbus Group SE SPAIN No No 0.3% 0 - 11,200 25% 11,200 - 56,000 40% 40% 56,000 - 224,000 60% 75% >224,000 75%

ALM.MC Almirall SA SPAIN yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

AMA.MC Amadeus IT Holding SA SPAIN yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 770,000 20% 40% >770,000 75%

APE.MC Amper SA SPAIN yes Yes 0.3% 0 - 101,600 25% 101,600 - 203,200 40% 40% 203,200 - 2,032,000 60% 75% >2,032,000 75%

APPS.MC Applus Services SA SPAIN yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 120,000 35% 45% >120,000 75%

MTS.MC ArcelorMittal SPAIN yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

A3M.MC Atresmedia Corporacion de Medios de ComunicSPAIN yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

AXIA.MC Axiare Patrimonio SOCIMI SA SPAIN Stockbroking onlyYes 0.3% 0 - 24,500 25% 24,500 - 73,500 40% 40% 73,500 - 98,000 60% 75% >98,000 75%

AZK.MC Azkoyen SA SPAIN yes No 0.3% 0 - 4,400 25% 4,400 - 8,800 40% 40% 8,800 - 21,500 60% 75% >21,500 75%

BBVA.MC Banco Bilbao Vizcaya Argentaria SA SPAIN yes Yes 0.3% 0 - 130,000 5% 130,000 - 672,100 10% 10% 672,100 - 2,730,000 20% 40% >2,730,000 75%

POP.MC Banco Popular Espanol SA SPAIN yes Yes 0.3% 0 - 90,000 5% 90,000 - 900,000 10% 10% 900,000 - 4,500,000 20% 40% >4,500,000 75%

SAN.MC Banco Santander SA SPAIN yes Yes 0.3% 0 - 180,000 5% 180,000 - 919,800 10% 10% 919,800 - 3,600,000 20% 40% >3,600,000 75%

SABE.MC Banco de Sabadell SA SPAIN yes Yes 0.3% 0 - 140,000 5% 140,000 - 1,272,600 10% 10% 1,272,600 - 12,880,000 20% 40% >12,880,000 75%

BKIA.MC Bankia SA SPAIN yes Yes 0.3% 0 - 625,000 20% 625,000 - 4,031,200 35% 35% 4,031,200 - 16,250,000 50% 75% >16,250,000 75%

BKT.MC Bankinter SA SPAIN yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 3,500,000 20% 40% >3,500,000 75%

BDL.MC Baron de Ley SA SPAIN yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

BIOS.MC Biosearch SA SPAIN Stockbroking onlyNo 0.3% 0 - 13,300 25% 13,300 - 26,600 40% 40% 26,600 - 266,000 60% 75% >266,000 75%

BME.MC Bolsas y Mercados Espanoles Sociedad Holdin SPAIN yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 300,000 30% 50% >300,000 75%

CABK.MC CaixaBank SA SPAIN yes Yes 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 5,050,000 20% 40% >5,050,000 75%

CLNX.MC Cellnex Telecom SA SPAIN Yes - No CR Yes 0.3% 0 - 40,000 25% 40,000 - 200,000 40% 40% 200,000 - 600,000 50% 60% >600,000 75%

CPLN.MC Cementos Portland Valderrivas SA SPAIN yes Yes 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 28,000 60% 75% >28,000 75%

CIEA.MC Cie Automotive SA SPAIN yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

CBAV.MC Clinica Baviera SA SPAIN Stockbroking onlyNo 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 4,200 60% 75% >4,200 75%

CDRE.MC Codere SA SPAIN yes No 0.3% 0 - 12,200 25% 12,200 - 24,400 40% 40% 24,400 - 195,200 60% 75% >195,200 75%

LOG.MC Compania de Distribucion Integral Logista Holdi SPAIN Yes - No CR Yes 0.3% 0 - 7,500 25% 7,500 - 37,500 40% 40% 37,500 - 97,500 60% 75% >97,500 75%

CAF.MC Construcciones y Auxiliar de Ferrocarriles SA SPAIN yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,200 50% 60% >3,200 75%

CCMC.MC Corporacion Empresarial de Materiales de ConsSPAIN yes No 0.3% 0 - 9,900 25% 9,900 - 19,800 40% 40% 19,800 - 58,400 60% 75% >58,400 75%

ALB.MC Corporacion Financiera Alba SA SPAIN yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 16,700 50% 60% >16,700 75%

OLEO.MC Deoleo SA SPAIN yes Yes 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

DIDA.MC Distribuidora Internacional de Alimentacion SA SPAIN yes Yes 0.3% 0 - 35,000 10% 35,000 - 350,000 20% 20% 350,000 - 1,995,000 30% 50% >1,995,000 75%

MDF.MC Duro Felguera SA SPAIN yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

ENC.MC ENCE Energia y Celulosa SA SPAIN yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

EBRO.MC Ebro Foods SA SPAIN yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

ENOR.MC Elecnor SA SPAIN yes Yes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 17,600 60% 75% >17,600 75%

ENAG.MC Enagas SA SPAIN yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 999,000 20% 40% >999,000 75%

ELE.MC Endesa SA SPAIN yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

ECR.MC Ercros SA SPAIN yes No 0.3% 0 - 22,800 25% 22,800 - 45,600 40% 40% 45,600 - 207,000 60% 75% >207,000 75%

EUWT.MC Eurona Wireless Telecom SA SPAIN yes No 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 49,000 75% 75% >49,000 75%

EKTL.MC Euskaltel SA SPAIN Yes - No CR Yes 0.3% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 800,000 50% 60% >800,000 75%

FAE.MC Faes Farma SA SPAIN yes Yes 0.3% 0 - 4,600 25% 4,600 - 9,200 40% 40% 9,200 - 92,000 60% 75% >92,000 75%

FER.MC Ferrovial SA SPAIN yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,635,000 20% 40% >1,635,000 75%

FRS.MC Fersa Energias Renovables SA SPAIN yes No 0.3% 0 - 18,000 25% 18,000 - 36,000 40% 40% 36,000 - 360,000 60% 75% >360,000 75%

FLUI.MC Fluidra SA SPAIN yes No 0.3% 0 - 4,100 25% 4,100 - 8,200 40% 40% 8,200 - 82,000 60% 75% >82,000 75%

FCC.MC Fomento de Construcciones y Contratas SA SPAIN yes Yes 0.3% 0 - 16,000 10% 16,000 - 160,000 20% 20% 160,000 - 1,008,000 30% 50% >1,008,000 75%

GAM.MC Gamesa Corporacion Tecnologica SA SPAIN yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,000,000 30% 50% >1,000,000 75%

GAS.MC Gas Natural SDG SA SPAIN yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,290,000 20% 40% >1,290,000 75%

GALQ.MC General de Alquiler de Maquinaria SA SPAIN Stockbroking onlyNo 0.3% 0 - 15,600 25% 15,600 - 31,200 40% 40% 31,200 - 249,600 60% 75% >249,600 75%

DOMI.MC Global Dominion Access SA SPAIN yes Yes 0.3% 0 - 400,000 25% 400,000 - 1,200,000 40% 40% 1,200,000 - 2,000,000 50% 60% >2,000,000 75%

GRLS.MC Grifols SA SPAIN Yes - No CR Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 798,000 20% 40% >798,000 75%

GRLSbn.MC Grifols SA SPAIN Yes - No CR Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 40,000 40% 55% >40,000 75%

GCO.MC Grupo Catalana Occidente SA SPAIN yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

EZEN.MC Grupo Ezentis SA SPAIN yes Yes 0.3% 0 - 29,000 20% 29,000 - 174,000 30% 30% 174,000 - 580,000 50% 60% >580,000 75%

HIS.MC Hispania Activos Inmobiliarios SA SPAIN yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 500,000 40% 55% >500,000 75%

IBE.MC Iberdrola SA SPAIN yes Yes 0.3% 0 - 130,000 5% 130,000 - 1,298,700 10% 10% 1,298,700 - 5,200,000 20% 40% >5,200,000 75%

IDR.MC Indra Sistemas SA SPAIN yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 474,000 30% 50% >474,000 75%

ITX.MC Industria de Diseno Textil SA SPAIN yes Yes 0.3% 0 - 50,000 5% 50,000 - 271,500 10% 10% 271,500 - 1,100,000 20% 40% >1,100,000 75%

COL.MC Inmobiliaria Colonial SA SPAIN yes Yes 0.3% 0 - 45,000 20% 45,000 - 274,900 30% 30% 274,900 - 900,000 50% 60% >900,000 75%

ICAG.MC International Consolidated Airlines Group SA SPAIN yes Yes 0.3% 0 - 120,000 5% 120,000 - 999,600 10% 10% 999,600 - 4,440,000 20% 40% >4,440,000 75%

INY.MC Inypsa Informes y Proyectos SA SPAIN Stockbroking onlyNo 0.3% 0 - 58,600 25% 58,600 - 117,200 40% 40% 117,200 - 187,500 60% 75% >187,500 75%

RJFE.MC Laboratorio Reig Jofre SA SPAIN yes No 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 34,600 60% 75% >34,600 75%

ROVI.MC Laboratorios Farmaceuticos ROVI SA SPAIN yes Yes 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 24,000 60% 75% >24,000 75%

LRES.MC Lar Espana Real Estate SOCIMI SA SPAIN yes Yes 0.3% 0 - 10,000 20% 10,000 - 50,000 30% 30% 50,000 - 100,000 40% 50% >100,000 75%

LBK.MC Liberbank SA SPAIN yes Yes 0.3% 0 - 16,000 20% 16,000 - 96,000 30% 30% 96,000 - 320,000 50% 60% >320,000 75%

IBEXA.MC Lyxor UCITS ETF Ibex 35 Doble Apalancado DiaSPAIN Yes - No CR No 0.3% 0 - 15,000 15% 15,000 - 105,000 24% 24% 105,000 - 150,000 45% 60% >150,000 75%

INVEX.MC Lyxor UCITS ETF Ibex 35 Inverso Diario SPAIN No No 0.3% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 450,000 35% 45% >450,000 75%

LYXIB.MC Lyxor UCITS ETF Ibex35 (DR) D-EUR SPAIN Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

MAP.MC Mapfre SA SPAIN yes Yes 0.3% 0 - 60,000 5% 60,000 - 600,000 10% 10% 600,000 - 7,020,000 20% 40% >7,020,000 75%

TL5.MC Mediaset Espana Comunicacion SA SPAIN yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 750,000 30% 50% >750,000 75%

MEL.MC Melia Hotels International SA SPAIN yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

MRL.MC Merlin Properties Socimi SA SPAIN Yes Yes 0.3% 0 - 103,500 25% 103,500 - 621,000 40% 40% 621,000 - 828,000 60% 75% >828,000 75%

NHH.MC NH Hotel Group SA SPAIN yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

NATR.MC Natra SA SPAIN Stockbroking onlyNo 0.3% 0 - 5,300 25% 5,300 - 10,600 40% 40% 10,600 - 88,700 60% 75% >88,700 75%

DN1.MC Nmas1 Dinamia SA SPAIN yes No 0.3% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 7,700 60% 75% >7,700 75%

OHL.MC Obrascon Huarte Lain SA SPAIN yes Yes 0.3% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 675,000 30% 50% >675,000 75%

PYCE.MC Papeles y Cartones de Europa SA SPAIN yes Yes 0.3% 0 - 3,200 25% 3,200 - 6,400 40% 40% 6,400 - 53,600 60% 75% >53,600 75%

PHMR.MC Pharma Mar SA SPAIN Yes - No CR Yes 0.3% 0 - 9,000 25% 9,000 - 54,000 40% 40% 54,000 - 180,000 50% 60% >180,000 75%

PRIM.MC Prim SA SPAIN yes No 0.3% 0 - 2,100 25% 2,100 - 4,200 40% 40% 4,200 - 5,200 75% 75% >5,200 75%

PRS.MC Promotora de Informaciones SA SPAIN yes Yes 0.3% 0 - 2,000 20% 2,000 - 11,600 30% 30% 11,600 - 40,000 50% 60% >40,000 75%

PSG.MC Prosegur Compania de Seguridad SA SPAIN yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

QBT.MC Quabit Inmobiliaria SA SPAIN yes Yes 0.3% 0 - 12,800 20% 12,800 - 80,000 30% 30% 80,000 - 128,000 50% 60% >128,000 75%

RLIA.MC Realia Business SA SPAIN yes Yes 0.3% 0 - 52,500 20% 52,500 - 84,000 30% 30% 84,000 - 157,500 50% 60% >157,500 75%

REE.MC Red Electrica Corporacion SA SPAIN yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 400,000 20% 40% >400,000 75%

RDM.MC Reno de Medici SpA SPAIN No No 0.3% 0 - 33,300 25% 33,300 - 66,600 40% 40% 66,600 - 666,000 60% 75% >666,000 75%

REP.MC Repsol SA SPAIN yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,350,000 20% 40% >1,350,000 75%

SCYR.MC Sacyr SA SPAIN yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 3,520,000 30% 50% >3,520,000 75%

SAY.MC Saeta Yield SA SPAIN Yes - No CR Yes 0.3% 0 - 7,500 25% 7,500 - 45,000 40% 40% 45,000 - 150,000 50% 60% >150,000 75%

SLRS.MC Solaria Energia y Medio Ambiente SA SPAIN yes No 0.3% 0 - 8,200 25% 8,200 - 16,400 40% 40% 16,400 - 164,000 60% 75% >164,000 75%

TUBA.MC TUBACEX SA SPAIN yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

TLGO.MC Talgo SA SPAIN Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

TRE.MC Tecnicas Reunidas SA SPAIN yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 180,000 30% 50% >180,000 75%

TECM.MC Tecnocom SA SPAIN yes No 0.3% 0 - 9,400 25% 9,400 - 18,800 40% 40% 18,800 - 37,400 60% 75% >37,400 75%

TQT.MC Tecnoquark Trust SA SPAIN Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

TEF.MC Telefonica SA SPAIN yes Yes 0.3% 0 - 110,000 5% 110,000 - 529,100 10% 10% 529,100 - 2,117,500 20% 40% >2,117,500 75%

TPZ.MC Telepizza Group SA SPAIN yes No 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 30,000 50% 60% >30,000 75%

TUR.MC Tubos Reunidos SA SPAIN yes No 0.3% 0 - 6,800 25% 6,800 - 13,600 40% 40% 13,600 - 105,400 60% 75% >105,400 75%

UBS.MC Urbas Grupo Financiero SA SPAIN yes No 0.3% 0 - 425,000 25% 425,000 - 2,499,000 40% 40% 2,499,000 - 8,500,000 60% 75% >8,500,000 75%

VID.MC Vidrala SA SPAIN yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,500 60% 75% >10,500 75%

VIS.MC Viscofan SA SPAIN yes Yes 0.3% 0 - 2,000 10% 2,000 - 20,000 20% 20% 20,000 - 140,000 30% 50% >140,000 75%

VOC.MC Vocento SPAIN yes No 0.3% 0 - 6,300 25% 6,300 - 12,600 40% 40% 12,600 - 57,700 60% 75% >57,700 75%

ZOT.MC Zardoya Otis SA SPAIN yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

EDRE.MC eDreams ODIGEO SA SPAIN yes No 0.3% 0 - 25,000 10% 25,000 - 100,000 20% 20% 100,000 - 200,000 35% 45% >200,000 75%

ABBN.VX ABB Limited SWITZERLAN Yes Yes 0.3% 0 - 40,000 5% 40,000 - 323,200 10% 10% 323,200 - 1,280,000 20% 40% >1,280,000 75%

AFGN.S AFG Arbonia-Forster-Holding AG SWITZERLAN Yes - No CR No 0.3% 0 - 6,000 25% 6,000 - 36,000 40% 40% 36,000 - 59,994,000 75% 75% >59,994,000 ERROR

ARYN.VX ARYZTA AG SWITZERLAN Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ATLN.VX Actelion Limited SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 220,500 20% 40% >220,500 75%

ADEN.VX Adecco SA SWITZERLAN Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 249,000 20% 40% >249,000 75%

ALLN.S Allreal Holding AG SWITZERLAN Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

ASCN.S Ascom Holding AG SWITZERLAN Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

BION.S BB Biotech AG SWITZERLAN Yes - No CR No 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

BLIN.S BFW Liegenschaften AG SWITZERLAN Yes Yes 0.3% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

BKWB.S BKW Inc SWITZERLAN No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,400 60% 75% >8,400 75%

BALN.VX Baloise Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

BARN.S Barry Callebaut AG SWITZERLAN Yes Yes 0.3% 0 - 600 15% 600 - 2,000 25% 25% 2,000 - 3,100 40% 55% >3,100 75%

BSLN.S Basilea Pharmaceutica AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BOBNN.S Bobst Group SA SWITZERLAN Yes - No CR No 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 39,996,000 75% 75% >39,996,000 ERROR

BOS.S Bossard Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 6,000 60% 75% >6,000 75%

BUCN.S Bucher Industrie SA SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 5,700 50% 60% >5,700 75%






BCHN.S Burckhardt Compression Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,500 75% 75% >3,500 75%

VCH.S Charles Voegele Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 20,100 60% 75% >20,100 75%

LISP.S Chocoladefabriken Lindt & Sprungli AG SWITZERLAN Yes Yes 0.3% 0 - 100 10% 100 - 400 20% 20% 400 - 800 35% 45% >800 75%

CLN.VX Clariant AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CFR.VX Compagnie Financiere Richemont SA SWITZERLAN Yes Yes 0.3% 0 - 4,000 5% 4,000 - 60,000 10% 10% 60,000 - 328,000 20% 40% >328,000 75%

COPN.S Cosmo Pharmaceuticals SpA SWITZERLAN yes Yes 0.3% 0 - 3,000 20% 3,000 - 9,000 30% 30% 9,000 - 12,000 50% 60% >12,000 75%

CSGN.VX Credit Suisse Group AG SWITZERLAN Yes Yes 0.3% 0 - 38,500 5% 38,500 - 332,200 10% 10% 332,200 - 1,347,500 20% 40% >1,347,500 75%

DKSH.S DKSH Holding Limited SWITZERLAN Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 45,000 35% 45% >45,000 75%

DAE.S Datwyler Holding Inc SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 7,000 50% 60% >7,000 75%

DUFN.S Dufry AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

EFGN.S EFG International AG SWITZERLAN No Yes 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 19,200 60% 75% >19,200 75%

EMSN.S EMS-Chemie Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 8,400 40% 55% >8,400 75%

EPH.S Eastern Property Holdings Limited SWITZERLAN No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

EMMN.S Emmi AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EVE.S Evolva Holding SA SWITZERLAN Yes - No CR Yes 0.3% 0 - 170,000 20% 170,000 - 510,000 30% 30% 510,000 - 680,000 50% 60% >680,000 75%

FHZN.S Flughafen Zurich AG SWITZERLAN Yes Yes 0.3% 0 - 5,000 15% 5,000 - 15,000 25% 25% 15,000 - 21,700 40% 55% >21,700 75%

FORN.S Forbo Holding AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 49,995,000 75% 75% >49,995,000 ERROR

GAMH.S GAM Holding AG SWITZERLAN Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

GALN.VX Galenica Limited SWITZERLAN Yes Yes 0.3% 0 - 800 10% 800 - 4,100 20% 20% 4,100 - 9,400 35% 45% >9,400 75%

GEBN.VX Geberit AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 45,000 20% 40% >45,000 75%

FIN.S Georg Fischer AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 5,700 20% 20% 5,700 - 8,800 35% 45% >8,800 75%

GIVN.VX Givaudan SA SWITZERLAN Yes Yes 0.3% 0 - 1,000 5% 1,000 - 5,200 10% 10% 5,200 - 15,000 20% 40% >15,000 75%

GUR.S Gurit Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

HBMN.S HBM Healthcare Investment SA SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,100 60% 75% >9,100 75%

HIAG.S HIAG Immobilien Holding AG SWITZERLAN Yes No 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 10,000 50% 60% >10,000 75%

HELN.S Helvetia Holding AG SWITZERLAN Yes No 0.3% 0 - 1,000 15% 1,000 - 3,000 25% 25% 3,000 - 5,600 40% 55% >5,600 75%

IFCN.S INFICON Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ISN.S Intershop Holding AG SWITZERLAN Yes Yes 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

BAER.VX Julius Baer Group Limited SWITZERLAN Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 300,000 20% 40% >300,000 75%

KOMN.S Komax Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 5,400 50% 60% >5,400 75%

KUD.S Kudelski SA SWITZERLAN Yes Yes 0.3% 0 - 9,000 25% 9,000 - 18,000 40% 40% 18,000 - 36,000 60% 75% >36,000 75%

KNIN.VX Kuehne + Nagel International AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

KUNN.S Kuoni Reisen Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 4,400 50% 60% >4,400 75%

LHN.VX LafargeHolcim Limited SWITZERLAN Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 423,000 20% 40% >423,000 75%

LEON.S Leonteq AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 20,000 35% 45% >20,000 75%

LOGN.S Logitech International SA SWITZERLAN Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

LONN.VX Lonza Group Limited SWITZERLAN Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

MBTN.S Meyer Burger Technology AG SWITZERLAN Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

MASN.S Micronas Semiconductor Holding AG SWITZERLAN Yes Yes 0.3% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 22,000 60% 75% >22,000 75%

MOBN.S Mobimo Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

MYRN.S Myriad Group AG SWITZERLAN Yes No 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 162,500 60% 75% >162,500 75%

NESN.VX Nestle SA SWITZERLAN Yes Yes 0.3% 0 - 15,000 5% 15,000 - 110,400 10% 10% 110,400 - 435,000 20% 40% >435,000 75%

NWRN.S Newron Pharmaceuticals SpA SWITZERLAN Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 24,997,500 75% 75% >24,997,500 ERROR

NOVN.VX Novarti SA SWITZERLAN Yes Yes 0.3% 0 - 15,000 5% 15,000 - 99,000 10% 10% 99,000 - 390,000 20% 40% >390,000 75%

OERL.S OC Oerlikon Corporation AG SWITZERLAN Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

ODHN.S Orascom Development Holding AG SWITZERLAN No Yes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 15,000 50% 60% >15,000 75%

PSPN.S PSP Swiss Property AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

PWTN.S Panalpina World Transport Holding Limited SWITZERLAN Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 14,500 40% 55% >14,500 75%

PARG.S Pargesa Holding SA SWITZERLAN Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

PGHN.S Partners Group Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

RIEN.S Rieter Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 5,900 50% 60% >5,900 75%

ROG.S Roche Holding AG SWITZERLAN Yes Yes 0.3% 0 - 4,000 5% 4,000 - 27,800 10% 10% 27,800 - 112,000 20% 40% >112,000 75%

SGSN.VX SGS SA SWITZERLAN Yes Yes 0.3% 0 - 700 5% 700 - 3,300 10% 10% 3,300 - 7,500 20% 40% >7,500 75%

SANN.S Santhera Pharmaceuticals Holding AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

SAHN.S Schaffner Holding AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

SCHN.S Schindler Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 15,200 40% 55% >15,200 75%

STLN.S Schmolz + Bickenbach AG SWITZERLAN Yes Yes 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%

SFZN.S Siegfried Holding AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

SIK.VX Sika AG SWITZERLAN Yes Yes 0.3% 0 - 200 10% 200 - 1,100 20% 20% 1,100 - 2,000 35% 45% >2,000 75%

SOON.VX Sonova Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

STMN.S Straumann Holding AG SWITZERLAN Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 16,200 40% 55% >16,200 75%

SUN.S Sulzer Limited SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SRCG.S Sunrise Communications Group AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

SLHN.VX Swiss Life Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SPSN.S Swiss Prime Site AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

SRENH.VX Swiss Re Limited SWITZERLAN Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 352,000 20% 40% >352,000 75%

SCMN.VX Swisscom AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 50,000 20% 40% >50,000 75%

SQN.S Swissquote Group Holding Limited SWITZERLAN Yes Yes 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

SYNN.VX Syngenta AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 2,400 5% 2,400 - 7,200 10% 10% 7,200 - 9,600 30% 40% >9,600 75%

TECN.S Tecan Group Limited SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 9,600 50% 60% >9,600 75%

TEMN.S Temenos Group AG SWITZERLAN Yes No 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

UHRN.S The Swatch Group AG SWITZERLAN Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

UHR.VX The Swatch Group AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 50,000 20% 40% >50,000 75%

RIGN.S Transocean Limited SWITZERLAN No No 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 756,000 20% 40% >756,000 75%

EGEUAS.S UBS ETFs plc - MSCI EMU Growth SF UCITS ESWITZERLAN Yes No 0.3% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

UBSG.VX UBS Group AG SWITZERLAN Yes Yes 0.3% 0 - 80,000 5% 80,000 - 480,000 10% 10% 480,000 - 5,680,000 25% 40% >5,680,000 75%

VATN.S Valiant Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 8,900 50% 60% >8,900 75%

VALN.S Valora Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,400 50% 60% >3,400 75%

ROL.S Von Roll Holding AG SWITZERLAN Yes No 0.3% 0 - 8,300 25% 8,300 - 16,600 40% 40% 16,600 - 66,400 60% 75% >66,400 75%

VONN.S Vontobel Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,200 60% 75% >17,200 75%

WARN.S Warteck Invest AG SWITZERLAN Yes Yes 0.3% 0 - 100 25% 100 - 100 40% 40% 100 - 999,900 75% 75% >999,900 ERROR

YPSN.S Ypsomed Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

ZGLD.S ZKB Gold ETF AA CHF Klasse SWITZERLAN Yes Yes 0.3% 0 - 5,000 15% 5,000 - 10,000 25% 25% 10,000 - 50,000 40% 55% >50,000 75%

ZGLDEU.S ZKB Gold ETF AA EUR Klasse SWITZERLAN Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%

ZGLDUS.S ZKB Gold ETF AA USD Klasse SWITZERLAN No Yes 0.3% 0 - 3,000 10% 3,000 - 15,000 20% 20% 15,000 - 30,000 35% 45% >30,000 75%

ZSIL.S ZKB Silver ETF AA CHF Klasse SWITZERLAN Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 25,000 35% 45% >25,000 75%

ZURN.VX Zurich Insurance Group AG SWITZERLAN Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 110,000 20% 40% >110,000 75%

AMS.S am SA SWITZERLAN Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

GATE.S gategroup Holding AG SWITZERLAN Yes Yes 0.3% 0 - 2,000 20% 2,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ISIUES.S iShares S&P 500 Energy Sector UCITS ETF SWITZERLAN Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

CSSMI.S iShares SMI(r) (CH) SWITZERLAN Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 300,000 35% 45% >300,000 75%

MOZN.S mobilezone holding ag SWITZERLAN No Yes 0.3% 0 - 6,200 25% 6,200 - 18,600 40% 40% 18,600 - 24,800 60% 75% >24,800 75%

UBXN.S u-blox Holding AG SWITZERLAN Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 13,500 50% 60% >13,500 75%

SPA.L 1Spatial PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,159 25% 1,159 - 2,318 30% 30% 2,318 - 3,477 50% 75% >3,477 75%

OPM.L 1pm PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 75% >500 75%

C21.L 21st Century Technology PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 75% >1,000 75%

TTRL.L 32Red PLC UNITED KINGDYes - No CR Yes 1% 0 - 120 25% 120 - 240 30% 30% 240 - 360 50% 75% >360 75%

365.L 365 Agile Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 9 40% 40% 9 - 29,997 75% 75% >29,997 ERROR

III.L 3i Group PLC UNITED KINGDYes Yes 0.3% 0 - 800 10% 800 - 4,752 20% 20% 4,752 - 8,400 35% 45% >8,400 75%

3IN.L 3i Infrastructure PLC UNITED KINGDYes Yes 0.3% 0 - 1,814 20% 1,814 - 5,387 30% 30% 5,387 - 5,895 50% 60% >5,895 75%

DDDD.L 4D pharma PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

FOUR.L 4imprint Group PLC UNITED KINGDYes Yes 1% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

7DIG.L 7Digital Group PLC UNITED KINGDYes - No CR No 1% 0 - 25 25% 25 - 50 30% 30% 50 - 75 50% 75% >75 75%

88E.L 88 Energy Limited UNITED KINGDYes - No CR No 1% 0 - 10,000 25% 10,000 - 20,000 30% 30% 20,000 - 30,000 50% 75% >30,000 75%

888.L 888 Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 1,400 20% 1,400 - 4,256 30% 30% 4,256 - 4,956 75% 75% >4,956 75%

MKLW.L A&J Mucklow Group PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

BAG.L A.G.Barr PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 371 60% 75% >371 75%

AAAA.L AA PLC UNITED KINGDYes Yes 0.3% 0 - 875 10% 875 - 5,250 20% 20% 5,250 - 10,500 35% 45% >10,500 75%

ABDP.L AB Dynamics PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 30 40% 40% 30 - 60 50% 75% >60 75%

AFN.L ADVFN PLC UNITED KINGDYes - No CR No 1% 0 - 109 25% 109 - 218 30% 30% 218 - 327 50% 75% >327 75%

AEWU.L AEW UK REIT PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 210 40% 40% 210 - 390 50% 75% >390 75%

AFEN.L AFC Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,500 25% 3,500 - 7,000 30% 30% 7,000 - 10,500 50% 75% >10,500 75%

AFHP.L AFH Financial Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

AFRBb.L AFI Development PLC UNITED KINGDYes - No CR No 0.7% 0 - 35,000 25% 35,000 - 109,900 40% 40% 109,900 - 127,400 75% 75% >127,400 75%

AFIDLq.L AFI Development PLC UNITED KINGDYes - No CR No 1% 0 - 21,600 25% 21,600 - 43,200 40% 40% 43,200 - 113,100 60% 75% >113,100 75%

AIEA.L AIREA PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

AGLE.L ANGLE PLC UNITED KINGDYes - No CR Yes 1% 0 - 113 25% 113 - 226 30% 30% 226 - 339 50% 75% >339 75%

AO.L AO World PLC UNITED KINGDYes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 18,000 35% 45% >18,000 75%

APCL.L APC Technology Group PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 750 50% 75% >750 75%

APREN.L APR Energy PLC UNITED KINGDNo Yes 0.7% 0 - 200 20% 200 - 600 30% 30% 600 - 1,002 50% 60% >1,002 75%

ARM.L ARM Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 1,100 5% 1,100 - 5,368 10% 10% 5,368 - 20,075 20% 40% >20,075 75%

ASOS.L ASOS PLC UNITED KINGDYes Yes 0.7% 0 - 30 10% 30 - 200 20% 20% 200 - 1,500 35% 45% >1,500 75%

ATQT.L ATTRAQT Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

AVV.L AVEVA Group PLC UNITED KINGDYes Yes 0.3% 0 - 200 15% 200 - 600 25% 25% 600 - 738 40% 55% >738 75%

ABBY.L Abbey PLC UNITED KINGDStockbroking onlyNo 1% 0 - 11 25% 11 - 22 30% 30% 22 - 33 50% 75% >33 75%

ABCA.L Abcam PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 2,345 50% 60% >2,345 75%

AAIF.L Aberdeen Asian Income Fund Limited UNITED KINGDYes Yes 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,615 60% 75% >1,615 75%

AAS.L Aberdeen Asian Smaller Companies Investmen UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 487 60% 75% >487 75%

ADN.L Aberdeen Asset Management PLC UNITED KINGDYes Yes 0.3% 0 - 500 5% 500 - 5,000 10% 10% 5,000 - 25,000 20% 40% >25,000 75%

AJIT.L Aberdeen Japan Investment Trust PLC UNITED KINGDStockbroking onlyYes 1% 0 - 29 25% 29 - 58 30% 30% 58 - 87 50% 75% >87 75%






ALAIF.L Aberdeen Latin American Income Fund Limited UNITED KINGDStockbroking onlyNo 0.3% 0 - 450 10% 450 - 1,350 20% 20% 1,350 - 4,499,550 75% 75% >4,499,550 ERROR

ABD.L Aberdeen New Dawn Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 650 60% 75% >650 75%

ANW.L Aberdeen New Thai Investment Trust PLC UNITED KINGDYes Yes 1% 0 - 90 25% 90 - 250 40% 40% 250 - 292 60% 75% >292 75%

APEF.L Aberdeen Private Equity Fund Limited UNITED KINGDYes No 0.7% 0 - 132 25% 132 - 264 40% 40% 264 - 330 75% 75% >330 75%

ASCHI.L Aberdeen Smaller Companies High Income Tru UNITED KINGDYes - No CR No 1% 0 - 44 25% 44 - 88 30% 30% 88 - 132 50% 75% >132 75%

AUKT.L Aberdeen UK Tracker Trust PLC UNITED KINGDYes Yes 0.3% 0 - 32 25% 32 - 64 40% 40% 64 - 253 60% 75% >253 75%

AGITo.L Aberforth Geared Income Trust PLC UNITED KINGDYes No 0.3% 0 - 50 10% 50 - 200 20% 20% 200 - 499,950 75% 75% >499,950 ERROR

AGIT.L Aberforth Geared Income Trust PLC UNITED KINGDYes Yes 0.3% 0 - 430 10% 430 - 1,290 20% 20% 1,290 - 4,299,570 75% 75% >4,299,570 ERROR

ASL.L Aberforth Smaller Companies Trust PLC UNITED KINGDYes Yes 0.3% 0 - 300 25% 300 - 900 40% 40% 900 - 969 60% 75% >969 75%

ABZA.L Abzena PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

ACAA.L Acacia Mining PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 800 15% 800 - 4,752 25% 25% 4,752 - 6,096 40% 55% >6,096 75%

ACL.L Acal PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,050 75% 75% >1,050 75%

ACCI.L Access Intelligence PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 1,000 50% 75% >1,000 75%

ACCS.L Accsys Technologies PLC UNITED KINGDYes Yes 1% 0 - 340 25% 340 - 999 40% 40% 999 - 1,105 60% 75% >1,105 75%

ACD.L Acencia Debt Strategies Limited UNITED KINGDYes No 1% 0 - 20,000 25% 20,000 - 35,000 40% 40% 35,000 - 199,980,000 75% 75% >199,980,000 ERROR

AIF.L Acorn Income Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 10 10% 10 - 60 16% 16% 60 - 300 20% 30% >300 30%

ACOA.L Acorn Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

AHCG.L Action Hotels PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,250 50% 75% >1,250 75%

AEGR.L Active Energy Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 4,211 25% 4,211 - 8,422 30% 30% 8,422 - 12,633 50% 75% >12,633 75%

ACTA.L Actual Experience PLC UNITED KINGDStockbroking onlyYes 1% 0 - 20 25% 20 - 60 40% 40% 60 - 160 50% 60% >160 75%

ADT.L AdEPT Telecom PLC UNITED KINGDYes - No CR Yes 1% 0 - 7 25% 7 - 52 40% 40% 52 - 97 50% 75% >97 75%

ADAM.L Adamas Finance Asia Limited UNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

ADAA.L Adams PLC UNITED KINGDStockbroking onlyNo 1% 0 - 114,200 25% 114,200 - 228,400 30% 30% 228,400 - 342,600 50% 75% >342,600 75%

ADGO.L Adgorithms Limited UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 120 40% 40% 120 - 400 50% 60% >400 75%

ADML.L Admiral Group PLC UNITED KINGDYes Yes 0.7% 0 - 700 10% 700 - 2,100 20% 20% 2,100 - 2,499 30% 50% >2,499 75%

ADMF.L Advance Developing Markets Fund Limited UNITED KINGDYes Yes 0.3% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

AFMF.L Advance Frontier Markets Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 175 25% 175 - 350 30% 30% 350 - 525 50% 75% >525 75%

AMSU.L Advanced Medical Solutions Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,625 60% 75% >1,625 75%

AVO.L Advanced Oncotherapy PLC UNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 12,000 30% 30% 12,000 - 24,000 50% 75% >24,000 75%

AEC.L Aec Education PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

AEO.L Aeorema Communications PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 100 40% 40% 100 - 199,980 75% 75% >199,980 ERROR

AFRK.L Afarak Group Oyj UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

AFRIA.L AfriAg PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 21,000 50% 75% >21,000 75%

ACU.L African Copper PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 20,000 30% 30% 20,000 - 30,000 50% 75% >30,000 75%

AFPO.L African Potash Limited UNITED KINGDYes - No CR No 1% 0 - 900 25% 900 - 5,400 40% 40% 5,400 - 29,700 50% 75% >29,700 75%

AMPH.L Aggregated Micro Power Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

AGGK.L Aggreko PLC UNITED KINGDYes Yes 0.3% 0 - 571 10% 571 - 1,713 20% 20% 1,713 - 4,042 30% 50% >4,042 75%

AGTAR.L Agriterra Limited UNITED KINGDStockbroking onlyYes 1% 0 - 4,762 25% 4,762 - 9,524 40% 40% 9,524 - 11,905 75% 75% >11,905 75%

AIRA.L Air Partner PLC UNITED KINGDYes Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 113 60% 75% >113 75%

AKR.L Akers Biosciences Inc UNITED KINGDStockbroking onlyNo 1% 0 - 70 25% 70 - 140 30% 30% 140 - 210 50% 75% >210 75%

ALBA.L Alba Mineral Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 40,500 50% 75% >40,500 75%

AADV.L Albion Development VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

AAEV.L Albion Enterprise VCT PLC UNITED KINGDYes - No CR No 1% 0 - 3 10% 3 - 9 16% 16% 9 - 15 20% 30% >15 30%

AATG.L Albion Technology & General VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

AAVC.L Albion Venture Capital Trust PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 40 20% 30% >40 30%

AEFS.L Alcentra European Floating Rate Income Fund LUNITED KINGDYes No 0.3% 0 - 60 10% 60 - 180 20% 20% 180 - 300 35% 45% >300 75%

ALD.L Aldermore Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 1,500 40% 40% 1,500 - 5,000 50% 60% >5,000 75%

ALOE.L Alecto Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 42,000 50% 75% >42,000 75%

AXM.L Alexander Mining PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,778 25% 1,778 - 3,556 30% 30% 3,556 - 5,334 50% 75% >5,334 75%

AAAL.L All Asia Asset Capital Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

ALGP.L All Leisure Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

AGY.L Allergy Therapeutics PLC UNITED KINGDYes - No CR No 1% 0 - 762 25% 762 - 1,524 30% 30% 1,524 - 2,286 50% 75% >2,286 75%

ALAPH.L Alliance Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 300 25% 300 - 600 30% 30% 600 - 900 50% 75% >900 75%

ATST.L Alliance Trust PLC UNITED KINGDYes Yes 0.3% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 2,600 50% 60% >2,600 75%

RTT.L Allianz Technology Trust PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

ALML.L Allied Minds PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 2,000 60% 75% >2,000 75%

ALPH.L Alpha Pyrenees Trust UNITED KINGDStockbroking onlyNo 1% 0 - 1,905 25% 1,905 - 3,810 30% 30% 3,810 - 5,715 50% 75% >5,715 75%

ARTL.L Alpha Real Trust Limited UNITED KINGDYes - No CR No 1% 0 - 20 10% 20 - 100 16% 16% 100 - 199,980 30% 30% >199,980 ERROR

ARGP.L Alpha Returns Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

TLI_p.L Alternative Asset Opportunities PCC Limited UNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 300 16% 16% 300 - 500 20% 30% >500 30%

ALFAL.L Alternative Liquidity Fund Limited UNITED KINGDYes - No CR No 0.7% 0 - 16,000 15% 16,000 - 48,000 25% 25% 48,000 - 80,000 40% 55% >80,000 75%

ALTAN.L Alternative Networks PLC UNITED KINGDYes Yes 1% 0 - 50 25% 50 - 150 40% 40% 150 - 175 75% 75% >175 75%

ALTNq.L Altin AG UNITED KINGDYes - No CR No 1% 0 - 0 10% 0 - 200 16% 16% 200 - 499,900 30% 30% >499,900 ERROR

ALT.L Altitude Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

ALRE.L Altona Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 7,273 25% 7,273 - 14,546 30% 30% 14,546 - 21,819 50% 75% >21,819 75%

AMARA.L Amara Mining PLC UNITED KINGDNo Yes 0.7% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 7,000 75% 75% >7,000 75%

AT2A.L Amati VCT 2 PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

ATIV.L Amati VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

EWR.L Ambrian PLC UNITED KINGDYes - No CR Yes 1% 0 - 899 25% 899 - 1,798 30% 30% 1,798 - 2,697 50% 75% >2,697 75%

AMFW.L Amec Foster Wheeler PLC UNITED KINGDYes Yes 0.7% 0 - 454 10% 454 - 2,270 20% 20% 2,270 - 5,221 35% 45% >5,221 75%

AA4A.L Amedeo Air Four Plus Limited Fund UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

AMEDA.L Amedeo Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 6,780 25% 6,780 - 13,560 30% 30% 13,560 - 20,340 50% 75% >20,340 75%

AMER.L Amerisur Resources PLC UNITED KINGDYes Yes 1% 0 - 3,000 20% 3,000 - 9,000 30% 30% 9,000 - 11,580 50% 60% >11,580 75%

AFS.L Amiad Water Systems Limited UNITED KINGDYes - No CR No 1% 0 - 39 25% 39 - 78 30% 30% 78 - 117 50% 75% >117 75%

AMNX.L Aminex PLC UNITED KINGDYes - No CR Yes 1% 0 - 10,309 25% 10,309 - 20,618 30% 30% 20,618 - 30,927 50% 75% >30,927 75%

AMO.L Amino Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 450 30% 30% 450 - 900 50% 75% >900 75%

AML.L Amlin PLC UNITED KINGDYes Yes 0.3% 0 - 500 15% 500 - 3,000 25% 25% 3,000 - 4,230 40% 55% >4,230 75%

AMAMP.L Amphion Innovations PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,424 25% 2,424 - 4,848 30% 30% 4,848 - 7,272 50% 75% >7,272 75%

AMYT.L Amryt Pharma PLC UNITED KINGDYes - No CR No 1% 0 - 80 25% 80 - 480 40% 40% 480 - 800 50% 75% >800 75%

ESM.L Amundi ETF Euro Stoxx Small Cap UCITS ETFUNITED KINGDYes No 0.3% 0 - 35 10% 35 - 210 20% 20% 210 - 385 35% 45% >385 75%

EPRE.L Amundi ETF FTSE EPRA Europe Real Estate UUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

JPHG.L Amundi ETF Jpx-Nikkei 400 UCITS ETF Daily HUNITED KINGDYes No 0.3% 0 - 7 10% 7 - 42 20% 20% 42 - 70 35% 45% >70 75%

JPNY.L Amundi ETF Jpx-Nikkei 400 UCITS ETF JPY UNITED KINGDYes No 0.3% 0 - 12 10% 12 - 72 20% 20% 72 - 96 35% 45% >96 75%

AASI.L Amundi ETF MSCI EM Asia UCITS ETF EUR UNITED KINGDYes No 0.3% 0 - 52 10% 52 - 312 20% 20% 312 - 520 35% 45% >520 75%

ALAT.L Amundi ETF MSCI EM Latin America UCITS ETUNITED KINGDYes No 0.3% 0 - 69 10% 69 - 414 20% 20% 414 - 759 35% 45% >759 75%

CE9G.L Amundi ETF MSCI Eastern Europe ex Russia UUNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

AEEM.L Amundi ETF MSCI Emerging Markets UCITS ETUNITED KINGDYes No 0.3% 0 - 310 10% 310 - 1,860 20% 20% 1,860 - 3,100 35% 45% >3,100 75%

CD6.L Amundi ETF MSCI Europe Consumer Discretio UNITED KINGDYes No 0.3% 0 - 8 10% 8 - 48 20% 20% 48 - 80 35% 45% >80 75%

ANRJ.L Amundi ETF MSCI Europe Energy UCITS ETF UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

CH5.L Amundi ETF MSCI Europe Healthcare UCITS E UNITED KINGDYes No 0.3% 0 - 7 10% 7 - 42 20% 20% 42 - 70 35% 45% >70 75%

CI2G.L Amundi ETF MSCI India UCITS ETF USD UNITED KINGDYes No 1% 0 - 5 25% 5 - 30 40% 40% 30 - 50 60% 75% >50 75%

CI1.L Amundi ETF MSCI Italy UCITS ETF UNITED KINGDYes No 0.3% 0 - 13 10% 13 - 78 20% 20% 78 - 104 35% 45% >104 75%

CP9G.L Amundi ETF MSCI Pacific ex Japan UCITS ETFUNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

CS1.L Amundi ETF MSCI Spain UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

AMCWEG.L Amundi ETF MSCI World Energy UCITS ETF U UNITED KINGDYes No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 195 60% 75% >195 75%

CWFG.L Amundi ETF MSCI World Financials UCITS ETFUNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

ANXU.L Amundi ETF NASDAQ-100 UCITS ETF USD UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

BYBG.L Amundi ETF S&P 500 Buyback UCITS ETF US UNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

A7L.L Amur Minerals Corporation UNITED KINGDYes - No CR Yes 1% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 5,000 75% 75% >5,000 75%

ADL.L Andalas Energy and Power PLC UNITED KINGDStockbroking onlyNo 1% 0 - 13,986 25% 13,986 - 27,972 30% 30% 27,972 - 41,958 50% 75% >41,958 75%

AEN.L Andes Energia PLC UNITED KINGDYes Yes 0.7% 0 - 153 25% 153 - 306 40% 40% 306 - 359 60% 75% >359 75%

ANSY.L Andrews Sykes Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 10 40% 40% 10 - 26 50% 75% >26 75%

AYM.L Anglesey Mining PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,963 25% 2,963 - 5,926 30% 30% 5,926 - 8,889 50% 75% >8,889 75%

AAAP.L Anglo African Agriculture PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AAL.L Anglo American PLC UNITED KINGDYes Yes 0.3% 0 - 700 5% 700 - 3,262 10% 10% 3,262 - 13,125 20% 40% >13,125 75%

AAZ.L Anglo Asian Mining PLC UNITED KINGDStockbroking onlyYes 1% 0 - 488 25% 488 - 976 30% 30% 976 - 1,464 50% 75% >1,464 75%

ANEA.L Anglo Eastern Plantations PLC UNITED KINGDYes Yes 0.7% 0 - 15 25% 15 - 30 40% 40% 30 - 37 60% 75% >37 75%

APF.L Anglo Pacific Group PLC UNITED KINGDYes Yes 0.7% 0 - 418 25% 418 - 1,312 40% 40% 1,312 - 1,521 75% 75% >1,521 75%

ANCR.L Animalcare Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 5 25% 5 - 30 40% 40% 30 - 90 50% 75% >90 75%

ANP.L Anpario PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 300 50% 75% >300 75%

ANTO.L Antofagasta PLC UNITED KINGDYes Yes 0.3% 0 - 600 5% 600 - 5,358 10% 10% 5,358 - 9,450 20% 40% >9,450 75%

AEY.L Antrim Energy Inc UNITED KINGDNo Yes 1% 0 - 2,500 25% 2,500 - 5,000 30% 30% 5,000 - 7,500 50% 75% >7,500 75%

AOR.L AorTech International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 98 25% 98 - 196 30% 30% 196 - 294 50% 75% >294 75%

APAX.L Apax Global Alpha Limited UNITED KINGDYes - No CR Yes 1% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 8,000 50% 60% >8,000 75%

APGNA.L Applegreen PLC UNITED KINGDYes - No CR No 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 1,650 50% 60% >1,650 75%

AGMA.L Applied Graphene Materials PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 60% >200 75%

ABTU.L AquaBounty Technologies Inc UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

AFGA.L Aquatic Foods Group PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

ARBB.L Arbuthnot Banking Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10 25% 10 - 30 40% 40% 30 - 35 75% 75% >35 75%

ARC.L Arcontech Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 20,000 50% 75% >20,000 75%

ARDN.L Arden Partners PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

ARGOA.L Argo Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 708 25% 708 - 1,416 30% 30% 1,416 - 2,124 50% 75% >2,124 75%

ARGR.L Argos Resources Limited UNITED KINGDYes - No CR Yes 1% 0 - 727 25% 727 - 1,454 30% 30% 1,454 - 2,181 50% 75% >2,181 75%

AGQ.L Arian Silver Corporation UNITED KINGDYes - No CR Yes 1% 0 - 222 25% 222 - 444 30% 30% 444 - 666 50% 75% >666 75%

ARNR.L Ariana Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

ACPA.L Armadale Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 150,000 50% 60% >150,000 75%

AVPA.L Armstrong Ventures PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 270,000 50% 75% >270,000 75%

NLG.L Arria NLG PLC UNITED KINGDYes - No CR No 1% 0 - 25 25% 25 - 50 30% 30% 50 - 75 50% 75% >75 75%

AROA.L Arricano Real Estate PLC UNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

ARWA.L Arrow Global Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%






ATS.L Artemis Alpha Trust PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

ATSS.L Artemis Alpha Trust PLC UNITED KINGDYes - No CR No 1% 0 - 30 10% 30 - 90 16% 16% 90 - 299,970 30% 30% >299,970 ERROR

AAM.L Artemis VCT PLC UNITED KINGDYes - No CR No 1% 0 - 20 10% 20 - 60 16% 16% 60 - 100 20% 30% >100 30%

ARTA.L Artilium PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,429 25% 1,429 - 2,858 30% 30% 2,858 - 4,287 50% 75% >4,287 75%

ASA.L Asa Resource Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 7,750 25% 7,750 - 15,500 30% 30% 15,500 - 19,375 50% 75% >19,375 75%

ASCR.L Ascent Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 645 25% 645 - 1,290 30% 30% 1,290 - 1,935 50% 75% >1,935 75%

ASCL.L Ascential Group Limited UNITED KINGDYes Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

ASPL.L Aseana Properties Limited UNITED KINGDYes - No CR No 1% 0 - 37,800 25% 37,800 - 75,600 30% 30% 75,600 - 113,400 50% 75% >113,400 75%

ASH.L Ashley House PLC UNITED KINGDStockbroking onlyNo 1% 0 - 530 25% 530 - 1,060 30% 30% 1,060 - 1,590 50% 75% >1,590 75%

AGOLu.L Ashmore Global Opportunities Limited UNITED KINGDNo No 0.3% 0 - 2,000 10% 2,000 - 6,000 20% 20% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

AGOL.L Ashmore Global Opportunities Limited UNITED KINGDNo No 0.3% 0 - 2,000 10% 2,000 - 5,000 20% 20% 5,000 - 19,998,000 75% 75% >19,998,000 ERROR

ASHM.L Ashmore Group PLC UNITED KINGDYes Yes 0.3% 0 - 800 15% 800 - 4,752 25% 25% 4,752 - 5,648 40% 55% >5,648 75%

AHT.L Ashtead Group PLC UNITED KINGDYes Yes 0.7% 0 - 900 5% 900 - 4,500 10% 10% 4,500 - 13,500 25% 40% >13,500 75%

ACHPL.L Asia Ceramics Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

ARSA.L Asiamet Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,900 50% 75% >3,900 75%

ACHLA.L Asian Citrus Holdings Limited UNITED KINGDYes - No CR Yes 1% 0 - 684 25% 684 - 1,368 30% 30% 1,368 - 2,052 50% 75% >2,052 75%

AGP.L Asian Growth Properties Limited UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

ASTO.L Asset Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 35 25% 35 - 70 30% 30% 70 - 105 50% 75% >105 75%

ASBE.L Associated British Engineering PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

ABF.L Associated British Foods PLC UNITED KINGDYes Yes 0.3% 0 - 350 5% 350 - 1,771 10% 10% 1,771 - 4,287 20% 40% >4,287 75%

AGRP.L Assura PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 5,250 25% 5,250 - 15,015 40% 40% 15,015 - 17,062 60% 75% >17,062 75%

AZN.L AstraZeneca PLC UNITED KINGDYes Yes 0.3% 0 - 250 5% 250 - 1,237 10% 10% 1,237 - 4,937 20% 40% >4,937 75%

ATYM.L Atalaya Mining PLC UNITED KINGDYes - No CR Yes 1% 0 - 35 25% 35 - 70 30% 30% 70 - 105 50% 75% >105 75%

ATTR.L Athelney Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

ATCP.L Atlantic Coal PLC UNITED KINGDStockbroking onlyYes 1% 0 - 50,000 25% 50,000 - 100,000 30% 30% 100,000 - 150,000 50% 75% >150,000 75%

AJG.L Atlantis Japan Growth Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 84 25% 84 - 168 30% 30% 168 - 252 50% 75% >252 75%

ARL.L Atlantis Resources Limited UNITED KINGDStockbroking onlyYes 1% 0 - 30 25% 30 - 90 40% 40% 90 - 210 50% 75% >210 75%

AAI.L Atlas African Industries Limited UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 500 40% 40% 500 - 1,500 50% 75% >1,500 75%

ATMA.L Atlas Mara Limited UNITED KINGDStockbroking onlyNo 1% 0 - 3,400 25% 3,400 - 10,200 40% 40% 10,200 - 33,996,600 75% 75% >33,996,600 ERROR

AUCT.L Auctus Growth PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

BOOMA.L Audioboom Group PLC UNITED KINGDYes - No CR No 1% 0 - 300 25% 300 - 1,200 40% 40% 1,200 - 4,800 50% 75% >4,800 75%

AUG.L Augean PLC UNITED KINGDYes - No CR Yes 1% 0 - 230 25% 230 - 460 30% 30% 460 - 690 50% 75% >690 75%

ACEA.L Auhua Clean Energy PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

AUK.L Aukett Swanke Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

AUMA.L Aurasian Minerals PLC UNITED KINGDStockbroking onlyYes 1% 0 - 26,667 25% 26,667 - 53,334 30% 30% 53,334 - 80,001 50% 75% >80,001 75%

AUE.L Aureus Mining Inc UNITED KINGDYes - No CR Yes 1% 0 - 328 25% 328 - 656 30% 30% 656 - 984 50% 75% >984 75%

AURT.L Aurora Investment Trust PLC UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 120 30% 30% 120 - 180 50% 75% >180 75%

AURR.L Aurora Russia Limited UNITED KINGDStockbroking onlyNo 1% 0 - 471 25% 471 - 942 30% 30% 942 - 1,413 50% 75% >1,413 75%

AURU.L Aurum Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 6,154 25% 6,154 - 12,308 30% 30% 12,308 - 18,462 50% 75% >18,462 75%

AUTOA.L Auto Trader Group PLC UNITED KINGDYes Yes 1% 0 - 250 15% 250 - 1,500 25% 25% 1,500 - 10,000 45% 55% >10,000 75%

AVTG.L Avacta Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 80 25% 80 - 160 30% 30% 160 - 240 50% 75% >240 75%

AVGRq.L Avangardco Investments Public Limited UNITED KINGDYes - No CR No 1% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 10,400 60% 75% >10,400 75%

AVCA.L Avanti Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 50 40% 40% 50 - 199,980 75% 75% >199,980 ERROR

AVN.L Avanti Communications Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

AVR.L Avarae Global Coins PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

AVAP.L Avation PLC UNITED KINGDYes - No CR Yes 1% 0 - 74 25% 74 - 148 30% 30% 148 - 222 50% 75% >222 75%

AVS.L Avesco Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 89 25% 89 - 178 30% 30% 178 - 267 50% 75% >267 75%

AVG.L Avingtrans PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 195 50% 75% >195 75%

AV.L Aviva PLC UNITED KINGDYes Yes 0.7% 0 - 1,700 5% 1,700 - 10,846 10% 10% 10,846 - 35,700 20% 40% >35,700 75%

AVM.L Avocet Mining PLC UNITED KINGDYes No 0.7% 0 - 5,500 25% 5,500 - 15,015 40% 40% 15,015 - 17,985 60% 75% >17,985 75%

AVON.L Avon Rubber PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

APT.L Axa Property Trust UNITED KINGDYes Yes 0.7% 0 - 254 25% 254 - 508 40% 40% 508 - 695 60% 75% >695 75%

AXBKq.L Axis Bank Ltd UNITED KINGDYes - No CR Yes 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 40,500 60% 75% >40,500 75%

BMEB.L B&M European Value Retail SA UNITED KINGDYes - No CR Yes 1% 0 - 1,000 15% 1,000 - 3,000 30% 30% 3,000 - 6,000 50% 60% >6,000 75%

BPM.L B.P. Marsh & Partners PLC UNITED KINGDYes - No CR Yes 1% 0 - 7 25% 7 - 52 40% 40% 52 - 82 50% 75% >82 75%

EBLZ.L B.S.D. Crown Limited UNITED KINGDYes Yes 1% 0 - 269 25% 269 - 538 40% 40% 538 - 672 75% 75% >672 75%

BACT.L BACIT Limited UNITED KINGDStockbroking onlyYes 0.7% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 2,000 50% 60% >2,000 75%

BAES.L BAE Systems PLC UNITED KINGDYes Yes 0.3% 0 - 1,100 5% 1,100 - 9,999 10% 10% 9,999 - 29,700 20% 40% >29,700 75%

BFA.L BASF SE UNITED KINGDYes - No CR No 1% 0 - 300 5% 300 - 2,100 8% 8% 2,100 - 75,000 10% 15% >75,000 15%

BVC.L BATM Advanced Communications Limited UNITED KINGDYes Yes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,204 75% 75% >3,204 75%

BBA.L BBA Aviation PLC UNITED KINGDYes Yes 0.7% 0 - 1,100 20% 1,100 - 6,600 30% 30% 6,600 - 7,150 50% 60% >7,150 75%

BBGIB.L BBGI Sicav SA UNITED KINGDNo Yes 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 2,760 35% 45% >2,760 75%

BCA.L BCA Marketplace PLC UNITED KINGDYes Yes 1% 0 - 1,885 25% 1,885 - 5,655 40% 40% 5,655 - 18,848,115 75% 75% >18,848,115 ERROR

BCRE.L BCRE-Brack Capital Real Estate Investments NUNITED KINGDYes - No CR No 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

BCAP.L BECAP Fund LP UNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 300 16% 16% 300 - 750 20% 30% >750 30%

BCAPx.L BECAP12 Fund LP UNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 300 16% 16% 300 - 2,000 20% 30% >2,000 30%

BG.L BG Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 300 5% 300 - 600 20% 40% 600 - 1,500 50% 50% >1,500 75%

BGEO.L BGEO Group PLC UNITED KINGDYes Yes 0.7% 0 - 100 20% 100 - 300 30% 30% 300 - 517 50% 60% >517 75%

BHGGu.L BH Global Limited UNITED KINGDYes No 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 9,700 60% 75% >9,700 75%

BHGG.L BH Global Limited UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 350 75% 75% >350 75%

BHMG.L BH Macro Limited UNITED KINGDYes Yes 0.7% 0 - 100 20% 100 - 300 30% 30% 300 - 325 50% 60% >325 75%

BHMGx.L BH Macro Limited UNITED KINGDYes No 0.3% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 10,500 75% 75% >10,500 75%

BHMGu.L BH Macro Limited UNITED KINGDYes No 0.3% 0 - 18,500 10% 18,500 - 55,500 20% 20% 55,500 - 184,981,500 75% 75% >184,981,500 ERROR

BLT.L BHP Billiton PLC UNITED KINGDYes Yes 0.3% 0 - 500 5% 500 - 2,635 10% 10% 2,635 - 10,500 20% 40% >10,500 75%

BMRB.L BMR Mining PLC UNITED KINGDYes - No CR Yes 1% 0 - 5,800 25% 5,800 - 11,600 30% 30% 11,600 - 12,760 50% 75% >12,760 75%

BP.L BP PLC UNITED KINGDYes Yes 0.3% 0 - 1,700 5% 1,700 - 10,200 10% 10% 10,200 - 40,800 20% 40% >40,800 75%

BT.L BT Group PLC UNITED KINGDYes Yes 0.3% 0 - 2,500 5% 2,500 - 12,500 10% 10% 12,500 - 50,000 20% 40% >50,000 75%

BTG.L BTG PLC UNITED KINGDYes Yes 0.7% 0 - 500 15% 500 - 3,000 25% 25% 3,000 - 3,250 40% 55% >3,250 75%

BAB.L Babcock International Group PLC UNITED KINGDYes Yes 0.3% 0 - 900 10% 900 - 3,600 20% 20% 3,600 - 5,400 30% 50% >5,400 75%

BCNB.L Bacanora Minerals Limited UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 600 50% 60% >600 75%

BAGR.L Bagir Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

BPCB.L Bahamas Petroleum Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 3,500 25% 3,500 - 10,010 40% 40% 10,010 - 15,015 60% 75% >15,015 75%

BGS.L Baillie Gifford Shin Nippon PLC UNITED KINGDYes Yes 1% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

BSRT.L Baker Steel Resources Trust Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,074 25% 1,074 - 2,148 40% 40% 2,148 - 2,685 75% 75% >2,685 75%

BALF.L Balfour Beatty PLC UNITED KINGDYes Yes 0.3% 0 - 900 10% 900 - 5,499 20% 20% 5,499 - 10,350 35% 45% >10,350 75%

BVAB.L Banco Bilbao Vizcaya Argentaria SA UNITED KINGDYes - No CR No 1% 0 - 3,000 5% 3,000 - 21,000 8% 8% 21,000 - 210,000 10% 15% >210,000 15%

SANq.L Banco Santander SA UNITED KINGDYes Yes 0.7% 0 - 936 10% 936 - 4,680 20% 20% 4,680 - 18,720 35% 45% >18,720 75%

BGO.L Bango PLC UNITED KINGDYes - No CR Yes 1% 0 - 64 25% 64 - 128 30% 30% 128 - 192 50% 75% >192 75%

BMAOq.L Bank Muscat SAOG UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 24,997,500 75% 75% >24,997,500 ERROR

BAND.L Bank of America Corporation UNITED KINGDYes No 0.3% 0 - 2,000 5% 2,000 - 4,400 10% 10% 4,400 - 19,998,000 75% 75% >19,998,000 ERROR

BNKq.L Bankers Petroleum Limited UNITED KINGDYes - No CR No 1% 0 - 3 15% 3 - 9 24% 24% 9 - 29,997 45% 45% >29,997 ERROR

BARC.L Barclays PLC UNITED KINGDYes Yes 0.3% 0 - 3,000 5% 3,000 - 19,680 10% 10% 19,680 - 78,000 20% 40% >78,000 75%

BEE.L Baring Emerging Europe PLC UNITED KINGDYes Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 128 60% 75% >128 75%

BWOB.L Barloworld Limited UNITED KINGDYes No 0.7% 0 - 10 15% 10 - 30 25% 25% 30 - 99,990 75% 75% >99,990 ERROR

BOIL.L Baron Oil PLC UNITED KINGDStockbroking onlyYes 1% 0 - 7,273 25% 7,273 - 14,546 30% 30% 14,546 - 21,819 50% 75% >21,819 75%

BARV.L Baronsmead VCT 2 PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 100 20% 30% >100 30%

BRMD.L Baronsmead VCT 3 PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 150 20% 30% >150 30%

BNS4.L Baronsmead VCT 4 PLC UNITED KINGDYes - No CR No 1% 0 - 3 10% 3 - 21 16% 16% 21 - 99 20% 30% >99 30%

BAV.L Baronsmead VCT 5 UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 50 20% 30% >50 30%

BDV.L Baronsmead VCT PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 100 20% 30% >100 30%

BDEV.L Barratt Developments PLC UNITED KINGDYes Yes 0.7% 0 - 1,500 5% 1,500 - 9,000 10% 10% 9,000 - 22,500 20% 40% >22,500 75%

BSE.L Base Resources Limited UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

BHRD.L Be Heard Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 1,500 30% 30% 1,500 - 2,250 50% 75% >2,250 75%

BEZG.L Beazley PLC UNITED KINGDYes Yes 0.3% 0 - 1,200 20% 1,200 - 3,504 30% 30% 3,504 - 3,900 50% 60% >3,900 75%

BEG.L Begbies Traynor Group PLC UNITED KINGDYes Yes 0.7% 0 - 252 25% 252 - 504 40% 40% 504 - 713 60% 75% >713 75%

BVM.L Belgravium Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 75% >500 75%

BWY.L Bellway PLC UNITED KINGDYes Yes 0.7% 0 - 309 10% 309 - 948 20% 20% 948 - 1,820 35% 45% >1,820 75%

BZM.L Bellzone Mining PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,857 25% 2,857 - 5,714 40% 40% 5,714 - 7,142 75% 75% >7,142 75%

BLVB.L Belvoir Lettings PLC UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 22 40% 40% 22 - 30 50% 75% >30 75%

BMKB.L Benchmark Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 100 40% 40% 100 - 600 50% 75% >600 75%

BEM.L Beowulf Mining PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,105 25% 2,105 - 4,210 40% 40% 4,210 - 5,262 75% 75% >5,262 75%

BRSN.L Berendsen PLC UNITED KINGDYes Yes 0.3% 0 - 250 20% 250 - 750 30% 30% 750 - 812 50% 60% >812 75%

BKY.L Berkeley Energia Limited UNITED KINGDYes - No CR Yes 1% 0 - 656 25% 656 - 1,312 30% 30% 1,312 - 1,968 50% 75% >1,968 75%

BOTB.L Best of the Best PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

BXPq.L Beximco Pharmaceuticals Limited UNITED KINGDNo No 1% 0 - 12 99% 12 - 1,188 99% 99% 1,188 - 11,988 99% 99% >11,988 99%

BZT.L Bezant Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 920 25% 920 - 1,840 30% 30% 1,840 - 2,760 50% 75% >2,760 75%

BYG.L Big Yellow Group PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

BILBI.L Bilby PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

B4S.L Billing Services Group Limited UNITED KINGDStockbroking onlyYes 1% 0 - 3,200 25% 3,200 - 6,400 30% 30% 6,400 - 9,600 50% 75% >9,600 75%

BILN.L Billington Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

B8FI.L Biofrontera AG UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

BIOM.L Biome Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,000 30% 30% 1,000 - 1,500 50% 75% >1,500 75%

BIOQ.L Bioquell PLC UNITED KINGDYes - No CR Yes 1% 0 - 72 25% 72 - 144 30% 30% 144 - 216 50% 75% >216 75%

BVXP.L Bioventix PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 10 40% 40% 10 - 14,998 75% 75% >14,998 ERROR

BISI.L Bisichi Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 20 50% 75% >20 75%

BRCI.L BlackRock Commodities Income Investment Tr UNITED KINGDYes Yes 0.3% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

BEEP.L BlackRock Emerging Europe PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

BRFI.L BlackRock Frontiers Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 500 10% 500 - 1,500 20% 20% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

BRGE.L BlackRock Greater Europe Investment Trust PLUNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 328 60% 75% >328 75%

BRGS.L BlackRock Greater Europe Investment Trust PLUNITED KINGDYes - No CR No 0.3% 0 - 540 10% 540 - 1,620 20% 20% 1,620 - 5,399,460 75% 75% >5,399,460 ERROR






BIST.L BlackRock Income Strategies Trust PLC UNITED KINGDYes Yes 0.7% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

BRIGB.L BlackRock Income and Growth Investment TrusUNITED KINGDYes - No CR No 1% 0 - 61 25% 61 - 122 30% 30% 122 - 183 50% 75% >183 75%

BRLA.L BlackRock Latin American Investment Trust PL UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

BRNA.L BlackRock North American Income Trust PLC UNITED KINGDYes No 1% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

BRSC.L BlackRock Smaller Companies Trust PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

THRG.L BlackRock Throgmorton Trust PLC UNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 807 60% 75% >807 75%

BRWM.L BlackRock World Mining Trust PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 2,204 50% 60% >2,204 75%

BGLF.L Blackstone GSO Loan Financing Limited UNITED KINGDYes - No CR No 1% 0 - 5,000 10% 5,000 - 20,000 16% 16% 20,000 - 49,995,000 30% 30% >49,995,000 ERROR

BNRB.L Blenheim Natural Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 110 25% 110 - 440 40% 40% 440 - 1,099,890 75% 75% >1,099,890 ERROR

BLNX.L Blinkx PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 2,750 25% 2,750 - 14,987 40% 40% 14,987 - 25,795 60% 75% >25,795 75%

BLPU.L Bloomsbury Publishing PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

BCGR.L Blue Capital Global Reinsurance Fund Limited UNITED KINGDYes - No CR No 1% 0 - 2,000 10% 2,000 - 10,000 16% 16% 10,000 - 40,000 20% 30% >40,000 30%

BLP.L Blue Planet Investment Trust PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 300 40% 40% 300 - 600 50% 75% >600 75%

PRSMB.L Blue Prism PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 150 50% 60% >150 75%

BLUS.L Blue Star Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 2,500 50% 75% >2,500 75%

HMSF.L BlueCrest AllBlue Fund Limited UNITED KINGDYes Yes 0.3% 0 - 1,200 20% 1,200 - 3,504 30% 30% 3,504 - 3,900 50% 60% >3,900 75%

BABSu.L BlueCrest AllBlue Fund Limited UNITED KINGDYes - No CR No 1% 0 - 3,000 10% 3,000 - 9,000 16% 16% 9,000 - 21,000 20% 30% >21,000 30%

BBTS.L BlueCrest BlueTrend Limited UNITED KINGDYes Yes 0.3% 0 - 1,035 10% 1,035 - 3,105 20% 20% 3,105 - 10,348,965 75% 75% >10,348,965 ERROR

BRD.L BlueRock Diamonds PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

BSIF.L Bluefield Solar Income Fund Limited UNITED KINGDYes Yes 0.3% 0 - 1,475 10% 1,475 - 4,425 20% 20% 4,425 - 14,748,525 75% 75% >14,748,525 ERROR

BOY.L Bodycote PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 975 50% 60% >975 75%

BDI.L Bond International Software PLC UNITED KINGDYes - No CR Yes 1% 0 - 107 25% 107 - 214 30% 30% 214 - 321 50% 75% >321 75%

BONB.L Bonmarche Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 25 25% 25 - 200 40% 40% 200 - 300 50% 75% >300 75%

BOK.L Booker Group PLC UNITED KINGDYes Yes 0.7% 0 - 3,054 15% 3,054 - 9,253 25% 25% 9,253 - 13,376 40% 55% >13,376 75%

3HCL.L Boost Copper 3x Leverage Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3HCS.L Boost Copper 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

2UKS.L Boost FTSE 100 2X SHORT DAILY ETP UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

3UKL.L Boost FTSE 100 3x Leverage Daily ETP UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

3UKS.L Boost FTSE 100 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

2MCL.L Boost FTSE 250 2X Leverage Daily ETP UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

3GIS.L Boost Gilts 10Y 3x Short Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 10 40% 40% 10 - 20 60% 75% >20 75%

3LGO.L Boost Gold 3x Leverage Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 85 25% 85 - 510 40% 40% 510 - 765 60% 75% >765 75%

3SGO.L Boost Gold 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1 20% 1 - 7 32% 32% 7 - 15 48% 60% >15 60%

3LDE.L Boost LevDAX(r) 3x Daily ETP UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 60% 75% >500 75%

3DEL.L Boost LevDAX(r) 3x Daily ETP UNITED KINGDYes - No CR No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 900 35% 45% >900 75%

QQQ3.L Boost NASDAQ 100(r) 3x Leverage Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 1,000 40% 40% 1,000 - 2,000 60% 75% >2,000 75%

QQQS.L Boost NASDAQ 100(r) 3x Short Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 3,500 25% 3,500 - 21,000 40% 40% 21,000 - 38,500 60% 75% >38,500 75%

3NGL.L Boost Natural Gas 3x Leverage Daily ETP UNITED KINGDYes - No CR No 0.7% 0 - 10,000 20% 10,000 - 20,000 30% 30% 20,000 - 50,000 50% 60% >50,000 75%

3NGS.L Boost Natural Gas 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 200 20% 200 - 1,000 32% 32% 1,000 - 2,000 48% 60% >2,000 60%

3DES.L Boost ShortDAX(r) 3x Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3LSI.L Boost Silver 3x Leverage Daily ETP UNITED KINGDStockbroking onlyNo 1% 0 - 85 25% 85 - 510 40% 40% 510 - 765 60% 75% >765 75%

3SIL.L Boost Silver 3x Leverage Daily ETP UNITED KINGDYes - No CR No 1% 0 - 7,000 25% 7,000 - 11,200 40% 40% 11,200 - 14,000 60% 75% >14,000 75%

3SIS.L Boost Silver 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3USL.L Boost US Large Cap 3x Leverage Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3USS.L Boost US Large Cap 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3TYS.L Boost US Treasuries 10Y 3X Short daily ETP UNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

3OIL.L Boost WTI Oil 3x Leverage Daily ETP UNITED KINGDYes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

3LOI.L Boost WTI Oil 3x Leverage Daily ETP UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 180 40% 40% 180 - 300 60% 75% >300 75%

3OIS.L Boost WTI Oil 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

3SOI.L Boost WTI Oil 3x Short Daily ETP UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

BSTH.L Borders & Southern Petroleum PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 50% 60% >6,000 75%

BODP.L Botswana Diamonds PLC UNITED KINGDStockbroking onlyYes 1% 0 - 3,810 25% 3,810 - 7,620 30% 30% 7,620 - 11,430 50% 75% >11,430 75%

BGHS.L Boussard & Gavaudan Holding Limited UNITED KINGDStockbroking onlyYes 1% 0 - 1 25% 1 - 3 40% 40% 3 - 9,999 75% 75% >9,999 ERROR

BGHSx.L Boussard & Gavaudan Holding Limited UNITED KINGDYes - No CR No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 3,000 20% 30% >3,000 30%

BVS.L Bovis Homes Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 15% 400 - 1,200 25% 25% 1,200 - 1,536 40% 55% >1,536 75%

BLVN.L BowLeven PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 4,750 25% 4,750 - 15,010 40% 40% 15,010 - 15,532 60% 75% >15,532 75%

BOX.L Boxhill Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 75% >60,000 75%

BRDY.L Brady PLC UNITED KINGDYes - No CR Yes 1% 0 - 156 25% 156 - 624 30% 30% 624 - 1,248 50% 75% >1,248 75%

BRMS.L Braemar Shipping Services PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

BJU.L Brainjuicer Group PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 20 40% 40% 20 - 30 50% 62% >30 75%

BRAM.L Brammer PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,050 75% 75% >1,050 75%

BRH.L Braveheart Investment Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

BREE.L Breedon Aggregates Limited UNITED KINGDYes - No CR Yes 1% 0 - 300 25% 300 - 1,800 30% 30% 1,800 - 6,000 50% 60% >6,000 75%

BRW.L Brewin Dolphin Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 250 20% 250 - 1,500 30% 30% 1,500 - 1,820 50% 60% >1,820 75%

BRIT.L Brit PLC UNITED KINGDYes Yes 0.7% 0 - 350 15% 350 - 2,100 25% 25% 2,100 - 14,350 40% 55% >14,350 75%

BAF.L British & American Investment Trust PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

BATS.L British American Tobac Company PLC UNITED KINGDYes Yes 0.3% 0 - 350 5% 350 - 1,627 10% 10% 1,627 - 6,475 20% 40% >6,475 75%

BTEM.L British Empire Trust PLC UNITED KINGDYes Yes 0.3% 0 - 450 20% 450 - 1,399 30% 30% 1,399 - 1,624 75% 75% >1,624 75%

BRPI.L British Polythene Industries PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

BSC.L British Smaller Companies VCT 2 PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 15 20% 20% 15 - 25 35% 45% >25 75%

BSV.L British Smaller Companies Vct PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 49,995 30% 30% >49,995 ERROR

BVIC.L Britvic PLC UNITED KINGDYes Yes 0.3% 0 - 689 15% 689 - 2,101 25% 25% 2,101 - 2,900 40% 55% >2,900 75%

BRK.L Brooks Macdonald Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 15 25% 15 - 45 40% 40% 45 - 52 75% 75% >52 75%

BNZL.L Bunzl PLC UNITED KINGDYes Yes 0.3% 0 - 700 10% 700 - 2,100 20% 20% 2,100 - 2,275 30% 50% >2,275 75%

BRBY.L Burberry Group PLC UNITED KINGDYes Yes 0.3% 0 - 600 5% 600 - 3,324 10% 10% 3,324 - 6,000 20% 40% >6,000 75%

BURF.L Burford Capital Limited UNITED KINGDYes - No CR Yes 1% 0 - 86 25% 86 - 172 30% 30% 172 - 258 50% 75% >258 75%

BMNB.L Bushveld Minerals Limited UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 14,500 50% 75% >14,500 75%

BYOT.L Byotrol PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,739 25% 1,739 - 3,478 30% 30% 3,478 - 5,217 50% 75% >5,217 75%

GCC.L C&C Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 300,000 35% 45% >300,000 75%

BLEY.L C.H. Bailey PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

C4XD.L C4X Discovery Holdings PLC UNITED KINGDStockbroking onlyYes 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 50% 75% >300 75%

CATC.L CATCo Reinsurance Opportunities Fund Limite UNITED KINGDYes - No CR No 1% 0 - 4,000 10% 4,000 - 20,200 16% 16% 20,200 - 174,100 20% 30% >174,100 30%

CDOG.L CDialogues PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

CEPS.L CEPS PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

CICG.L CIC Gold Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 1,050 40% 40% 1,050 - 2,250 50% 75% >2,250 75%

CLSH.L CLS Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 103 60% 75% >103 75%

CMCX.L CMC Markets PLC UNITED KINGDYes Yes 1% 0 - 200 10% 200 - 1,200 20% 20% 1,200 - 4,000 35% 45% >4,000 75%

CML.L CML Microsystems PLC UNITED KINGDYes - No CR No 1% 0 - 16 25% 16 - 32 30% 30% 32 - 48 50% 75% >48 75%

DQ5.L CPL Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 16 25% 16 - 32 30% 30% 32 - 48 50% 75% >48 75%

CPPG.L CPP Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 5,250 75% 75% >5,250 75%

NCYF.L CQS New City High Yield Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 155 25% 155 - 310 30% 30% 310 - 465 50% 75% >465 75%

CRH.L CRH PLC UNITED KINGDYes Yes 0.3% 0 - 600 5% 600 - 3,072 10% 10% 3,072 - 12,000 20% 40% >12,000 75%

CSFG.L CSF Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,857 25% 2,857 - 5,714 30% 30% 5,714 - 8,571 50% 75% >8,571 75%

CHNP.L CSOP Source FTSE China A50 UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

CCPE.L CVC Credit Partners European Opportunities LiUNITED KINGDYes No 0.3% 0 - 174,500 10% 174,500 - 523,500 20% 20% 523,500 - 1,744,825,500 75% 75% >1,744,825,500 ERROR

CCPG.L CVC Credit Partners European Opportunities LiUNITED KINGDYes Yes 0.3% 0 - 1,085 10% 1,085 - 3,255 20% 20% 3,255 - 10,848,915 75% 75% >10,848,915 ERROR

CVSG.L CVS Group PLC UNITED KINGDYes Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

CYBGC.L CYBG PLC UNITED KINGDYes Yes 1% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

CWC.L Cable & Wireless Communications PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 36,900 40% 55% >36,900 75%

CADP.L Cadogan Petroleum PLC UNITED KINGDStockbroking onlyYes 1% 0 - 899 25% 899 - 1,798 30% 30% 1,798 - 2,697 50% 75% >2,697 75%

CFYN.L Caffyns PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 5 40% 40% 5 - 9 50% 75% >9 75%

CNE.L Cairn Energy PLC UNITED KINGDYes Yes 0.3% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 12,000 35% 45% >12,000 75%

CRN.L Cairn Homes PLC UNITED KINGDYes Yes 1% 0 - 35,000 25% 35,000 - 105,000 40% 40% 105,000 - 350,000 50% 60% >350,000 75%

CLCC.L Calculus VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

CLCCx.L Calculus VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

CLDN.L Caledonia Investments PLC UNITED KINGDYes Yes 0.3% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

CALq.L Caledonia Mining Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 120 50% 75% >120 75%

CNN.L Caledonian Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

CMBNC.L Cambian Group PLC UNITED KINGDYes Yes 0.7% 0 - 840 20% 840 - 5,040 30% 30% 5,040 - 10,080 40% 50% >10,080 75%

TREE.L Cambium Global Timberland Limited UNITED KINGDNo Yes 1% 0 - 374 25% 374 - 748 30% 30% 748 - 1,122 50% 75% >1,122 75%

CMBC.L Cambria Africa PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,333 25% 1,333 - 2,666 30% 30% 2,666 - 3,999 50% 75% >3,999 75%

CAMBA.L Cambria Automobiles PLC UNITED KINGDYes - No CR Yes 1% 0 - 196 25% 196 - 392 30% 30% 392 - 588 50% 75% >588 75%

COGC.L Cambridge Cognition Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 100 40% 40% 100 - 199,980 75% 75% >199,980 ERROR

CAME.L Camellia PLC UNITED KINGDYes Yes 1% 0 - 10 25% 10 - 20 40% 40% 20 - 99,990 75% 75% >99,990 ERROR

CAMK.L Camkids Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 129 25% 129 - 258 30% 30% 258 - 387 50% 75% >387 75%

CNMI.L Camper & Nicholsons Marina Investment LimiteUNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 499,950 75% 75% >499,950 ERROR

CFIN.L Canaccord Genuity Group Inc UNITED KINGDNo Yes 1% 0 - 22 25% 22 - 44 30% 30% 44 - 66 50% 75% >66 75%

CGIq.L Canadian General Investments Limited UNITED KINGDYes - No CR No 1% 0 - 1 10% 1 - 3 16% 16% 3 - 5 20% 30% >5 30%

COPL.L Canadian Overseas Petroleum Limited UNITED KINGDYes - No CR No 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

CDI.L Candover Investments PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 120 60% 75% >120 75%

CAPX.L Cap-XX Limited UNITED KINGDYes - No CR Yes 1% 0 - 2,597 25% 2,597 - 5,194 30% 30% 5,194 - 7,791 50% 75% >7,791 75%

CIU.L Cape PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,284 60% 75% >1,284 75%

CPI.L Capita PLC UNITED KINGDYes Yes 0.3% 0 - 900 10% 900 - 2,754 20% 20% 2,754 - 5,247 30% 50% >5,247 75%

CAPCC.L Capital & Counties Properties PLC UNITED KINGDYes Yes 0.7% 0 - 1,314 15% 1,314 - 3,942 25% 25% 3,942 - 5,256 40% 55% >5,256 75%

CAL.L Capital & Regional PLC UNITED KINGDYes Yes 0.7% 0 - 450 25% 450 - 1,350 40% 40% 1,350 - 1,449 60% 75% >1,449 75%

CAPD.L Capital Drilling Limited UNITED KINGDStockbroking onlyYes 1% 0 - 400 25% 400 - 800 30% 30% 800 - 1,200 50% 75% >1,200 75%

CGT.L Capital Gearing Trust PLC UNITED KINGDYes No 1% 0 - 3 25% 3 - 9 40% 40% 9 - 10 75% 75% >10 75%

CAMG.L Capital Management and Investment PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

CIFu.L Carador Income Fund PLC UNITED KINGDYes - No CR No 1% 0 - 17,700 25% 17,700 - 35,400 30% 30% 35,400 - 53,100 50% 75% >53,100 75%

C1Y.L Carclo PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,380 60% 75% >1,380 75%






CARDC.L Card Factory PLC UNITED KINGDYes Yes 0.3% 0 - 440 10% 440 - 1,760 20% 20% 1,760 - 3,520 40% 50% >3,520 75%

CDFF.L Cardiff Property PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 2 40% 40% 2 - 4,999 75% 75% >4,999 ERROR

CTH.L CareTech Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 42 25% 42 - 84 30% 30% 84 - 126 50% 75% >126 75%

CIHL.L Caribbean Investment Holdings Limited UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

CLLN.L Carillion PLC UNITED KINGDYes Yes 0.7% 0 - 800 10% 800 - 4,752 20% 20% 4,752 - 7,168 35% 45% >7,168 75%

CCL.L Carnival PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 250 5% 250 - 1,987 10% 10% 1,987 - 3,500 20% 40% >3,500 75%

CPRC.L Carpetright PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 324 60% 75% >324 75%

CARRC.L Carr's Group PLC UNITED KINGDYes Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 346 60% 75% >346 75%

CGS.L Castings PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 270 40% 40% 270 - 291 60% 75% >291 75%

CTPC.L Castleton Technology PLC UNITED KINGDYes - No CR No 1% 0 - 719 25% 719 - 1,438 30% 30% 1,438 - 2,157 50% 75% >2,157 75%

CMX.L Catalyst Media Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 126 25% 126 - 252 30% 30% 252 - 378 50% 75% >378 75%

CTI.L Cathay International Holdings Limited UNITED KINGDNo Yes 1% 0 - 286 25% 286 - 572 30% 30% 572 - 858 50% 75% >858 75%

CAZA.L Caza Oil & Gas Inc UNITED KINGDYes - No CR Yes 1% 0 - 1,311 25% 1,311 - 2,622 30% 30% 2,622 - 3,933 50% 75% >3,933 75%

CLTV.L Cellcast PLC UNITED KINGDStockbroking onlyNo 1% 0 - 11,111 25% 11,111 - 22,222 30% 30% 22,222 - 33,333 50% 75% >33,333 75%

CLL.L Cello Group PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 400 50% 75% >400 75%

CCP.L Celtic PLC UNITED KINGDYes - No CR No 1% 0 - 135 25% 135 - 270 30% 30% 270 - 405 50% 75% >405 75%

CNKS.L Cenkos Securities PLC UNITED KINGDYes - No CR Yes 1% 0 - 59 25% 59 - 118 30% 30% 118 - 177 50% 75% >177 75%

CEY.L Centamin PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 3,000 15% 3,000 - 20,010 25% 25% 20,010 - 28,410 40% 55% >28,410 75%

CAU.L Centaur Media PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

CAML.L Central Asia Metals PLC UNITED KINGDYes Yes 0.3% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

CRND.L Central Rand Gold Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,081 25% 1,081 - 2,162 30% 30% 2,162 - 3,243 50% 75% >3,243 75%

CNIC.L CentralNic Group PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 75% 75% >300 75%

CNA.L Centrica PLC UNITED KINGDYes Yes 0.3% 0 - 2,300 5% 2,300 - 15,755 10% 10% 15,755 - 55,200 20% 40% >55,200 75%

CWR.L Ceres Power Holdings PLC UNITED KINGDYes Yes 1% 0 - 1,449 25% 1,449 - 2,898 40% 40% 2,898 - 3,622 75% 75% >3,622 75%

CER.L Cerillion Technologies Limited UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 60% >200 75%

CGH.L Chaarat Gold Holdings Limited UNITED KINGDYes - No CR Yes 0.3% 0 - 870 25% 870 - 1,740 40% 40% 1,740 - 2,392 60% 75% >2,392 75%

CMH.L Chamberlin PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

CCT.L Character Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 56 25% 56 - 112 30% 30% 112 - 168 50% 75% >168 75%

CHARC.L Chariot Oil & Gas Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 800 25% 800 - 2,400 40% 40% 2,400 - 2,800 75% 75% >2,800 75%

CHAR.L Charlemagne Capital Limited UNITED KINGDYes - No CR No 1% 0 - 526 25% 526 - 1,052 30% 30% 1,052 - 1,578 50% 75% >1,578 75%

CAY.L Charles Stanley Group PLC UNITED KINGDYes Yes 0.7% 0 - 21 25% 21 - 42 40% 40% 42 - 51 60% 75% >51 75%

CHAT.L Charles Taylor PLC UNITED KINGDYes Yes 0.7% 0 - 57 25% 57 - 142 40% 40% 142 - 191 60% 75% >191 75%

CHLV.L Chelverton Growth Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

CHG.L Chemring Group PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 1,500 30% 30% 1,500 - 3,000 50% 60% >3,000 75%

CCSL.L Chenavari Capital Solutions Limited UNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 200 16% 16% 200 - 499,950 30% 30% >499,950 ERROR

CSN.L Chesnara PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

CAFR.L China Africa Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 357 25% 357 - 714 30% 30% 714 - 1,071 50% 75% >1,071 75%

CTEKC.L China Chaintek United Company Limited UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

CNEL.L China New Energy Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CNGC.L China Nonferrous Gold Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 333 25% 333 - 666 40% 40% 666 - 759 60% 75% >759 75%

C3U.L Christie Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

CRYS.L Chrysalis VCT PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 45 16% 16% 45 - 149,985 30% 30% >149,985 ERROR

CHCH.L Churchill China PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 30 40% 40% 30 - 50 50% 75% >50 75%

CHLL.L Churchill Mining PLC UNITED KINGDYes - No CR Yes 1% 0 - 400 25% 400 - 800 30% 30% 800 - 1,200 50% 75% >1,200 75%

CINE.L Cineworld Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,548 50% 60% >1,548 75%

CIRCI.L Circassia Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 500 15% 500 - 3,000 30% 30% 3,000 - 6,000 45% 60% >6,000 75%

CIRC.L Circle Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 400 60% 75% >400 75%

COPU.L Circle Oil PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 3,000 30% 30% 3,000 - 10,000 50% 75% >10,000 75%

CMHY.L City Merchants High Yield Trust Limited UNITED KINGDYes Yes 0.3% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

CYNL.L City Natural Resources High Yield Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 648 60% 75% >648 75%

CITY.L City of London Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

CLIG.L City of London Investment Group PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

CITYC.L CityFibre Infrastructure Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 60 25% 60 - 420 40% 40% 420 - 1,020 50% 75% >1,020 75%

CKN.L Clarkson PLC UNITED KINGDYes Yes 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 105 75% 75% >105 75%

CAPC.L Clean Air Power Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,290 25% 1,290 - 2,580 30% 30% 2,580 - 3,870 50% 75% >3,870 75%

CLPC.L Clear Leisure PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 5,400 50% 75% >5,400 75%

CLST.L ClearStar Inc UNITED KINGDNo No 1% 0 - 30 25% 30 - 210 40% 40% 210 - 300 60% 75% >300 75%

CLSU.L ClearStar Inc UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

CLINC.L Clinigen Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 20% 250 - 1,500 30% 30% 1,500 - 1,697 50% 60% >1,697 75%

CLG.L Clipper Logistics PLC UNITED KINGDYes Yes 1% 0 - 225 25% 225 - 1,125 40% 40% 1,125 - 2,250 60% 75% >2,250 75%

CLON.L Clontarf Energy PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 150 30% 30% 150 - 499,950 75% 75% >499,950 75%

CBRO.L Close Brothers Group PLC UNITED KINGDYes Yes 0.7% 0 - 350 15% 350 - 1,099 25% 25% 1,099 - 1,459 40% 55% >1,459 75%

CBUY.L CloudBuy PLC UNITED KINGDYes - No CR Yes 1% 0 - 213 25% 213 - 426 30% 30% 426 - 639 50% 75% >639 75%

CTAG.L CloudTag Inc UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 75% >500 75%

CLNR.L Cluff Natural Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 2,500 50% 75% >2,500 75%

CZA.L Coal of Africa Limited UNITED KINGDYes Yes 0.7% 0 - 1,756 25% 1,756 - 3,512 40% 40% 3,512 - 4,390 75% 75% >4,390 75%

COA.L Coats Group PLC UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,000 50% 75% >4,000 75%

COB.L Cobham PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 9,190 35% 45% >9,190 75%

CCH.L Coca-Cola HBC AG UNITED KINGDYes - No CR Yes 0.3% 0 - 250 10% 250 - 2,500 20% 20% 2,500 - 4,500 30% 50% >4,500 75%

CHRT.L Cohort PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

CFX.L Colefax Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 3 25% 3 - 9 40% 40% 9 - 29,997 75% 75% >29,997 ERROR

COS.L Collagen Solutions PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

COMIq.L Commercial International Bank (Egypt) S. AE UNITED KINGDYes - No CR Yes 1% 0 - 8,700 20% 8,700 - 49,900 30% 30% 49,900 - 175,000 50% 60% >175,000 75%

CZB.L Commerzbank AG UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 5% 2,000 - 10,000 8% 8% 10,000 - 100,000 10% 15% >100,000 15%

CMS.L Communisis PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

CODC.L Compagnie de Saint-Gobain SA UNITED KINGDYes - No CR No 0.3% 0 - 500 5% 500 - 3,000 8% 8% 3,000 - 20,000 10% 15% >20,000 15%

CPG.L Compass Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,035 5% 1,035 - 5,112 10% 10% 5,112 - 14,231 20% 40% >14,231 75%

CCC.L Computacenter PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 88 25% 88 - 264 40% 40% 264 - 308 75% 75% >308 75%

AMAN.L Coms PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,031 25% 1,031 - 2,062 30% 30% 2,062 - 3,093 50% 75% >3,093 75%

CHA.L Concha PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 32,500 50% 60% >32,500 75%

CNCT.L Concurrent Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 233 25% 233 - 466 30% 30% 466 - 699 50% 75% >699 75%

CNDR.L Condor Gold PLC UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 2,000 30% 30% 2,000 - 3,000 50% 75% >3,000 75%

CNCTC.L Connect Group PLC UNITED KINGDYes Yes 0.7% 0 - 449 25% 449 - 1,409 40% 40% 1,409 - 1,634 75% 75% >1,634 75%

CON.L Connemara Mining Company PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

CGNR.L Conroy Gold and Natural Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 55 25% 55 - 110 30% 30% 110 - 165 50% 75% >165 75%

CSRT.L Consort Medical PLC UNITED KINGDYes Yes 0.7% 0 - 146 25% 146 - 405 40% 40% 405 - 438 60% 75% >438 75%

CHT.L Constellation Healthcare Technologies Inc UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,980 75% 75% >99,980 75%

CVRC.L Conviviality PLC UNITED KINGDYes Yes 1% 0 - 100 25% 100 - 500 40% 40% 500 - 800 60% 75% >800 75%

CIC.L Conygar Investment Company PLC UNITED KINGDYes - No CR Yes 1% 0 - 58 25% 58 - 116 30% 30% 116 - 174 50% 75% >174 75%

CIC_p.L Conygar ZDP PLC UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 52 40% 40% 52 - 74,992 75% 75% >74,992 ERROR

CRU.L Coral Products PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

CNSP.L Corero Network Security PLC UNITED KINGDYes - No CR No 1% 0 - 51 25% 51 - 306 40% 40% 306 - 408 50% 75% >408 75%

COR.L Coretx Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 250 25% 250 - 1,000 30% 30% 1,000 - 2,000 50% 60% >2,000 75%

COSG.L Costain Group PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 812 60% 75% >812 75%

CSPC.L Countryside Properties PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 60 40% 40% 60 - 80 50% 60% >80 75%

CWD.L Countrywide PLC UNITED KINGDYes Yes 0.7% 0 - 600 20% 600 - 1,800 30% 30% 1,800 - 2,100 75% 75% >2,100 75%

CRW.L Craneware PLC UNITED KINGDYes - No CR Yes 1% 0 - 16 25% 16 - 32 30% 30% 32 - 48 50% 75% >48 75%

CWK.L Cranswick PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

CRV.L Craven House Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 6,000 50% 75% >6,000 75%

CRAW.L Crawshaw Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 350 25% 350 - 1,050 30% 30% 1,050 - 2,800 50% 75% >2,800 75%

CRGT.L Creightons PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

CRST.L Crest Nicholson Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 2,040 50% 60% >2,040 75%

CRCRE.L Creston PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 200 30% 30% 200 - 300 50% 75% >300 75%

CTID.L Crimson Tide PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,000 50% 75% >3,000 75%

CRDA.L Croda International PLC UNITED KINGDYes Yes 0.3% 0 - 193 10% 193 - 965 20% 20% 965 - 1,544 35% 45% >1,544 75%

CSSG.L Croma Security Solutions Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 100 50% 75% >100 75%

CROSC.L Crossrider PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 60% >500 75%

CRPL.L Crown Place VCT PLC UNITED KINGDYes - No CR No 1% 0 - 55 10% 55 - 99 16% 16% 99 - 165 20% 30% >165 30%

CRSL.L Crystal Amber Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 64 25% 64 - 128 30% 30% 128 - 192 50% 75% >192 75%

CBP.L Curtis Banks Group PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 300 50% 60% >300 75%

CREI.L Custodian REIT PLC UNITED KINGDYes No 1% 0 - 150 25% 150 - 450 40% 40% 450 - 750 60% 75% >750 75%

CYAN.L Cyan Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 47,619 25% 47,619 - 95,238 30% 30% 95,238 - 142,857 50% 75% >142,857 75%

CN8.L Cyprotex PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

DCC.L DCC PLC UNITED KINGDYes Yes 0.7% 0 - 90 10% 90 - 549 20% 20% 549 - 1,057 35% 45% >1,057 75%

DCD.L DCD Media PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 30% 30% 100 - 150 50% 75% >150 75%

DDDL.L DDD Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,702 25% 1,702 - 3,404 30% 30% 3,404 - 5,106 50% 75% >5,106 75%

DFSD.L DFS Furniture PLC UNITED KINGDYes - No CR Yes 1% 0 - 600 25% 600 - 3,600 40% 40% 3,600 - 12,000 50% 60% >12,000 75%

DJI.L DJI Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 250 40% 40% 250 - 500 50% 60% >500 75%

DPAD.L DP Aircraft I Limited UNITED KINGDYes - No CR No 1% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 49,995,000 75% 75% >49,995,000 ERROR

DPP.L DP Poland PLC UNITED KINGDYes - No CR Yes 1% 0 - 640 25% 640 - 1,280 30% 30% 1,280 - 1,920 50% 75% >1,920 75%

DQE.L DQ Entertainment PLC UNITED KINGDStockbroking onlyYes 1% 0 - 460 25% 460 - 920 30% 30% 920 - 1,380 50% 75% >1,380 75%

DRSD.L DRS Data & Research Services PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

SMDS.L DS Smith PLC UNITED KINGDYes Yes 0.3% 0 - 800 10% 800 - 4,752 20% 20% 4,752 - 9,800 35% 45% >9,800 75%

DWCG.L DW Catalyst Fund Limited UNITED KINGDYes No 0.3% 0 - 60 10% 60 - 150 20% 20% 150 - 599,940 75% 75% >599,940 ERROR

DWCU.L DW Catalyst Fund Limited UNITED KINGDYes No 0.3% 0 - 600 10% 600 - 1,200 20% 20% 1,200 - 5,999,400 75% 75% >5,999,400 ERROR

DXDX.L DX (Group) PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 3,000 50% 60% >3,000 75%

DJAN.L Daejan Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 5 25% 5 - 15 40% 40% 15 - 18 60% 75% >18 75%

DAIP.L Daily Internet PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 800 50% 75% >800 75%

DMGOa.L Daily Mail and General Trust PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 475 10% 475 - 1,401 20% 20% 1,401 - 2,379 35% 45% >2,379 75%

DCG.L Dairy Crest Group PLC UNITED KINGDYes Yes 0.3% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 1,750 75% 75% >1,750 75%






DALD.L Dalata Hotel Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 20 20% 20 - 100 30% 30% 100 - 300 50% 60% >300 75%

DALR.L Dalradian Resources Inc UNITED KINGDYes No 1% 0 - 50 25% 50 - 150 40% 40% 150 - 250 60% 75% >250 75%

DIL2.L Damille Investments II Limited UNITED KINGDYes No 0.3% 0 - 60 10% 60 - 180 20% 20% 180 - 599,940 75% 75% >599,940 ERROR

DAN.L Daniel Stewart Securities PLC UNITED KINGDNo No 1% 0 - 26,667 25% 26,667 - 53,334 30% 30% 53,334 - 80,001 50% 75% >80,001 75%

DTG.L Dart Group PLC UNITED KINGDYes Yes 0.7% 0 - 600 20% 600 - 1,800 30% 30% 1,800 - 2,178 50% 60% >2,178 75%

DRTY.L Darty PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 1,500 60% 75% >1,500 75%

DTC.L Datatec Limited UNITED KINGDYes - No CR No 1% 0 - 37 25% 37 - 74 30% 30% 74 - 111 50% 75% >111 75%

DLAR.L De La Rue PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,274 75% 75% >1,274 75%

DEB.L Debenhams PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 6,649 15% 6,649 - 20,013 25% 25% 20,013 - 31,383 40% 55% >31,383 75%

DECP.L Dechra Pharmaceuticals PLC UNITED KINGDYes Yes 0.7% 0 - 150 20% 150 - 450 30% 30% 450 - 786 50% 60% >786 75%

DEEV.L Dee Valley Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 6 25% 6 - 13 30% 30% 13 - 20 50% 75% >20 75%

DVWt.L Dee Valley Group PLC UNITED KINGDYes - No CR No 1% 0 - 0 25% 0 - 0 40% 40% 0 - 2,999 75% 75% >2,999 ERROR

DKLD.L DekelOil Public Limited UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 3,750 50% 75% >3,750 75%

DEMG.L Deltex Medical Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 762 25% 762 - 1,524 30% 30% 1,524 - 2,286 50% 75% >2,286 75%

DLN.L Derwent London PLC UNITED KINGDYes Yes 0.3% 0 - 186 20% 186 - 548 30% 30% 548 - 784 50% 60% >784 75%

DVO.L Devro PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,400 75% 75% >1,400 75%

DWHT.L Dewhurst PLC UNITED KINGDYes - No CR No 1% 0 - 0 25% 0 - 2 40% 40% 2 - 7,499 75% 75% >7,499 ERROR

DWHTt.L Dewhurst PLC UNITED KINGDYes - No CR No 1% 0 - 1 25% 1 - 10 40% 40% 10 - 15 50% 75% >15 75%

DAB.L Dexion Absolute Limited UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

DGE.L Diageo PLC UNITED KINGDYes Yes 0.3% 0 - 500 5% 500 - 2,700 10% 10% 2,700 - 11,000 20% 40% >11,000 75%

DIAL.L Dialight PLC UNITED KINGDYes Yes 0.7% 0 - 100 20% 100 - 600 30% 30% 600 - 841 50% 60% >841 75%

DCP.L Diamondcorp PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,841 25% 1,841 - 3,682 30% 30% 3,682 - 5,523 50% 75% >5,523 75%

DGB.L Digital Barriers PLC UNITED KINGDYes - No CR Yes 1% 0 - 66 25% 66 - 132 30% 30% 132 - 198 50% 75% >198 75%

DGS.L Digital Globe Services Inc UNITED KINGDYes - No CR No 1% 0 - 25 25% 25 - 200 40% 40% 200 - 225 75% 75% >225 75%

DTY.L Dignity PLC UNITED KINGDYes Yes 0.7% 0 - 92 25% 92 - 276 40% 40% 276 - 299 60% 75% >299 75%

DSG.L Dillistone Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

DPLM.L Diploma PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 489 60% 75% >489 75%

DLGD.L Direct Line Insurance Group PLC UNITED KINGDYes Yes 0.3% 0 - 800 10% 800 - 4,752 20% 20% 4,752 - 16,000 35% 45% >16,000 75%

DISD.L Distil PLC UNITED KINGDStockbroking onlyNo 1% 0 - 6,250 25% 6,250 - 12,500 30% 30% 12,500 - 18,750 50% 75% >18,750 75%

DC.L Dixons Carphone PLC UNITED KINGDYes Yes 0.3% 0 - 700 20% 700 - 2,100 30% 30% 2,100 - 3,500 50% 60% >3,500 75%

DODS.L Dods (Group) PLC UNITED KINGDYes - No CR No 1% 0 - 3,200 25% 3,200 - 6,400 30% 30% 6,400 - 9,600 50% 75% >9,600 75%

DOLC.L Dolphin Capital Investors Limited UNITED KINGDYes - No CR Yes 1% 0 - 278 25% 278 - 556 30% 30% 556 - 834 50% 75% >834 75%

DOPR.L Domino Printing Sciences PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 511 60% 75% >511 75%

DOM.L Domino's Pizza Group PLC UNITED KINGDYes Yes 0.7% 0 - 600 15% 600 - 1,800 25% 25% 1,800 - 2,958 40% 55% >2,958 75%

DNA3.L Doric Nimrod Air 3 Limited UNITED KINGDYes - No CR Yes 1% 0 - 91 25% 91 - 182 30% 30% 182 - 273 50% 75% >273 75%

DNAO_p.L Doric Nimrod Air One Limited UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

DNA2_p.L Doric Nimrod Air Two Limited UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 210 40% 40% 210 - 510 50% 75% >510 75%

DOR.L Doriemus PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7,500 25% 7,500 - 45,000 40% 40% 45,000 - 525,000 50% 75% >525,000 75%

DA1Od.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

DO1Bc.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 0 50% 75% >0 75%

DO1Bb.L Downing FOUR VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

DPV1a.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

DPV1x.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

D4SO.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

D4SA.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

D467.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

D4LC.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

D4OA.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

D4OO.L Downing FOUR VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

DDV1.L Downing ONE VCT PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 105 20% 30% >105 30%

DPV3c.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 45 16% 16% 45 - 149,985 30% 30% >149,985 ERROR

DPV3a.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 200 16% 16% 200 - 499,950 30% 30% >499,950 ERROR

DP3E.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.7% 0 - 0 20% 0 - 0 32% 32% 0 - 3 40% 60% >3 60%

DP3J.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

DP3H.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

DP2Fx.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

DP3Ex.L Downing THREE VCT PLC UNITED KINGDYes - No CR No 0.7% 0 - 10 20% 10 - 30 32% 32% 30 - 99,990 60% 60% >99,990 ERROR

DP2G.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 45 16% 16% 45 - 149,985 30% 30% >149,985 ERROR

DP2Ex.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.7% 0 - 20 20% 20 - 60 32% 32% 60 - 199,980 60% 60% >199,980 ERROR

DPV2c.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 60 16% 16% 60 - 199,980 30% 30% >199,980 ERROR

DP2F.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

DP2E.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 0 10% 0 - 0 16% 16% 0 - 0 20% 24% >0 30%

DPV2a.L Downing Two VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 200 16% 16% 200 - 499,950 30% 30% >499,950 ERROR

DRG.L Draganfly Investments Limited UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

DUPD.L Dragon Ukrainian Properties & Development PLUNITED KINGDStockbroking onlyNo 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 350 60% 75% >350 75%

DRX.L Drax Group PLC UNITED KINGDYes Yes 0.3% 0 - 633 10% 633 - 3,165 20% 20% 3,165 - 3,854 35% 45% >3,854 75%

DRV.L Driver Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 200 50% 75% >200 75%

DRIP.L Drum Income Plus REIT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

DREF.L Duet Real Estate Finance Limited UNITED KINGDYes - No CR Yes 0.3% 0 - 83 10% 83 - 249 20% 20% 249 - 829,917 75% 75% >829,917 ERROR

DUKE.L Duke Royalty Limited UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 20 50% 75% >20 75%

DUNE.L Dunedin Enterprise Investment Trust PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 100 10% 100 - 200 20% 20% 200 - 999,900 75% 75% >999,900 ERROR

DIG.L Dunedin Income Growth Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 496 60% 75% >496 75%

DNDL.L Dunedin Smaller Companies Investment Trust PUNITED KINGDYes Yes 0.3% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

DNLM.L Dunelm Group PLC UNITED KINGDYes Yes 0.7% 0 - 150 20% 150 - 450 30% 30% 450 - 577 50% 60% >577 75%

EAH.L ECO Animal Health Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 48 25% 48 - 96 30% 30% 96 - 144 50% 75% >144 75%

ECRE.L ECR Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 39,216 25% 39,216 - 78,432 30% 30% 78,432 - 117,648 50% 75% >117,648 75%

EIH.L EIH PLC UNITED KINGDYes - No CR No 1% 0 - 7,500 25% 7,500 - 22,500 40% 40% 22,500 - 74,992,500 75% 75% >74,992,500 ERROR

EKF.L EKF Diagnostics Holdings PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

EMISG.L EMIS Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 35 25% 35 - 210 40% 40% 210 - 490 60% 75% >490 75%

EPGT.L EP Global Opportunities Trust PLC UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 90 20% 20% 90 - 299,970 75% 75% >299,970 ERROR

ESOE.L EPE Special Opportunities PLC UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 52 16% 16% 52 - 82 20% 30% >82 30%

SBRT.L ETFS 1x Daily Short Brent Crude ETC UNITED KINGDYes No 0.7% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

SCOC.L ETFS 1x Daily Short Cocoa ETC UNITED KINGDYes No 1% 0 - 2,900 10% 2,900 - 20,300 16% 16% 20,300 - 29,000 24% 30% >29,000 30%

SCFE.L ETFS 1x Daily Short Coffee ETC UNITED KINGDYes No 1% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 150,000 60% 75% >150,000 75%

SCPR.L ETFS 1x Daily Short Copper ETC UNITED KINGDYes Yes 0.7% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

SCRN.L ETFS 1x Daily Short Corn ETC UNITED KINGDYes - No CR No 0.7% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

SCTON.L ETFS 1x Daily Short Cotton ETC UNITED KINGDYes - No CR No 0.7% 0 - 90,000 10% 90,000 - 540,000 20% 20% 540,000 - 900,000 35% 45% >900,000 75%

SBUL.L ETFS 1x Daily Short Gold ETC UNITED KINGDYes - No CR Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 500,000 35% 45% >500,000 75%

SIME.L ETFS 1x Daily Short Industrial MetalsETC UNITED KINGDYes No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SNIK.L ETFS 1x Daily Short Nickel ETC UNITED KINGDYes No 0.3% 0 - 40,000 10% 40,000 - 200,000 20% 20% 200,000 - 400,000 35% 45% >400,000 75%

SPTO.L ETFS 1x Daily Short Petroleum ETC UNITED KINGDYes - No CR No 1% 0 - 2,100 10% 2,100 - 10,500 16% 16% 10,500 - 21,000 24% 30% >21,000 30%

SPLA.L ETFS 1x Daily Short Platinum ETC UNITED KINGDYes No 1% 0 - 2,300 10% 2,300 - 9,200 16% 16% 9,200 - 20,700 24% 30% >20,700 30%

SSIL.L ETFS 1x Daily Short Silver ETC UNITED KINGDYes - No CR No 0.7% 0 - 150,000 10% 150,000 - 900,000 20% 20% 900,000 - 1,500,000 35% 45% >1,500,000 75%

SSOB.L ETFS 1x Daily Short Soybeans ETC UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 40% >20,000 75%

SSUG.L ETFS 1x Daily Short Sugar ETC UNITED KINGDYes No 0.3% 0 - 40,000 10% 40,000 - 200,000 20% 20% 200,000 - 400,000 35% 45% >400,000 75%

SOIL.L ETFS 1x Daily Short WTI Crude Oil ETC UNITED KINGDYes - No CR No 0.7% 0 - 35,000 10% 35,000 - 253,700 20% 20% 253,700 - 332,500 35% 45% >332,500 75%

SWEA.L ETFS 1x Daily Short Wheat ETC UNITED KINGDYes No 0.7% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

SZIC.L ETFS 1x Daily Short Zinc ETC UNITED KINGDYes No 0.7% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

LBRT.L ETFS 2x Daily Long Brent Crude ETC UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

LCOC.L ETFS 2x Daily Long Cocoa ETC UNITED KINGDYes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

LCFE.L ETFS 2x Daily Long Coffee ETC UNITED KINGDYes - No CR No 0.7% 0 - 62,000 15% 62,000 - 372,000 25% 25% 372,000 - 620,000 40% 55% >620,000 75%

LCOP.L ETFS 2x Daily Long Copper ETC UNITED KINGDYes - No CR No 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

LCOR.L ETFS 2x Daily Long Corn ETC UNITED KINGDStockbroking onlyNo 1% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

LGAS.L ETFS 2x Daily Long Gasoline ETC UNITED KINGDYes - No CR No 1% 0 - 4,000 15% 4,000 - 20,000 24% 24% 20,000 - 40,000 36% 45% >40,000 45%

LBUL.L ETFS 2x Daily Long Gold ETC UNITED KINGDYes - No CR No 0.7% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 300,000 35% 45% >300,000 75%

LLCT.L ETFS 2x Daily Long Live Cattle ETC UNITED KINGDYes No 1% 0 - 4,000 15% 4,000 - 20,000 24% 24% 20,000 - 40,000 36% 45% >40,000 45%

LNGA.L ETFS 2x Daily Long Natural Gas ETC UNITED KINGDYes - No CR No 0.7% 0 - 10,000,000 10% 10,000,000 - 57,500,0020% 20% 57,500,000 - 90,000,000 35% 45% >90,000,000 75%

LNIK.L ETFS 2x Daily Long Nickel ETC UNITED KINGDYes - No CR No 1% 0 - 3,000 15% 3,000 - 6,000 24% 24% 6,000 - 9,000 36% 45% >9,000 45%

LSIL.L ETFS 2x Daily Long Silver ETC UNITED KINGDYes - No CR No 0.7% 0 - 7,500 10% 7,500 - 22,500 15% 15% 22,500 - 37,500 30% 45% >37,500 75%

LSYO.L ETFS 2x Daily Long Soybean Oil ETC UNITED KINGDYes - No CR No 1% 0 - 4,000 15% 4,000 - 20,000 24% 24% 20,000 - 40,000 36% 45% >40,000 45%

LSUG.L ETFS 2x Daily Long Sugar ETC UNITED KINGDYes - No CR No 0.3% 0 - 100 10% 100 - 600 20% 20% 600 - 1,000 35% 45% >1,000 75%

LTIM.L ETFS 2x Daily Long Tin ETC UNITED KINGDYes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

LOIL.L ETFS 2x Daily Long WTI Crude Oil ETC UNITED KINGDYes - No CR Yes 0.7% 0 - 825,000 10% 825,000 - 4,950,000 20% 20% 4,950,000 - 8,456,200 35% 45% >8,456,200 75%

UK3L.L ETFS 3x Daily Long FTSE 100 UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 200 60% 75% >200 75%

3CRL.L ETFS 3x Daily Long WTI Crude Oil Exchange TUNITED KINGDYes - No CR No 1% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 12,000 60% 75% >12,000 75%

UK3S.L ETFS 3x Daily Short FTSE 100 UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

AUP3.L ETFS 3x Long AUD Short GBP UNITED KINGDYes No 1% 0 - 30 20% 30 - 210 32% 32% 210 - 300 48% 60% >300 60%

LEU3.L ETFS 3x Long EUR Short USD UNITED KINGDStockbroking onlyNo 1% 0 - 13,000 25% 13,000 - 78,000 40% 40% 78,000 - 130,000 60% 75% >130,000 75%

USP3.L ETFS 3x Long USD Short GBP UNITED KINGDYes - No CR No 1% 0 - 1 25% 1 - 5 40% 40% 5 - 10 60% 75% >10 75%

SAP3.L ETFS 3x Short AUD Long GBP UNITED KINGDYes - No CR No 1% 0 - 30 20% 30 - 210 32% 32% 210 - 300 48% 60% >300 60%

SUP3.L ETFS 3x Short EUR Long GBP UNITED KINGDStockbroking onlyYes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

SEU3.L ETFS 3x Short EUR Long USD UNITED KINGDYes - No CR No 0.3% 0 - 2,000 10% 2,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SYP3.L ETFS 3x Short JPY Long GBP UNITED KINGDYes - No CR No 1% 0 - 30 20% 30 - 210 32% 32% 210 - 300 48% 60% >300 60%

SJP3.L ETFS 3x Short JPY Long USD UNITED KINGDYes - No CR No 1% 0 - 3,000 20% 3,000 - 21,000 32% 32% 21,000 - 30,000 48% 60% >30,000 60%

PUS3.L ETFS 3x Short USD Long GBP UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 10 40% 40% 10 - 20 60% 75% >20 75%

EUP5.L ETFS 5x Long EUR Short GBP ETC UNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

USP5.L ETFS 5x Long USD Short GBP ETC UNITED KINGDYes No 1% 0 - 2 25% 2 - 10 40% 40% 10 - 20 60% 75% >20 75%

AIGA.L ETFS Agriculture ETC UNITED KINGDYes - No CR Yes 0.7% 0 - 220,000 10% 220,000 - 1,320,000 20% 20% 1,320,000 - 2,420,000 35% 45% >2,420,000 75%

AGAP.L ETFS Agriculture ETC UNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

AIGC.L ETFS All Commodities ETC UNITED KINGDYes Yes 0.7% 0 - 120,000 10% 120,000 - 750,000 20% 20% 750,000 - 1,080,000 35% 45% >1,080,000 75%






ALMN.L ETFS Aluminium ETC UNITED KINGDYes No 0.7% 0 - 325,000 10% 325,000 - 2,031,200 20% 20% 2,031,200 - 3,493,700 35% 45% >3,493,700 75%

OSB1.L ETFS Brent 1yr ETC UNITED KINGDYes - No CR No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

OSB2.L ETFS Brent 2yr ETC UNITED KINGDYes No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

OSB3.L ETFS Brent 3yr ETC UNITED KINGDYes No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

BRNT.L ETFS Brent Crude ETC UNITED KINGDYes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

OILB.L ETFS Brent Oil 1 month ETC UNITED KINGDYes Yes 0.7% 0 - 80,000 10% 80,000 - 480,000 20% 20% 480,000 - 800,000 35% 45% >800,000 75%

OLBP.L ETFS Brent Oil 1 month ETC UNITED KINGDYes Yes 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

CARB.L ETFS Carbon ETC UNITED KINGDYes - No CR No 1% 0 - 5,000 10% 5,000 - 30,000 16% 16% 30,000 - 50,000 24% 30% >50,000 30%

COCO.L ETFS Cocoa ETC UNITED KINGDStockbroking onlyNo 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

COFF.L ETFS Coffee ETC UNITED KINGDYes Yes 0.7% 0 - 825,000 10% 825,000 - 4,950,000 20% 20% 4,950,000 - 8,456,200 35% 45% >8,456,200 75%

COPA.L ETFS Copper ETC UNITED KINGDYes Yes 0.7% 0 - 47,000 10% 47,000 - 293,700 20% 20% 293,700 - 505,200 35% 45% >505,200 75%

CORN.L ETFS Corn ETC UNITED KINGDYes No 0.7% 0 - 2,250,000 10% 2,250,000 - 15,187,50020% 20% 15,187,500 - 24,750,000 35% 45% >24,750,000 75%

COTNC.L ETFS Cotton ETC UNITED KINGDYes No 0.7% 0 - 590,000 10% 590,000 - 3,687,500 20% 20% 3,687,500 - 5,605,000 35% 45% >5,605,000 75%

CRUD.L ETFS Crude Oil ETC UNITED KINGDYes Yes 0.7% 0 - 62,000 10% 62,000 - 387,500 20% 20% 387,500 - 651,000 35% 45% >651,000 75%

DEL2.L ETFS DAX(r) Daily 2x Long GO UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

DL2P.L ETFS DAX(r) Daily 2x Long GO UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

DES2.L ETFS DAX(r) Daily 2x Short GO UCITS ETF UNITED KINGDYes - No CR No 0.7% 0 - 3,000 15% 3,000 - 12,000 25% 25% 12,000 - 30,000 40% 55% >30,000 75%

AUCOP.L ETFS DAXglobal Gold Mining GO UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

AIGE.L ETFS Energy ETC UNITED KINGDYes No 0.7% 0 - 170,000 10% 170,000 - 977,500 20% 20% 977,500 - 1,402,500 35% 45% >1,402,500 75%

AIGX.L ETFS Ex-Energy ETC UNITED KINGDYes No 0.7% 0 - 140,000 10% 140,000 - 875,000 20% 20% 875,000 - 1,435,000 35% 45% >1,435,000 75%

LUK2.L ETFS FTSE 100(r) Leveraged (Daily 2x) GO UCUNITED KINGDYes - No CR Yes 0.7% 0 - 250 10% 250 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

SUK2.L ETFS FTSE 100(r) Super Short Strategy (Daily UNITED KINGDYes - No CR Yes 0.7% 0 - 250 10% 250 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

ECPAGR.L ETFS GBP Daily Hedged Agriculture DJ-UBS PUNITED KINGDYes No 1% 0 - 74 10% 74 - 370 16% 16% 370 - 740 24% 30% >740 30%

PALL.L ETFS GBP Daily Hedged All Commodities DJ-UUNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

PBRT.L ETFS GBP Daily Hedged Brent Crude Oil ETC UNITED KINGDStockbroking onlyNo 0.3% 0 - 485 10% 485 - 2,910 20% 20% 2,910 - 4,850 35% 45% >4,850 75%

PCOP.L ETFS GBP Daily Hedged Copper ETC UNITED KINGDYes No 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,000 60% 75% >3,000 75%

PENR.L ETFS GBP Daily Hedged Energy DJ-UBS PDS UNITED KINGDYes No 1% 0 - 74 10% 74 - 370 16% 16% 370 - 740 24% 30% >740 30%

PFCM.L ETFS GBP Daily Hedged Forward All CommodiUNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

PFEN.L ETFS GBP Daily Hedged Forward Energy DJ-UUNITED KINGDYes No 1% 0 - 74 10% 74 - 370 16% 16% 370 - 740 24% 30% >740 30%

PBUL.L ETFS GBP Daily Hedged Gold ETC UNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

PIMT.L ETFS GBP Daily Hedged Industrial Metals DJ-UUNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

PNGA.L ETFS GBP Daily Hedged Natural Gas ETC UNITED KINGDYes - No CR No 1% 0 - 84 10% 84 - 504 16% 16% 504 - 756 24% 30% >756 30%

GBSP.L ETFS GBP Daily Hedged Physical Gold ETC UNITED KINGDYes No 1% 0 - 95 10% 95 - 475 16% 16% 475 - 1,045 24% 30% >1,045 30%

PSVR.L ETFS GBP Daily Hedged Silver ETC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

PCRD.L ETFS GBP Daily Hedged WTI Crude Oil ETC UNITED KINGDStockbroking onlyNo 1% 0 - 390 25% 390 - 2,340 40% 40% 2,340 - 3,900 60% 75% >3,900 75%

UGAS.L ETFS Gasoline ETC UNITED KINGDYes No 0.7% 0 - 30,000 10% 30,000 - 165,000 20% 20% 165,000 - 330,000 35% 45% >330,000 75%

GBSx.L ETFS Gold Bullion Securities ETC UNITED KINGDYes Yes 0.3% 0 - 210,000 10% 210,000 - 1,522,500 20% 20% 1,522,500 - 1,995,000 35% 45% >1,995,000 75%

BULL.L ETFS Gold ETC UNITED KINGDYes Yes 0.7% 0 - 95,000 10% 95,000 - 593,700 20% 20% 593,700 - 950,000 35% 45% >950,000 75%

GRNS.L ETFS Grains ETC UNITED KINGDYes No 0.7% 0 - 270,000 10% 270,000 - 1,552,500 20% 20% 1,552,500 - 2,700,000 35% 45% >2,700,000 75%

HEAT.L ETFS Heating Oil ETC UNITED KINGDYes No 0.7% 0 - 80,000 10% 80,000 - 480,000 20% 20% 480,000 - 800,000 35% 45% >800,000 75%

ISPY.L ETFS ISE Cyber Security GO UCITS ETF AccuUNITED KINGDYes Yes 0.3% 0 - 150 10% 150 - 1,050 20% 20% 1,050 - 1,500 35% 45% >1,500 75%

AIGI.L ETFS Industrial Metals ETC UNITED KINGDYes Yes 0.7% 0 - 180,000 10% 180,000 - 990,000 20% 20% 990,000 - 1,980,000 35% 45% >1,980,000 75%

HOGS.L ETFS Lean Hogs ETC UNITED KINGDYes No 0.3% 0 - 625,000 10% 625,000 - 4,062,500 20% 20% 4,062,500 - 6,562,500 35% 45% >6,562,500 75%

CATL.L ETFS Live Cattle ETC UNITED KINGDYes No 0.3% 0 - 325,000 10% 325,000 - 2,031,200 20% 20% 2,031,200 - 3,493,700 35% 45% >3,493,700 75%

AIGL.L ETFS Livestock ETC UNITED KINGDYes No 0.3% 0 - 400,000 10% 400,000 - 2,500,000 20% 20% 2,500,000 - 4,000,000 35% 45% >4,000,000 75%

LOCL.L ETFS Lombard Odier IM Emerging Market LocaUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

ECCORE.L ETFS Lombard Odier IM Global Government BoUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

CHLP.L ETFS Long CHF Short USD UNITED KINGDYes No 1% 0 - 30 10% 30 - 210 16% 16% 210 - 300 24% 30% >300 30%

LCNP.L ETFS Long CNY Short USD UNITED KINGDYes No 1% 0 - 1 10% 1 - 2 16% 16% 2 - 3 24% 30% >3 30%

GBUR.L ETFS Long EUR Short GBP UNITED KINGDYes No 1% 0 - 1 25% 1 - 2 40% 40% 2 - 4 60% 75% >4 75%

EURP.L ETFS Long EUR Short USD UNITED KINGDYes No 1% 0 - 30 10% 30 - 210 16% 16% 210 - 300 24% 30% >300 30%

LERO.L ETFS Long EUR Short USD UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 200 20% 20% 200 - 400 35% 45% >400 75%

GBPP.L ETFS Long GBP Short USD UNITED KINGDYes No 1% 0 - 100 25% 100 - 500 40% 40% 500 - 1,000 60% 75% >1,000 75%

LGBP.L ETFS Long GBP Short USD UNITED KINGDYes No 1% 0 - 100 25% 100 - 200 40% 40% 200 - 400 60% 75% >400 75%

LINRP.L ETFS Long INR Short USD UNITED KINGDYes No 1% 0 - 30 10% 30 - 210 16% 16% 210 - 300 24% 30% >300 30%

LINRR.L ETFS Long INR Short USD UNITED KINGDYes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

NZDP.L ETFS Long NZD Short USD UNITED KINGDYes No 1% 0 - 30 10% 30 - 210 16% 16% 210 - 300 24% 30% >300 30%

FAGR.L ETFS Longer Dated Agriculture ETC UNITED KINGDYes No 1% 0 - 6,200 10% 6,200 - 37,200 16% 16% 37,200 - 49,600 24% 30% >49,600 30%

COMF.L ETFS Longer Dated All Commodities GO UCITSUNITED KINGDYes No 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%

CMFPP.L ETFS Longer Dated All Commodities GO UCITSUNITED KINGDYes Yes 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

ENEF.L ETFS Longer Dated Energy ETC UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

GRAF.L ETFS Longer Dated Grains ETC UNITED KINGDYes No 1% 0 - 8,500 10% 8,500 - 51,000 16% 16% 51,000 - 76,500 24% 30% >76,500 30%

FLIV.L ETFS Longer Dated Livestock ETC UNITED KINGDYes No 1% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 77,000 60% 75% >77,000 75%

FPET.L ETFS Longer Dated Petroleum ETC UNITED KINGDYes No 1% 0 - 1,300 10% 1,300 - 7,800 16% 16% 7,800 - 10,400 24% 30% >10,400 30%

NGAS.L ETFS Natural Gas ETC UNITED KINGDYes Yes 0.7% 0 - 9,825,000 10% 9,825,000 - 58,950,00020% 20% 58,950,000 - 100,706,20 35% 45% >100,706,200 75%

NICK.L ETFS Nickel ETC UNITED KINGDYes Yes 0.7% 0 - 110,000 10% 110,000 - 660,000 20% 20% 660,000 - 990,000 35% 45% >990,000 75%

AIGO.L ETFS Petroleum ETC UNITED KINGDYes No 0.7% 0 - 54,000 10% 54,000 - 324,000 20% 20% 324,000 - 540,000 35% 45% >540,000 75%

PHAU.L ETFS Physical Gold UNITED KINGDYes Yes 0.7% 0 - 12,000 10% 12,000 - 81,000 20% 20% 81,000 - 120,000 35% 45% >120,000 75%

PHGP.L ETFS Physical Gold UNITED KINGDYes Yes 0.7% 0 - 200 10% 200 - 1,250 20% 20% 1,250 - 2,100 35% 45% >2,100 75%

PHPM.L ETFS Physical PM Basket ETC UNITED KINGDYes No 0.7% 0 - 15,000 10% 15,000 - 93,700 20% 20% 93,700 - 157,500 35% 45% >157,500 75%

PHPD.L ETFS Physical Palladium ETC UNITED KINGDYes No 0.7% 0 - 120,000 10% 120,000 - 720,000 20% 20% 720,000 - 990,000 35% 45% >990,000 75%

PHPT.L ETFS Physical Platinum ETC UNITED KINGDYes Yes 0.7% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 450,000 35% 45% >450,000 75%

PHAG.L ETFS Physical Silver ETC UNITED KINGDYes Yes 0.7% 0 - 475,000 10% 475,000 - 2,968,700 20% 20% 2,968,700 - 4,987,500 35% 45% >4,987,500 75%

PHSP.L ETFS Physical Silver ETC UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 150 20% 20% 150 - 300 35% 45% >300 75%

AIGP.L ETFS Precious Metals ETC UNITED KINGDYes No 0.7% 0 - 80,000 10% 80,000 - 480,000 20% 20% 480,000 - 760,000 35% 45% >760,000 75%

RTWP.L ETFS Russell 2000 US Small Cap GO UCITS EUNITED KINGDYes No 0.3% 0 - 280 10% 280 - 1,680 20% 20% 1,680 - 2,800 35% 45% >2,800 75%

SAUD.L ETFS Short AUD Long USD UNITED KINGDStockbroking onlyNo 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

SCYP.L ETFS Short CNY Long USD UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

URGB.L ETFS Short EUR Long GBP UNITED KINGDYes No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 60% 75% >500 75%

SERO.L ETFS Short EUR Long USD UNITED KINGDYes No 1% 0 - 3,000 10% 3,000 - 21,000 16% 16% 21,000 - 30,000 24% 30% >30,000 30%

USD2.L ETFS Short GBP Long USD UNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

SGBP.L ETFS Short GBP Long USD UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 200 20% 20% 200 - 500 35% 45% >500 75%

SINP.L ETFS Short INR Long USD UNITED KINGDYes No 1% 0 - 30 10% 30 - 210 16% 16% 210 - 300 24% 30% >300 30%

SLVR.L ETFS Silver ETC UNITED KINGDYes No 0.7% 0 - 67,000 10% 67,000 - 402,000 20% 20% 402,000 - 670,000 35% 45% >670,000 75%

AIGS.L ETFS Softs ETC UNITED KINGDYes No 0.7% 0 - 280,000 10% 280,000 - 1,610,000 20% 20% 1,610,000 - 2,800,000 35% 45% >2,800,000 75%

SOYO.L ETFS Soybean Oil ETC UNITED KINGDYes No 0.7% 0 - 350,000 10% 350,000 - 2,012,500 20% 20% 2,012,500 - 3,500,000 35% 45% >3,500,000 75%

SOYB.L ETFS Soybeans ETC UNITED KINGDYes No 0.7% 0 - 64,000 10% 64,000 - 352,000 20% 20% 352,000 - 704,000 35% 45% >704,000 75%

SUGA.L ETFS Sugar ETC UNITED KINGDYes Yes 0.7% 0 - 90,000 10% 90,000 - 495,000 20% 20% 495,000 - 990,000 35% 45% >990,000 75%

TINM.L ETFS Tin ETC UNITED KINGDYes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

MLPX.L ETFS US Energy Infrastructure MLP GO UCITSUNITED KINGDYes - No CR No 1% 0 - 83 10% 83 - 499 16% 16% 499 - 749 24% 30% >749 30%

MLPI.L ETFS US Energy Infrastructure MLP GO UCITSUNITED KINGDYes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

OILW.L ETFS WTI 2mth ETC UNITED KINGDYes No 0.7% 0 - 60,000 10% 60,000 - 345,000 20% 20% 345,000 - 600,000 35% 45% >600,000 75%

OLWP.L ETFS WTI 2mth ETC UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

OSW3.L ETFS WTI 3yr ETC UNITED KINGDYes No 1% 0 - 1,100 10% 1,100 - 6,600 16% 16% 6,600 - 9,900 24% 30% >9,900 30%

WEAT.L ETFS Wheat ETC UNITED KINGDYes Yes 0.7% 0 - 1,050,000 10% 1,050,000 - 7,087,500 20% 20% 7,087,500 - 10,762,500 35% 45% >10,762,500 75%

ZINC.L ETFS Zinc ETC UNITED KINGDYes Yes 0.7% 0 - 240,000 10% 240,000 - 1,500,000 20% 20% 1,500,000 - 2,520,000 35% 45% >2,520,000 75%

CASH.L ETFS-E Fund MSCI China A GO UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 5,000 20% 20% 5,000 - 10,000 35% 45% >10,000 75%

CASE.L ETFS-E Fund MSCI China A GO UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 50 15% 15% 50 - 100 20% 30% >100 38%

EUSPP.L EU Supply PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 75% >500 75%

EVRE.L EVRAZ PLC UNITED KINGDYes Yes 0.7% 0 - 3,500 20% 3,500 - 10,010 30% 30% 10,010 - 10,990 50% 60% >10,990 75%

EYE.L Eagle Eye Solutions Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

EPO.L Earthport PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,100 25% 1,100 - 3,245 40% 40% 3,245 - 3,575 60% 75% >3,575 75%

EBIVE.L Eastbridge Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

EEUP.L Eastern European Property Fund UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 90 50% 75% >90 75%

EBQ.L Ebiquity PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 400 50% 75% >400 75%

ECK.L Eckoh PLC UNITED KINGDYes - No CR Yes 1% 0 - 290 25% 290 - 870 30% 30% 870 - 2,001 50% 75% >2,001 75%

PIER.L Eclectic Bar Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 50% 75% >100 75%

ECV.L Eco City Vehicles PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 90 40% 40% 90 - 300 50% 60% >300 75%

ECW.L Ecofin Water & Power Opportunities PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 79 25% 79 - 158 40% 40% 158 - 928 60% 75% >928 75%

ECWo.L Ecofin Water & Power Opportunities PLC UNITED KINGDYes - No CR No 0.3% 0 - 40 10% 40 - 240 16% 16% 240 - 800 20% 24% >800 30%

EDENE.L Eden Research PLC UNITED KINGDYes - No CR No 1% 0 - 1,143 25% 1,143 - 2,286 30% 30% 2,286 - 3,429 50% 75% >3,429 75%

EDLE.L Edenville Energy PLC UNITED KINGDStockbroking onlyYes 1% 0 - 133,333 25% 133,333 - 266,666 40% 40% 266,666 - 362,665 60% 75% >362,665 75%

EDGF.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 16% 16% 60 - 99,990 30% 30% >99,990 ERROR

EDGG.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 50 20% 30% >50 30%

EDGI.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

EDGx.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

EDGc.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 200 16% 16% 200 - 499,950 30% 30% >499,950 ERROR

EDGE.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

EDGH.L Edge Performance VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

EDG.L Edge Resources Inc UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 3,500 50% 75% >3,500 75%

EFM.L Edinburgh Dragon Trust PLC UNITED KINGDYes Yes 0.3% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,400 75% 75% >1,400 75%

EWI.L Edinburgh Worldwide Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 487 60% 75% >487 75%

EFIDq.L Edita Food Industries S. AE UNITED KINGDYes - No CR Yes 1% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 80,000 60% 75% >80,000 75%

EGRE.L Egdon Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 383 25% 383 - 766 30% 30% 766 - 1,149 50% 75% >1,149 75%

ELX.L El Oro Limited UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 45 16% 16% 45 - 75 20% 30% >75 30%

ELA.L Eland Oil & Gas PLC UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,625 60% 75% >1,625 75%

ELDR.L Elderstreet VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 10% 5 - 15 16% 16% 15 - 20 20% 30% >20 30%

ELCO.L Elecosoft PLC UNITED KINGDYes - No CR No 1% 0 - 357 25% 357 - 714 30% 30% 714 - 1,071 50% 75% >1,071 75%

ELTAo.L Electra Private Equity Investments PLC UNITED KINGDYes - No CR No 0.3% 0 - 40 10% 40 - 120 16% 16% 120 - 399,960 30% 30% >399,960 ERROR

ELTA.L Electra Private Equity PLC UNITED KINGDYes Yes 0.7% 0 - 70 20% 70 - 200 30% 30% 200 - 220 50% 60% >220 75%






ELWO.L Electric Word PLC UNITED KINGDYes - No CR No 1% 0 - 2,857 25% 2,857 - 5,714 30% 30% 5,714 - 8,571 50% 75% >8,571 75%

ECM.L Electrocomponents PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,650 50% 60% >3,650 75%

ELDA.L Electronic Data Processing PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 25 50% 75% >25 75%

EHGE.L Elegant Hotels Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 210 40% 40% 210 - 1,740 50% 75% >1,740 75%

EKT.L Elektron Technology PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 525 40% 40% 525 - 749,925 75% 75% >749,925 ERROR

ELM.L Elementis PLC UNITED KINGDYes Yes 0.7% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 3,304 50% 60% >3,304 75%

ECAPEx.L Elephant Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

EMM.L Emerging Market Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

ESP.L Empiric Student Property PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,000 75% 75% >4,999,000 75%

EMPR.L Empresaria Group PLC UNITED KINGDYes - No CR No 1% 0 - 300 25% 300 - 450 40% 40% 450 - 600 50% 60% >600 75%

EMEL.L Empyrean Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 800 25% 800 - 1,600 30% 30% 1,600 - 2,400 50% 75% >2,400 75%

ENQ.L EnQuest PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 3,592 20% 3,592 - 9,985 30% 30% 9,985 - 11,674 50% 60% >11,674 75%

ENGI.L Energiser Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

EASE.L Energy Assets Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

ESR.L Ensor Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 100 50% 75% >100 75%

NTQ.L Enteq Upstream PLC UNITED KINGDYes - No CR Yes 1% 0 - 222 25% 222 - 444 30% 30% 444 - 666 50% 75% >666 75%

ETI.L Enterprise Inns PLC UNITED KINGDYes Yes 0.7% 0 - 1,200 20% 1,200 - 3,504 30% 30% 3,504 - 4,284 50% 60% >4,284 75%

ETO.L Entertainment One Limited UNITED KINGDYes Yes 1% 0 - 1,300 15% 1,300 - 3,978 25% 25% 3,978 - 5,954 40% 55% >5,954 75%

ENRE.L Environmental Recycling Technologies PLC UNITED KINGDStockbroking onlyYes 1% 0 - 16,667 25% 16,667 - 33,334 30% 30% 33,334 - 50,001 50% 75% >50,001 75%

EHP.L EpiStem Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 30 40% 40% 30 - 40 50% 75% >40 75%

EPWN.L Epwin Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 450 50% 60% >450 75%

PALO.L Equatorial Palm Oil PLC UNITED KINGDYes - No CR No 1% 0 - 1,951 25% 1,951 - 3,902 30% 30% 3,902 - 5,853 50% 75% >5,853 75%

EQN.L Equiniti Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,005 25% 3,005 - 18,030 40% 40% 18,030 - 60,100 50% 60% >60,100 75%

ERGO.L Ergomed PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

ESCH.L Escher Group Holdings PLC UNITED KINGDStockbroking onlyYes 1% 0 - 36 25% 36 - 72 30% 30% 72 - 108 50% 75% >108 75%

ESNT.L Essentra PLC UNITED KINGDYes Yes 0.3% 0 - 350 15% 350 - 1,099 25% 25% 1,099 - 1,613 40% 55% >1,613 75%

ETLNGq.L Etalon Group Limited UNITED KINGDYes - No CR Yes 1% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

EUA.L Eurasia Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 4,500 40% 40% 4,500 - 5,250 50% 75% >5,250 75%

ECEL.L Eurocell PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 200 30% 30% 200 - 300 50% 75% >300 75%

ERM.L Euromoney Institutional Investor PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 328 60% 75% >328 75%

EOG.L Europa Oil & Gas (Holdings) PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,159 25% 1,159 - 2,318 30% 30% 2,318 - 3,477 50% 75% >3,477 75%

EUNZ.L European Assets Trust NV UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 20 30% 30% 20 - 30 50% 75% >30 75%

EMHE.L European Metals Holdings Limited UNITED KINGDYes - No CR No 1% 0 - 150 25% 150 - 450 40% 40% 450 - 750 50% 75% >750 75%

ERET_p.L European Real Estate Investment Trust LimitedUNITED KINGDYes - No CR Yes 1% 0 - 45 25% 45 - 90 30% 30% 90 - 135 50% 75% >135 75%

EWGE.L European Wealth Group Ltd UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 150 40% 40% 150 - 200 50% 75% >200 75%

EMANE.L Everyman Media Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

EVG.L Evgen Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 300 25% 300 - 390 40% 40% 390 - 600 50% 60% >600 75%

EVO.L Evocutis PLC UNITED KINGDStockbroking onlyNo 1% 0 - 36,364 25% 36,364 - 72,728 30% 30% 72,728 - 109,092 50% 75% >109,092 75%

EXIL.L Exillon Energy PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,256 60% 75% >2,256 75%

EXO.L Exova Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 400 60% 75% >400 75%

EXPN.L Experian PLC UNITED KINGDYes Yes 0.3% 0 - 900 5% 900 - 4,662 10% 10% 4,662 - 9,450 20% 40% >9,450 75%

FCI.L F&C Capital and Income Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 270 60% 75% >270 75%

FCPTL.L F&C Commercial Property Trust Limited UNITED KINGDYes Yes 0.3% 0 - 1,300 25% 1,300 - 4,004 40% 40% 4,004 - 4,654 75% 75% >4,654 75%

FCS.L F&C Global Smaller Companies PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 372 60% 75% >372 75%

FMPG.L F&C Managed Portfolio Trust plc - Growth Portf UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 16% 16% 30 - 80 20% 30% >80 30%

FMPGi.L F&C Managed Portfolio Trust plc - Income Sh AUNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 16% 16% 30 - 100 20% 30% >100 30%

FPERx.L F&C Private Equity Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 646 60% 75% >646 75%

FCRE.L F&C UK Real Estate Investments Limited UNITED KINGDYes Yes 0.7% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 2,240 60% 75% >2,240 75%

TFW.L F.W. Thorpe PLC UNITED KINGDYes Yes 0.3% 0 - 80 25% 80 - 160 30% 30% 160 - 240 50% 75% >240 75%

FBH.L FBD Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 500 20% 500 - 1,500 32% 32% 1,500 - 4,999,500 60% 60% >4,999,500 ERROR

FDM.L FDM Group (Holdings) PLC UNITED KINGDYes Yes 0.3% 0 - 50 20% 50 - 300 30% 30% 300 - 500 40% 60% >500 75%

FAIR.L Fair Oaks Income Fund Limited UNITED KINGDYes - No CR No 1% 0 - 200 10% 200 - 600 20% 20% 600 - 3,000 35% 45% >3,000 75%

FAIC.L Fair Oaks Income Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 5,000 10% 5,000 - 20,000 16% 16% 20,000 - 49,995,000 30% 30% >49,995,000 ERROR

FFX.L FairFX Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 150 40% 40% 150 - 400 50% 75% >400 75%

FRPG.L Fairpoint Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 77 25% 77 - 154 30% 30% 154 - 231 50% 75% >231 75%

FLXFA.L Falanx Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 35 25% 35 - 210 40% 40% 210 - 1,050 50% 75% >1,050 75%

FAL.L Falcon Acquisitions Limited UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 450 40% 40% 450 - 600 50% 60% >600 75%

FOG.L Falcon Oil & Gas Limited UNITED KINGDStockbroking onlyYes 1% 0 - 952 25% 952 - 1,904 30% 30% 1,904 - 2,856 50% 75% >2,856 75%

FKL.L Falkland Islands Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 29 25% 29 - 58 30% 30% 58 - 87 50% 75% >87 75%

FOGL.L Falkland Oil and Gas Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 1,700 25% 1,700 - 4,998 40% 40% 4,998 - 5,525 60% 75% >5,525 75%

FPM.L Faroe Petroleum PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,610 60% 75% >1,610 75%

FARN.L Faron Pharmaceuticals Oy UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 20 40% 40% 20 - 99,990 75% 75% >99,990 ERROR

FJET.L FastJet PLC UNITED KINGDYes - No CR Yes 1% 0 - 147 25% 147 - 294 30% 30% 294 - 441 50% 75% >441 75%

FASTF.L Fastnet Equity PLC UNITED KINGDYes - No CR No 1% 0 - 101 25% 101 - 202 30% 30% 202 - 303 50% 75% >303 75%

FDBK.L Feedback PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

FENR.L Fenner PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 1,800 30% 30% 1,800 - 2,184 50% 60% >2,184 75%

FXPO.L Ferrexpo PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,100 20% 1,100 - 3,245 30% 30% 3,245 - 5,192 50% 60% >5,192 75%

FCRF.L Ferrum Crescent Limited UNITED KINGDStockbroking onlyNo 1% 0 - 3,636 25% 3,636 - 7,272 30% 30% 7,272 - 10,908 50% 75% >10,908 75%

FEVR.L Fevertree Drinks PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

FAS.L Fidelity Asian Values PLC UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 343 60% 75% >343 75%

FCSS.L Fidelity China Special Situations PLC UNITED KINGDYes Yes 0.7% 0 - 2,500 20% 2,500 - 7,500 30% 30% 7,500 - 8,125 50% 60% >8,125 75%

FEV.L Fidelity Investment Trust - Fidelity European ValUNITED KINGDYes Yes 0.3% 0 - 800 25% 800 - 2,504 40% 40% 2,504 - 2,904 75% 75% >2,904 75%

FSV.L Fidelity Investment Trust - Fidelity Special ValueUNITED KINGDYes Yes 0.7% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 2,625 75% 75% >2,625 75%

FJV.L Fidelity Japanese Values PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

FJVS.L Fidelity Japanese Values PLC UNITED KINGDYes - No CR No 0.7% 0 - 1,500 20% 1,500 - 4,500 30% 30% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

FDSA.L Fidessa group PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

FTC.L Filtronic PLC UNITED KINGDYes - No CR Yes 1% 0 - 178 25% 178 - 356 30% 30% 356 - 534 50% 75% >534 75%

FXRU.L FinEx Tradable Russian Corporate Bonds UCITUNITED KINGDStockbroking onlyNo 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FDL.L Findel PLC UNITED KINGDYes Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

FAM.L FinnAust Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,300 50% 75% >3,300 75%

FIF.L Finsbury Food Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 364 25% 364 - 728 30% 30% 728 - 1,092 50% 75% >1,092 75%

FGT.L Finsbury Growth & Income Trust PLC UNITED KINGDYes Yes 0.7% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,274 75% 75% >1,274 75%

FDI.L Firestone Diamonds PLC UNITED KINGDYes - No CR Yes 1% 0 - 285 25% 285 - 570 30% 30% 570 - 855 50% 75% >855 75%

FRST.L First Derivatives PLC UNITED KINGDYes Yes 1% 0 - 50 25% 50 - 150 40% 40% 150 - 170 60% 75% >170 75%

FSTP.L First Property Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 338 25% 338 - 676 30% 30% 676 - 1,014 50% 75% >1,014 75%

FQM.L First Quantum Minerals Limited UNITED KINGDYes Yes 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 8,700 60% 75% >8,700 75%

FEM.L First Trust Emerging Markets AlphaDEX(r) UCITUNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 300 16% 16% 300 - 500 24% 30% >500 30%

FEMU.L First Trust Emerging Markets AlphaDEX(r) UCITUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

FEUZ.L First Trust Eurozone AlphaDEX(r) UCITS ETF CUNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

FEX.L First Trust US Large Cap Core AlphaDEX(r) UCUNITED KINGDYes No 0.3% 0 - 8 10% 8 - 16 20% 20% 16 - 32 35% 45% >32 75%

FEXD.L First Trust US Large Cap Core AlphaDEX(r) UCUNITED KINGDYes No 1% 0 - 50 10% 50 - 300 16% 16% 300 - 500 24% 30% >500 30%

FKU.L First Trust United Kingdom AlphaDEX(r) UCITS UNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

FGP.L Firstgroup PLC UNITED KINGDYes Yes 0.3% 0 - 3,740 15% 3,740 - 9,985 25% 25% 9,985 - 17,465 40% 55% >17,465 75%

FISH.L Fishing Republic PLC UNITED KINGDStockbroking onlyNo 1% 0 - 60 25% 60 - 180 40% 40% 180 - 300 50% 75% >300 75%

FKE.L Fiske PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

FITBF.L Fitbug Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 50% 75% >5,000 75%

FCHK.L Fletcher King PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

FLOWF.L Flowgroup PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 1,500 30% 30% 1,500 - 3,000 50% 60% >3,000 75%

FLOL.L Flowtech Fluidpower PLC UNITED KINGDYes Yes 1% 0 - 555 25% 555 - 2,220 40% 40% 2,220 - 4,440 50% 60% >4,440 75%

FLYB.L Flybe Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 600 30% 30% 600 - 5,000 50% 60% >5,000 75%

FBD_u.L Flying Brands Limited UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,000 50% 75% >1,000 75%

TUNE.L Focusrite PLC UNITED KINGDYes - No CR Yes 1% 0 - ERROR 25% ERROR - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERROR

FBT.L Forbidden Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 300 50% 75% >300 75%

FRCL.L Foreign & Colonial Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 1,950 60% 75% >1,950 75%

FTNP.L Foresight 2 VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

FTNI.L Foresight 2 VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

FTN.L Foresight 2 VCT PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 45 16% 16% 45 - 60 20% 30% >60 30%

FST3.L Foresight 3 VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 30 16% 16% 30 - 40 20% 30% >40 30%

FTF.L Foresight 4 Vct PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 10% 7 - 52 16% 16% 52 - 74,992 30% 30% >74,992 ERROR

FTSV.L Foresight Solar & Infrastructure VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

FTSCF.L Foresight Solar & Infrastructure VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

FSFL.L Foresight Solar Fund PLC UNITED KINGDYes Call In 0.3% 0 - 700 10% 700 - 2,100 20% 20% 2,100 - 6,999,300 75% 75% >6,999,300 ERROR

FTV.L Foresight VCT PLC UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

FTVP.L Foresight VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

FTVI.L Foresight VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

FRM.L Formation Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

FTEFE.L Forte Energy NL UNITED KINGDStockbroking onlyYes 1% 0 - 32,258 25% 32,258 - 64,516 30% 30% 64,516 - 96,774 50% 75% >96,774 75%

FOX.L Fox Marble Holdings PLC UNITED KINGDStockbroking onlyYes 1% 0 - 500 25% 500 - 1,000 30% 30% 1,000 - 1,500 50% 75% >1,500 75%

FOXT.L Foxtons Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 20% 1,000 - 5,000 40% 40% 5,000 - 10,000 60% 70% >10,000 75%

FCCN.L French Connection Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,300 60% 75% >1,300 75%

FEN.L Frenkel Topping Group PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 50 40% 40% 50 - 80 50% 75% >80 75%

FRES.L Fresnillo PLC UNITED KINGDYes Yes 0.7% 0 - 600 10% 600 - 5,142 20% 20% 5,142 - 6,450 30% 50% >6,450 75%

FRR.L Frontera Resources Corporation UNITED KINGDYes - No CR Yes 1% 0 - 13,699 25% 13,699 - 27,398 30% 30% 27,398 - 41,097 50% 75% >41,097 75%

FDEV.L Frontier Developments PLC UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

FIPPG.L Frontier IP Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

FRIF.L Frontier Resources International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 900 40% 40% 900 - 1,350 50% 75% >1,350 75%

FCRM.L Fulcrum Utility Services Limited UNITED KINGDYes - No CR Yes 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,500 50% 75% >1,500 75%

FSTA.L Fuller Smith & Turner PLC UNITED KINGDYes Yes 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 97 60% 75% >97 75%

USEF.L FundLogic Alternatives plc MS Scientific Beta U UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

FCIF.L Funding Circle SME Income Fund Limited UNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 500 35% 45% >500 75%






FEET.L Fundsmith Emerging Equities Trust PLC UNITED KINGDYes No 0.3% 0 - 105 10% 105 - 315 20% 20% 315 - 1,049,895 75% 75% >1,049,895 ERROR

FXIF.L Fusionex International PLC UNITED KINGDYes - No CR Yes 1% 0 - 25 25% 25 - 50 30% 30% 50 - 75 50% 75% >75 75%

FUM.L Futura Medical PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 500 30% 30% 500 - 1,500 50% 75% >1,500 75%

FUTR.L Future PLC UNITED KINGDYes Yes 0.7% 0 - 714 25% 714 - 1,428 40% 40% 1,428 - 1,685 60% 75% >1,685 75%

FFY.L Fyffes PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 300 30% 30% 300 - 450 50% 75% >450 75%

GFS.L G4S PLC UNITED KINGDYes Yes 0.3% 0 - 4,250 10% 4,250 - 21,547 20% 20% 21,547 - 49,937 30% 50% >49,937 75%

GMDG.L GAME Digital PLC UNITED KINGDYes - No CR No 0.7% 0 - 200 20% 200 - 800 40% 40% 800 - 1,600 50% 60% >1,600 75%

GBGP.L GB Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 812 60% 75% >812 75%

GCM.L GCM Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 556 25% 556 - 1,112 30% 30% 1,112 - 1,668 50% 75% >1,668 75%

GCPI.L GCP Infrastructure Investments Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 3,440 15% 3,440 - 10,320 25% 25% 10,320 - 34,396,560 75% 75% >34,396,560 ERROR

DIGS.L GCP Student Living PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 740 50% 75% >740 75%

GTC.L GETECH Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 135 25% 135 - 270 30% 30% 270 - 405 50% 75% >405 75%

GKN.L GKN PLC UNITED KINGDYes Yes 0.3% 0 - 800 5% 800 - 8,000 10% 10% 8,000 - 20,000 20% 40% >20,000 75%

GLAF.L GLI Alternative Finance PLC UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 60 16% 16% 60 - 199,980 30% 30% >199,980 ERROR

GLIF.L GLI Finance Limited UNITED KINGDYes - No CR Yes 1% 0 - 195 25% 195 - 390 30% 30% 390 - 585 50% 75% >585 75%

GLIZo.L GLI Finance Ltd UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 150 40% 40% 150 - 500 50% 60% >500 75%

GTSC.L GTS Chemical Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

GVC.L GVC Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 180 30% 30% 180 - 900 50% 75% >900 75%

GWP.L GW Pharmaceuticals PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,060 60% 75% >3,060 75%

GVP.L Gabelli Value Plus+ Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 25 10% 25 - 200 16% 16% 200 - 249,975 30% 30% >249,975 ERROR

GAH.L Gable Holdings Inc UNITED KINGDYes - No CR Yes 1% 0 - 132 25% 132 - 264 30% 30% 264 - 396 50% 75% >396 75%

GAGO.L Galantas Gold Corporation UNITED KINGDStockbroking onlyYes 1% 0 - 6,061 25% 6,061 - 12,122 30% 30% 12,122 - 18,183 50% 75% >18,183 75%

GLS.L Galasys PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 90 40% 40% 90 - 150 50% 75% >150 75%

GLR.L Galileo Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 1,050 40% 40% 1,050 - 1,499,850 75% 75% >1,499,850 ERROR

GFRD.L Galliford Try PLC UNITED KINGDYes Yes 0.7% 0 - 150 20% 150 - 450 30% 30% 450 - 802 50% 60% >802 75%

GMAA.L Gama Aviation PLC UNITED KINGDYes - No CR Yes 1% 0 - 40 25% 40 - 80 30% 30% 80 - 120 50% 75% >120 75%

GAMEG.L GameAccount Network PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 50% 75% >100 75%

GAW.L Games Workshop Group PLC UNITED KINGDYes Yes 1% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

GMRG.L Gaming Realms PLC UNITED KINGDYes Yes 1% 0 - 449 25% 449 - 898 40% 40% 898 - 1,122 75% 75% >1,122 75%

GAMA.L Gamma Communications PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 500 40% 40% 500 - 5,800 60% 75% >5,800 75%

GTLY.L Gateley (Holdings) PLC UNITED KINGDYes - No CR Yes 1% 0 - 900 25% 900 - 5,400 40% 40% 5,400 - 9,000 50% 60% >9,000 75%

G4M.L Gear4Music (Holdings) PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 82 50% 75% >82 75%

GCLq.L Geiger Counter Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 75% >500 75%

GEMD.L Gem Diamonds Limited UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

GEM.L Gemfields PLC UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

GENL.L Genel Energy PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 485 20% 485 - 1,498 30% 30% 1,498 - 2,725 50% 60% >2,725 75%

GNIG.L General Industries PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

GENE.L Genesis Emerging Markets Fund UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

GENS.L Genus PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 357 60% 75% >357 75%

GNG.L Geong International Limited UNITED KINGDStockbroking onlyYes 1% 0 - 1,633 25% 1,633 - 3,266 30% 30% 3,266 - 4,899 50% 75% >4,899 75%

GFIN.L Gfinity PLC UNITED KINGDStockbroking onlyNo 1% 0 - 225 25% 225 - 1,125 40% 40% 1,125 - 2,250 50% 60% >2,250 75%

GL9.L Glanbia PLC UNITED KINGDYes Yes 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 166,500 60% 75% >166,500 75%

GSK.L GlaxoSmithKline PLC UNITED KINGDYes Yes 0.3% 0 - 600 5% 600 - 2,994 10% 10% 2,994 - 12,000 20% 40% >12,000 75%

GLEN.L Glencore PLC UNITED KINGDYes Yes 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 4,000 40% 60% >4,000 75%

GWIK.L Glenwick PLC UNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 28,000 50% 75% >28,000 75%

GBLE.L Global Energy Development PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 200 50% 75% >200 75%

GFIR.L Global Fixed Income Realisation Limited UNITED KINGDStockbroking onlyNo 1% 0 - 299 25% 299 - 598 30% 30% 598 - 897 50% 75% >897 75%

GINV.L Global Invacom Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

GBPq.L Global Petroleum Limited UNITED KINGDStockbroking onlyYes 1% 0 - 1,667 25% 1,667 - 3,334 30% 30% 3,334 - 5,001 50% 75% >5,001 75%

GLPRq.L Global Ports Investments PLC UNITED KINGDYes - No CR Yes 1% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 99,900,000 75% 75% >99,900,000 75%

GRIT.L Global Resources Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 50 40% 40% 50 - 100 60% 75% >100 75%

GLTDq.L Global Telecom Holding S. AE UNITED KINGDYes - No CR Yes 1% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

GLTRq.L Globaltrans Investment PLC UNITED KINGDYes - No CR Yes 1% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

GWI.L Globalworth Real Estate Investment Limited UNITED KINGDYes - No CR No 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

GLOO.L Gloo Networks PLC UNITED KINGDYes - No CR No 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

GOAL.L Goals Soccer Centres PLC UNITED KINGDYes - No CR Yes 1% 0 - 47 25% 47 - 94 30% 30% 94 - 141 50% 75% >141 75%

GBGR.L GoldBridges Global Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 4,545 25% 4,545 - 9,090 30% 30% 9,090 - 13,635 50% 75% >13,635 75%

GPM.L Golden Prospect Precious Metals Limited UNITED KINGDYes - No CR Yes 1% 0 - 50 10% 50 - 300 16% 16% 300 - 400 20% 30% >400 30%

GSRL.L Golden Saint Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 15,800 50% 75% >15,800 75%

GPRT.L Goldenport Holdings Inc UNITED KINGDYes - No CR No 0.7% 0 - 35 25% 35 - 109 40% 40% 109 - 127 75% 75% >127 75%

GLDP.L Goldplat PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,481 25% 1,481 - 2,962 30% 30% 2,962 - 4,443 50% 75% >4,443 75%

GRL.L Goldstone Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 851 25% 851 - 1,702 30% 30% 1,702 - 2,553 50% 75% >2,553 75%

GHH.L Gooch & Housego PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

GOODG.L Good Energy Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 21 40% 40% 21 - 51 50% 75% >51 75%

GDWN.L Goodwin PLC UNITED KINGDYes Yes 0.7% 0 - 5 25% 5 - 15 40% 40% 15 - 16 60% 75% >16 75%

GRAG.L Grafenia PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 100 40% 40% 100 - 200 50% 75% >200 75%

GRF_u.L Grafton Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 15% 400 - 2,400 25% 25% 2,400 - 2,600 40% 55% >2,600 75%

GRI.L Grainger PLC UNITED KINGDYes Yes 0.7% 0 - 1,400 20% 1,400 - 4,200 30% 30% 4,200 - 5,404 50% 60% >5,404 75%

GIPO.L Grand Group Investment PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

GRPHG.L Graphene NanoChem PLC UNITED KINGDYes Yes 1% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,400 75% 75% >1,400 75%

GEECq.L Great Eastern Energy Corporation Limited UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

GPOR.L Great Portland Estates PLC UNITED KINGDYes Yes 0.3% 0 - 793 20% 793 - 2,402 30% 30% 2,402 - 3,116 50% 60% >3,116 75%

GWMO.L Great Western Mining Corp PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 23,000 50% 75% >23,000 75%

GGPL.L Greatland Gold PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 16,000 50% 75% >16,000 75%

GDG.L Green Dragon Gas Limited UNITED KINGDStockbroking onlyYes 1% 0 - 150 25% 150 - 450 40% 40% 450 - 499 60% 75% >499 75%

GRNG.L Green REIT PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 100,000 20% 100,000 - 300,000 30% 30% 300,000 - 600,000 50% 60% >600,000 75%

UKWG.L Greencoat UK Wind PLC UNITED KINGDYes - No CR Call In 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,500 60% 75% >1,500 75%

GNC.L Greencore Group PLC UNITED KINGDYes Yes 0.7% 0 - 700 10% 700 - 4,249 20% 20% 4,249 - 10,325 35% 45% >10,325 75%

GNK.L Greene King PLC UNITED KINGDYes Yes 0.3% 0 - 500 15% 500 - 1,500 25% 25% 1,500 - 1,620 40% 55% >1,620 75%

GKO.L Greenko Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 600 40% 40% 600 - 800 60% 75% >800 75%

GRG.L Greggs PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 1,197 50% 60% >1,197 75%

GDL.L Greka Drilling Limited UNITED KINGDYes Yes 1% 0 - 930 25% 930 - 1,860 40% 40% 1,860 - 4,491 60% 75% >4,491 75%

GELG.L Greka Engineering & Technology Limited UNITED KINGDStockbroking onlyYes 0.7% 0 - 20 25% 20 - 100 35% 35% 100 - 500 60% 75% >500 75%

GHT.L Gresham Computing PLC UNITED KINGDStockbroking onlyYes 1% 0 - 160 25% 160 - 320 40% 40% 320 - 480 50% 60% >480 75%

GHE.L Gresham House PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 10% 7 - 52 16% 16% 52 - 67 20% 30% >67 30%

GHS.L Gresham House Strategic PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,231 25% 1,231 - 2,462 30% 30% 2,462 - 3,693 50% 75% >3,693 75%

GFM.L Griffin Mining Limited UNITED KINGDYes - No CR Yes 1% 0 - 588 25% 588 - 1,176 30% 30% 1,176 - 1,764 50% 75% >1,764 75%

GRIO.L Ground Rents Income Fund PLC UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 100 40% 40% 100 - 200 50% 75% >200 75%

GKP.L Gulf Keystone Petroleum Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 2,450 15% 2,450 - 4,900 25% 25% 4,900 - 7,350 40% 55% >7,350 75%

GMS.L Gulf Marine Services PLC UNITED KINGDYes Yes 1% 0 - 370 25% 370 - 1,110 40% 40% 1,110 - 1,480 75% 75% >1,480 75%

GPX.L Gulfsands Petroleum PLC UNITED KINGDYes - No CR Yes 1% 0 - 336 25% 336 - 672 40% 40% 672 - 840 75% 75% >840 75%

GUS.L Gusbourne PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

GUSC.L Guscio PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 75% >500 75%

SLNG.L H C Slingsby PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 3 40% 40% 3 - 9,999 75% 75% >9,999 ERROR

HTGR.L H&T Group PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 487 60% 75% >487 75%

HICL.L HICL Infrastructure Company Limited UNITED KINGDYes Yes 0.3% 0 - 3,000 15% 3,000 - 9,000 25% 25% 9,000 - 9,750 40% 55% >9,750 75%

HMLH.L HML Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 499,950 75% 75% >499,950 ERROR

HMSGq.L HMS Hydraulic Machines & Systems Group PLCUNITED KINGDYes - No CR No 1% 0 - 21,000 25% 21,000 - 84,000 40% 40% 84,000 - 209,958,000 75% 75% >209,958,000 75%

H50E.L HSBC EURO STOXX 50 UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 250 10% 250 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

HUKX.L HSBC FTSE 100 UCITS ETF UNITED KINGDYes No 0.3% 0 - 150 10% 150 - 1,050 20% 20% 1,050 - 1,500 35% 45% >1,500 75%

HMCX.L HSBC FTSE 250 UCITS ETF UNITED KINGDYes No 0.3% 0 - 360 10% 360 - 2,160 20% 20% 2,160 - 3,600 35% 45% >3,600 75%

HPROP.L HSBC FTSE EPRA NAREIT Developed UCITS UNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 160 35% 45% >160 75%

HPRD.L HSBC FTSE EPRA NAREIT Developed UCITS UNITED KINGDYes No 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%

HSBA.L HSBC Holdings PLC UNITED KINGDYes Yes 0.3% 0 - 1,600 5% 1,600 - 7,792 10% 10% 7,792 - 31,200 20% 40% >31,200 75%

HMCH.L HSBC MSCI China UCITS ETF UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

HMEF.L HSBC MSCI Emerging Markets UCITS ETF UNITED KINGDYes No 0.3% 0 - 700 10% 700 - 4,200 20% 20% 4,200 - 7,000 35% 45% >7,000 75%

HMJP.L HSBC MSCI JAPAN UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 130 10% 130 - 780 20% 20% 780 - 1,300 35% 45% >1,300 75%

HRUB.L HSBC MSCI Russia Capped UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 94 10% 94 - 470 20% 20% 470 - 1,034 35% 45% >1,034 75%

HRUD.L HSBC MSCI Russia Capped UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 9,400 10% 9,400 - 47,000 20% 20% 47,000 - 103,400 35% 45% >103,400 75%

HMUD.L HSBC MSCI USA UCITS ETF UNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

HMWO.L HSBC MSCI World UCITS ETF UNITED KINGDYes No 0.3% 0 - 890 10% 890 - 5,340 20% 20% 5,340 - 8,900 35% 45% >8,900 75%

HSPX.L HSBC S&P 500 UCITS ETF UNITED KINGDYes No 0.3% 0 - 700 10% 700 - 4,200 20% 20% 4,200 - 7,000 35% 45% >7,000 75%

HSS.L HSS Hire Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 450 15% 450 - 2,250 25% 25% 2,250 - 4,500 35% 35% >4,500 75%

HNL.L Hague and London Oil PLC UNITED KINGDStockbroking onlyYes 1% 0 - 526 25% 526 - 1,052 30% 30% 1,052 - 1,578 50% 75% >1,578 75%

HAIK.L HaiKe Chemical Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 323 25% 323 - 646 30% 30% 646 - 969 50% 75% >969 75%

HFD.L Halfords Group PLC UNITED KINGDYes Yes 0.3% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 2,710 50% 60% >2,710 75%

HLMA.L Halma PLC UNITED KINGDYes Yes 0.3% 0 - 800 15% 800 - 2,400 25% 25% 2,400 - 2,800 75% 75% >2,800 75%

HALHx.L HaloSource Inc UNITED KINGDStockbroking onlyYes 1% 0 - 1,212 25% 1,212 - 2,424 30% 30% 2,424 - 3,636 50% 75% >3,636 75%

HALH.L HaloSource Inc UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 180 40% 40% 180 - 599,940 75% 75% >599,940 ERROR

HSBKq.L Halyk Savings Bank Of Kazakh SA UNITED KINGDYes - No CR Yes 1% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

HMSO.L Hammerson PLC UNITED KINGDYes Yes 0.3% 0 - 1,800 10% 1,800 - 5,508 20% 20% 5,508 - 7,758 30% 50% >7,758 75%

HAN.L Hansa Trust PLC UNITED KINGDYes Yes 0.7% 0 - 12 25% 12 - 24 40% 40% 24 - 30 60% 75% >30 75%

HANa.L Hansa Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 40 20% 30% >40 30%

HSD.L Hansard Global PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 650 60% 75% >650 75%

HSTN.L Hansteen Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 1,400 20% 1,400 - 4,256 30% 30% 4,256 - 5,558 50% 60% >5,558 75%

HVPEa.L HarbourVest Global Private Equity Limited UNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 400 35% 45% >400 75%

HDD.L Hardide PLC UNITED KINGDYes - No CR No 1% 0 - 8,000 25% 8,000 - 16,000 30% 30% 16,000 - 24,000 50% 75% >24,000 75%

HAOG.L Hardy Oil & Gas PLC UNITED KINGDStockbroking onlyYes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

HHV.L Hargreave Hale AIM VCT 1 PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

HHVx.L Hargreave Hale AIM VCT 2 PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR






HRGV.L Hargreaves Lansdown PLC UNITED KINGDYes Yes 0.3% 0 - 600 10% 600 - 1,800 20% 20% 1,800 - 3,252 30% 50% >3,252 75%

HASE.L Hargreaves Services PLC UNITED KINGDYes Yes 0.7% 0 - 200 20% 200 - 600 30% 30% 600 - 924 50% 60% >924 75%

HMI.L Harvest Minerals Limited UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

HARV.L Harvey Nash Group PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 650 60% 75% >650 75%

HW.L Harwood Wealth Management Group PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

HWG.L Harworth Group PLC UNITED KINGDYes - No CR No 1% 0 - 186 25% 186 - 372 30% 30% 372 - 558 50% 75% >558 75%

HSTG.L Hastings Group Holdings PLC UNITED KINGDYes Yes 1% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 50,000 50% 60% >50,000 75%

HAVE.L Havelock Europa PLC UNITED KINGDStockbroking onlyYes 1% 0 - 559 25% 559 - 1,118 30% 30% 1,118 - 1,677 50% 75% >1,677 75%

HAYD.L Haydale Graphene Industries PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 500 50% 75% >500 75%

HYNS.L Haynes Publishing Group PLC UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

HAYS.L Hays PLC UNITED KINGDYes Yes 0.3% 0 - 3,698 15% 3,698 - 9,984 25% 25% 9,984 - 14,311 40% 55% >14,311 75%

HAYT.L Hayward Tyler Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 121 25% 121 - 242 30% 30% 242 - 363 50% 75% >363 75%

HR1Oa.L Hazel Renewable Energy VCT1 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 99 75% 75% >99 ERROR

HR1O.L Hazel Renewable Energy VCT1 PLC UNITED KINGDYes - No CR No 0.3% 0 - 25 10% 25 - 75 16% 16% 75 - 249,975 30% 30% >249,975 ERROR

HR2Oa.L Hazel Renewable Energy VCT2 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 99 75% 75% >99 ERROR

HR2O.L Hazel Renewable Energy VCT2 PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

HEAD.L Headlam Group PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 180 40% 40% 180 - 320 75% 75% >320 75%

HLCL.L Helical Bar PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

HUW.L Helios Underwriting PLC UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

HCLL.L Hellenic Carriers Limited UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

HAST.L Henderson Alternative Strategies Trust PLC UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

HDIV.L Henderson Diversified Income Limited UNITED KINGDYes No 0.3% 0 - 60 10% 60 - 420 20% 20% 420 - 1,020 35% 45% >1,020 75%

HNE.L Henderson EuroTrust PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 235 75% 75% >235 75%

HEFT.L Henderson European Focus Trust PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

HFEL.L Henderson Far East Income Limited UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 662 60% 75% >662 75%

HGLH.L Henderson Global Trust PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

HGGH.L Henderson Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,700 15% 1,700 - 4,998 25% 25% 4,998 - 6,783 40% 55% >6,783 75%

HHI.L Henderson High Income Trust PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 660 60% 75% >660 75%

HINT.L Henderson International Income Trust PLC UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 1,000 35% 45% >1,000 75%

HENT.L Henderson Opportunities Trust PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 30 10% 30 - 90 20% 20% 90 - 299,970 75% 75% >299,970 ERROR

BHY.L Henry Boot PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

HRI.L Herald Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

HERS.L Herencia Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 17,094 25% 17,094 - 34,188 30% 30% 34,188 - 51,282 50% 75% >51,282 75%

HPAC.L Hermes Pacific Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 9 40% 40% 9 - 29,997 75% 75% >29,997 ERROR

HGT.L HgCapital Trust PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

HBRN.L Hibernia REIT PLC UNITED KINGDYes Yes 0.7% 0 - 250,000 20% 250,000 - 750,000 30% 30% 750,000 - 1,500,000 50% 60% >1,500,000 75%

HCFT.L Highcroft Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 2 40% 40% 2 - 4,999 75% 75% >4,999 ERROR

HGM.L Highland Gold Mining Limited UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,790 60% 75% >1,790 75%

HNRH.L Highlands Natural Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 2,000 50% 75% >2,000 75%

HWC.L Highway Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

HIK.L Hikma Pharmaceuticals PLC UNITED KINGDYes Yes 0.3% 0 - 350 15% 350 - 1,099 25% 25% 1,099 - 1,225 40% 55% >1,225 75%

HILS.L Hill & Smith Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 338 60% 75% >338 75%

HFG.L Hilton Food Group PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 374 60% 75% >374 75%

HSX.L Hiscox Limited UNITED KINGDYes Yes 0.3% 0 - 440 20% 440 - 1,320 30% 30% 1,320 - 1,540 75% 75% >1,540 75%

HOCM.L Hochschild Mining PLC UNITED KINGDYes Yes 0.7% 0 - 600 20% 600 - 3,498 30% 30% 3,498 - 3,936 50% 60% >3,936 75%

HRG.L Hogg Robinson Group PLC UNITED KINGDYes Yes 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 1,950 60% 75% >1,950 75%

HDT.L Holders Technology PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

HOME.L Home Retail Group PLC UNITED KINGDYes Yes 0.7% 0 - 2,100 15% 2,100 - 6,363 25% 25% 6,363 - 7,371 40% 55% >7,371 75%

HSV.L HomeServe PLC UNITED KINGDYes Yes 0.7% 0 - 371 25% 371 - 1,113 40% 40% 1,113 - 1,205 60% 75% >1,205 75%

HZDH.L Horizon Discovery Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 60 25% 60 - 300 38% 38% 300 - 600 50% 75% >600 75%

HZM.L Horizonte Minerals PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,509 25% 1,509 - 3,018 30% 30% 3,018 - 4,527 50% 75% >4,527 75%

HRN.L Hornby PLC UNITED KINGDYes Yes 0.7% 0 - 128 25% 128 - 256 40% 40% 256 - 320 75% 75% >320 75%

HSW.L Hostelworld Group PLC UNITED KINGDYes Yes 1% 0 - 625 25% 625 - 3,750 40% 40% 3,750 - 12,500 50% 60% >12,500 75%

HOTC.L Hotel Chocolat Group Limited UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 120 40% 40% 120 - 400 50% 60% >400 75%

HWDN.L Howden Joinery Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,100 15% 1,100 - 3,245 25% 25% 3,245 - 6,578 40% 55% >6,578 75%

HUMR.L Hummingbird Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 242 25% 242 - 484 30% 30% 484 - 726 50% 75% >726 75%

HUNH.L Hunter Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

HUNT.L Hunters Property Group Limited UNITED KINGDYes - No CR No 1% 0 - 160 25% 160 - 480 40% 40% 480 - 960 50% 60% >960 75%

HTG.L Hunting PLC UNITED KINGDYes Yes 0.3% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,400 75% 75% >1,400 75%

HNTS.L Huntsworth PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

HUR.L Hurricane Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 5,600 50% 60% >5,600 75%

HCM.L Hutchison China MediTech Limited UNITED KINGDStockbroking onlyYes 1% 0 - 15 25% 15 - 30 30% 30% 30 - 45 50% 75% >45 75%

HYD.L Hydro International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 20 50% 75% >20 75%

HYR.L HydroDec Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 792 25% 792 - 1,584 30% 30% 1,584 - 2,376 50% 75% >2,376 75%

HYDG.L Hydrogen Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 40 50% 75% >40 75%

HYG.L Hygea VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

0538q.L Hyundai Motor Co UNITED KINGDYes - No CR Yes 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 9,700 75% 75% >9,700 75%

IBEX.L IBEX Global Solutions PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 97 50% 75% >97 75%

IBSA.L IBIS Media VCT 1 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

IAP.L ICAP PLC UNITED KINGDYes Yes 0.7% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 6,500 35% 45% >6,500 75%

ICGT.L ICG Enterprise Trust PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

LBOW.L ICG-Longbow Senior Secured UK Property DebUNITED KINGDYes Yes 1% 0 - 230 25% 230 - 690 40% 40% 690 - 2,299,770 75% 75% >2,299,770 ERROR

IDOX.L IDOX PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 4,875 60% 75% >4,875 75%

IFP.L IFG Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,200 50% 75% >1,200 75%

IGG.L IG Group Holdings PLC UNITED KINGDyes Yes 0.3% 0 - 801 15% 801 - 2,403 25% 25% 2,403 - 3,396 40% 55% >3,396 75%

IGAS.L IGas Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 4,041 60% 75% >4,041 75%

IMI.L IMI PLC UNITED KINGDYes Yes 0.3% 0 - 700 10% 700 - 2,100 20% 20% 2,100 - 2,751 30% 50% >2,751 75%

IMOI.L IMImobile PLC UNITED KINGDStockbroking onlyYes 1% 0 - 20 25% 20 - 60 40% 40% 60 - 80 50% 75% >80 75%

IPU.L INVESCO Perpetual UK Smaller Companies InvUNITED KINGDYes Yes 0.3% 0 - 90 25% 90 - 250 40% 40% 250 - 292 60% 75% >292 75%

IPO.L IP Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 3,200 50% 60% >3,200 75%

IPPL.L IPPlus PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

IPSA.L IPSA Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,759 25% 2,759 - 5,518 30% 30% 5,518 - 8,277 50% 75% >8,277 75%

IQE.L IQE PLC UNITED KINGDYes Yes 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 16,250 60% 75% >16,250 75%

IRFE.L IRF European Finance Investments Limited UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 9,900 75% 75% >9,900 ERROR

ISSL.L IS Solutions PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

ISG.L ISG PLC UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 180 30% 30% 180 - 360 50% 75% >360 75%

ITE.L ITE Group PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,521 60% 75% >1,521 75%

ITM.L ITM Power PLC UNITED KINGDYes Yes 1% 0 - 350 25% 350 - 1,050 40% 40% 1,050 - 2,100 50% 60% >2,100 75%

ITV.L ITV PLC UNITED KINGDYes Yes 0.3% 0 - 4,250 5% 4,250 - 24,097 10% 10% 24,097 - 49,937 20% 40% >49,937 75%

IXI.L IXI Company PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 30% 30% 3,000 - 4,000 75% 75% >4,000 75%

IBST.L Ibstock PLC UNITED KINGDYes Yes 1% 0 - 1,450 25% 1,450 - 8,700 40% 40% 8,700 - 29,000 50% 60% >29,000 75%

IDEA.L Ideagen PLC UNITED KINGDYes - No CR Yes 1% 0 - 288 25% 288 - 576 30% 30% 576 - 864 50% 75% >864 75%

IKA.L Ilika PLC UNITED KINGDStockbroking onlyYes 1% 0 - 163 25% 163 - 326 30% 30% 326 - 489 50% 75% >489 75%

IMGE.L Image Scan Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

IMTK.L Imaginatik PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 400 50% 75% >400 75%

IMG.L Imagination Technologies Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 500 20% 500 - 3,000 30% 30% 3,000 - 6,250 50% 60% >6,250 75%

IME.L Immedia Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 120 40% 40% 120 - 499,950 75% 75% >499,950 ERROR

IMM.L ImmuPharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 172 25% 172 - 344 30% 30% 344 - 516 50% 75% >516 75%

IDH.L Immunodiagnostic Systems Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 17 25% 17 - 34 40% 40% 34 - 126 60% 75% >126 75%

IHUK.L Impact Holdings (UK) PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

IPX.L Impax Asset Management Group PLC UNITED KINGDYes - No CR No 1% 0 - 182 25% 182 - 364 30% 30% 364 - 546 50% 75% >546 75%

IMPX.L Impax Environmental Markets PLC UNITED KINGDYes Yes 0.7% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

IPEL.L Impellam Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 26 25% 26 - 52 30% 30% 52 - 78 50% 75% >78 75%

IMB.L Imperial Brands PLC UNITED KINGDYes Yes 0.3% 0 - 450 5% 450 - 2,155 10% 10% 2,155 - 8,662 20% 40% >8,662 75%

IVO.L Imperial Innovations Group PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 105 75% 75% >105 75%

IKK.L Inch Kenneth Kajang Rubber PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

INCH.L Inchcape PLC UNITED KINGDYes Yes 0.7% 0 - 821 15% 821 - 2,504 25% 25% 2,504 - 3,177 40% 55% >3,177 75%

INME.L Independent News & Media PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150,000 25% 150,000 - 900,000 30% 30% 900,000 - 2,001,000 50% 75% >2,001,000 75%

IOG.L Independent Oil & Gas PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 400 50% 75% >400 75%

IRG.L Independent Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,905 25% 1,905 - 3,810 30% 30% 3,810 - 5,715 50% 75% >5,715 75%

IGC.L India Capital Growth Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 284 25% 284 - 568 30% 30% 568 - 852 50% 75% >852 75%

IGCS.L India Capital Growth Fund Limited UNITED KINGDYes - No CR No 1% 0 - 500 25% 500 - 2,000 40% 40% 2,000 - 5,000 50% 75% >5,000 75%

ID2A.L IndigoVision Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 27 25% 27 - 54 30% 30% 54 - 81 50% 75% >81 75%

INDV.L Indivior PLC UNITED KINGDYes Yes 0.7% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 30,000 35% 45% >30,000 75%

INDII.L Indus Gas Limited UNITED KINGDYes Yes 0.7% 0 - 14 25% 14 - 28 40% 40% 28 - 31 60% 75% >31 75%

IMPT.L Industrial Multi Property Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

GBR.L Infinity Energy SA UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 8,000 50% 75% >8,000 75%

INF.L Informa PLC UNITED KINGDYes Yes 0.3% 0 - 940 15% 940 - 2,754 25% 25% 2,754 - 4,333 40% 55% >4,333 75%

INFAT.L InfraStrata PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,081 25% 1,081 - 2,162 30% 30% 2,162 - 3,243 50% 75% >3,243 75%

IIP.L Infrastructure India PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 100 40% 40% 100 - 300 50% 75% >300 75%

ILND.L Inland Homes PLC UNITED KINGDYes - No CR Yes 1% 0 - 212 25% 212 - 424 30% 30% 424 - 636 50% 75% >636 75%

INLZ_p.L Inland ZDP PLC UNITED KINGDYes - No CR No 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

ISA.L Inmarsat PLC UNITED KINGDYes Yes 0.3% 0 - 715 15% 715 - 2,102 25% 25% 2,102 - 3,381 40% 55% >3,381 75%

TIG.L Innovation Group PLC UNITED KINGDYes Yes 0.7% 0 - 7,500 20% 7,500 - 24,975 30% 30% 24,975 - 28,725 75% 75% >28,725 75%

IHC.L Inspiration Healthcare Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 375 50% 75% >375 75%

INSEI.L Inspired Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 816 25% 816 - 1,632 30% 30% 1,632 - 2,448 50% 75% >2,448 75%

INSP.L Inspirit Energy Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 17,000 50% 75% >17,000 75%

INSC.L Instem PLC UNITED KINGDStockbroking onlyYes 1% 0 - 59 25% 59 - 118 30% 30% 118 - 177 50% 75% >177 75%

IDHC.L Integrated Diagnostics Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 55,500 25% 55,500 - 333,000 40% 40% 333,000 - 1,110,000 50% 60% >1,110,000 75%

IEH.L Intelligent Energy Holdings PLC UNITED KINGDYes Yes 1% 0 - 150 25% 150 - 900 40% 40% 900 - 2,250 50% 60% >2,250 75%






INBL.L InterBulk Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,500 50% 75% >1,500 75%

IGP.L Intercede Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 56 25% 56 - 112 30% 30% 112 - 168 50% 75% >168 75%

IHG.L Intercontinental Hotels Group PLC UNITED KINGDYes Yes 0.3% 0 - 345 5% 345 - 1,072 10% 10% 1,072 - 3,067 20% 40% >3,067 75%

ICP.L Intermediate Capital Group PLC UNITED KINGDYes Yes 0.7% 0 - 385 15% 385 - 2,352 25% 25% 2,352 - 3,130 40% 55% >3,130 75%

IBT.L International Biotechnology Trust PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

ICAG.L International Consolidated Airlines Group SA UNITED KINGDYes Yes 0.3% 0 - 2,100 5% 2,100 - 11,214 10% 10% 11,214 - 44,100 20% 40% >44,100 75%

IFL.L International Ferro Metals Limited UNITED KINGDYes Yes 1% 0 - 2,400 25% 2,400 - 7,248 40% 40% 7,248 - 7,800 60% 75% >7,800 75%

INGR.L International Greetings PLC UNITED KINGDYes - No CR Yes 1% 0 - 134 25% 134 - 268 30% 30% 268 - 402 50% 75% >402 75%

IPF.L International Personal Finance PLC UNITED KINGDYes Yes 0.7% 0 - 900 15% 900 - 2,754 25% 25% 2,754 - 3,042 40% 55% >3,042 75%

INPP.L International Public Partnerships Limited UNITED KINGDYes Yes 0.3% 0 - 2,500 20% 2,500 - 7,500 30% 30% 7,500 - 8,750 75% 75% >8,750 75%

INTQ.L InternetQ PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 350 75% 75% >350 75%

ITQ.L Interquest Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 199,980 75% 75% >199,980 ERROR

IRV.L Interserve PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 960 50% 60% >960 75%

ITRK.L Intertek Group PLC UNITED KINGDYes Yes 0.3% 0 - 300 10% 300 - 900 20% 20% 900 - 1,701 30% 50% >1,701 75%

IAT.L Invesco Asia Trust PLC UNITED KINGDYes Yes 0.3% 0 - 200 25% 200 - 600 40% 40% 600 - 666 60% 75% >666 75%

IVI.L Invesco Income Growth Trust PLC UNITED KINGDYes No 0.3% 0 - 80 25% 80 - 250 40% 40% 250 - 280 60% 75% >280 75%

IPEI.L Invesco Perpetual Enhanced Income Limited UNITED KINGDYes - No CR No 0.3% 0 - 75 10% 75 - 525 16% 16% 525 - 750 20% 30% >750 30%

IVPB.L Invesco Perpetual Select Trust plc - Balanced RUNITED KINGDYes - No CR No 1% 0 - 91 25% 91 - 182 30% 30% 182 - 273 50% 75% >273 75%

IVPG.L Invesco Perpetual Select Trust plc - Global Equ UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 52 16% 16% 52 - 74,992 30% 30% >74,992 ERROR

IVPM.L Invesco Perpetual Select Trust plc - Managed L UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 4 40% 40% 4 - 9,999 75% 75% >9,999 ERROR

IVPU.L Invesco Perpetual Select Trust plc - UK Equity SUNITED KINGDStockbroking onlyNo 1% 0 - 5 10% 5 - 30 16% 16% 30 - 60 20% 30% >60 30%

INVP.L Investec PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 1,100 10% 1,100 - 5,863 20% 20% 5,863 - 17,875 35% 45% >17,875 75%

INVP_p.L Investec PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 21 40% 40% 21 - 99 50% 75% >99 75%

INVM.L Investment Company PLC UNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 9 16% 16% 9 - 21 20% 30% >21 30%

ICTAa.L Investors Capital Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 30 10% 30 - 90 16% 16% 90 - 299,970 30% 30% >299,970 ERROR

ICTA_u.L Investors Capital Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 2 10% 2 - 10 16% 16% 10 - 20 20% 30% >20 30%

ICTAb.L Investors Capital Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 52 16% 16% 52 - 74,992 30% 30% >74,992 ERROR

IERE.L Invista European Real Estate Trust SICAF UNITED KINGDStockbroking onlyNo 1% 0 - 6,557 25% 6,557 - 13,114 30% 30% 13,114 - 19,671 50% 75% >19,671 75%

IOFI.L Iofina PLC UNITED KINGDYes Yes 1% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 7,000 60% 75% >7,000 75%

ION1a.L Iona Environmental VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 0 50% 75% >0 75%

ION1.L Iona Environmental VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

IONB.L Iona Environmental VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

ICG_u.L Irish Continental Group PLC UNITED KINGDYes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

IRR.L Ironridge Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 250 25% 250 - 750 40% 40% 750 - 2,499,750 75% 75% >2,499,750 ERROR

IRONI.L Ironveld PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,081 25% 1,081 - 2,162 30% 30% 2,162 - 3,243 50% 75% >3,243 75%

SUSJ.L Ishares IV Plc - Sustainable MSCI Japan Sri UciUNITED KINGDNo No 1% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

IAE.L Ithaca Energy Inc UNITED KINGDYes - No CR Yes 0.7% 0 - 1,800 20% 1,800 - 5,508 30% 30% 5,508 - 8,856 50% 60% >8,856 75%

JDW.L J D Wetherspoon PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

SBRY.L J Sainsbury PLC UNITED KINGDYes Yes 0.3% 0 - 1,400 5% 1,400 - 14,700 10% 10% 14,700 - 29,400 20% 40% >29,400 75%

SMJ.L J. Smart & Co. (Contractors) PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 97 50% 75% >97 75%

JPEL_p.L J.P. Morgan Private Equity Limited UNITED KINGDYes - No CR Call In 1% 0 - 10,000 10% 10,000 - 50,000 16% 16% 50,000 - 280,000 20% 30% >280,000 30%

JD.L JD Sports Fashion PLC UNITED KINGDYes Yes 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 105 75% 75% >105 75%

JKX.L JKX Oil & Gas PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

JIGIx.L JP Morgan Income & Growth Investment Trust PUNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

JIGI_u.L JP Morgan Income & Growth Investment Trust PUNITED KINGDYes - No CR No 0.3% 0 - 2 10% 2 - 8 16% 16% 8 - 19,998 30% 30% >19,998 ERROR

JIGIi.L JP Morgan Income & Growth Investment Trust PUNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 16% 16% 60 - 100 20% 30% >100 30%

JAM.L JPMorgan American Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

JAI.L JPMorgan Asian Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

JPB.L JPMorgan Brazil Investment Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 172 25% 172 - 344 30% 30% 344 - 516 50% 75% >516 75%

JMC.L JPMorgan Chinese Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 648 60% 75% >648 75%

JCH.L JPMorgan Claverhouse Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 270 60% 75% >270 75%

JPEx.L JPMorgan Elect plc - Managed Cash UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

JPE.L JPMorgan Elect plc - Managed Growth UNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 21 16% 16% 21 - 30 20% 30% >30 30%

JPEi.L JPMorgan Elect plc - Managed Income UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 20 16% 16% 20 - 30 20% 30% >30 30%

JMG.L JPMorgan Emerging Markets Investment Trust PUNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,050 75% 75% >1,050 75%

JETx.L JPMorgan European Investment Trust plc - GrowUNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

JETi.L JPMorgan European Investment Trust plc - GrowUNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 825 60% 75% >825 75%

JESC.L JPMorgan European Smaller Companies Trust UNITED KINGDYes Yes 0.7% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,500 75% 75% >3,500 75%

JGCI.L JPMorgan Global Convertibles Income Fund LimUNITED KINGDYes No 0.3% 0 - 60 10% 60 - 420 20% 20% 420 - 780 35% 45% >780 75%

JEMI.L JPMorgan Global Emerging Markets Income TruUNITED KINGDYes Yes 0.3% 0 - 810 10% 810 - 2,430 20% 20% 2,430 - 8,099,190 75% 75% >8,099,190 ERROR

JPIPu.L JPMorgan Income & Capital Trust PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 60 30% 30% 60 - 90 50% 75% >90 75%

JPIP.L JPMorgan Income & Capital Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 60 16% 16% 60 - 100 20% 30% >100 30%

JPIPo.L JPMorgan Income & Capital Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 16% 16% 60 - 100 20% 30% >100 30%

JII.L JPMorgan Indian Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

JPSS.L JPMorgan Japan Smaller Companies Trust PLCUNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 2,000 50% 50% 2,000 - 16,000 60% 75% >16,000 75%

JPS.L JPMorgan Japan Smaller Companies Trust PLCUNITED KINGDYes Yes 0.7% 0 - 51 25% 51 - 102 40% 40% 102 - 342 60% 75% >342 75%

JFJ.L JPMorgan Japanese Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

JMF.L JPMorgan Mid Cap Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

JMO.L JPMorgan Overseas Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 10 25% 10 - 25 40% 40% 25 - 50 60% 60% >50 75%

JRS.L JPMorgan Russian Securities PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 329 60% 75% >329 75%

JPSL.L JPMorgan Senior Secured Loan Fund Limited UNITED KINGDYes No 0.3% 0 - 200 10% 200 - 600 20% 20% 600 - 1,999,800 75% 75% >1,999,800 ERROR

JMI.L JPMorgan Smaller Companies Investment Trus UNITED KINGDYes Yes 0.3% 0 - 30 25% 30 - 90 40% 40% 90 - 104 60% 75% >104 75%

JMIS.L JPMorgan Smaller Companies Investment Trus UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

JUSC.L JPMorgan US Smaller Companies Investment TUNITED KINGDYes Yes 0.7% 0 - 20 25% 20 - 60 40% 40% 60 - 65 60% 75% >65 75%

JQW.L JQW PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 90 40% 40% 90 - 1,500 50% 75% >1,500 75%

KMGq.L JSC KazMunaiGas Exploration Production UNITED KINGDYes - No CR Yes 1% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

KKGByq.L JSC Kazkommertsbank UNITED KINGDStockbroking onlyNo 1% 0 - 9,000 25% 9,000 - 18,000 40% 40% 18,000 - 22,500 75% 75% >22,500 75%

VTBRq.L JSC VTB Bank UNITED KINGDYes - No CR Yes 1% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 6,380,000 35% 45% >6,380,000 75%

JE.L JUST EAT PLC UNITED KINGDYes Yes 0.3% 0 - 450 10% 450 - 2,250 20% 20% 2,250 - 4,500 40% 50% >4,500 75%

JZCP.L JZ Capital Partners Limited UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 60 30% 30% 60 - 90 50% 75% >90 75%

JZCP_p.L JZ Capital Partners Limited UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 40 20% 30% >40 30%

JZCZo.L JZ Capital Partners Limited UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 15 16% 16% 15 - 74,992 30% 30% >74,992 ERROR

CRPR.L James Cropper PLC UNITED KINGDYes - No CR Yes 1% 0 - 2 25% 2 - 10 40% 40% 10 - 26 50% 75% >26 75%

FSJ.L James Fisher and Sons PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 220 60% 75% >220 75%

JHD.L James Halstead PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 334 60% 75% >334 75%

LTHM.L James Latham PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 199,980 75% 75% >199,980 ERROR

JLT.L Jardine Lloyd Thompson Group PLC UNITED KINGDYes Yes 0.3% 0 - 180 20% 180 - 540 30% 30% 540 - 630 75% 75% >630 75%

JIM.L Jarvis Securities PLC UNITED KINGDYes - No CR Yes 1% 0 - 23 25% 23 - 46 30% 30% 46 - 69 50% 75% >69 75%

JWNG.L Jaywing PLC UNITED KINGDStockbroking onlyNo 1% 0 - 408 25% 408 - 816 30% 30% 816 - 1,224 50% 75% >1,224 75%

JLEC.L Jersey Electricity PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

TRAPO.L Jersey Oil and Gas PLC UNITED KINGDStockbroking onlyYes 1% 0 - 11 25% 11 - 22 30% 30% 22 - 33 50% 75% >33 75%

JSI.L Jiasen International Holdings Limited UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

CHOO.L Jimmy Choo PLC UNITED KINGDYes Yes 0.3% 0 - 700 10% 700 - 3,500 20% 20% 3,500 - 8,400 35% 45% >8,400 75%

JLEN.L John Laing Environmental Assets Group LimitedUNITED KINGDYes Yes 0.3% 0 - 25 10% 25 - 150 20% 20% 150 - 375 35% 45% >375 75%

JLG.L John Laing Group PLC UNITED KINGDYes Yes 1% 0 - 500 15% 500 - 3,000 25% 25% 3,000 - 10,000 50% 60% >10,000 75%

JLIF.L John Laing Infrastructure Fund Limited UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 3,000 20% 20% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

JLH.L John Lewis of Hungerford PLC UNITED KINGDStockbroking onlyNo 1% 0 - 380 25% 380 - 1,140 40% 40% 1,140 - 3,799,620 75% 75% >3,799,620 ERROR

MNZS.L John Menzies PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 487 60% 75% >487 75%

WG.L John Wood Group PLC UNITED KINGDYes Yes 0.7% 0 - 743 10% 743 - 3,715 20% 20% 3,715 - 5,438 35% 45% >5,438 75%

JMAT.L Johnson Matthey PLC UNITED KINGDYes Yes 0.7% 0 - 283 10% 283 - 849 20% 20% 849 - 1,791 30% 50% >1,791 75%

JSG.L Johnson Service Group PLC UNITED KINGDYes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,250 60% 75% >3,250 75%

JPR.L Johnston Press PLC UNITED KINGDYes Yes 1% 0 - 255 25% 255 - 749 40% 40% 749 - 828 60% 75% >828 75%

JNYJ.L Journey Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 30% 30% 200 - 300 50% 75% >300 75%

JLP.L Jubilee Platinum PLC UNITED KINGDYes - No CR Yes 1% 0 - 4,598 25% 4,598 - 9,196 30% 30% 9,196 - 13,794 50% 75% >13,794 75%

JDG.L Judges Scientific PLC UNITED KINGDYes - No CR Yes 1% 0 - 5 25% 5 - 10 30% 30% 10 - 15 50% 75% >15 75%

JDTx.L Jupiter Dividend & Growth Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 1 10% 1 - 10 16% 16% 10 - 9,999 30% 30% >9,999 ERROR

JDTi.L Jupiter Dividend & Growth Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 75 10% 75 - 300 16% 16% 300 - 525 20% 30% >525 30%

JDToz.L Jupiter Dividend & Growth Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 16% 16% 30 - 80 20% 30% >80 30%

JPRL.L Jupiter Energy Limited UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

JEO.L Jupiter European Opportunities Trust PLC UNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

JUP.L Jupiter Fund Management PLC UNITED KINGDYes Yes 0.7% 0 - 400 15% 400 - 2,400 25% 25% 2,400 - 3,272 40% 55% >3,272 75%

JGC.L Jupiter Green Investment Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 70 25% 70 - 140 30% 30% 140 - 210 50% 75% >210 75%

JUKG.L Jupiter UK Growth Investment Trust PLC UNITED KINGDYes No 0.7% 0 - 36 25% 36 - 72 40% 40% 72 - 81 60% 75% >81 75%

JUS.L Jupiter US Smaller Companies PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

JIL.L Juridica Investments Limited UNITED KINGDYes - No CR Yes 1% 0 - 78 25% 78 - 156 30% 30% 156 - 234 50% 75% >234 75%

JRP.L Just Retirement Group PLC UNITED KINGDYes Yes 0.7% 0 - 56 20% 56 - 224 30% 30% 224 - 448 40% 50% >448 75%

KCR.L K&C REIT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

KBT.L K3 Business Technology Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 60 25% 60 - 180 30% 30% 180 - 300 50% 75% >300 75%

KAZ.L KAZ Minerals PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,100 15% 1,100 - 6,501 25% 25% 6,501 - 9,009 40% 55% >9,009 75%

KBCAT.L KBC Advanced Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 750 30% 30% 750 - 1,500 50% 75% >1,500 75%

KCOM.L KCOM Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,990 60% 75% >3,990 75%

KEFI.L KEFI Minerals PLC UNITED KINGDYes - No CR Yes 1% 0 - 5,063 25% 5,063 - 10,126 30% 30% 10,126 - 15,189 50% 75% >15,189 75%

KSK.L KSK Power Ventur PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 564 60% 75% >564 75%

KNOS.L Kainos Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 60% >200 75%

KAKU.L Kakuzi Limited UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

KLBT.L Kalibrate Technologies PLC UNITED KINGDStockbroking onlyYes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 300 50% 75% >300 75%

KDR.L Karelian Diamond Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 9,000 50% 75% >9,000 75%

KCELq.L Kcell UNITED KINGDYes - No CR Yes 1% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

KEA.L Kea Petroleum PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,053 25% 1,053 - 2,106 30% 30% 2,106 - 3,159 50% 75% >3,159 75%

KLN.L Kellan Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR






KLR.L Keller Group PLC UNITED KINGDYes Yes 0.7% 0 - 200 20% 200 - 600 30% 30% 600 - 700 75% 75% >700 75%

KEMK.L Kemin Resources PLC UNITED KINGDYes - No CR No 1% 0 - 1,013 25% 1,013 - 2,026 30% 30% 2,026 - 3,039 50% 75% >3,039 75%

JEV.L Kenmare Resources PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 3,750 25% 3,750 - 25,012 40% 40% 25,012 - 32,512 50% 60% >32,512 75%

KENV.L Kennedy Ventures PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7,407 25% 7,407 - 14,814 30% 30% 14,814 - 22,221 50% 75% >22,221 75%

KWE.L Kennedy Wilson Europe Real Estate PLC UNITED KINGDYes Yes 0.7% 0 - 450 20% 450 - 1,800 40% 40% 1,800 - 6,750 50% 60% >6,750 75%

KRS.L Keras Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 5,882 25% 5,882 - 11,764 30% 30% 11,764 - 17,646 50% 75% >17,646 75%

KYGa.L Kerry Group PLC UNITED KINGDYes Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

KIT.L Keystone Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 20 25% 20 - 60 40% 40% 60 - 70 75% 75% >70 75%

KWS.L Keywords Studios PLC UNITED KINGDStockbroking onlyNo 1% 0 - 68 25% 68 - 136 30% 30% 136 - 204 50% 75% >204 75%

KIBO.L Kibo Mining PLC UNITED KINGDYes - No CR No 1% 0 - 500 25% 500 - 4,500 30% 30% 4,500 - 9,000 50% 75% >9,000 75%

KIE.L Kier Group PLC UNITED KINGDYes Yes 0.7% 0 - 150 20% 150 - 450 30% 30% 450 - 525 75% 75% >525 75%

KBEK.L Kimberly Enterprises NV UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,250 40% 40% 1,250 - 4,999,500 75% 75% >4,999,500 ERROR

KGF.L Kingfisher PLC UNITED KINGDYes Yes 0.7% 0 - 1,100 5% 1,100 - 9,999 10% 10% 9,999 - 25,300 20% 40% >25,300 75%

KAY.L Kings Arms Yard VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 30 10% 30 - 90 16% 16% 90 - 120 20% 30% >120 30%

KSP.L Kingspan Group PLC UNITED KINGDYes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

KOD.L Kodal Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 10,500 50% 75% >10,500 75%

KGLD.L Kolar Gold Limited UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

KOOV.L Koovs PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 60 50% 75% >60 75%

KMK.L Kromek Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 330 25% 330 - 660 40% 40% 660 - 1,320 50% 75% >1,320 75%

FFWD.L Kuala Innovations Limited UNITED KINGDYes - No CR No 1% 0 - 75 25% 75 - 225 40% 40% 225 - 300 50% 75% >300 75%

KUBCq.L Kubera Cross-Border Fund Limited UNITED KINGDNo No 1% 0 - 54,100 25% 54,100 - 108,200 30% 30% 108,200 - 162,300 50% 75% >162,300 75%

LED.L LED International Holdings Limited UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

LGO.L LGO Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 10,753 25% 10,753 - 21,506 30% 30% 21,506 - 32,259 50% 75% >32,259 75%

LMS.L LMS Capital PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 620 75% 75% >620 75%

LPA.L LPA Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 30 40% 40% 30 - 40 50% 75% >40 75%

LSL.L LSL Property Services PLC UNITED KINGDYes Yes 0.7% 0 - 250 20% 250 - 750 30% 30% 750 - 1,110 50% 60% >1,110 75%

LXB.L LXB Retail Properties PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 100 20% 100 - 600 30% 30% 600 - 900 50% 60% >900 75%

LAD.L Ladbrokes PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 15,000 20% 20% 15,000 - 22,500 35% 45% >22,500 75%

LRD.L Laird PLC UNITED KINGDYes Yes 0.7% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 2,180 50% 60% >2,180 75%

LAKE.L Lakehouse PLC UNITED KINGDYes - No CR Yes 1% 0 - 200 25% 200 - 400 40% 40% 400 - 600 50% 75% >600 75%

LAM.L Lamprell PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 650 20% 650 - 1,950 30% 30% 1,950 - 2,275 75% 75% >2,275 75%

LRE.L Lancashire Holdings Limited UNITED KINGDYes Yes 0.7% 0 - 688 15% 688 - 2,098 25% 25% 2,098 - 2,442 75% 75% >2,442 75%

LAND.L Land Securities Group PLC UNITED KINGDYes Yes 0.3% 0 - 900 5% 900 - 2,754 10% 10% 2,754 - 8,496 20% 40% >8,496 75%

LND.L Landore Resources Limited UNITED KINGDStockbroking onlyYes 1% 0 - 4,598 25% 4,598 - 9,196 30% 30% 9,196 - 13,794 50% 75% >13,794 75%

LOGP.L Lansdowne Oil & Gas PLC UNITED KINGDYes - No CR Yes 1% 0 - 533 25% 533 - 1,066 30% 30% 1,066 - 1,599 50% 75% >1,599 75%

LARTq.L Larsen & Toubro Limited UNITED KINGDYes - No CR Yes 1% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 77,000 60% 75% >77,000 75%

ALY.L Laura Ashley Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 2,925 60% 75% >2,925 75%

LVD.L Lavendon Group PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

LEAL.L Lead All Investments Limited UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

LEAF.L Leaf Clean Energy Company UNITED KINGDStockbroking onlyYes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,500 50% 75% >1,500 75%

LTGL.L Learning Technologies Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 150 50% 75% >150 75%

LDP.L Leed Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 142,857 25% 142,857 - 285,714 40% 40% 285,714 - 357,142 75% 75% >357,142 75%

LDSG.L Leeds Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

LGEN.L Legal & General Group PLC UNITED KINGDYes Yes 0.7% 0 - 4,250 5% 4,250 - 20,825 10% 10% 20,825 - 49,937 20% 40% >49,937 75%

LEGL.L Legendary Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 6,000 40% 40% 6,000 - 49,995,000 75% 75% >49,995,000 ERROR

LEK.L Lekoil Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,900 25% 1,900 - 5,757 40% 40% 5,757 - 8,094 60% 75% >8,094 75%

LNTAq.L Lenta Ltd UNITED KINGDYes - No CR No 1% 0 - 24,000 25% 24,000 - 144,000 40% 40% 144,000 - 312,000 60% 75% >312,000 75%

LVRT.L Levrett PLC UNITED KINGDStockbroking onlyNo 1% 0 - 12 25% 12 - 36 40% 40% 36 - 119,988 75% 75% >119,988 ERROR

LENL.L Leyshon Energy Limited UNITED KINGDNo No 1% 0 - 250 25% 250 - 1,250 40% 40% 1,250 - 3,000 50% 60% >3,000 75%

LRL.L Leyshon Resources Limited UNITED KINGDStockbroking onlyYes 1% 0 - 11,429 25% 11,429 - 22,858 30% 30% 22,858 - 34,287 50% 75% >34,287 75%

LID.L LiDCO Group PLC UNITED KINGDYes - No CR No 1% 0 - 392 25% 392 - 784 30% 30% 784 - 1,176 50% 75% >1,176 75%

LIFEL.L Life Science Developments Limited UNITED KINGDStockbroking onlyYes 1% 0 - 3,810 25% 3,810 - 7,620 30% 30% 7,620 - 11,430 50% 75% >11,430 75%

LSIC.L Lifeline Scientific Inc UNITED KINGDStockbroking onlyYes 1% 0 - 5 25% 5 - 15 40% 40% 15 - 20 50% 75% >20 75%

LGHT.L Lighthouse Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,424 25% 2,424 - 4,848 30% 30% 4,848 - 7,272 50% 75% >7,272 75%

LWRF.L LightwaveRF PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 299,970 75% 75% >299,970 ERROR

LMEL.L Limitless Earth PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

LDIT.L Lindsell Train Investment Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 0 10% 0 - 0 16% 16% 0 - 0 20% 30% >0 30%

LIO.L Liontrust Asset Management PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 250 30% 30% 250 - 700 50% 60% >700 75%

LBB.L Litebulb Group Limited UNITED KINGDYes - No CR Yes 1% 0 - 188 25% 188 - 376 30% 30% 376 - 564 50% 75% >564 75%

LIVN.L LivaNova PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 100 10% 100 - 1,000 20% 20% 1,000 - 7,000 35% 45% >7,000 75%

AUIV.L Livermore Investments Group UNITED KINGDStockbroking onlyNo 0.7% 0 - 250 25% 250 - 500 40% 40% 500 - 625 75% 75% >625 75%

LLOY.L Lloyds Banking Group PLC UNITED KINGDYes Yes 0.3% 0 - 5,000 5% 5,000 - 62,500 10% 10% 62,500 - 250,000 20% 40% >250,000 75%

LOK.L Lok'n Store Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 48 25% 48 - 96 30% 30% 96 - 144 50% 75% >144 75%

LRM.L Lombard Risk Management PLC UNITED KINGDYes - No CR Yes 1% 0 - 879 25% 879 - 1,758 30% 30% 1,758 - 2,637 50% 75% >2,637 75%

LAS.L London & Associated Properties PLC UNITED KINGDYes - No CR Yes 1% 0 - 231 25% 231 - 462 30% 30% 462 - 693 50% 75% >693 75%

LCG.L London Capital Group Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 317 25% 317 - 634 30% 30% 634 - 951 50% 75% >951 75%

LFI.L London Finance & Investment Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

LSC.L London Security PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

LSE.L London Stock Exchange Group PLC UNITED KINGDYes Yes 0.3% 0 - 635 10% 635 - 1,905 20% 20% 1,905 - 2,159 30% 50% >2,159 75%

LSLI.L London and St. Lawrence Investment CompanyUNITED KINGDYes No 0.3% 0 - 20 10% 20 - 60 20% 20% 60 - 199,980 75% 75% >199,980 ERROR

LMPL.L LondonMetric Property PLC UNITED KINGDYes Yes 0.7% 0 - 1,800 20% 1,800 - 5,508 30% 30% 5,508 - 8,280 50% 60% >8,280 75%

LMI.L Lonmin PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 650 15% 650 - 1,007 25% 45% 1,007 - 3,250 40% 60% >3,250 75%

LOOK.L Lookers PLC UNITED KINGDYes Yes 0.7% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 3,556 60% 75% >3,556 75%

LWB.L Low & Bonar PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

LWI.L Lowland Investment Company PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

LEF.L Ludgate Environmental Fund Limited UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

RIOL.L Lyxor Brazil (Ibovespa) UCITS ETF C-USD UNITED KINGDYes - No CR No 1% 0 - 8 10% 8 - 16 16% 16% 16 - 24 24% 30% >24 30%

OPTG.L Lyxor Broad Commodities Optimix TR UCITS EUNITED KINGDYes No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 100 24% 30% >100 30%

LYASIL.L Lyxor China Enterprise (HSCEI) UCITS ETF C- UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

CRBL.L Lyxor Commodities Thomson Reuters CorecomUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

CRNL.L Lyxor Commodities Thomson Reuters CorecomUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

EMBL.L Lyxor Emerging Markets Local Currency Bond (UNITED KINGDYes No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 100 24% 30% >100 30%

CRPX.L Lyxor Euro Corporate Bond UCITS ETF C-EUR UNITED KINGDYes No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

MFEG.L Lyxor Euro Stoxx 300 (DR) - UCITS ETF MonthlUNITED KINGDYes No 1% 0 - 4 10% 4 - 24 16% 16% 24 - 40 24% 30% >40 30%

MSED.L Lyxor Euro Stoxx 50 (DR) - UCITS ETF C-EUR UNITED KINGDYes No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

MSEX.L Lyxor Euro Stoxx 50 (DR) UCITS ETF Dailly He UNITED KINGDYes - No CR No 1% 0 - 3 10% 3 - 18 16% 16% 18 - 41 24% 30% >41 30%

MSEU.L Lyxor Euro Stoxx 50 (DR) UCITS ETF Dailly He UNITED KINGDYes - No CR No 0.3% 0 - 600 10% 600 - 4,200 20% 20% 4,200 - 6,000 35% 45% >6,000 75%

MVUX.L Lyxor FTSE USA Minimum Variance UCITS ETFUNITED KINGDYes No 0.3% 0 - 6 10% 6 - 42 20% 20% 42 - 60 35% 45% >60 75%

FEDG.L Lyxor Fed Funds US Dollar Cash UCITS ETF - UNITED KINGDYes No 0.3% 0 - 6 10% 6 - 42 20% 20% 42 - 60 35% 45% >60 75%

FEDF.L Lyxor Fed Funds US Dollar Cash UCITS ETF - UNITED KINGDYes No 0.3% 0 - 600 10% 600 - 4,200 20% 20% 4,200 - 6,000 35% 45% >6,000 75%

CNAL.L Lyxor Fortune SG UCITS ETF MSCI China A (D UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 42 20% 20% 42 - 70 35% 45% >70 75%

LYXL.L Lyxor J.P. Morgan Europe Low Beta Factor IndeUNITED KINGDYes No 1% 0 - 11 10% 11 - 66 16% 16% 66 - 99 24% 30% >99 30%

JPXG.L Lyxor JPX-Nikkei 400 UCITS ETF (DR) C-EUR UNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

JPX4.L Lyxor JPX-Nikkei 400 UCITS ETF (DR) C-EUR UNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

JPXX.L Lyxor JPX-Nikkei 400 UCITS ETF (DR) Daily HeUNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 18 20% 20% 18 - 41 35% 45% >41 75%

JPXU.L Lyxor JPX-Nikkei 400 UCITS ETF (DR) Daily HeUNITED KINGDYes - No CR No 0.3% 0 - 500 10% 500 - 2,800 20% 20% 2,800 - 6,200 35% 45% >6,200 75%

JPNL.L Lyxor Japan (TOPIX) (DR) UCITS ETF D-EUR UNITED KINGDStockbroking onlyNo 0.3% 0 - 2 10% 2 - 14 20% 20% 14 - 20 35% 45% >20 75%

LYLEML.L Lyxor MSCI Emerging Markets UCITS ETF C-USUNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

LEMD.L Lyxor MSCI Emerging Markets UCITS ETF C-USUNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

STPW.L Lyxor MSCI World Consumer Staples TR UCITSUNITED KINGDYes No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

HLTG.L Lyxor MSCI World Health Care TR UCITS ETF -UNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

INDW.L Lyxor MSCI World Industrials TR UCITS ETF - CUNITED KINGDYes No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

WDRL.L Lyxor MSCI World Risk Weighted UCITS ETF - UNITED KINGDYes No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 50 24% 30% >50 30%

LSPU.L Lyxor S&P 500 UCITS ETF - D-USD UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SGQG.L Lyxor SG European Quality Income NTR UCITSUNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

SGQL.L Lyxor SG Global Quality Income NTR UCITS ETUNITED KINGDYes No 0.3% 0 - 1 10% 1 - 3 20% 20% 3 - 9 35% 45% >9 75%

SGQX.L Lyxor SG Global Quality Income NTR UCITS ETUNITED KINGDYes No 0.3% 0 - 3 10% 3 - 21 20% 20% 21 - 38 35% 45% >38 75%

SGVL.L Lyxor SG Global Value Beta UCITS ETF - C-USUNITED KINGDYes No 0.3% 0 - 1 10% 1 - 2 20% 20% 2 - 3 35% 45% >3 75%

LYCSH2.L Lyxor Smart Cash - UCITS ETF C-GBP UNITED KINGDYes Yes 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

LYSMTC.L Lyxor Smart Cash - UCITS ETF C-USD UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

LYCSIL.L Lyxor UCITS ETF CSI 300 A-Share C-USD UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 52 20% 20% 52 - 82 35% 45% >82 75%

JGBS.L Lyxor UCITS ETF Daily Double Short 10Y JapanUNITED KINGDYes No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 195 60% 75% >195 75%

DSUK.L Lyxor UCITS ETF Daily Double Short 10Y UK GUNITED KINGDYes No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 100 24% 30% >100 30%

DSUS.L Lyxor UCITS ETF Daily Double Short 10Y US TrUNITED KINGDYes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

DSUG.L Lyxor UCITS ETF Daily Double Short 10Y US TrUNITED KINGDYes No 0.3% 0 - 15 10% 15 - 90 20% 20% 90 - 195 35% 45% >195 75%

DJEU.L Lyxor UCITS ETF Dow Jones Industrial AverageUNITED KINGDYes No 0.3% 0 - 400 10% 400 - 2,400 20% 20% 2,400 - 4,000 35% 45% >4,000 75%

CECL.L Lyxor UCITS ETF Eastern Europe (CECE NTR UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

CSHD.L Lyxor UCITS ETF Euro Cash UNITED KINGDYes No 0.3% 0 - 400 10% 400 - 2,800 20% 20% 2,800 - 5,100 35% 45% >5,100 75%

MTXX.L Lyxor UCITS ETF EuroMTS All-Maturity InvestmUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

MTIX.L Lyxor UCITS ETF EuroMTS Inflation Linked InveUNITED KINGDYes No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

L100.L Lyxor UCITS ETF FTSE 100 C-GBP UNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

L250.L Lyxor UCITS ETF FTSE 250 UNITED KINGDYes No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 60% 75% >500 75%

LFAS.L Lyxor UCITS ETF FTSE All SAE UNITED KINGDStockbroking onlyNo 0.3% 0 - 40 10% 40 - 200 20% 20% 200 - 400 35% 45% >400 75%

MIBX.L Lyxor UCITS ETF FTSE MIB UNITED KINGDYes No 0.3% 0 - 24 10% 24 - 96 20% 20% 96 - 192 35% 45% >192 75%

LKUU.L Lyxor UCITS ETF Kuwait (FTSE Coast Kuwait 4UNITED KINGDYes No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

LKUW.L Lyxor UCITS ETF Kuwait (FTSE Coast Kuwait 4UNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

TNOA.L Lyxor UCITS ETF MSCI AC Asia ex Japan InformUNITED KINGDYes No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

AEJL.L Lyxor UCITS ETF MSCI AC Asia-Pacific ex JapaUNITED KINGDYes No 0.3% 0 - 13 10% 13 - 78 20% 20% 78 - 104 35% 45% >104 75%

LYAEJ.L Lyxor UCITS ETF MSCI AC Asia-Pacific ex JapaUNITED KINGDYes No 0.3% 0 - 1,300 10% 1,300 - 7,800 20% 20% 7,800 - 10,400 35% 45% >10,400 75%

LYLTML.L Lyxor UCITS ETF MSCI EM Latin America C-USUNITED KINGDYes No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 100 24% 30% >100 30%






MEUG.L Lyxor UCITS ETF MSCI Europe D-EUR UNITED KINGDYes No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

LYINRL.L Lyxor UCITS ETF MSCI India C-USD UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

INRU.L Lyxor UCITS ETF MSCI India C-USD UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

INDL.L Lyxor UCITS ETF MSCI Indonesia C-USD UNITED KINGDYes - No CR No 1% 0 - 5 25% 5 - 20 40% 40% 20 - 40 60% 75% >40 75%

LYMALL.L Lyxor UCITS ETF MSCI Malaysia USD UNITED KINGDYes No 1% 0 - 60 10% 60 - 420 16% 16% 420 - 480 24% 30% >480 30%

MEXL.L Lyxor UCITS ETF MSCI Mexico C USD UNITED KINGDYes No 1% 0 - 7 10% 7 - 42 16% 16% 42 - 70 24% 30% >70 30%

LYTWNL.L Lyxor UCITS ETF MSCI Taiwan C-USD UNITED KINGDYes No 1% 0 - 610 25% 610 - 3,660 40% 40% 3,660 - 6,100 60% 75% >6,100 75%

USAL.L Lyxor UCITS ETF MSCI USA D-USD UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

WLDL.L Lyxor UCITS ETF MSCI World D-USD UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

WLDD.L Lyxor UCITS ETF MSCI World D-USD UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

WLDU.L Lyxor UCITS ETF MSCI World Monthly Hedged UNITED KINGDYes No 0.3% 0 - 600 10% 600 - 4,200 20% 20% 4,200 - 6,000 35% 45% >6,000 75%

LYUSTL.L Lyxor UCITS ETF NASDAQ-100 D-USD UNITED KINGDYes No 1% 0 - 45 10% 45 - 315 16% 16% 315 - 495 24% 30% >495 30%

RSGL.L Lyxor UCITS ETF Russell 1000 Growth C-USD UNITED KINGDYes No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

RSVL.L Lyxor UCITS ETF Russell 1000 Value C-USD UNITED KINGDYes No 1% 0 - 7 10% 7 - 42 16% 16% 42 - 70 24% 30% >70 30%

RUSU.L Lyxor UCITS ETF Russia (Dow Jones Russia GUNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

HLTL.L Lyxor UCITS ETF S&P 500 Capped Health CareUNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 30 40% 40% 30 - 50 60% 75% >50 75%

MATL.L Lyxor UCITS ETF S&P 500 Capped Materials SUNITED KINGDYes No 1% 0 - 12 10% 12 - 72 16% 16% 72 - 96 24% 30% >96 30%

LYAFSL.L Lyxor UCITS ETF South Africa (FTSE JSE Top UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

THAG.L Lyxor UCITS ETF Thailand (SET50 Net TR) C-UUNITED KINGDYes No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 50 24% 30% >50 30%

LYTURL.L Lyxor UCITS ETF Turkey (DJ Turkey Titans 20) UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

WATL.L Lyxor UCITS ETF World Water D-EUR UNITED KINGDStockbroking onlyNo 0.3% 0 - 5 10% 5 - 20 20% 20% 20 - 50 35% 45% >50 75%

US57.L Lyxor UCITS ETF iBoxx $ Treasuries 5-7Y (DR)UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

GILS.L Lyxor UCITS ETF iBoxx (GBP) Gilts (DR) UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

USIG.L Lyxor USD Liquid Investment Grade Corporate BUNITED KINGDYes No 0.3% 0 - 600 10% 600 - 4,200 20% 20% 4,200 - 6,000 35% 45% >6,000 75%

WINKM.L M Winkworth PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 100 50% 75% >100 75%

SAA.L M&C Saatchi PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,076 60% 75% >1,076 75%

MGHCi.L M&G High Income Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 300 50% 75% >300 75%

MGHCx.L M&G High Income Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

MGHC_u.L M&G High Income Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 90 50% 75% >90 75%

MGHC.L M&G High Income Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 499,950 75% 75% >499,950 ERROR

MGHCo.L M&G High Income Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 120 40% 40% 120 - 400 50% 60% >400 75%

PHU.L M&L Property & Assets PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 10 40% 40% 10 - 49,995 75% 75% >49,995 ERROR

MPE.L M.P. Evans Group PLC UNITED KINGDYes Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 130 60% 75% >130 75%

MUBL.L MBL Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,143 25% 1,143 - 2,286 30% 30% 2,286 - 3,429 50% 75% >3,429 75%

MHPCq.L MHP SA UNITED KINGDYes - No CR Yes 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

MTO.L MITIE Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 15% 1,000 - 3,000 25% 25% 3,000 - 3,900 40% 55% >3,900 75%

GLEG.L MJ Gleeson PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 150 40% 40% 150 - 175 75% 75% >175 75%

MSTL.L MS International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 30 50% 75% >30 75%

MWEE.L MTI Wireless Edge Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

MXO.L MX Oil PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 13,500 50% 75% >13,500 75%

MXCP.L MXC Capital Limited UNITED KINGDYes - No CR Yes 1% 0 - 4,444 25% 4,444 - 8,888 30% 30% 8,888 - 13,332 50% 75% >13,332 75%

MACF.L MacFarlane Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 288 25% 288 - 576 30% 30% 576 - 864 50% 75% >864 75%

MPO.L Macau Property Opportunities Fund UNITED KINGDYes Yes 0.7% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 2,600 50% 60% >2,600 75%

MOIL.L Madagascar Oil Limited UNITED KINGDYes - No CR Yes 1% 0 - 833 25% 833 - 1,666 30% 30% 1,666 - 2,499 50% 75% >2,499 75%

MAGNq.L Magnitogorsk Iron & Steel Works UNITED KINGDYes - No CR Yes 1% 0 - 40,000 25% 40,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

MAGP.L Magnolia Petroleum PLC UNITED KINGDStockbroking onlyYes 1% 0 - 4,396 25% 4,396 - 8,792 30% 30% 8,792 - 13,188 50% 75% >13,188 75%

MAHMq.L Mahindra & Mahindra Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 22,000 60% 75% >22,000 75%

MAILRq.L Mail.Ru Group Limited UNITED KINGDYes - No CR Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

MAIH.L Maintel Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

MAJE.L Majedie Investments PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 270 60% 75% >270 75%

WINEW.L Majestic Wine PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 585 60% 75% >585 75%

EMG.L Man Group PLC UNITED KINGDYes Yes 0.3% 0 - 4,750 10% 4,750 - 30,020 20% 20% 30,020 - 39,092 35% 45% >39,092 75%

NZX.L Management Consulting Group PLC UNITED KINGDYes Yes 0.7% 0 - 412 25% 412 - 824 40% 40% 824 - 1,190 60% 75% >1,190 75%

MRS.L Management Resource Solutions PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 150 50% 50% 150 - 300 60% 75% >300 75%

MNL.L Manchester & London Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 120 60% 75% >120 75%

MFX.L Manx Financial Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 567 25% 567 - 1,134 30% 30% 1,134 - 1,701 50% 75% >1,701 75%

MANX.L Manx Telecom PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 90 40% 40% 90 - 300 50% 62% >300 75%

MPLE.L Maple Energy PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 100 40% 40% 100 - 2,500 50% 75% >2,500 75%

MAC.L Marechale Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,000 50% 75% >1,000 75%

MRRE.L Mariana Resources Limited UNITED KINGDYes - No CR Yes 1% 0 - 2,797 25% 2,797 - 5,594 30% 30% 5,594 - 8,391 50% 75% >8,391 75%

MKT.L Market Tech Holdings Limited UNITED KINGDYes Yes 0.7% 0 - 510 25% 510 - 2,040 40% 40% 2,040 - 4,080 50% 60% >4,080 75%

GDX.L Market Vectors Gold Miners UCITS ETF Class AUNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

GDXJ.L Market Vectors Junior Gold Miners UCITS ETF CUNITED KINGDYes - No CR No 1% 0 - 1,000 10% 1,000 - 6,000 16% 16% 6,000 - 10,000 24% 30% >10,000 30%

MKS.L Marks & Spencer Group PLC UNITED KINGDYes Yes 0.3% 0 - 700 5% 700 - 7,000 10% 10% 7,000 - 20,300 20% 40% >20,300 75%

MMHM.L Marshall Motor Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 300 50% 60% >300 75%

MSLH.L Marshalls PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,396 60% 75% >1,396 75%

MARS.L Marston's PLC UNITED KINGDYes Yes 0.7% 0 - 1,700 20% 1,700 - 4,998 30% 30% 4,998 - 5,559 50% 60% >5,559 75%

MCOM.L Martin Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 7 25% 7 - 37 40% 40% 37 - 60 50% 75% >60 75%

MACP.L Martin Currie Asia Unconstrained Trust PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

MNP.L Martin Currie Global Portfolio Trust PLC UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 356 60% 75% >356 75%

MMPT.L Marwyn Management Partners PLC UNITED KINGDYes - No CR No 1% 0 - 1,212 25% 1,212 - 2,424 30% 30% 2,424 - 3,636 50% 75% >3,636 75%

MRWN.L Marwyn Value Investors Limited UNITED KINGDYes - No CR Yes 1% 0 - 43 25% 43 - 86 30% 30% 86 - 129 50% 75% >129 75%

MASAM.L Masawara PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

MTEC.L Matchtech Group PLC UNITED KINGDYes Yes 1% 0 - 17 25% 17 - 34 30% 30% 34 - 51 50% 75% >51 75%

MTMY.L Matomy Media Group Limited UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 100 40% 40% 100 - 3,000 60% 75% >3,000 75%

MTWL.L Mattioli Woods PLC UNITED KINGDYes - No CR Yes 1% 0 - 23 25% 23 - 46 30% 30% 46 - 69 50% 75% >69 75%

MIG2.L Maven Income and Growth VCT 2 PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 20 16% 16% 20 - 99,990 20% 30% >99,990 30%

MIG3.L Maven Income and Growth VCT 3 PLC UNITED KINGDYes - No CR No 1% 0 - 2 10% 2 - 6 20% 20% 6 - 12 35% 45% >12 75%

MAV4.L Maven Income and Growth VCT 4 PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 49,995 30% 30% >49,995 ERROR

MIG5.L Maven Income and Growth VCT 5 PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 50 16% 16% 50 - 99,990 20% 30% >99,990 30%

MIG6.L Maven Income and Growth VCT 6 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

MIG1.L Maven Income and Growth VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

MAYA.L MayAir Group PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

MCB.L McBride PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 2,600 60% 75% >2,600 75%

MCS.L McCarthy & Stone PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 10% 250 - 1,500 20% 20% 1,500 - 5,000 35% 45% >5,000 75%

MCLSM.L McColl's Retail Group PLC UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 2,000 40% 40% 2,000 - 4,000 50% 50% >4,000 75%

MCKS.L McKay Securities PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

MERG.L Mears Group PLC UNITED KINGDYes Yes 0.7% 0 - 21 25% 21 - 42 40% 40% 42 - 420 60% 75% >420 75%

MEDM.L Medaphor Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

MDZE.L Mediazest PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 33,000 50% 75% >33,000 75%

MDCM.L Mediclinic International Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 15 25% 15 - 90 40% 40% 90 - 3,000 60% 75% >3,000 75%

MXF.L Medicx Fund Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

MEDI.L Medilink-Global UK Limited UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

MGGT.L Meggitt PLC UNITED KINGDYes Yes 0.7% 0 - 1,900 10% 1,900 - 5,757 20% 20% 5,757 - 6,498 30% 50% >6,498 75%

MRON.L Melrose Industries PLC UNITED KINGDYes Yes 0.7% 0 - 131 10% 131 - 400 20% 20% 400 - 1,127 30% 50% >1,127 75%

MHN.L Menhaden Capital PLC UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 32 40% 40% 32 - 40 50% 75% >40 75%

MERC.L Mercia Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

MCC.L Mercom Capital UNITED KINGDStockbroking onlyNo 1% 0 - 37 25% 37 - 111 40% 40% 111 - 148 50% 75% >148 75%

MERL.L Merlin Entertainments PLC UNITED KINGDYes Yes 0.3% 0 - 600 10% 600 - 6,000 20% 20% 6,000 - 15,000 35% 45% >15,000 75%

MESE.L Messaging International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

MTRM.L Metal Tiger PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 16,000 50% 75% >16,000 75%

MTL.L Metals Exploration PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,589 25% 2,589 - 5,178 30% 30% 5,178 - 7,767 50% 75% >7,767 75%

MNC.L Metmin Company Limited UNITED KINGDYes - No CR Yes 1% 0 - 12,350 25% 12,350 - 39,026 40% 40% 39,026 - 45,201 75% 75% >45,201 75%

MTRO.L Metro Bank PLC UNITED KINGDYes - No CR Yes 1% 0 - 7 25% 7 - 21 40% 40% 21 - 49 50% 60% >49 75%

MPAYM.L Mi-Pay Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

MPI.L Michael Page International PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 15% 1,000 - 3,000 25% 25% 3,000 - 3,250 40% 55% >3,250 75%

MBH.L Michelmersh Brick Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 146 25% 146 - 292 30% 30% 292 - 438 50% 75% >438 75%

MCRO.L Micro Focus International PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 278 20% 278 - 834 30% 30% 834 - 889 50% 60% >889 75%

MCGN.L Microgen PLC UNITED KINGDYes - No CR Yes 1% 0 - 56 25% 56 - 112 30% 30% 112 - 168 50% 75% >168 75%

MSYS.L Microsaic Systems PLC UNITED KINGDYes - No CR No 1% 0 - 7 25% 7 - 52 40% 40% 52 - 397 50% 75% >397 75%

MIDW.L Mid Wynd International Investment Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 36 25% 36 - 72 30% 30% 72 - 108 50% 75% >108 75%

MTPH.L Midatech Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 120 40% 40% 120 - 400 50% 60% >400 75%

MCT_p.L Middlefield Canadian Income PCC - Middlefield CUNITED KINGDYes No 0.3% 0 - 350 10% 350 - 1,050 20% 20% 1,050 - 3,499,650 75% 75% >3,499,650 ERROR

MIDWM.L Midwich Limited UNITED KINGDYes - No CR No 1% 0 - 20 25% 20 - 120 40% 40% 120 - 400 50% 60% >400 75%

MSG.L Milestone Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

MLC.L Millennium & Copthorne Hotels PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

MINC.L Min Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 4,211 25% 4,211 - 8,422 30% 30% 8,422 - 12,633 50% 75% >12,633 75%

MCON.L Mincon Group PLC UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 180 40% 40% 180 - 240 75% 75% >240 75%

MMXM.L Minds + Machines Group Limited UNITED KINGDYes - No CR Yes 1% 0 - 640 25% 640 - 1,280 30% 30% 1,280 - 1,920 50% 75% >1,920 75%

MIRL.L Minera IRL Limited UNITED KINGDYes - No CR Yes 1% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,204 75% 75% >3,204 75%

MAFL.L Mineral & Financial Investments Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 150 50% 75% >150 75%

MIN.L Minoan Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 952 25% 952 - 1,904 30% 30% 1,904 - 2,856 50% 75% >2,856 75%

MLD.L MirLand Development Corporation PLC UNITED KINGDYes No 0.7% 0 - 41 25% 41 - 82 40% 40% 82 - 102 75% 75% >102 75%

MIRA.L Mirada PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 500 40% 40% 500 - 2,000 50% 75% >2,000 75%

MAB.L Mitchells & Butlers PLC UNITED KINGDYes Yes 0.3% 0 - 300 20% 300 - 900 30% 30% 900 - 1,473 50% 60% >1,473 75%

MIIT.L Mithras Investment Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

MIGO.L Miton Global Opportunities PLC UNITED KINGDYes - No CR No 1% 0 - 66 25% 66 - 132 30% 30% 132 - 198 50% 75% >198 75%

MGRM.L Miton Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 75 25% 75 - 375 40% 40% 375 - 600 50% 75% >600 75%

MINI.L Miton UK MicroCap Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 60% >500 75%

MIG.L Mobeus Income & Growth 2 VCT PLC UNITED KINGDYes - No CR No 1% 0 - 50 10% 50 - 200 16% 16% 200 - 499,950 30% 30% >499,950 ERROR






MIG4.L Mobeus Income & Growth 4 VCT PLC UNITED KINGDYes - No CR No 1% 0 - 7 10% 7 - 22 16% 16% 22 - 74,992 30% 30% >74,992 ERROR

MIX.L Mobeus Income & Growth VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 30 16% 16% 30 - 149,985 30% 30% >149,985 ERROR

MOSE.L Mobile Streams PLC UNITED KINGDStockbroking onlyYes 1% 0 - 354 25% 354 - 708 30% 30% 708 - 1,062 50% 75% >1,062 75%

MBLT.L Mobile Tornado Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,725 50% 75% >1,725 75%

MBO.L MobilityOne Limited UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

MWG.L Modern Water PLC UNITED KINGDYes - No CR Yes 1% 0 - 284 25% 284 - 568 30% 30% 568 - 852 50% 75% >852 75%

MLIN.L Molins PLC UNITED KINGDYes - No CR Yes 1% 0 - 62 25% 62 - 124 30% 30% 124 - 186 50% 75% >186 75%

MNDI.L Mondi PLC UNITED KINGDYes Yes 0.3% 0 - 600 5% 600 - 4,854 10% 10% 4,854 - 7,200 20% 40% >7,200 75%

SWAP.L MoneySwap PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

MONY.L Moneysupermarket.com Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,300 20% 1,300 - 4,004 30% 30% 4,004 - 5,889 50% 60% >5,889 75%

MONI.L Monitise PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 7,042 15% 7,042 - 35,210 25% 25% 35,210 - 73,941 40% 55% >73,941 75%

MONT.L Montanaro European Smaller Companies Trust UNITED KINGDYes Yes 1% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

MTU.L Montanaro UK Smaller Companies Investment TUNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

MGAMM.L Morgan Advanced Materials PLC UNITED KINGDYes Yes 0.7% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,701 50% 60% >1,701 75%

MGNS.L Morgan Sindall Group PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 300 40% 40% 300 - 325 60% 75% >325 75%

MAB1.L Mortgage Advice Bureau (Holdings) PLC UNITED KINGDYes Yes 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

MORT.L Mortice Limited UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 15 40% 40% 15 - 74,992 75% 75% >74,992 ERROR

MSMN.L Mosman Oil And Gas Limited UNITED KINGDYes - No CR No 1% 0 - 700 25% 700 - 4,200 40% 40% 4,200 - 14,000 50% 60% >14,000 75%

MOSB.L Moss Bros Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 111 25% 111 - 222 30% 30% 222 - 333 50% 75% >333 75%

MTC.L Mothercare PLC UNITED KINGDYes Yes 0.7% 0 - 475 25% 475 - 1,425 40% 40% 1,425 - 1,624 60% 75% >1,624 75%

MTFB.L Motif Bio PLC UNITED KINGDYes - No CR Yes 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

MTVE.L Motive Television PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 75% 5 - 30 75% 75% 30 - 5,000 75% 75% >5,000 100%

MOGP.L Mountfield Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 4,000 40% 40% 4,000 - 4,999,000 75% 75% >4,999,000 75%

MTVW.L Mountview Estates PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1 25% 1 - 3 50% 50% 3 - 5 60% 75% >5 75%

MPM.L Mporium Group PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 50% 75% >500 75%

MUL.L Mulberry Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

MURG.L Murgitroyd Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 10 40% 40% 10 - 50 50% 75% >50 75%

MUT.L Murray Income Trust PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

MYI.L Murray International Trust PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 1,050 75% 75% >1,050 75%

MYIb.L Murray International Trust PLC UNITED KINGDStockbroking onlyNo 0.3% 0 - 0 10% 0 - 0 16% 16% 0 - 2,999 30% 30% >2,999 ERROR

MYXM.L MyCelx Technologies Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

MYXR.L MyCelx Technologies Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 75 60% 75% >75 75%

MYSQ.L MySQUAR Limited UNITED KINGDYes - No CR No 1% 0 - 150 25% 150 - 1,050 40% 40% 1,050 - 1,500 50% 75% >1,500 75%

MYSL.L MySale Group PLC UNITED KINGDYes Yes 1% 0 - 1,000 15% 1,000 - 3,000 30% 30% 3,000 - 5,000 50% 50% >5,000 75%

MILM.L Myanmar Investments International Limited UNITED KINGDYes - No CR No 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

MYT.L Mytrah Energy Limited UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 812 60% 75% >812 75%

BWNG.L N Brown Group PLC UNITED KINGDYes Yes 0.3% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,400 75% 75% >1,400 75%

NAH.L NAHL Group PLC UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 2,000 40% 40% 2,000 - 4,500 60% 75% >4,500 75%

NBDD.L NB Distressed Debt Investment Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 500 10% 500 - 1,000 16% 16% 1,000 - 1,500 20% 30% >1,500 30%

NBDX.L NB Distressed Debt Investment Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 15,000 10% 15,000 - 30,000 16% 16% 30,000 - 45,000 20% 30% >45,000 30%

NBDG.L NB Distressed Debt Investment Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 100 16% 16% 100 - 400 20% 30% >400 30%

NBLS.L NB Global Floating Rate Income Fund Limited UNITED KINGDYes Yes 0.3% 0 - 200 10% 200 - 1,200 20% 20% 1,200 - 10,800 35% 45% >10,800 75%

NBLU.L NB Global Floating Rate Income Fund Limited UNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

NBPE.L NB Private Equity Partners Limited UNITED KINGDYes - No CR No 0.3% 0 - 500 10% 500 - 3,000 16% 16% 3,000 - 10,000 20% 30% >10,000 30%

NBNK.L NBNK Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

NCCG.L NCC Group PLC UNITED KINGDYes Yes 0.7% 0 - 385 25% 385 - 1,155 40% 40% 1,155 - 1,540 60% 75% >1,540 75%

NMC.L NMC Health PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 344 60% 75% >344 75%

NVTKq.L NOV AE UNITED KINGDYes - No CR Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 129,000 35% 45% >129,000 75%

NWF.L NWF Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 69 25% 69 - 138 30% 30% 138 - 207 50% 75% >207 75%

NAK.L Nakama Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 800 50% 75% >800 75%

NBE.L Namibian Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 8,000 30% 30% 8,000 - 12,000 50% 75% >12,000 75%

NANON.L Nanoco Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,100 20% 1,100 - 3,245 30% 30% 3,245 - 5,643 50% 60% >5,643 75%

NASA.L Nasstar PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,275 50% 75% >1,275 75%

NEX.L National Express Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 700 20% 700 - 2,100 30% 30% 2,100 - 2,450 75% 75% >2,450 75%

NG.L National Grid PLC UNITED KINGDYes Yes 0.3% 0 - 1,200 5% 1,200 - 6,132 10% 10% 6,132 - 24,000 20% 40% >24,000 75%

NGRP.L Nature Group PLC UNITED KINGDYes - No CR No 1% 0 - 342 25% 342 - 684 30% 30% 684 - 1,026 50% 75% >1,026 75%

NCCL.L Ncondezi Energy Limited UNITED KINGDStockbroking onlyYes 1% 0 - 2,173 25% 2,173 - 4,346 30% 30% 4,346 - 6,519 50% 75% >6,519 75%

NKTN.L Nektan PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 40 50% 75% >40 75%

NEP.L Neptune-Calculus Income and Growth VCT PLCUNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

NETD.L NetDimensions (Holdings) Limited UNITED KINGDYes - No CR Yes 1% 0 - 15 25% 15 - 45 40% 40% 45 - 75 50% 75% >75 75%

NPT.L NetPlay TV PLC UNITED KINGDYes - No CR Yes 1% 0 - 488 25% 488 - 976 30% 30% 976 - 1,464 50% 75% >1,464 75%

NSCI.L NetScientific PLC UNITED KINGDYes - No CR Yes 1% 0 - 7 25% 7 - 52 40% 40% 52 - 75 50% 75% >75 75%

NETC.L Netcall PLC UNITED KINGDYes - No CR Yes 1% 0 - 177 25% 177 - 354 30% 30% 354 - 531 50% 75% >531 75%

NCAx.L New Century AIM VCT 2 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 22 40% 40% 22 - 74,992 75% 75% >74,992 ERROR

NECE.L New Century AIM VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

NCE.L New City Energy Limited UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 390 50% 75% >390 75%

NEPI.L New Europe Property Investments PLC UNITED KINGDYes - No CR Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

NII.L New India Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

NESI.L New Star Investment Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 42 16% 16% 42 - 149,985 30% 30% >149,985 ERROR

NTLG.L New Trend Lifestyle Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

NEW.L New World Oil and Gas PLC UNITED KINGDStockbroking onlyYes 1% 0 - 12,500 25% 12,500 - 25,000 30% 30% 25,000 - 37,500 50% 75% >37,500 75%

NWRR.L New World Resources PLC UNITED KINGDNo Yes 0.7% 0 - 4,340 25% 4,340 - 8,680 40% 40% 8,680 - 14,105 60% 75% >14,105 75%

NRRT.L NewRiver Retail Limited UNITED KINGDYes - No CR Yes 1% 0 - 34 25% 34 - 68 30% 30% 68 - 102 50% 75% >102 75%

NWT.L Newmark Security PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 2,700 50% 75% >2,700 75%

NFC.L Next Fifteen Communications Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 92 25% 92 - 184 30% 30% 184 - 276 50% 75% >276 75%

NXT.L Next PLC UNITED KINGDYes Yes 0.3% 0 - 150 5% 150 - 775 10% 10% 775 - 1,612 20% 40% >1,612 75%

NESF.L NextEnergy Solar Fund Limited UNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 50 20% 20% 50 - 80 35% 45% >80 75%

NICL.L Nichols PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 162 60% 75% >162 75%

NGTE.L Nighthawk Energy PLC UNITED KINGDYes Yes 1% 0 - 4,500 25% 4,500 - 14,985 40% 40% 14,985 - 17,235 75% 75% >17,235 75%

NSA.L Nimrod Sea Assets Limited UNITED KINGDYes - No CR No 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

NJXE.L Nomura JPX-Nikkei 400 Net Total Return Daily EUNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

NXKU.L Nomura Nikkei 225 USD-Hedged UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

NSF.L Non-Standard Finance PLC UNITED KINGDYes - No CR Yes 1% 0 - 39 25% 39 - 234 40% 40% 234 - 780 50% 60% >780 75%

NCON.L Norcon PLC UNITED KINGDStockbroking onlyNo 1% 0 - 40 25% 40 - 120 40% 40% 120 - 200 50% 75% >200 75%

NXR.L Norcros PLC UNITED KINGDYes Yes 0.7% 0 - 325 25% 325 - 975 40% 40% 975 - 1,563 60% 75% >1,563 75%

NORDNq.L Nord Gold NV UNITED KINGDYes - No CR No 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 60,000 60% 75% >60,000 75%

NMG.L Noricum Gold Limited UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 32,000 50% 75% >32,000 75%

NSH_u.L Norish PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 50 40% 40% 50 - 100 50% 75% >100 75%

NBB.L Norman Broadbent PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

NTAS.L North Atlantic Smaller Companies Investment TUNITED KINGDYes Yes 0.7% 0 - 15 25% 15 - 45 40% 40% 45 - 48 60% 75% >48 75%

NMD.L North Midland Construction PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

NRRP.L North River Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 14,815 25% 14,815 - 29,630 30% 30% 29,630 - 44,445 50% 75% >44,445 75%

NTA.L Northacre PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 9 40% 40% 9 - 29,997 75% 75% >29,997 ERROR

NAR.L Northamber PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

NBI.L Northbridge Industrial Services PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

NCTN.L Northcote Energy Limited UNITED KINGDYes - No CR Yes 1% 0 - 12,270 25% 12,270 - 24,540 30% 30% 24,540 - 36,810 50% 75% >36,810 75%

NTV.L Northern 2 VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 50 20% 30% >50 30%

NTN.L Northern 3 VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 10% 10 - 30 16% 16% 30 - 50 20% 30% >50 30%

NTBR.L Northern Bear PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

NRI.L Northern Investors Company PLC UNITED KINGDYes - No CR No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 200 20% 30% >200 30%

NOP.L Northern Petroleum PLC UNITED KINGDNo Yes 1% 0 - 840 25% 840 - 2,520 40% 40% 2,520 - 2,940 75% 75% >2,940 75%

NTHV.L Northern Venture Trust PLC UNITED KINGDYes - No CR No 1% 0 - 7 10% 7 - 52 16% 16% 52 - 67 20% 30% >67 30%

NTG.L Northgate PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 1,800 30% 30% 1,800 - 1,950 50% 60% >1,950 75%

NWIG.L Northwest Investment Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

NTOG.L Nostra Terra Oil & Gas Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 33,333 25% 33,333 - 66,666 30% 30% 66,666 - 99,999 50% 75% >99,999 75%

NOGN.L Nostrum Oil & Gas PLC UNITED KINGDYes Yes 1% 0 - 115 25% 115 - 1,380 40% 40% 1,380 - 3,450 60% 75% >3,450 75%

NOVARE.L Nova Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

NVA.L Novae Group PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

NCSPq.L Novorossiysk Commercial Sea Port PJSC UNITED KINGDYes - No CR No 1% 0 - 18,000 25% 18,000 - 23,400 40% 40% 23,400 - 179,964,000 75% 75% >179,964,000 75%

NUOG.L Nu-Oil and Gas PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,039 25% 1,039 - 2,078 30% 30% 2,078 - 3,117 50% 75% >3,117 75%

NUM.L Numis Corporation PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,182 60% 75% >1,182 75%

NYO.L Nyota Minerals Limited UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 25,000 60% 75% >25,000 75%

NLMKq.L OJSC Novolipetsk Steel UNITED KINGDYes - No CR Yes 1% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

PHORq.L OJSC PhosAgro UNITED KINGDNo Yes 1% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

OMG1.L OMG PLC UNITED KINGDStockbroking onlyYes 1% 0 - 381 25% 381 - 762 30% 30% 762 - 1,143 50% 75% >1,143 75%

OPG.L OPG Power Ventures PLC UNITED KINGDYes - No CR Yes 1% 0 - 129 25% 129 - 258 30% 30% 258 - 387 50% 75% >387 75%

CRON.L OXA Company PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,162 25% 2,162 - 4,324 30% 30% 4,324 - 6,486 50% 75% >6,486 75%

OCL.L Oakley Capital Investments Limited UNITED KINGDYes - No CR Yes 1% 0 - 56 25% 56 - 112 30% 30% 112 - 168 50% 75% >168 75%

OBT.L Obtala Resources Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,404 25% 1,404 - 2,808 30% 30% 2,808 - 4,212 50% 75% >4,212 75%

OCDO.L Ocado Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 700 10% 700 - 4,200 20% 20% 4,200 - 13,650 35% 45% >13,650 75%

OCN.L Ocean Wilsons Holdings Limited UNITED KINGDNo No 1% 0 - 9 25% 9 - 19 30% 30% 19 - 29 50% 75% >29 75%

OCT.L Octagonal PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 25,500 50% 75% >25,500 75%

OSEC.L Octopus AIM VCT 2 PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 45 16% 16% 45 - 149,985 30% 30% >149,985 ERROR

OOA.L Octopus AIM VCT PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 45 16% 16% 45 - 149,985 30% 30% >149,985 ERROR

OAP3.L Octopus Apollo VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 25 16% 16% 25 - 99,990 30% 30% >99,990 ERROR

OEC1.L Octopus Eclipse VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 30 10% 30 - 72 16% 16% 72 - 299,970 30% 30% >299,970 ERROR

OTV2.L Octopus Titan VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 60 16% 16% 60 - 70 20% 30% >70 30%

OVC2.L Octopus VCT 2 PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

OCV3.L Octopus VCT 3 PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

OCV4.L Octopus VCT 4 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR






OEX.L Oilex Limited UNITED KINGDYes - No CR Yes 1% 0 - 3,062 25% 3,062 - 18,372 30% 30% 18,372 - 36,744 50% 75% >36,744 75%

OML.L Old Mutual PLC UNITED KINGDYes Yes 0.7% 0 - 5,500 5% 5,500 - 27,280 10% 10% 27,280 - 89,375 20% 40% >89,375 75%

ODX.L Omega Diagnostics Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 750 50% 75% >750 75%

OTB.L On the Beach Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 550 25% 550 - 1,650 40% 40% 1,650 - 5,500 50% 60% >5,500 75%

ONL.L On-Line PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 10 40% 40% 10 - 49,995 75% 75% >49,995 ERROR

OMIP.L One Media iP Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

OSBO.L OneSavings Bank PLC UNITED KINGDYes Yes 0.7% 0 - 200 15% 200 - 800 30% 30% 800 - 1,600 45% 60% >1,600 75%

ONZ.L Onzima Ventures PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,725 50% 75% >1,725 75%

OPHR.L Ophir Energy PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 823 20% 823 - 2,469 30% 30% 2,469 - 4,938 50% 60% >4,938 75%

OPET.L Optare PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR

OPTIO.L OptiBiotix Health PLC UNITED KINGDYes - No CR Yes 1% 0 - 125 25% 125 - 750 40% 40% 750 - 1,875 50% 75% >1,875 75%

OPTS.L Optos PLC UNITED KINGDYes No 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 338 60% 75% >338 75%

ORCP.L Oracle Coalfields PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 12,000 50% 75% >12,000 75%

OTMTq.L Orascom Telecom Media and Technology HoldiUNITED KINGDNo No 1% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 600,000 60% 60% >600,000 75%

ORCH.L Orchard Funding Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

OGN.L Origin Enterprises PLC UNITED KINGDYes - No CR Yes 1% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 300,000 50% 60% >300,000 75%

OPP.L Origo Partners PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,455 25% 1,455 - 2,910 30% 30% 2,910 - 4,365 50% 75% >4,365 75%

ORM.L Ormonde Mining PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,667 25% 1,667 - 3,334 30% 30% 3,334 - 5,001 50% 75% >5,001 75%

OREG.L Orogen Gold PLC UNITED KINGDStockbroking onlyYes 1% 0 - 35,714 25% 35,714 - 71,428 30% 30% 71,428 - 107,142 50% 75% >107,142 75%

OMIN.L Orosur Mining Inc UNITED KINGDYes - No CR Yes 1% 0 - 690 25% 690 - 1,380 30% 30% 1,380 - 2,070 50% 75% >2,070 75%

OSUq.L Orsu Metals Corporation UNITED KINGDNo No 1% 0 - 3,478 25% 3,478 - 6,956 30% 30% 6,956 - 10,434 50% 75% >10,434 75%

OTCR.L Ortac Resources Limited UNITED KINGDStockbroking onlyYes 1% 0 - 42,553 25% 42,553 - 85,106 30% 30% 85,106 - 127,659 50% 75% >127,659 75%

OIG.L Oryx International Growth Fund Limited UNITED KINGDNo No 1% 0 - 5 10% 5 - 30 16% 16% 30 - 100 20% 30% >100 30%

OSIO.L Osirium Technologies Limited UNITED KINGDYes - No CR No 1% 0 - 40 25% 40 - 200 40% 40% 200 - 400 50% 60% >400 75%

OUT.L Outsourcery PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 90 40% 40% 90 - 750 50% 75% >750 75%

OVG.L Ovoca Gold PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,212 25% 1,212 - 2,424 30% 30% 2,424 - 3,636 50% 75% >3,636 75%

OXB.L Oxford BioMedica PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,780 25% 3,780 - 7,560 30% 30% 7,560 - 11,340 50% 75% >11,340 75%

OXIG.L Oxford Instruments PLC UNITED KINGDYes Yes 0.7% 0 - 150 20% 150 - 450 30% 30% 450 - 525 75% 75% >525 75%

OXP.L Oxford Pharmascience Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,339 25% 2,339 - 4,678 30% 30% 4,678 - 7,017 50% 75% >7,017 75%

OXF2.L Oxford Technology 2 Venture Capital Trust PLCUNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

OXFT.L Oxford Technology 3 Venture Capital Trust PLCUNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

OXF.L Oxford Technology 4 Venture Capital Trust PLCUNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

OXT.L Oxford Technology VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

OXS.L Oxus Gold PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 4,505 25% 4,505 - 9,010 40% 40% 9,010 - 11,262 75% 75% >11,262 75%

P2PG.L P2P Global Investments PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 300 50% 60% >300 75%

P2P2.L P2P Global Investments PLC UNITED KINGDYes Yes 0.7% 0 - 50 20% 50 - 300 32% 32% 300 - 1,000 40% 48% >1,000 60%

SVSTq.L PAO Sever SA UNITED KINGDYes - No CR Yes 1% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

TRMKq.L PAO TMK UNITED KINGDYes - No CR No 1% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 200,000 50% 60% >200,000 75%

PCGE.L PCG Entertainment PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 2,100 50% 75% >2,100 75%

PHSC.L PHSC PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

EMLB.L PIMCO Emerging Markets Advantage Local BonUNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

STHY.L PIMCO Short-Term High Yield Corporate Bond UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SSHY.L PIMCO Short-Term High Yield Corporate Bond UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

STHE.L PIMCO Short-Term High Yield Corporate Bond UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

STYC.L PIMCO Short-Term High Yield Corporate Bond UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

QUID.L PIMCO Sterling Short Maturity Source UCITS ETUNITED KINGDStockbroking onlyNo 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

MINT.L PIMCO US Dollar Short Maturity Source UCITS UNITED KINGDStockbroking onlyYes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

LSRGq.L PJSC LSR Group UNITED KINGDYes - No CR No 1% 0 - 10,000 20% 10,000 - 30,000 30% 30% 30,000 - 250,000 75% 75% >250,000 75%

PKGPq.L PJSC PIK Group UNITED KINGDYes - No CR No 1% 0 - 7,400 25% 7,400 - 14,800 40% 40% 14,800 - 92,500 60% 75% >92,500 75%

TATNxq.L PJSC Tatneft UNITED KINGDYes - No CR Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PMEA.L PME African Infrastructure Opportunities PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

PPH.L PPHE Hotel Group Limited UNITED KINGDYes - No CR Yes 1% 0 - 12 25% 12 - 48 40% 40% 48 - 60 50% 75% >60 75%

PHD.L PROACTIS Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 100 40% 40% 100 - 300 50% 75% >300 75%

PVCS.L PV Crystalox Solar PLC UNITED KINGDYes Yes 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

PZC.L PZ Cussons PLC UNITED KINGDYes Yes 0.7% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,561 50% 60% >1,561 75%

PIC.L Pace PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 500 15% 500 - 3,000 25% 25% 3,000 - 3,580 40% 55% >3,580 75%

PACL.L Pacific Alliance China Land Limited UNITED KINGDNo Yes 1% 0 - 9,800 25% 9,800 - 19,600 30% 30% 19,600 - 29,400 50% 75% >29,400 75%

PACA.L Pacific Assets Trust PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

PHI.L Pacific Horizon Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 292 60% 75% >292 75%

PPB.L Paddy Power PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 30 10% 30 - 90 20% 20% 90 - 299,970 75% 75% >299,970 ERROR

PCA.L Palace Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 40 40% 40% 40 - 100 50% 75% >100 75%

PAFR.L Pan African Resources PLC UNITED KINGDYes Yes 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 9,750 60% 75% >9,750 75%

PMR.L Panmure Gordon & Company PLC UNITED KINGDYes - No CR No 1% 0 - 57 25% 57 - 114 30% 30% 114 - 171 50% 75% >171 75%

PANI.L Pantheon International PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 350 60% 75% >350 75%

PINx.L Pantheon International PLC UNITED KINGDYes - No CR No 0.3% 0 - 2 10% 2 - 6 16% 16% 6 - 19,998 30% 30% >19,998 ERROR

PANR.L Pantheon Resources UNITED KINGDYes - No CR Yes 1% 0 - 650 25% 650 - 1,300 30% 30% 1,300 - 3,250 50% 60% >3,250 75%

PNS.L Panther Securities PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 3 40% 40% 3 - 4 50% 75% >4 75%

PMLP.L Papua Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

PRG.L Paragon Diamonds Limited UNITED KINGDStockbroking onlyYes 1% 0 - 3,750 25% 3,750 - 10,012 40% 40% 10,012 - 12,187 60% 75% >12,187 75%

PARA.L Paragon Group of Companies PLC UNITED KINGDYes Yes 0.7% 0 - 500 15% 500 - 3,000 25% 25% 3,000 - 3,250 45% 60% >3,250 75%

PAAM.L Parallel Media Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

PTY.L Parity Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 396 25% 396 - 792 30% 30% 792 - 1,188 50% 75% >1,188 75%

PRKG.L Park Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

PA.L Partnership Assurance Group PLC UNITED KINGDYes Yes 1% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,970 50% 60% >1,970 75%

PGD.L Patagonia Gold PLC UNITED KINGDYes - No CR Yes 1% 0 - 990 25% 990 - 4,950 30% 30% 4,950 - 9,900 50% 75% >9,900 75%

PRSPA.L Paternoster Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,200 25% 2,200 - 6,600 40% 40% 6,600 - 11,000 50% 75% >11,000 75%

PFP.L Pathfinder Minerals PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,222 25% 2,222 - 4,444 30% 30% 4,444 - 6,666 50% 75% >6,666 75%

CAKEP.L Patisserie Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 2,000 30% 30% 2,000 - 4,000 40% 50% >4,000 75%

PAYP.L PayPoint PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 224 60% 75% >224 75%

PAYS.L Paysafe Group PLC UNITED KINGDYes Yes 0.7% 0 - 560 15% 560 - 3,360 25% 25% 3,360 - 11,200 40% 55% >11,200 75%

PSON.L Pearson PLC UNITED KINGDYes Yes 0.3% 0 - 900 5% 900 - 4,482 10% 10% 4,482 - 9,450 20% 40% >9,450 75%

PEEL.L Peel Hotels PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 40 50% 75% >40 75%

PTV.L PeerTV PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 6 40% 40% 6 - 55 50% 75% >55 75%

PEMB.L Pembroke VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

PEMV.L Pembroke VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

PDG.L Pendragon PLC UNITED KINGDYes Yes 0.7% 0 - 2,500 25% 2,500 - 7,500 40% 40% 7,500 - 8,750 75% 75% >8,750 75%

PECO.L Penna Consulting PLC UNITED KINGDYes - No CR Yes 1% 0 - 78 25% 78 - 156 30% 30% 156 - 234 50% 75% >234 75%

PNIG.L Pennant International Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

PNN.L Pennon Group PLC UNITED KINGDYes Yes 0.3% 0 - 717 10% 717 - 2,201 20% 20% 2,201 - 3,764 35% 45% >3,764 75%

PLI.L Perpetual Income and Growth Investment Trust UNITED KINGDYes Yes 0.3% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 1,750 75% 75% >1,750 75%

PSN.L Persimmon PLC UNITED KINGDYes Yes 0.3% 0 - 500 5% 500 - 3,555 10% 10% 3,555 - 5,500 20% 40% >5,500 75%

PNL.L Personal Assets Trust PLC UNITED KINGDYes Yes 0.7% 0 - 0 25% 0 - 0 40% 40% 0 - 5 60% 75% >5 75%

PGH.L Personal Group Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

PEG.L Petards Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 990 50% 75% >990 75%

PDL.L Petra Diamonds Limited UNITED KINGDYes Yes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,204 75% 75% >3,204 75%

PET.L Petrel Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 620 25% 620 - 1,240 30% 30% 1,240 - 1,860 50% 75% >1,860 75%

MATD.L Petro Matad Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,356 25% 1,356 - 2,712 30% 30% 2,712 - 4,068 50% 75% >4,068 75%

PCI.L Petroceltic International PLC UNITED KINGDYes No 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 1,950 60% 75% >1,950 75%

PFC.L Petrofac Limited UNITED KINGDYes Yes 0.7% 0 - 800 10% 800 - 2,400 20% 20% 2,400 - 5,000 30% 50% >5,000 75%

PTR.L Petroneft Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,594 25% 1,594 - 3,188 30% 30% 3,188 - 4,782 50% 75% >4,782 75%

POG.L Petropavlovsk PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 5,000 20% 5,000 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

PETSP.L Pets at Home Group PLC UNITED KINGDYes Yes 0.3% 0 - 750 10% 750 - 4,500 20% 20% 4,500 - 9,000 35% 45% >9,000 75%

PHSTq.L Pharmstandard OJSC UNITED KINGDYes - No CR No 1% 0 - 3,500 25% 3,500 - 10,500 40% 40% 10,500 - 3,496,500 75% 75% >3,496,500 75%

PTOP.L Phaunos Timber Fund Limited UNITED KINGDStockbroking onlyNo 1% 0 - 10,000 10% 10,000 - 50,000 16% 16% 50,000 - 180,000 20% 30% >180,000 30%

PHNX.L Phoenix Group Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,684 50% 60% >1,684 75%

PSDL.L Phoenix Spree Deutschland Limited UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 1,500 50% 60% >1,500 75%

PHRM.L Phorm Corporation Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,039 25% 1,039 - 2,078 30% 30% 2,078 - 3,117 50% 75% >3,117 75%

PHTM.L Photo-Me International PLC UNITED KINGDYes Yes 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,270 60% 75% >3,270 75%

PSL.L PhotonStar LED Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,222 25% 2,222 - 4,444 30% 30% 4,444 - 6,666 50% 75% >6,666 75%

PYSM.L Physiomics PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 110,000 50% 75% >110,000 75%

PCTN.L Picton Property Income Limited UNITED KINGDYes Yes 0.7% 0 - 1,400 25% 1,400 - 4,256 40% 40% 4,256 - 4,956 75% 75% >4,956 75%

PCTZ.L Picton ZDP Limited UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

PWS.L Pinewood Group PLC UNITED KINGDYes Yes 1% 0 - 15 25% 15 - 30 30% 30% 30 - 45 50% 75% >45 75%

PINNT.L Pinnacle Technology Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 75% >500 75%

PHWK.L PipeHawk PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

PIRI.L Pires Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 40 30% 30% 40 - 70 50% 75% >70 75%

PTTD.L Pittards PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 30 40% 40% 30 - 200 50% 75% >200 75%

PHC.L Plant Health Care PLC UNITED KINGDStockbroking onlyYes 1% 0 - 220 25% 220 - 440 40% 40% 440 - 550 75% 75% >550 75%

PIM.L Plant Impact PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 499,950 75% 75% >499,950 ERROR

PLA.L Plastics Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 20 50% 75% >20 75%

PTEC.L Playtech PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 970 10% 970 - 2,910 20% 20% 2,910 - 5,305 35% 45% >5,305 75%

PLAZ.L Plaza Centers NV UNITED KINGDYes - No CR No 1% 0 - 645 25% 645 - 1,290 30% 30% 1,290 - 1,935 50% 75% >1,935 75%

PLE.L Plethora Solutions Holdings PLC UNITED KINGDNo Yes 1% 0 - 976 25% 976 - 1,952 30% 30% 1,952 - 2,928 50% 75% >2,928 75%

PLEX.L Plexus Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

PLUSP.L Plus500 Limited UNITED KINGDYes - No CR Yes 1% 0 - 32 25% 32 - 64 30% 30% 64 - 96 50% 75% >96 75%

PPGL.L Plutus PowerGen PLC UNITED KINGDStockbroking onlyNo 1% 0 - 400 25% 400 - 800 40% 40% 800 - 1,200 50% 60% >1,200 75%

PCFT.L Polar Capital Global Financials Trust PLC UNITED KINGDYes Yes 0.3% 0 - 150 10% 150 - 600 20% 20% 600 - 1,499,850 75% 75% >1,499,850 ERROR

PCFS.L Polar Capital Global Financials Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 150 16% 16% 150 - 200 20% 24% >200 30%

PCGH.L Polar Capital Global Healthcare Growth and IncoUNITED KINGDYes No 0.3% 0 - 200 10% 200 - 500 20% 20% 500 - 1,999,800 75% 75% >1,999,800 ERROR

POLR.L Polar Capital Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%






PCT.L Polar Capital Technology Trust PLC UNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 812 60% 75% >812 75%

PLMO.L Polemos PLC UNITED KINGDStockbroking onlyNo 1% 0 - 62,500 25% 62,500 - 125,000 30% 30% 125,000 - 187,500 50% 75% >187,500 75%

POLO.L Polo Resources Limited UNITED KINGDYes Yes 0.7% 0 - 1,400 25% 1,400 - 4,256 40% 40% 4,256 - 4,550 60% 75% >4,550 75%

POLYP.L Polymetal International PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 450 10% 450 - 2,749 20% 20% 2,749 - 6,637 35% 45% >6,637 75%

PLP.L Polypipe Group PLC UNITED KINGDYes Yes 1% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,600 75% 75% >1,600 75%

PEBI.L Port Erin Biopharma Investments Limited UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 50 40% 40% 50 - 249,975 75% 75% >249,975 ERROR

PTCM.L Porta Communications PLC UNITED KINGDYes - No CR Yes 1% 0 - 75 25% 75 - 525 40% 40% 525 - 1,125 50% 75% >1,125 75%

PMGR.L Portmeirion Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 14 25% 14 - 28 30% 30% 28 - 42 50% 75% >42 75%

PORV.L Porvair PLC UNITED KINGDYes Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 327 60% 75% >327 75%

PLND.L Poundland Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 6,000 35% 45% >6,000 75%

PHEG.L PowerHouse Energy Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 1,800 50% 75% >1,800 75%

PSWCG.L PowerShares Dynamic US Market UCITS ETF UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

EQQQ.L PowerShares EQQQ Nasdaq-100 UCITS ETF UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

PSRW.L PowerShares FTSE RAFI All-World 3000 UCITSUNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 40 20% 20% 40 - 50 35% 45% >50 75%

PSRD.L PowerShares FTSE RAFI Developed 1000 UCITUNITED KINGDYes No 1% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 4,000 60% 75% >4,000 75%

PSRM.L PowerShares FTSE RAFI Emerging Markets UCUNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 60% 75% >500 75%

PSEG.L PowerShares FTSE RAFI Europe Mid-Small UCUNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

PSREG.L PowerShares FTSE RAFI Europe UCITS ETF UNITED KINGDYes No 1% 0 - 1,045 25% 1,045 - 6,270 40% 40% 6,270 - 10,450 60% 75% >10,450 75%

PSRFG.L PowerShares FTSE RAFI US 1000 UCITS ETF UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

PSGA.L PowerShares Global Agriculture UCITS ETF UNITED KINGDYes No 1% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 4,000 60% 75% >4,000 75%

PSBWG.L PowerShares Global Clean Energy UCITS ETF UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 60% 75% >500 75%

PSRA.L PowerShares Global Funds Ireland plc - PowerSUNITED KINGDYes No 1% 0 - 400 25% 400 - 2,400 40% 40% 2,400 - 4,000 60% 75% >4,000 75%

PSRH.L PowerShares Global Funds Ireland plc - PowerSUNITED KINGDYes - No CR No 1% 0 - 205 25% 205 - 1,230 40% 40% 1,230 - 2,050 60% 75% >2,050 75%

PSSPG.L PowerShares Global Listed Private Equity UCITUNITED KINGDYes No 1% 0 - 40 25% 40 - 200 40% 40% 200 - 400 60% 75% >400 75%

PSHOG.L PowerShares Global Water UCITS ETF UNITED KINGDYes No 1% 0 - 250 25% 250 - 1,500 40% 40% 1,500 - 2,500 60% 75% >2,500 75%

HDLG.L PowerShares S&P 500 High Dividend Low VolaUNITED KINGDYes No 0.7% 0 - 35 10% 35 - 210 15% 15% 210 - 315 25% 30% >315 38%

SPVG.L PowerShares S&P 500 VEQTOR UCITS ETF UNITED KINGDYes No 1% 0 - 35 10% 35 - 210 16% 16% 210 - 385 24% 30% >385 30%

POWR.L Powerflute Oyj UNITED KINGDYes Yes 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

PDZP.L Prairie Mining Limited UNITED KINGDYes - No CR No 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

NIPT.L Premaitha Health PLC UNITED KINGDYes - No CR Yes 1% 0 - 840 25% 840 - 1,680 30% 30% 1,680 - 4,200 50% 75% >4,200 75%

PREM.L Premier African Minerals Limited UNITED KINGDYes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 21,000 50% 75% >21,000 75%

PEW.L Premier Energy and Water Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 59 25% 59 - 118 30% 30% 118 - 177 50% 75% >177 75%

PFL.L Premier Farnell PLC UNITED KINGDYes Yes 0.7% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 3,600 50% 60% >3,600 75%

PFD.L Premier Foods PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,200 20% 1,200 - 3,504 30% 30% 3,504 - 6,264 50% 60% >6,264 75%

PMO.L Premier Oil PLC UNITED KINGDYes Yes 0.7% 0 - 900 15% 900 - 5,499 25% 25% 5,499 - 7,767 40% 55% >7,767 75%

PTSG.L Premier Technical Services Group PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

PVGP.L Premier Veterinary Group PLC UNITED KINGDYes No 1% 0 - 244 25% 244 - 488 40% 40% 488 - 610 75% 75% >610 75%

PPTC.L President Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 4,950 60% 75% >4,950 75%

PRES.L Pressure Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 17 25% 17 - 34 30% 30% 34 - 51 50% 75% >51 75%

PHP.L Primary Health Properties PLC UNITED KINGDYes Yes 0.7% 0 - 800 25% 800 - 2,000 40% 40% 2,000 - 2,800 60% 75% >2,800 75%

PRP.L Prime People PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

PEY.L Princess Private Equity Holding Limited UNITED KINGDStockbroking onlyYes 0.3% 0 - 19,500 10% 19,500 - 58,500 20% 20% 58,500 - 194,980,500 75% 75% >194,980,500 ERROR

PCF.L Private & Commercial Finance Group PLC UNITED KINGDYes - No CR No 1% 0 - 1,127 25% 1,127 - 2,254 30% 30% 2,254 - 3,381 50% 75% >3,381 75%

PEQ.L Private Equity Investor PLC UNITED KINGDYes - No CR No 1% 0 - 56 25% 56 - 112 30% 30% 112 - 168 50% 75% >168 75%

PROG.L Pro Global Insurance Solutions PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 300 50% 75% >300 75%

PPIRx.L ProPhotonix Limited UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

PGOO.L ProVen Growth & Income VCT PLC UNITED KINGDYes - No CR No 1% 0 - 7 10% 7 - 22 16% 16% 22 - 74,992 30% 30% >74,992 ERROR

PVN.L ProVen VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

PIL.L Produce Investments PLC UNITED KINGDYes - No CR No 1% 0 - 5 25% 5 - 30 40% 40% 30 - 50 50% 75% >50 75%

PGY.L Progility PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 300 50% 75% >300 75%

DATA.L Progressive Digital Media Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 70 25% 70 - 140 30% 30% 140 - 210 50% 75% >210 75%

PROJ.L Project Finance Investments Limited UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 300 16% 16% 300 - 499,950 30% 30% >499,950 ERROR

PRWP.L Promethean World PLC UNITED KINGDNo Yes 0.7% 0 - 308 25% 308 - 616 40% 40% 616 - 770 75% 75% >770 75%

PXOG.L Prospex Oil and Gas PLC UNITED KINGDStockbroking onlyNo 1% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 3,999,600 75% 75% >3,999,600 ERROR

PRM.L Proteome Sciences PLC UNITED KINGDStockbroking onlyYes 1% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,620 50% 60% >1,620 75%

P6K.L Proton Power Systems PLC UNITED KINGDStockbroking onlyNo 1% 0 - 110 25% 110 - 330 40% 40% 330 - 1,099,890 75% 75% >1,099,890 ERROR

PPEPa.L Proven Planned Exit VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 0 40% 40% 0 - 0 50% 75% >0 75%

PPEP.L Proven Planned Exit VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

NTR.L Provexis PLC UNITED KINGDYes Yes 1% 0 - 11,050 25% 11,050 - 22,100 40% 40% 22,100 - 24,862 60% 75% >24,862 75%

PRR.L Providence Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 90 25% 90 - 210 30% 30% 210 - 900 50% 75% >900 75%

PFG.L Provident Financial PLC UNITED KINGDYes Yes 0.7% 0 - 288 15% 288 - 852 25% 25% 852 - 1,048 40% 55% >1,048 75%

PROXP.L Proxama PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,484 25% 2,484 - 4,968 30% 30% 4,968 - 7,452 50% 75% >7,452 75%

PRU.L Prudential PLC UNITED KINGDYes Yes 0.7% 0 - 800 5% 800 - 3,768 10% 10% 3,768 - 15,000 20% 40% >15,000 75%

GAZPq.L Public Gazprom UNITED KINGDYes - No CR Yes 1% 0 - 96,000 10% 96,000 - 480,000 20% 20% 480,000 - 1,920,000 35% 45% >1,920,000 75%

SIBNq.L Public Gazprom Neft UNITED KINGDYes - No CR Yes 1% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

HALSq.L Public HALS-Development UNITED KINGDYes - No CR No 1% 0 - 11,200 25% 11,200 - 22,400 40% 40% 22,400 - 81,400 60% 75% >81,400 75%

HYDRq.L Public Joint-Stock Company Federal Hydro-GenUNITED KINGDNo Yes 1% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

ROSyq.L Public Long-Distance and International TelecomUNITED KINGDYes - No CR Yes 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MGNTq.L Public Magnit UNITED KINGDYes - No CR Yes 1% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 312,000 35% 45% >312,000 75%

MFONq.L Public MegaFon UNITED KINGDYes - No CR Yes 1% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

NKELyq.L Public Mining and Metallurgical Company NorilskUNITED KINGDYes - No CR Yes 1% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,000,000 35% 45% >1,000,000 75%

LKOHyq.L Public Oil Company LUKOIL UNITED KINGDYes - No CR Yes 1% 0 - 14,200 10% 14,200 - 71,000 20% 20% 71,000 - 284,000 35% 45% >284,000 75%

PSPI.L Public Service Properties Investments Limited UNITED KINGDYes - No CR No 1% 0 - 76 25% 76 - 152 30% 30% 152 - 190 50% 75% >190 75%

URKAq.L Public Uralkali UNITED KINGDYes - No CR No 1% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 670,000 35% 45% >670,000 75%

PTO.L Publishing Technology PLC UNITED KINGDStockbroking onlyYes 1% 0 - 32 25% 32 - 64 30% 30% 64 - 96 50% 75% >96 75%

PUMX.L Puma VCT 10 PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 15 16% 16% 15 - 49,995 30% 30% >49,995 ERROR

PU11.L Puma VCT 11 PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

PUM8.L Puma VCT 8 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 40% 40% 75 - 249,975 75% 75% >249,975 ERROR

PUM9.L Puma VCT 9 PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

PUMA.L Puma VCT VII PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

PUB.L Punch Taverns PLC UNITED KINGDYes Yes 0.7% 0 - 1,800 25% 1,800 - 5,508 40% 40% 5,508 - 5,850 60% 75% >5,850 75%

PUR.L Pure Wafer PLC UNITED KINGDYes - No CR Yes 1% 0 - 123 25% 123 - 246 30% 30% 246 - 369 50% 75% >369 75%

PURE.L PureCircle Limited UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 100 40% 40% 100 - 250 60% 75% >250 75%

PRTC.L PureTech Health PLC UNITED KINGDYes - No CR Yes 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

PURI.L PuriCore PLC UNITED KINGDYes - No CR Yes 1% 0 - 227 25% 227 - 454 30% 30% 454 - 681 50% 75% >681 75%

PURP.L Purplebricks Group PLC UNITED KINGDYes - No CR No 1% 0 - 200 25% 200 - 3,000 40% 40% 3,000 - 8,000 50% 60% >8,000 75%

QIL.L Qannas Investments Limited UNITED KINGDYes - No CR No 0.3% 0 - 2,000 10% 2,000 - 6,000 16% 16% 6,000 - 19,998,000 30% 30% >19,998,000 ERROR

QIF.L Qatar Investment Fund PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

QQ.L QinetiQ Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,500 15% 1,500 - 4,500 25% 25% 4,500 - 7,110 40% 55% >7,110 75%

QFI.L Quadrise Fuels International PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,800 25% 1,800 - 10,008 40% 40% 10,008 - 14,958 60% 75% >14,958 75%

QP.L Quantum Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 200 25% 200 - 1,000 40% 40% 1,000 - 2,000 50% 60% >2,000 75%

QTX.L Quartix Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 2,500 50% 50% >2,500 75%

QRT.L Quarto Group Inc UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 30 40% 40% 30 - 40 50% 75% >40 75%

QXT.L Quixant PLC UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 60 40% 40% 60 - 80 50% 75% >80 75%

REAH.L R.E.A. Holdings PLC UNITED KINGDYes No 0.7% 0 - 30 25% 30 - 90 40% 40% 90 - 97 60% 75% >97 75%

RSS.L RAB Special Situations Company Limited UNITED KINGDYes - No CR No 1% 0 - 1,053 25% 1,053 - 2,106 30% 30% 2,106 - 3,159 50% 75% >3,159 75%

REAC.L REACT Energy PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

REL.L RELX PLC UNITED KINGDYes Yes 0.3% 0 - 1,100 5% 1,100 - 5,500 10% 10% 5,500 - 15,125 20% 40% >15,125 75%

RCP.L RIT Capital Partners PLC UNITED KINGDYes Yes 0.7% 0 - 250 20% 250 - 750 30% 30% 750 - 875 75% 75% >875 75%

RM.L RM PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 802 60% 75% >802 75%

RM2.L RM2 International SA UNITED KINGDYes - No CR Yes 1% 0 - 84 25% 84 - 504 40% 40% 504 - 1,260 50% 75% >1,260 75%

ROBG.L ROBO Global(r) Robotics and Automation GO UUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 20 20% 20% 20 - 30 35% 45% >30 75%

ROBO.L ROBO Global(r) Robotics and Automation GO UUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

RPC.L RPC Group PLC UNITED KINGDYes Yes 0.7% 0 - 480 20% 480 - 1,440 30% 30% 1,440 - 1,732 50% 60% >1,732 75%

RPS.L RPS Group PLC UNITED KINGDYes Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 1,713 50% 60% >1,713 75%

RQIH.L RQIH Limited UNITED KINGDYes - No CR Yes 1% 0 - 62 25% 62 - 124 30% 30% 124 - 186 50% 75% >186 75%

RSA.L RSA Insurance Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 2,050 10% 2,050 - 6,006 20% 20% 6,006 - 19,003 30% 50% >19,003 75%

RTCR.L RTC Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

RWS.L RWS Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 999 40% 40% 999 - 1,149 75% 75% >1,149 75%

RMM.L Rambler Metals & Mining PLC UNITED KINGDYes - No CR Yes 1% 0 - 325 25% 325 - 650 30% 30% 650 - 975 50% 75% >975 75%

RAME.L Rame Energy PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 45 40% 40% 45 - 60 50% 75% >60 75%

RRS.L Randgold Resources Limited UNITED KINGDYes Yes 0.7% 0 - 60 5% 60 - 600 10% 10% 600 - 2,520 20% 40% >2,520 75%

RGRS.L Range Resources Limited UNITED KINGDYes - No CR Yes 1% 0 - 13,250 25% 13,250 - 40,015 40% 40% 40,015 - 72,875 60% 75% >72,875 75%

RDLC.L Ranger Direct Lending Fund PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

RFC.L Rangers International Football Club PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,600 50% 75% >1,600 75%

RCI.L RapidCloud International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 60 50% 75% >60 75%

REMP.L Rare Earth Minerals PLC UNITED KINGDYes - No CR Yes 1% 0 - 41,000 25% 41,000 - 250,100 40% 40% 250,100 - 799,500 60% 75% >799,500 75%

RMA.L Rasmala PLC UNITED KINGDNo Yes 1% 0 - 60 25% 60 - 120 40% 40% 120 - 150 75% 75% >150 75%

RAT.L Rathbone Brothers PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 175 75% 75% >175 75%

RUS.L Raven Russia Limited UNITED KINGDYes - No CR Yes 0.7% 0 - 800 25% 800 - 2,400 40% 40% 2,400 - 2,600 60% 75% >2,600 75%

RQE.L ReNeuron Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 16,250 60% 75% >16,250 75%

RBDR.L Reabold Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

REAT.L React Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

RECIV.L Real Estate Credit Investments PCC Limited UNITED KINGDYes - No CR Yes 1% 0 - 65 25% 65 - 130 30% 30% 130 - 195 50% 75% >195 75%

RLE.L Real Estate Investors PLC UNITED KINGDStockbroking onlyYes 1% 0 - 30 25% 30 - 210 40% 40% 210 - 600 50% 75% >600 75%

RGD.L Real Good Food PLC UNITED KINGDYes - No CR Yes 1% 0 - 159 25% 159 - 318 30% 30% 318 - 477 50% 75% >477 75%

RB.L Reckitt Benckiser Group PLC UNITED KINGDYes Yes 0.3% 0 - 200 5% 200 - 1,004 10% 10% 1,004 - 4,000 20% 40% >4,000 75%

RC2.L Reconstruction Capital II Limited UNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 2,500 20% 20% 2,500 - 9,999,000 75% 75% >9,999,000 ERROR

RECL.L Record PLC UNITED KINGDYes Yes 0.7% 0 - 230 25% 230 - 460 40% 40% 460 - 575 75% 75% >575 75%

RMPq.L Red Emperor Resources NL UNITED KINGDYes Yes 0.7% 0 - 3,030 25% 3,030 - 6,060 40% 40% 6,060 - 7,575 75% 75% >7,575 75%






RLEO.L Red Leopard Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

RRR.L Red Rock Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 800 25% 800 - 2,400 30% 30% 2,400 - 8,000 50% 75% >8,000 75%

RED.L RedT Energy PLC UNITED KINGDYes - No CR No 1% 0 - 2,423 25% 2,423 - 4,846 30% 30% 4,846 - 7,269 50% 75% >7,269 75%

RCN.L Redcentric PLC UNITED KINGDYes - No CR Yes 1% 0 - 90 25% 90 - 450 30% 30% 450 - 1,800 50% 75% >1,800 75%

REDD.L Redde PLC UNITED KINGDYes Yes 1% 0 - 9,500 25% 9,500 - 30,020 40% 40% 30,020 - 34,770 75% 75% >34,770 75%

RDI.L Redefine International PLC UNITED KINGDYes Yes 0.7% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 10,500 75% 75% >10,500 75%

RHL.L Redhall Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 284 25% 284 - 568 30% 30% 568 - 852 50% 75% >852 75%

RDW.L Redrow PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,864 50% 60% >1,864 75%

REDX.L Redx Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 180 40% 40% 180 - 300 50% 60% >300 75%

RPT.L Regal Petroleum PLC UNITED KINGDNo Yes 1% 0 - 816 25% 816 - 1,632 40% 40% 1,632 - 2,040 75% 75% >2,040 75%

RGM.L Regency Mines PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,515 25% 1,515 - 3,030 30% 30% 3,030 - 4,545 50% 75% >4,545 75%

BLTGB.L Regenersis PLC UNITED KINGDYes - No CR No 1% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,300 60% 75% >1,300 75%

RGLR.L Regional REIT Limited UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 10,000 50% 60% >10,000 75%

RGU.L Regus PLC UNITED KINGDYes Yes 0.7% 0 - 1,200 20% 1,200 - 3,504 30% 30% 3,504 - 4,788 50% 60% >4,788 75%

RELIq.L Reliance Industries Limited UNITED KINGDYes - No CR Yes 1% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

RNWH.L Renew Holdings PLC UNITED KINGDYes Yes 1% 0 - 50 25% 50 - 300 30% 30% 300 - 1,000 50% 75% >1,000 75%

WINDR.L Renewable Energy Generation Limited UNITED KINGDYes - No CR Yes 1% 0 - 131 25% 131 - 262 30% 30% 262 - 393 50% 75% >393 75%

REH.L Renewable Energy Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 4,000 25% 4,000 - 8,000 30% 30% 8,000 - 12,000 50% 75% >12,000 75%

RSW.L Renishaw PLC UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 221 60% 75% >221 75%

RNO.L Renold PLC UNITED KINGDYes Yes 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 1,950 60% 75% >1,950 75%

RSB.L Rensburg AIM VCT PLC UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 16% 16% 60 - 300 20% 30% >300 30%

RTO.L Rentokil Initial PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 4,023 15% 4,023 - 10,017 25% 25% 10,017 - 16,655 40% 55% >16,655 75%

RHMI.L Resource Holding Management Limited UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 500 60% 75% >500 75%

RTN.L Restaurant Group PLC UNITED KINGDYes Yes 0.3% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 1,625 50% 60% >1,625 75%

RSTP.L Restore PLC UNITED KINGDYes - No CR Yes 1% 0 - 57 25% 57 - 171 30% 30% 171 - 342 50% 75% >342 75%

RBG.L Revolution Bars Group PLC UNITED KINGDYes No 1% 0 - 350 25% 350 - 2,100 40% 40% 2,100 - 7,000 50% 60% >7,000 75%

REVO.L Revolymer PLC UNITED KINGDYes - No CR No 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,600 50% 75% >1,600 75%

RXB.L Rex Bionics PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

REX.L Rexam PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 1,244 10% 1,244 - 3,781 20% 20% 3,781 - 6,667 30% 50% >6,667 75%

RCDO.L Ricardo PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 496 60% 75% >496 75%

RLDR.L Richland Resources Limited UNITED KINGDStockbroking onlyYes 1% 0 - 2,963 25% 2,963 - 5,926 30% 30% 5,926 - 8,889 50% 75% >8,889 75%

RICX.L Richoux Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 210 50% 75% >210 75%

RMV.L Rightmove PLC UNITED KINGDYes Yes 0.7% 0 - 186 15% 186 - 550 25% 25% 550 - 822 40% 55% >822 75%

RIIC.L Rights and Issues Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 0 25% 0 - 2 40% 40% 2 - 7 50% 75% >7 75%

RIICi.L Rights and Issues Investment Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 0 10% 0 - 1 16% 16% 1 - 7,499 30% 30% >7,499 ERROR

RSTR.L Rightster Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 100 50% 75% >100 75%

RIO.L Rio Tinto PLC UNITED KINGDYes Yes 0.3% 0 - 250 5% 250 - 1,420 10% 10% 1,420 - 5,750 20% 40% >5,750 75%

RIV.L River and Mercantile Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 150 40% 40% 150 - 499,950 75% 75% >499,950 ERROR

RMMC.L River and Mercantile UK Micro Cap Investment CUNITED KINGDYes - No CR No 0.3% 0 - 30 10% 30 - 90 16% 16% 90 - 299,970 30% 30% >299,970 ERROR

RSER.L Riverstone Energy Limited UNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

RWA.L Robert Walters PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 784 60% 75% >784 75%

RBSN.L Robinson PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 10 40% 40% 10 - 24 50% 75% >24 75%

RKH.L Rockhopper Exploration PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 2,300 25% 2,300 - 6,992 40% 40% 6,992 - 10,856 60% 75% >10,856 75%

RR.L Rolls Royce Holdings PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 5% 1,000 - 4,930 10% 10% 4,930 - 19,750 20% 40% >19,750 75%

AGRORq.L Ros Agro PLC UNITED KINGDYes - No CR No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

ROSER.L Rose Petroleum PLC UNITED KINGDYes - No CR Yes 1% 0 - 15,385 25% 15,385 - 30,770 30% 30% 30,770 - 46,155 50% 75% >46,155 75%

ROSNq.L Rosneft Oil Company UNITED KINGDYes - No CR Yes 1% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 2,380,000 35% 45% >2,380,000 75%

RGP.L Ross Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

RDTR.L Rosslyn Data Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 90 40% 40% 90 - 195 50% 75% >195 75%

ROTL.L Rotala PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

ROR.L Rotork PLC UNITED KINGDYes Yes 0.3% 0 - 188 15% 188 - 550 25% 25% 550 - 627 40% 55% >627 75%

RXP.L Roxi Petroleum PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,353 25% 2,353 - 4,706 30% 30% 4,706 - 7,059 50% 75% >7,059 75%

RDSa.L Royal Dutch Shell PLC UNITED KINGDYes Yes 0.3% 0 - 450 5% 450 - 2,340 10% 10% 2,340 - 9,450 20% 40% >9,450 75%

RDSb.L Royal Dutch Shell PLC UNITED KINGDYes Yes 0.3% 0 - 450 5% 450 - 2,182 10% 10% 2,182 - 8,775 20% 40% >8,775 75%

RMG.L Royal Mail PLC UNITED KINGDYes Yes 0.3% 0 - 750 10% 750 - 4,500 20% 20% 4,500 - 15,000 35% 45% >15,000 75%

RICA_p.L Ruffer Investment Company Limited UNITED KINGDYes No 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

RUR.L Rurelec PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,096 25% 1,096 - 2,192 30% 30% 2,192 - 3,288 50% 75% >3,288 75%

RPO.L RusPetro PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 775 25% 775 - 2,325 40% 40% 2,325 - 2,518 60% 75% >2,518 75%

RYA.L Ryanair Holdings PLC UNITED KINGDYes Yes 0.3% 0 - 48,700 10% 48,700 - 292,200 20% 20% 292,200 - 974,000 35% 45% >974,000 75%

SUS.L S&U PLC UNITED KINGDYes Yes 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

SAB.L SABMiller PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 350 5% 350 - 1,799 10% 10% 1,799 - 7,350 20% 40% >7,350 75%

SDL.L SDL PLC UNITED KINGDYes Yes 0.3% 0 - 300 20% 300 - 1,800 30% 30% 1,800 - 1,950 50% 60% >1,950 75%

SPDI.L SECURE PROPERTY Development & Investm UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

SGRO.L SEGRO PLC UNITED KINGDYes Yes 0.3% 0 - 1,200 15% 1,200 - 3,504 25% 25% 3,504 - 6,684 40% 55% >6,684 75%

5DEL.L SG Daily Long 5DEL ETN UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 4,000 40% 40% 4,000 - 6,000 60% 75% >6,000 75%

5UKL.L SG Daily Long 5UKL ETN UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

EU5L.L SG Daily Long EU5L ETN UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

5DES.L SG Daily Short 5DES ETN UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 1,500 60% 75% >1,500 75%

5UKS.L SG Daily Short 5UKS ETN UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%

EU5S.L SG Daily Short EU5S ETN UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

UKL3.L SG FTSE 100 x3 Daily Long ETN UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

UKS3.L SG FTSE 100 x3 Daily Short ETN UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%

5GOL.L SG Gold x5 GBP Daily Long UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

5GOS.L SG Gold x5 GBP Daily Short UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

5GUL.L SG Gold x5 USD Daily Long UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

5GUS.L SG Gold x5 USD Daily Short UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

NGL3.L SG Natural Gas x3 GBP Daily Long ETN UNITED KINGDStockbroking onlyNo 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

NGS3.L SG Natural Gas x3 GBP Daily Short ETN UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 2,100 40% 40% 2,100 - 3,000 60% 75% >3,000 75%

SHI.L SIG PLC UNITED KINGDYes Yes 0.7% 0 - 1,700 15% 1,700 - 9,996 25% 25% 9,996 - 10,608 40% 55% >10,608 75%

SIA.L SOCO International PLC UNITED KINGDYes Yes 0.7% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 1,950 60% 75% >1,950 75%

SEUC.L SPDR(r) Barclays 0-3 Year Euro Corporate BonUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SUSD.L SPDR(r) Barclays 0-3 Year US Corporate BondUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SUKC.L SPDR(r) Barclays 0-5 Year Sterling Corporate BUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SJNK.L SPDR(r) Barclays 0-5 Year US High Yield BondUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

JNKS.L SPDR(r) Barclays 0-5 Year US High Yield BondUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EU13.L SPDR(r) Barclays 1-3 Year Euro Government BUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

TRS3.L SPDR(r) Barclays 1-3 Year US Treasury Bond UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

GLTS.L SPDR(r) Barclays 1-5 Year Gilt UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

LCRP.L SPDR(r) Barclays 10+ Year U.S. Corporate BonUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

GLTL.L SPDR(r) Barclays 15+ Year Gilt UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

EMDL.L SPDR(r) Barclays Emerging Markets Local BonUNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EMDD.L SPDR(r) Barclays Emerging Markets Local BonUNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EUAG.L SPDR(r) Barclays Euro Aggregate Bond UCITSUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EUCO.L SPDR(r) Barclays Euro Corporate Bond UCITSUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

JNKE.L SPDR(r) Barclays Euro High Yield Bond UCITS UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

UKCO.L SPDR(r) Barclays Sterling Corporate Bond UCIUNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SPTIPS.L SPDR(r) Barclays U.S. TIPS UCITS ETF UNITED KINGDYes No 1% 0 - 2,000 10% 2,000 - 10,000 16% 16% 10,000 - 20,000 24% 30% >20,000 30%

GLTY.L SPDR(r) Barclays UK Gilt UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

USAG.L SPDR(r) Barclays US Aggregate Bond UCITS EUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

TRSY.L SPDR(r) Barclays US Treasury Bond UCITS ETUNITED KINGDYes Yes 0.7% 0 - 2,000 10% 2,000 - 10,000 15% 15% 10,000 - 20,000 25% 30% >20,000 38%

USTY.L SPDR(r) Barclays US Treasury Bond UCITS ETUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

GLRE.L SPDR(r) Dow Jones Global Real Estate UCITS UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EURE.L SPDR(r) FTSE EPRA Europe ex UK Real EstatUNITED KINGDYes No 0.7% 0 - 2,000 10% 2,000 - 10,000 15% 15% 10,000 - 20,000 25% 30% >20,000 38%

EURL.L SPDR(r) FTSE EPRA Europe ex UK Real EstatUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

FTAL.L SPDR(r) FTSE UK All Share UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

ACWD.L SPDR(r) MSCI ACWI UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

ACWI.L SPDR(r) MSCI ACWI UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EASD.L SPDR(r) MSCI EM Asia UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EURO.L SPDR(r) MSCI EMU UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EMRG.L SPDR(r) MSCI Emerging Markets UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

USSC.L SPDR(r) MSCI USA Small Cap Value WeightedUNITED KINGDYes No 0.3% 0 - 500 10% 500 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

WDSC.L SPDR(r) MSCI World Small Cap UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

R2US.L SPDR(r) Russell 2000 US Small Cap UCITS ETUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SPY4.L SPDR(r) S&P 400 US Mid Cap UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 800 10% 800 - 4,800 20% 20% 4,800 - 8,000 35% 45% >8,000 75%

USLV.L SPDR(r) S&P 500 Low Volatility UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 100 10% 100 - 600 20% 20% 600 - 1,000 35% 45% >1,000 75%

SPY5.L SPDR(r) S&P 500 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

SPX5.L SPDR(r) S&P 500 UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

EUDV.L SPDR(r) S&P Euro Dividend Aristocrats UCITSUNITED KINGDYes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

GBDV.L SPDR(r) S&P Global Dividend Aristocrats UCITUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

UKDV.L SPDR(r) S&P UK Dividend Aristocrats UCITS EUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

USDV.L SPDR(r) S&P US Dividend Aristocrats UCITS EUNITED KINGDYes - No CR No 0.7% 0 - 7,500 10% 7,500 - 37,500 20% 20% 37,500 - 150,000 35% 45% >150,000 75%

SXLI.L SPDR(r) S&P(r) U.S. Industrials Select Sector UUNITED KINGDNo No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GCVB.L SPDR(r) Thomson Reuters Global Convertible UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SQNS.L SQN Asset Finance Income Fund Limited UNITED KINGDYes Yes 0.3% 0 - 140 10% 140 - 700 20% 20% 700 - 980 35% 45% >980 75%

SQS.L SQS Software Quality System SA UNITED KINGDYes - No CR Yes 1% 0 - 19 25% 19 - 38 30% 30% 38 - 57 50% 75% >57 75%

SSE.L SSE PLC UNITED KINGDYes Yes 0.3% 0 - 700 5% 700 - 3,612 10% 10% 3,612 - 9,975 20% 40% >9,975 75%

SSPG.L SSP Group PLC UNITED KINGDYes Yes 0.7% 0 - 400 15% 400 - 1,600 25% 25% 1,600 - 6,000 45% 60% >6,000 75%

STMG.L STM Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 40 25% 40 - 120 40% 40% 120 - 160 50% 60% >160 75%

STVG.L STV Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 29 25% 29 - 58 30% 30% 58 - 87 50% 75% >87 75%

STHR.L SThree PLC UNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 270 60% 75% >270 75%






SVI.L SVG Capital PLC UNITED KINGDYes Yes 0.7% 0 - 450 20% 450 - 1,399 30% 30% 1,399 - 2,326 50% 60% >2,326 75%

SVME.L SVM UK Emerging Fund PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

SWP.L SWP Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,067 25% 1,067 - 2,134 30% 30% 2,134 - 3,201 50% 75% >3,201 75%

SNT.L Sabien Technology Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 150 40% 40% 150 - 299,970 75% 75% >299,970 ERROR

SBLM.L Sable Mining Africa Limited UNITED KINGDYes Yes 0.7% 0 - 4,250 25% 4,250 - 15,002 40% 40% 15,002 - 17,127 75% 75% >17,127 75%

SACS.L SacOil Holdings Limited UNITED KINGDStockbroking onlyNo 1% 0 - 3,604 25% 3,604 - 7,208 30% 30% 7,208 - 10,812 50% 75% >10,812 75%

SCNS.L Sacoven PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

SCHS.L SafeCharge International Group Limited UNITED KINGDYes - No CR No 1% 0 - 100 20% 100 - 500 40% 40% 500 - 1,000 50% 60% >1,000 75%

SAFL.L Safeland PLC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

SSTY.L Safestay PLC UNITED KINGDYes - No CR Yes 1% 0 - 5 25% 5 - 30 40% 40% 30 - 200 50% 75% >200 75%

SAFE.L Safestore Holdings PLC UNITED KINGDYes Yes 0.7% 0 - 600 20% 600 - 1,800 30% 30% 1,800 - 3,054 50% 60% >3,054 75%

SFES.L Safestyle Uk PLC UNITED KINGDYes Yes 0.7% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 18,000 50% 60% >18,000 75%

SAGAG.L Saga PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 7,000 20% 20% 7,000 - 15,000 35% 45% >15,000 75%

SGE.L Sage Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,200 10% 1,200 - 3,504 20% 20% 3,504 - 9,996 30% 50% >9,996 75%

SAFI.L Sagicor Financial Corporation UNITED KINGDYes - No CR No 1% 0 - 5 25% 5 - 10 40% 40% 10 - 49,995 75% 75% >49,995 ERROR

SO4.L Salt Lake Potash Limited UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

SALVS.L SalvaRx Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10 25% 10 - 20 40% 40% 20 - 25 75% 75% >25 75%

0593xq.L Samsung Electronics Company Limited UNITED KINGDYes - No CR Yes 1% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 10,000 35% 45% >10,000 75%

HSM1.L Samuel Heath and Sons PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 4 40% 40% 4 - 14,998 75% 75% >14,998 ERROR

SLEN.L San Leon Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 155 25% 155 - 449 40% 40% 449 - 503 60% 75% >503 75%

SND.L Sanderson Group PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

SIT.L Sanditon Investment Trust PLC UNITED KINGDYes No 0.3% 0 - 60 10% 60 - 180 20% 20% 180 - 599,940 75% 75% >599,940 ERROR

SNNS.L Sanne Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 250 25% 250 - 1,500 40% 40% 1,500 - 5,000 50% 60% >5,000 75%

SAR.L Sareum Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 16,000 25% 16,000 - 32,000 30% 30% 32,000 - 48,000 50% 75% >48,000 75%

SARSS.L Sarossa PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 6,993 25% 6,993 - 13,986 40% 40% 13,986 - 17,482 75% 75% >17,482 75%

SAT.L Satellite Solutions Worldwide Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 5,000 35% 35% 5,000 - 50,000 50% 60% >50,000 75%

SAVP.L Savannah Petroleum PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 210 40% 40% 210 - 510 50% 75% >510 75%

SAVS.L Savannah Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,455 25% 1,455 - 2,910 30% 30% 2,910 - 4,365 50% 75% >4,365 75%

SVS.L Savills PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 650 60% 75% >650 75%

SBNCyq.L Sberbank of Russia OJSC UNITED KINGDYes - No CR Yes 1% 0 - 74,000 10% 74,000 - 370,000 20% 20% 370,000 - 1,480,000 35% 45% >1,480,000 75%

SCSS.L ScS Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

SCLP.L Scancell Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 331 25% 331 - 662 30% 30% 662 - 827 50% 75% >827 75%

SCPA.L Scapa Group PLC UNITED KINGDYes Yes 1% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 2,275 60% 75% >2,275 75%

SCHOS.L Scholium Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 52 40% 40% 52 - 97 50% 75% >97 75%

SGRES.L Schroder Global Real Estate Securities Limited UNITED KINGDYes No 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 493 60% 75% >493 75%

SCF.L Schroder Income Growth Fund PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 350 75% 75% >350 75%

SDP.L Schroder Investment Trust - Schroder AsiaPaciUNITED KINGDYes Yes 0.3% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

SJG.L Schroder Japan Growth Fund PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,400 75% 75% >1,400 75%

SOI.L Schroder Oriental Income Fund Limited UNITED KINGDYes Yes 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,610 60% 75% >1,610 75%

SREI.L Schroder Real Estate Investment Trust Limited UNITED KINGDYes Yes 0.7% 0 - 1,700 25% 1,700 - 4,998 40% 40% 4,998 - 5,525 60% 75% >5,525 75%

SDU.L Schroder UK Growth Fund PLC UNITED KINGDYes Yes 0.3% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

SCP.L Schroder UK Mid Cap Fund PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

ATRAS.L Schroders Investment Trusts - Asian Total RetuUNITED KINGDYes Yes 0.3% 0 - 58 25% 58 - 116 40% 40% 116 - 376 60% 75% >376 75%

SDR.L Schroders PLC UNITED KINGDYes Yes 0.7% 0 - 250 10% 250 - 750 20% 20% 750 - 1,100 30% 50% >1,100 75%

SDRt.L Schroders PLC UNITED KINGDYes Yes 0.7% 0 - 60 25% 60 - 199 40% 40% 199 - 229 75% 75% >229 75%

SSY.L SciSys PLC UNITED KINGDStockbroking onlyYes 1% 0 - 132 25% 132 - 264 30% 30% 264 - 396 50% 75% >396 75%

SAGS.L Science Group PLC UNITED KINGDYes - No CR No 1% 0 - 65 25% 65 - 130 30% 30% 130 - 195 50% 75% >195 75%

SISS.L Science in Sport PLC UNITED KINGDYes - No CR Yes 1% 0 - 181 25% 181 - 362 30% 30% 362 - 543 50% 75% >543 75%

SDIS.L Scientific Digital Imaging PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

SGZ.L Scotgold Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 4,500 40% 40% 4,500 - 12,750 50% 75% >12,750 75%

SMT.L Scottish Mortgage Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 250 15% 250 - 750 25% 25% 750 - 1,177 40% 55% >1,177 75%

SEAE.L SeaEnergy PLC UNITED KINGDStockbroking onlyYes 1% 0 - 354 25% 354 - 708 30% 30% 708 - 1,062 50% 75% >1,062 75%

SIRE.L Secure Income REIT PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

STBS.L Secure Trust Bank PLC UNITED KINGDYes - No CR Yes 1% 0 - 5 25% 5 - 30 40% 40% 30 - 50 60% 75% >50 75%

SESTS.L Securities Trust of Scotland PLC UNITED KINGDYes Yes 0.3% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

M2Z.L Seeing Machines Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,500 25% 1,500 - 4,500 30% 30% 4,500 - 9,000 50% 75% >9,000 75%

SER.L Sefton Resources Inc UNITED KINGDStockbroking onlyNo 1% 0 - 35,088 25% 35,088 - 70,176 30% 30% 70,176 - 105,264 50% 75% >105,264 75%

SIGT.L Seneca Global Income & Growth Trust PLC UNITED KINGDYes - No CR No 1% 0 - 76 25% 76 - 152 30% 30% 152 - 228 50% 75% >228 75%

SNR.L Senior PLC UNITED KINGDYes Yes 0.3% 0 - 650 25% 650 - 1,950 40% 40% 1,950 - 2,600 60% 75% >2,600 75%

SEN.L Senterra Energy PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

SEPL.L Seplat Petroleum Development Company PLC UNITED KINGDYes Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 750 50% 75% >750 75%

SEPU.L Sepura PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

SEQI.L Sequoia Economic Infrastructure Income Fund UNITED KINGDYes No 0.3% 0 - 75 10% 75 - 450 20% 20% 450 - 600 35% 45% >600 75%

SRB.L Serabi Gold PLC UNITED KINGDStockbroking onlyYes 1% 0 - 2,000 25% 2,000 - 4,000 30% 30% 4,000 - 6,000 50% 75% >6,000 75%

SRP.L Serco Group PLC UNITED KINGDYes Yes 0.3% 0 - 2,534 10% 2,534 - 12,670 20% 20% 12,670 - 24,453 35% 45% >24,453 75%

SQZ.L Serica Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 748 25% 748 - 1,496 40% 40% 1,496 - 1,683 60% 75% >1,683 75%

SERV.L Servelec Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 300 25% 300 - 1,200 40% 40% 1,200 - 1,500 60% 75% >1,500 75%

SVRP.L ServicePower Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,600 25% 1,600 - 3,200 30% 30% 3,200 - 4,800 50% 75% >4,800 75%

SEVL.L Servision PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 800 50% 75% >800 75%

SVCA.L Servoca PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 200 50% 75% >200 75%

SFR.L Severfield PLC UNITED KINGDYes Yes 0.7% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 2,450 75% 75% >2,450 75%

SVT.L Severn Trent PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 350 5% 350 - 2,796 10% 10% 2,796 - 3,500 20% 40% >3,500 75%

SHB.L Shaftesbury PLC UNITED KINGDYes Yes 0.3% 0 - 700 20% 700 - 2,100 30% 30% 2,100 - 2,275 50% 60% >2,275 75%

SKS.L Shanks Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,400 25% 1,400 - 4,256 40% 40% 4,256 - 4,956 75% 75% >4,956 75%

SHAN.L Shanta Gold Limited UNITED KINGDYes - No CR Yes 1% 0 - 678 25% 678 - 1,356 30% 30% 1,356 - 2,034 50% 75% >2,034 75%

SHRE.L Share PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 120 50% 75% >120 75%

SHAW.L Shawbrook Group PLC UNITED KINGDYes Yes 1% 0 - 1,420 25% 1,420 - 8,520 40% 40% 8,520 - 28,400 50% 60% >28,400 75%

SIGB.L Sherborne Investors (Guernsey) B Limited UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 60 40% 40% 60 - 299,970 75% 75% >299,970 ERROR

STXS.L Shield Therapeutics PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 50% 60% >100 75%

SHRS.L Shires Income PLC UNITED KINGDYes No 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

SHOE.L Shoe Zone PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 180 50% 60% >180 75%

SGRS.L Shore Capital Group Limited UNITED KINGDStockbroking onlyYes 1% 0 - 30 25% 30 - 60 30% 30% 60 - 90 50% 75% >90 75%

SRXR.L Sierra Rutile Limited UNITED KINGDYes - No CR Yes 1% 0 - 171 25% 171 - 342 30% 30% 342 - 513 50% 75% >513 75%

SISGM.L Sigma Capital Group PLC UNITED KINGDYes - No CR No 1% 0 - 142 25% 142 - 284 30% 30% 284 - 426 50% 75% >426 75%

SIG.L Signet Jewelers Limited UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 175 75% 75% >175 75%

SLN.L Silence Therapeutics PLC UNITED KINGDStockbroking onlyYes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 341 60% 75% >341 75%

SILF.L Silver Falcon PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 6,000 50% 60% >6,000 75%

SIMI.L SimiGon Limited UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 210 50% 75% >210 75%

SPH.L Sinclair Pharma PLC UNITED KINGDYes Yes 0.7% 0 - 1,200 25% 1,200 - 3,504 40% 40% 3,504 - 3,900 60% 75% >3,900 75%

SXX.L Sirius Minerals PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 7,000 20% 7,000 - 39,970 30% 30% 39,970 - 43,890 50% 60% >43,890 75%

SRSP.L Sirius Petroleum PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,636 25% 3,636 - 7,272 30% 30% 7,272 - 10,908 50% 75% >10,908 75%

SRET.L Sirius Real Estate Limited UNITED KINGDYes - No CR Yes 1% 0 - 40,700 25% 40,700 - 81,400 30% 30% 81,400 - 122,100 50% 75% >122,100 75%

SSAq.L Sistema JSFC UNITED KINGDYes - No CR Yes 1% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

SKPL.L Skil Ports & Logistics Limited UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 500 30% 30% 500 - 750 50% 75% >750 75%

SKYB.L Sky PLC UNITED KINGDYes Yes 0.3% 0 - 1,100 5% 1,100 - 5,566 10% 10% 5,566 - 15,125 20% 40% >15,125 75%

SKP.L Skyepharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

SDV.L Small Companies Dividend Trust PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 20% 30% >195 30%

SDVZ_p.L Small Companies ZDP PLC UNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 9 16% 16% 9 - 12 20% 30% >12 30%

SMSS.L Smart Metering Systems PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 1,300 60% 75% >1,300 75%

SN.L Smith & Nephew PLC UNITED KINGDYes Yes 0.3% 0 - 1,100 5% 1,100 - 2,200 10% 10% 2,200 - 5,500 20% 40% >5,500 75%

SMIN.L Smiths Group PLC UNITED KINGDYes Yes 0.3% 0 - 700 10% 700 - 2,100 20% 20% 2,100 - 3,500 30% 50% >3,500 75%

SKG.L Smurfit Kappa Group PLC UNITED KINGDYes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 600,000 35% 45% >600,000 75%

SNAKT.L Snacktime PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

ZZZ.L Snoozebox Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,569 25% 1,569 - 3,138 30% 30% 3,138 - 4,707 50% 75% >4,707 75%

SCTS.L Softcat PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 50,000 50% 60% >50,000 75%

SORA.L Software Radio Technology PLC UNITED KINGDYes - No CR Yes 1% 0 - 516 25% 516 - 1,032 30% 30% 1,032 - 1,548 50% 75% >1,548 75%

SOLG.L SolGold PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,250 25% 1,250 - 3,750 30% 30% 3,750 - 7,500 50% 75% >7,500 75%

SOLI.L Solid State PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 20 40% 40% 20 - 30 50% 75% >30 75%

SOLO.L Solo Oil PLC UNITED KINGDYes - No CR Yes 1% 0 - 48,780 25% 48,780 - 97,560 30% 30% 97,560 - 146,340 50% 75% >146,340 75%

SOM.L Somero Enterprises Inc UNITED KINGDYes - No CR Yes 1% 0 - 87 25% 87 - 174 30% 30% 174 - 261 50% 75% >261 75%

SPHN.L Sopheon PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 40 50% 75% >40 75%

SOPH.L Sophos Group PLC UNITED KINGDYes Yes 1% 0 - 1,750 25% 1,750 - 10,500 40% 40% 10,500 - 35,000 50% 60% >35,000 75%

SOU.L Sound Energy PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,162 25% 2,162 - 4,324 30% 30% 4,324 - 6,486 50% 75% >6,486 75%

SBSC.L Source BioScience PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,500 50% 75% >2,500 75%

XLYP.L Source Consumer Discretionary S&P US SelecUNITED KINGDStockbroking onlyNo 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

XLPP.L Source Consumer Staples S&P US Select Sec UNITED KINGDYes No 0.3% 0 - 6 10% 6 - 42 20% 20% 42 - 60 35% 45% >60 75%

SX5S.L Source EURO STOXX 50 UCITS ETF UNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

S7XP.L Source EURO STOXX Optimised Banks UCITSUNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 90 20% 20% 90 - 195 35% 45% >195 75%

XLEP.L Source Energy S&P US Select Sector UCITS EUNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 21 20% 20% 21 - 38 35% 45% >38 75%

S100.L Source FTSE 100 UCITS ETF UNITED KINGDYes No 0.3% 0 - 40 10% 40 - 200 20% 20% 200 - 400 35% 45% >400 75%

S250.L Source FTSE 250 UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XLFS.L Source Financials S&P US Select Sector UCITSUNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

EFIE.L Source Goldman Sachs Equity Factor Index Eu UNITED KINGDYes No 0.3% 0 - 2 10% 2 - 8 20% 20% 8 - 12 35% 45% >12 75%

EFIS.L Source Goldman Sachs Equity Factor Index WoUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

EFIW.L Source Goldman Sachs Equity Factor Index WoUNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

XLVS.L Source Health Care S&P US Select Sector UCIUNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

XLIP.L Source Industrials S&P US Select Sector UCITSUNITED KINGDYes No 0.3% 0 - 7 10% 7 - 42 20% 20% 42 - 70 35% 45% >70 75%

S400.L Source JPX-Nikkei 400 UCITS ETF UNITED KINGDYes - No CR No 0.7% 0 - 10 10% 10 - 60 15% 15% 60 - 100 25% 30% >100 38%

N400.L Source JPX-Nikkei 400 UCITS ETF UNITED KINGDYes No 0.3% 0 - 700 10% 700 - 5,200 20% 20% 5,200 - 8,200 35% 45% >8,200 75%

N4US.L Source JPX-Nikkei 400 UCITS ETF USD HedgeUNITED KINGDYes - No CR No 0.3% 0 - 7,100 10% 7,100 - 42,700 20% 20% 42,700 - 78,400 35% 45% >78,400 75%






LGCU.L Source LGIM Commodity Composite UCITS ETUNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

MXEU.L Source MSCI Europe UCITS ETF UNITED KINGDYes No 0.3% 0 - 7 10% 7 - 52 20% 20% 52 - 82 35% 45% >82 75%

MXUS.L Source MSCI USA UCITS ETF UNITED KINGDYes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

MXWS.L Source MSCI World UCITS ETF UNITED KINGDYes No 0.3% 0 - 37 10% 37 - 187 20% 20% 187 - 412 35% 45% >412 75%

MXWO.L Source MSCI World UCITS ETF UNITED KINGDYes No 0.3% 0 - 3,500 10% 3,500 - 21,000 20% 20% 21,000 - 38,500 35% 45% >38,500 75%

MPAS.L Source Man GLG Asia Plus UCITS ETF UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

MPFE.L Source Man GLG Europe Plus UCITS ETF UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XLBP.L Source Materials S&P US Select Sector UCITS UNITED KINGDYes No 1% 0 - 7 10% 7 - 42 16% 16% 42 - 70 24% 30% >70 30%

MLPQ.L Source Morningstar US Energy Infrastructure MUNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

MLPS.L Source Morningstar US Energy Infrastructure MUNITED KINGDYes - No CR No 0.3% 0 - 700 10% 700 - 5,200 20% 20% 5,200 - 8,200 35% 45% >8,200 75%

MLPP.L Source Morningstar US Energy Infrastructure MUNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

MLPD.L Source Morningstar US Energy Infrastructure MUNITED KINGDYes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

SBIO.L Source NASDAQ Biotech UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SGLP.L Source Physical Gold P-ETC UNITED KINGDYes No 0.3% 0 - 7 10% 7 - 52 20% 20% 52 - 82 35% 45% >82 75%

SGLD.L Source Physical Gold P-ETC UNITED KINGDYes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

SPAP.L Source Physical Palladium ETC (P-ETC) UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

SPPP.L Source Physical Platinum ETC (P-ETC) UNITED KINGDYes No 0.3% 0 - 12 10% 12 - 72 20% 20% 72 - 96 35% 45% >96 75%

REQR.L Source R Equal-Risk European Equity UCITS EUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

RDXS.L Source RDX UCITS ETF UNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

RTYS.L Source Russell 2000 UCITS ETF UNITED KINGDYes No 0.3% 0 - 3,500 10% 3,500 - 21,000 20% 20% 21,000 - 38,500 35% 45% >38,500 75%

SPXP.L Source S&P 500 UCITS ETF UNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

SPXS.L Source S&P 500 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

X7PS.L Source STOXX Europe 600 Optimised Banks UUNITED KINGDYes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

X7PP.L Source STOXX Europe 600 Optimised Banks UUNITED KINGDYes No 0.3% 0 - 16 10% 16 - 96 20% 20% 96 - 208 35% 45% >208 75%

S600.L Source STOXX Europe 600 UCITS ETF UNITED KINGDYes No 0.3% 0 - 19 10% 19 - 95 20% 20% 95 - 209 35% 45% >209 75%

EZXU.L Source STOXX Eurozone Exporters UCITS ETFUNITED KINGDYes No 1% 0 - 6,700 10% 6,700 - 40,600 16% 16% 40,600 - 74,400 24% 30% >74,400 30%

JPEX.L Source STOXX Japan Exporters UCITS ETF A UNITED KINGDYes No 1% 0 - 8,300 10% 8,300 - 49,800 16% 16% 49,800 - 74,700 24% 30% >74,700 30%

XLKQ.L Source Technology S&P US Select Sector UCITUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

XLUP.L Source Utilities S&P US Select Sector UCITS EUNITED KINGDYes No 1% 0 - 3 10% 3 - 9 16% 16% 9 - 15 24% 30% >15 30%

SAPO.L South African Property Opportunities PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 200 40% 40% 200 - 300 60% 75% >300 75%

SMAS.L Sovereign Mines Of Africa PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

SAL.L Spaceandpeople PLC UNITED KINGDStockbroking onlyYes 1% 0 - 68 25% 68 - 136 30% 30% 136 - 204 50% 75% >204 75%

SPSY.L Spectra Systems Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 40 25% 40 - 80 40% 40% 80 - 240 60% 75% >240 75%

SPSYa.L Spectra Systems Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

SXS.L Spectris PLC UNITED KINGDYes Yes 0.7% 0 - 212 15% 212 - 648 25% 25% 648 - 975 40% 55% >975 75%

SDY.L Speedy Hire PLC UNITED KINGDYes Yes 0.7% 0 - 3,000 20% 3,000 - 9,000 30% 30% 9,000 - 9,690 50% 60% >9,690 75%

SPHR.L Sphere Medical Holding PLC UNITED KINGDStockbroking onlyYes 1% 0 - 385 25% 385 - 770 30% 30% 770 - 1,155 50% 75% >1,155 75%

SPX.L Spirax-Sarco Engineering PLC UNITED KINGDYes Yes 0.3% 0 - 150 15% 150 - 450 25% 25% 450 - 582 40% 55% >582 75%

SPI.L Spire Healthcare Group PLC UNITED KINGDYes Yes 0.7% 0 - 750 15% 750 - 4,500 25% 25% 4,500 - 22,500 40% 55% >22,500 75%

SPT.L Spirent Communications PLC UNITED KINGDYes Yes 0.7% 0 - 2,100 20% 2,100 - 6,258 30% 30% 6,258 - 6,825 50% 60% >6,825 75%

SRO.L Spitfire Oil Limited UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 50 40% 40% 50 - 249,975 75% 75% >249,975 ERROR

ROD.L Sportech PLC UNITED KINGDYes Yes 0.7% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

SPD.L Sports Direct International PLC UNITED KINGDYes Yes 0.3% 0 - 800 10% 800 - 2,400 20% 20% 2,400 - 4,752 30% 50% >4,752 75%

SPRP.L Sprue Aegis PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 99 40% 40% 99 - 240 75% 75% >240 75%

SIV.L St Ives PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,417 60% 75% >1,417 75%

SPPC.L St Peter Port Capital Limited UNITED KINGDStockbroking onlyYes 1% 0 - 181 25% 181 - 362 30% 30% 362 - 543 50% 75% >543 75%

SJP.L St. James's Place PLC UNITED KINGDYes Yes 0.7% 0 - 800 10% 800 - 2,400 20% 20% 2,400 - 4,752 30% 50% >4,752 75%

SMP.L St. Modwen Properties PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,134 60% 75% >1,134 75%

SDMS.L Stadium Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 80 25% 80 - 240 40% 40% 240 - 480 50% 75% >480 75%

STAF.L Staffline Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 450 40% 40% 450 - 568 60% 75% >568 75%

SGC.L Stagecoach Group PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 2,608 50% 60% >2,608 75%

STAN.L Standard Chartered PLC UNITED KINGDYes Yes 0.3% 0 - 800 5% 800 - 3,856 10% 10% 3,856 - 15,400 20% 40% >15,400 75%

SLET.L Standard Life Equity Income Trust PLC UNITED KINGDYes No 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

SLETx.L Standard Life Equity Income Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 40 20% 30% >40 30%

STLI.L Standard Life European Private Equity Trust PL UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

SLI.L Standard Life Investments Property Income Tru UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

SL.L Standard Life PLC UNITED KINGDYes Yes 0.3% 0 - 800 5% 800 - 8,000 10% 10% 8,000 - 20,000 20% 40% >20,000 75%

SLS.L Standard Life UK Smaller Companies Trust PLCUNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 650 60% 75% >650 75%

STARS.L Starcom PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 300 40% 40% 300 - 999,900 75% 75% >999,900 ERROR

SVE.L Starvest PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,667 25% 1,667 - 3,334 30% 30% 3,334 - 5,001 50% 75% >5,001 75%

SWEF.L Starwood European Real Estate Finance LimiteUNITED KINGDYes Yes 0.3% 0 - 2,810 10% 2,810 - 8,430 20% 20% 8,430 - 28,097,190 75% 75% >28,097,190 ERROR

SOG.L StatPro Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 120 25% 120 - 240 30% 30% 240 - 360 50% 75% >360 75%

SBIq.L State Bank of India UNITED KINGDYes - No CR Yes 1% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 40,000 40% 55% >40,000 75%

STELD.L Stellar Diamonds PLC UNITED KINGDStockbroking onlyNo 1% 0 - 114 25% 114 - 228 30% 30% 228 - 342 50% 75% >342 75%

STGS.L Stellar Resources PLC UNITED KINGDStockbroking onlyYes 1% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 30,000 50% 75% >30,000 75%

STCM.L Steppe Cement Limited UNITED KINGDStockbroking onlyYes 1% 0 - 235 25% 235 - 470 30% 30% 470 - 705 50% 75% >705 75%

SEY.L Sterling Energy PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,200 25% 1,200 - 3,504 40% 40% 3,504 - 3,900 60% 75% >3,900 75%

STWT.L Stewart & Wight PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

STLO.L Stilo International PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 800 50% 75% >800 75%

STOB.L Stobart Group Limited UNITED KINGDYes Yes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,330 60% 75% >3,330 75%

STCK.L Stock Spirits Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 250 15% 250 - 1,500 30% 30% 1,500 - 20,000 45% 60% >20,000 75%

AERO.L Strat Aero PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 1,500 40% 40% 1,500 - 3,000 50% 60% >3,000 75%

SEC.L Strategic Equity Capital PLC UNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 800 35% 45% >800 75%

SMLP.L Strategic Minerals PLC UNITED KINGDStockbroking onlyYes 1% 0 - 7,273 25% 7,273 - 14,546 30% 30% 14,546 - 21,819 50% 75% >21,819 75%

STIL.L Stratex International PLC UNITED KINGDYes - No CR Yes 1% 0 - 2,424 25% 2,424 - 4,848 30% 30% 4,848 - 7,272 50% 75% >7,272 75%

STGR.L Stratmin Global Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 250 25% 250 - 1,000 40% 40% 1,000 - 1,250 50% 75% >1,250 75%

STRST.L Stride Gaming PLC UNITED KINGDStockbroking onlyYes 1% 0 - 50 25% 50 - 100 40% 40% 100 - 300 50% 75% >300 75%

STY.L Styles&Wood Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 70 25% 70 - 140 30% 30% 140 - 210 50% 75% >210 75%

SULA.L Sula Iron & Gold PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 3,400 50% 75% >3,400 75%

SMTG.L Summit Germany Limited UNITED KINGDYes - No CR No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 120,000 50% 75% >120,000 75%

SUMM.L Summit Therapeutics PLC UNITED KINGDYes - No CR Yes 1% 0 - 57 25% 57 - 228 30% 30% 228 - 684 50% 60% >684 75%

SRES.L Sunrise Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 4,500 40% 40% 4,500 - 9,000 50% 75% >9,000 75%

SGP.L SuperGroup PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 250 15% 250 - 750 25% 25% 750 - 860 40% 55% >860 75%

SPGH.L Superglass Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 189 25% 189 - 378 30% 30% 378 - 567 50% 75% >567 75%

SCEU.L Surface Transforms PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 299,970 75% 75% >299,970 ERROR

SUNU.L Surgical Innovations Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,951 25% 1,951 - 3,902 30% 30% 3,902 - 5,853 50% 75% >5,853 75%

SNGSyq.L Surgutneftegas UNITED KINGDYes - No CR Yes 1% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

SUH.L Sutton Harbour Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 385 25% 385 - 770 30% 30% 770 - 1,155 50% 75% >1,155 75%

SWL.L Swallowfield PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 6 40% 40% 6 - 12 50% 75% >12 75%

CSWG.L Sweett Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 187 25% 187 - 374 30% 30% 374 - 561 50% 75% >561 75%

SYQS.L SyQic PLC UNITED KINGDStockbroking onlyNo 1% 0 - 25 25% 25 - 75 50% 50% 75 - 125 75% 75% >125 75%

SLPL.L Sylvania Platinum Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,455 25% 1,455 - 2,910 40% 40% 2,910 - 3,637 75% 75% >3,637 75%

SYMU.L Symphony Environmental Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,633 25% 1,633 - 3,266 30% 30% 3,266 - 4,899 50% 75% >4,899 75%

SIHL.L Symphony International Holdings Limited UNITED KINGDYes Yes 0.7% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 162,500 60% 75% >162,500 75%

SYNG.L Synairgen UNITED KINGDStockbroking onlyNo 1% 0 - 196 25% 196 - 392 30% 30% 392 - 588 50% 75% >588 75%

SNXS.L Synectics PLC UNITED KINGDYes - No CR Yes 1% 0 - 18 25% 18 - 36 30% 30% 36 - 54 50% 75% >54 75%

SNTY.L Synety Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 100 30% 30% 100 - 150 50% 75% >150 75%

SYNTS.L Synthomer PLC UNITED KINGDYes Yes 0.7% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,408 60% 75% >1,408 75%

CTO.L T Clarke PLC UNITED KINGDYes Yes 1% 0 - 137 25% 137 - 274 40% 40% 274 - 349 60% 75% >349 75%

BMT.L T.F. & J.H. Braime (Holdings) PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 3 40% 40% 3 - 9,999 75% 75% >9,999 ERROR

BMTt.L T.F. & J.H. Braime (Holdings) PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 6 40% 40% 6 - 19,998 75% 75% >19,998 ERROR

TCSq.L TCS Group Holding PLC UNITED KINGDYes - No CR No 1% 0 - 14,500 10% 14,500 - 72,500 20% 20% 72,500 - 899,000 35% 45% >899,000 75%

TERNT.L TERN PLC UNITED KINGDStockbroking onlyYes 1% 0 - 100 25% 100 - 500 40% 40% 500 - 3,300 50% 75% >3,300 75%

TLAT.L TLA Worldwide PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 150 50% 75% >150 75%

TMTI.L TMT Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR

TTAT.L TOTAL SA UNITED KINGDNo No 0.3% 0 - 500 5% 500 - 3,000 8% 8% 3,000 - 100,000 10% 15% >100,000 15%

TPG.L TP Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 3,200 30% 30% 3,200 - 5,000 50% 75% >5,000 75%

TRG.L TR European Growth Trust PLC UNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

TRY.L TR Property Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 1,100 20% 1,100 - 3,245 30% 30% 3,245 - 3,575 50% 60% >3,575 75%

TTG.L TT Electronics PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 2,029 60% 75% >2,029 75%

TUIT.L TUI AG UNITED KINGDYes Yes 0.7% 0 - 100 10% 100 - 600 20% 20% 600 - 1,000 35% 45% >1,000 75%

TAIH.L Taihua PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,667 25% 2,667 - 5,334 30% 30% 5,334 - 8,001 50% 75% >8,001 75%

TPF.L Taliesin Property Fund Limited UNITED KINGDYes - No CR No 1% 0 - 1 25% 1 - 4 40% 40% 4 - 10 50% 75% >10 75%

TALK.L TalkTalk Telecom Group PLC UNITED KINGDYes Yes 0.7% 0 - 700 10% 700 - 4,249 20% 20% 4,249 - 8,050 35% 45% >8,050 75%

TND.L Tandem Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

TAN.L Tanfield Group PLC UNITED KINGDStockbroking onlyYes 1% 0 - 650 25% 650 - 1,300 30% 30% 1,300 - 1,950 60% 75% >1,950 75%

TATNG.L Tangent Communications PLC UNITED KINGDYes - No CR No 1% 0 - 1,053 25% 1,053 - 2,106 30% 30% 2,106 - 3,159 50% 75% >3,159 75%

TAP.L Taptica International Limited UNITED KINGDYes - No CR Yes 1% 0 - 15 25% 15 - 45 40% 40% 45 - 60 50% 75% >60 75%

THRLT.L Target Healthcare REIT Limited UNITED KINGDYes - No CR Yes 1% 0 - 20 25% 20 - 100 40% 40% 100 - 1,000 50% 75% >1,000 75%

TRS.L Tarsus Group PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

TAST.L Tasty PLC UNITED KINGDYes - No CR Yes 1% 0 - 17 25% 17 - 68 40% 40% 68 - 85 50% 75% >85 75%

TISCq.L Tata Steel Limited UNITED KINGDYes - No CR Yes 1% 0 - 2,800 25% 2,800 - 5,600 40% 40% 5,600 - 56,000 60% 75% >56,000 75%

TATE.L Tate & Lyle PLC UNITED KINGDYes Yes 0.3% 0 - 759 10% 759 - 3,795 20% 20% 3,795 - 6,140 35% 45% >6,140 75%

TAU.L Tau Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 99,990,000 75% 75% >99,990,000 ERROR

TAVI.L Tavistock Investments PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 900 50% 75% >900 75%

TW.L Taylor Wimpey PLC UNITED KINGDYes Yes 0.7% 0 - 4,108 5% 4,108 - 20,540 10% 10% 20,540 - 56,485 18% 22% >56,485 38%

TEA.L Teathers Financial PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 3,000 50% 75% >3,000 75%

TECH.L TechFinancials Inc UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

TED.L Ted Baker PLC UNITED KINGDYes Yes 0.3% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

TJIu.L Tejoori Limited UNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 9,000 40% 40% 9,000 - 29,997,000 75% 75% >29,997,000 ERROR






TEKT.L Tekcapital PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

TCY.L Telecity Group PLC UNITED KINGDYes Yes 0.7% 0 - 600 10% 600 - 3,498 20% 20% 3,498 - 4,320 35% 45% >4,320 75%

TEP.L Telecom Plus PLC UNITED KINGDYes Yes 0.7% 0 - 100 20% 100 - 300 30% 30% 300 - 480 50% 60% >480 75%

TDET.L Telefonica SA UNITED KINGDYes - No CR No 1% 0 - 2,000 5% 2,000 - 10,000 8% 8% 10,000 - 300,000 10% 15% >300,000 15%

TELF.L Telford Homes PLC UNITED KINGDYes Yes 1% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

TELT.L Telit Communications PLC UNITED KINGDYes Yes 1% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 2,275 60% 75% >2,275 75%

TMPL.L Temple Bar Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 354 60% 75% >354 75%

TEM.L Templeton Emerging Markets Investment Trust UNITED KINGDYes Yes 0.7% 0 - 900 15% 900 - 2,754 25% 25% 2,754 - 4,005 40% 55% >4,005 75%

TAL.L Ten Alps PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 500 40% 40% 500 - 6,000 50% 75% >6,000 75%

TENT.L Tengri Resources UNITED KINGDStockbroking onlyYes 1% 0 - 235 25% 235 - 470 30% 30% 470 - 705 50% 75% >705 75%

TCA.L Terra Capital PLC UNITED KINGDStockbroking onlyNo 1% 0 - 21,000 25% 21,000 - 42,000 30% 30% 42,000 - 63,000 50% 75% >63,000 75%

TCFD.L Terra Catalyst Fund UNITED KINGDStockbroking onlyYes 1% 0 - 138 25% 138 - 276 30% 30% 276 - 414 50% 75% >414 75%

TYM.L Tertiary Minerals PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,026 25% 1,026 - 2,052 30% 30% 2,052 - 3,078 50% 75% >3,078 75%

TSCO.L Tes Company PLC UNITED KINGDYes Yes 0.3% 0 - 1,600 5% 1,600 - 15,008 10% 10% 15,008 - 60,800 20% 40% >60,800 75%

TPL.L Tethys Petroleum Limited UNITED KINGDYes - No CR Yes 1% 0 - 800 25% 800 - 2,400 40% 40% 2,400 - 2,600 60% 75% >2,600 75%

TXH.L Tex Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

THAL.L Thalassa Holdings Limited UNITED KINGDYes - No CR Yes 1% 0 - 35 25% 35 - 70 30% 30% 70 - 105 50% 75% >105 75%

SIXH.L The 600 Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 580 25% 580 - 1,160 30% 30% 1,160 - 1,740 50% 75% >1,740 75%

ALUG.L The Alumasc Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 75 25% 75 - 150 30% 30% 150 - 225 50% 75% >225 75%

BGFD.L The Baillie Gifford Japan Trust PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

BNKR.L The Bankers Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

BKGH.L The Berkeley Group Holdings PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 200 5% 200 - 800 10% 10% 800 - 2,400 20% 40% >2,400 38%

BIOGW.L The Biotech Growth Trust PLC UNITED KINGDYes Yes 0.7% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,274 75% 75% >1,274 75%

BKSA.L The Black Sea Property Fund Limited UNITED KINGDStockbroking onlyNo 1% 0 - 10,000 25% 10,000 - 20,000 30% 30% 20,000 - 30,000 50% 75% >30,000 75%

BLND.L The British Land Company PLC UNITED KINGDYes Yes 0.3% 0 - 1,500 5% 1,500 - 4,500 10% 10% 4,500 - 15,000 20% 40% >15,000 75%

BUT.L The Brunner Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

CTY.L The City of London Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 600 20% 600 - 1,800 30% 30% 1,800 - 1,932 50% 60% >1,932 75%

DIVI.L The Diverse Income Trust PLC UNITED KINGDYes Yes 1% 0 - 133 25% 133 - 665 40% 40% 665 - 3,990 60% 75% >3,990 75%

EDIN.L The Edinburgh Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 500 20% 500 - 1,500 30% 30% 1,500 - 1,625 50% 60% >1,625 75%

ET.L The Establishment Investment Trust PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 30 16% 16% 30 - 49,995 30% 30% >49,995 ERROR

EUTP.L The European Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

FULH.L The Fulham Shore PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 75% >500 75%

GOG.L The Go-Ahead Group PLC UNITED KINGDYes Yes 0.7% 0 - 100 20% 100 - 300 30% 30% 300 - 345 50% 60% >345 75%

BKIR.L The Governor and Company of the Bank of IrelaUNITED KINGDYes Yes 0.3% 0 - 1,800,900 10% 1,800,900 - 9,004,500 20% 20% 9,004,500 - 36,018,000 35% 45% >36,018,000 75%

GYM.L The Gym Group PLC UNITED KINGDYes Yes 1% 0 - 370 25% 370 - 2,220 40% 40% 2,220 - 4,440 50% 60% >4,440 75%

HVT.L The Heavitree Brewery PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 3 40% 40% 3 - 9,999 75% 75% >9,999 ERROR

HVTa.L The Heavitree Brewery PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2 25% 2 - 6 40% 40% 6 - 19,998 75% 75% >19,998 ERROR

HSL.L The Henderson Smaller Companies InvestmentUNITED KINGDYes Yes 0.3% 0 - 350 20% 350 - 1,099 30% 30% 1,099 - 1,274 75% 75% >1,274 75%

SIPP.L The Hotel Corporation PLC UNITED KINGDStockbroking onlyNo 1% 0 - 440 25% 440 - 1,320 40% 40% 1,320 - 4,399,560 75% 75% >4,399,560 ERROR

IGVI.L The Income & Growth VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 30 16% 16% 30 - 99,990 30% 30% >99,990 ERROR

IIT.L The Independent Investment Trust PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 10% 5 - 30 16% 16% 30 - 60 20% 30% >60 30%

LWDB.L The Law Debenture Corporation PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

LSR.L The Local Shopping REIT PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 600 40% 40% 600 - 680 60% 75% >680 75%

MRCM.L The Mercantile Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 525 75% 75% >525 75%

MRCH.L The Merchants Trust PLC UNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 600 40% 40% 600 - 700 75% 75% >700 75%

TMMG.L The Mission Marketing Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 292 25% 292 - 584 30% 30% 584 - 876 50% 75% >876 75%

MNKS.L The Monks Investment Trust PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,274 75% 75% >1,274 75%

NAIT.L The North American Income Trust PLC UNITED KINGDYes Yes 0.3% 0 - 50 25% 50 - 150 40% 40% 150 - 160 60% 75% >160 75%

OTM.L The Ottoman Fund Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

PMG.L The Parkmead Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

TPOP.L The People's Operator PLC UNITED KINGDYes - No CR No 1% 0 - 60 25% 60 - 360 40% 40% 360 - 1,200 50% 60% >1,200 75%

PJF.L The Prospect Japan Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 3,000 10% 3,000 - 9,000 16% 16% 9,000 - 29,997,000 30% 30% >29,997,000 ERROR

RNK.L The Rank Group PLC UNITED KINGDYes Yes 0.3% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,400 75% 75% >1,400 75%

TRIG.L The Renewables Infrastructure Group Limited UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

RBS.L The Royal Bank of Scotland Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,400 5% 1,400 - 14,350 10% 10% 14,350 - 54,600 20% 40% >54,600 75%

SCAM.L The Scottish American Investment Company PLUNITED KINGDYes Yes 0.3% 0 - 150 25% 150 - 450 40% 40% 450 - 495 60% 75% >495 75%

SCIN.L The Scottish Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 352 60% 75% >352 75%

SOST.L The Scottish Oriental Smaller Companies TrustUNITED KINGDYes Yes 0.7% 0 - 90 25% 90 - 250 40% 40% 250 - 292 60% 75% >292 75%

SGI.L The Stanley Gibbons Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 583 25% 583 - 1,166 30% 30% 1,166 - 1,749 50% 75% >1,749 75%

VTC.L The Vitec Group PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 280 60% 75% >280 75%

WEIR.L The Weir Group PLC UNITED KINGDYes Yes 0.3% 0 - 450 10% 450 - 1,399 20% 20% 1,399 - 3,249 30% 50% >3,249 75%

WTR.L The World Trust Fund UNITED KINGDYes Yes 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

TPOGu.L Third Point Offshore Investors Limited UNITED KINGDYes No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 49,995,000 75% 75% >49,995,000 ERROR

TPOG.L Third Point Offshore Investors Limited UNITED KINGDYes - No CR No 1% 0 - 1 25% 1 - 5 40% 40% 5 - 10 50% 75% >10 75%

TCG.L Thomas Cook Group PLC UNITED KINGDYes Yes 1% 0 - 2,749 10% 2,749 - 13,745 20% 20% 13,745 - 39,173 35% 45% >39,173 75%

THR.L Thor Mining PLC UNITED KINGDStockbroking onlyNo 1% 0 - 37,037 25% 37,037 - 74,074 30% 30% 74,074 - 111,111 50% 75% >111,111 75%

UKT.L Threadneedle UK Select Trust Limited UNITED KINGDYes - No CR No 0.3% 0 - 7 10% 7 - 15 16% 16% 15 - 22 20% 30% >22 30%

TIRU.L Tiger Resource Finance PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

TBGR.L Tiso Blackstar Group SE UNITED KINGDYes - No CR Yes 1% 0 - 153 25% 153 - 306 30% 30% 306 - 459 50% 75% >459 75%

TRX.L Tissue Regenix Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 130 25% 130 - 780 30% 30% 780 - 2,990 50% 75% >2,990 75%

TITN.L Titon Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

TILST.L Tiziana Life Sciences PLC UNITED KINGDYes - No CR No 1% 0 - 17 25% 17 - 51 40% 40% 51 - 169,966 75% 75% >169,966 75%

TLOU.L Tlou Energy Limited UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

TOME.L TomCo Energy PLC UNITED KINGDStockbroking onlyYes 1% 0 - 7,018 25% 7,018 - 14,036 40% 40% 14,036 - 17,545 75% 75% >17,545 75%

TOOP.L Toople PLC UNITED KINGDStockbroking onlyNo 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

TPT.L Topps Tiles PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 20% 1,000 - 3,000 30% 30% 3,000 - 3,740 50% 60% >3,740 75%

TORO.L Toro Limited UNITED KINGDYes - No CR No 0.3% 0 - 10,000 10% 10,000 - 20,000 16% 16% 20,000 - 99,990,000 30% 30% >99,990,000 ERROR

TRK.L Torotrak PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 581 25% 581 - 1,162 40% 40% 1,162 - 1,452 75% 75% >1,452 75%

T7O.L Total Produce PLC UNITED KINGDStockbroking onlyYes 1% 0 - 130 25% 130 - 260 30% 30% 260 - 390 50% 75% >390 75%

TLY.L Totally PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 50% 75% >7,000 75%

TMZ.L Toumaz Limited UNITED KINGDYes - No CR Yes 1% 0 - 2,759 25% 2,759 - 5,518 30% 30% 5,518 - 8,277 50% 75% >8,277 75%

TOWR.L Tower Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 10 25% 10 - 60 30% 30% 60 - 300 50% 75% >300 75%

TOWNT.L Town Centre Securities PLC UNITED KINGDYes Yes 0.7% 0 - 39 25% 39 - 78 40% 40% 78 - 96 60% 75% >96 75%

TRCS.L Tracsis PLC UNITED KINGDYes - No CR Yes 1% 0 - 41 25% 41 - 82 30% 30% 82 - 123 50% 75% >123 75%

TREM.L Trading Emissions PLC UNITED KINGDStockbroking onlyYes 0.7% 0 - 650 25% 650 - 1,300 40% 40% 1,300 - 1,625 75% 75% >1,625 75%

TRAF.L Trafalgar New Homes PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

TKM8.L Trakm8 Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 210 40% 40% 210 - 299,970 75% 75% >299,970 ERROR

TSG.L Trans-Siberian Gold PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

TRT.L Transense Technologies PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,039 25% 1,039 - 2,078 30% 30% 2,078 - 3,117 50% 75% >3,117 75%

TPK.L Travis Perkins PLC UNITED KINGDYes Yes 0.3% 0 - 500 10% 500 - 1,500 20% 20% 1,500 - 3,250 30% 50% >3,250 75%

TET.L Treatt PLC UNITED KINGDYes - No CR Yes 1% 0 - 40 25% 40 - 200 40% 40% 200 - 400 50% 75% >400 75%

TSTRE.L Tri-Star Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 52,632 25% 52,632 - 105,264 30% 30% 105,264 - 157,896 50% 75% >157,896 75%

TRD.L Triad Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 100 40% 40% 100 - 499,950 75% 75% >499,950 ERROR

TRBG.L Tribal Group PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 975 60% 75% >975 75%

TRICR.L Tricor PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 75% >30,000 75%

TCN.L Tricorn Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 80 50% 75% >80 75%

TRFT.L Trifast PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,600 60% 75% >1,600 75%

TRC.L Trinity Capital PLC UNITED KINGDStockbroking onlyYes 1% 0 - 1,290 25% 1,290 - 2,580 30% 30% 2,580 - 3,870 50% 75% >3,870 75%

TRIN.L Trinity Exploration & Production PLC UNITED KINGDYes Yes 0.7% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

TNI.L Trinity Mirror PLC UNITED KINGDYes Yes 1% 0 - 50 20% 50 - 450 30% 30% 450 - 600 50% 60% >600 75%

TPV1.L Triple Point Income VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

TSTL.L Tristel PLC UNITED KINGDYes - No CR Yes 1% 0 - 229 25% 229 - 458 30% 30% 458 - 687 50% 75% >687 75%

BBOX.L Tritax Big Box REIT PLC UNITED KINGDYes Yes 1% 0 - 981 25% 981 - 2,943 40% 40% 2,943 - 4,905 50% 75% >4,905 75%

TIGT.L Troy Income & Growth Trust PLC UNITED KINGDYes Yes 0.7% 0 - 700 25% 700 - 2,100 40% 40% 2,100 - 2,275 60% 75% >2,275 75%

TLPR.L Tullett Prebon PLC UNITED KINGDYes Yes 0.7% 0 - 350 25% 350 - 1,099 40% 40% 1,099 - 1,225 60% 75% >1,225 75%

TLW.L Tullow Oil PLC UNITED KINGDYes Yes 0.3% 0 - 1,300 5% 1,300 - 6,461 10% 10% 6,461 - 25,025 20% 40% >25,025 75%

TUNG.L Tungsten Corporation PLC UNITED KINGDYes Yes 1% 0 - 250 25% 250 - 1,500 40% 40% 1,500 - 1,750 60% 75% >1,750 75%

TBZA.L Turbo Power Systems Inc UNITED KINGDStockbroking onlyNo 1% 0 - 21,053 25% 21,053 - 42,106 30% 30% 42,106 - 63,159 50% 75% >63,159 75%

TFIF.L TwentyFour Income Fund Limited UNITED KINGDYes Yes 0.7% 0 - 1,565 10% 1,565 - 4,695 20% 20% 4,695 - 15,648,435 75% 75% >15,648,435 ERROR

SMIF.L TwentyFour Select Monthly Income Fund LimiteUNITED KINGDYes Yes 0.3% 0 - 80 10% 80 - 320 20% 20% 320 - 799,920 75% 75% >799,920 ERROR

TYMN.L Tyman PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 600 20% 600 - 1,800 30% 30% 1,800 - 2,250 50% 60% >2,250 75%

TYR.L TyraTech Inc UNITED KINGDNo No 1% 0 - 400 25% 400 - 800 30% 30% 800 - 1,200 50% 75% >1,200 75%

TYRx.L TyraTech Inc UNITED KINGDStockbroking onlyNo 1% 0 - 400 25% 400 - 800 30% 30% 800 - 1,200 50% 75% >1,200 75%

UAI.L U and I Group PLC UNITED KINGDYes Yes 0.7% 0 - 150 25% 150 - 450 40% 40% 450 - 501 60% 75% >501 75%

UBM.L UBM PLC UNITED KINGDYes Yes 0.3% 0 - 1,294 15% 1,294 - 3,959 25% 25% 3,959 - 6,314 40% 55% >6,314 75%

UC75.L UBS (Irl) ETF plc - DJ Global Select Dividend UCUNITED KINGDYes No 0.3% 0 - 150 10% 150 - 1,050 20% 20% 1,050 - 1,500 35% 45% >1,500 75%

UC99.L UBS (Irl) ETF plc - Factor MSCI USA Quality UCUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

UC42.L UBS (Irl) ETF plc - MSCI Brazil UCITS ETF (USUNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 1,050 40% 40% 1,050 - 1,500 60% 75% >1,500 75%

UC07.L UBS (Irl) ETF plc - MSCI USA Value UCITS ETFUNITED KINGDYes No 0.3% 0 - 37 10% 37 - 186 20% 20% 186 - 411 35% 45% >411 75%

UC74.L UBS (Irl) ETF plc - MSCI USA hedged to GBP UUNITED KINGDYes No 0.3% 0 - 70 10% 70 - 420 20% 20% 420 - 770 35% 45% >770 75%

UKSR.L UBS (Irl) ETF plc - MSCI United Kingdom IMI SoUNITED KINGDYes No 0.3% 0 - 80 10% 80 - 480 20% 20% 480 - 720 35% 45% >720 75%

UC51.L UBS (Irl) ETF plc - Solactive Global Oil Equities UNITED KINGDYes - No CR No 1% 0 - 80 10% 80 - 480 16% 16% 480 - 720 24% 30% >720 30%

UC53.L UBS (Irl) ETF plc - Solactive Global Pure Gold MUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

UB01.L UBS ETF - EURO STOXX 50 UCITS ETF (EURUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

UB03.L UBS ETF - FTSE 100 UCITS ETF (GBP) A-dis UNITED KINGDYes No 0.3% 0 - 18 10% 18 - 94 20% 20% 94 - 207 35% 45% >207 75%

UB02.L UBS ETF - MSCI Japan UCITS ETF (JPY) A-disUNITED KINGDYes - No CR No 0.3% 0 - 54 10% 54 - 324 20% 20% 324 - 486 35% 45% >486 75%

UB36.L UBS ETF - MSCI Turkey UCITS ETF (EUR) A-dUNITED KINGDYes No 1% 0 - 38 10% 38 - 190 16% 16% 190 - 381 24% 30% >381 30%

UC15.L UBS ETFs plc - CMCI Composite SF UCITS ETUNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

UC14.L UBS ETFs plc - CMCI Composite SF UCITS ETUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

UC24.L UBS ETFs plc - MSCI Canada SF UCITS ETF (UNITED KINGDYes No 0.3% 0 - 40 10% 40 - 202 20% 20% 202 - 405 35% 45% >405 75%






UC30.L UBS ETFs plc - MSCI EMU SF UCITS ETF (EUUNITED KINGDYes No 0.3% 0 - 14 10% 14 - 84 20% 20% 84 - 98 35% 45% >98 75%

UC32.L UBS ETFs plc - MSCI Japan SF UCITS ETF (JPUNITED KINGDYes No 0.3% 0 - 16 10% 16 - 96 20% 20% 96 - 208 35% 45% >208 75%

UC38.L UBS ETFs plc - MSCI USA SF UCITS ETF (US UNITED KINGDYes No 0.3% 0 - 25 10% 25 - 200 20% 20% 200 - 300 35% 45% >300 75%

UCP.L UCP PLC UNITED KINGDYes Yes 0.7% 0 - 245 25% 245 - 490 40% 40% 490 - 612 75% 75% >612 75%

UDG.L UDG Healthcare PLC UNITED KINGDYes Yes 0.7% 0 - 400 20% 400 - 1,200 30% 30% 1,200 - 1,996 50% 60% >1,996 75%

UKCM.L UK Commercial Property Trust Limited UNITED KINGDYes Yes 0.7% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 6,500 60% 75% >6,500 75%

UKM.L UK Mail Group PLC UNITED KINGDYes Yes 0.7% 0 - 70 25% 70 - 200 40% 40% 200 - 227 60% 75% >227 75%

UKML.L UK Mortgages Limited UNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 999,900 75% 75% >999,900 ERROR

UKOGa.L UK Oil & Gas Investments PLC UNITED KINGDYes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 60,000 50% 60% >60,000 75%

ULS.L ULS Technology PLC UNITED KINGDNo No 1% 0 - 200 25% 200 - 400 40% 40% 400 - 600 50% 60% >600 75%

UEP.L UMC Energy Corporation UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

URU.L URU Metals Limited UNITED KINGDStockbroking onlyNo 1% 0 - 8,333 25% 8,333 - 16,666 30% 30% 16,666 - 24,999 50% 75% >24,999 75%

UBIS.L Ubisense Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 36 25% 36 - 72 30% 30% 72 - 108 50% 75% >108 75%

UKR.L Ukrproduct Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

USGU.L Ultimate Sports Group PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

ULE.L Ultra Electronics Holdings PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 150 20% 150 - 450 30% 30% 450 - 525 75% 75% >525 75%

UVEL.L UniVision Engineering Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

UAVP.L Unicorn AIM VCT PLC UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 45 30% 40% 45 - 149,985 75% 75% >149,985 ERROR

ULVR.L Unilever PLC UNITED KINGDYes Yes 0.3% 0 - 400 5% 400 - 2,104 10% 10% 2,104 - 8,400 20% 40% >8,400 75%

UJO.L Union Jack Oil PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 130,000 50% 75% >130,000 75%

UTG.L Unite Group PLC UNITED KINGDYes Yes 0.7% 0 - 250 20% 250 - 750 30% 30% 750 - 1,155 50% 60% >1,155 75%

CHOC.L United Cacao Limited SEZC UNITED KINGDStockbroking onlyNo 1% 0 - 15 25% 15 - 30 40% 40% 30 - 75 60% 75% >75 75%

UCG.L United Carpets Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

UU.L United Utilities Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,300 5% 1,300 - 4,004 10% 10% 4,004 - 9,997 20% 40% >9,997 75%

UNG.L Universe Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 1,429 25% 1,429 - 2,858 30% 30% 2,858 - 4,287 50% 75% >4,287 75%

UPL.L Upland Resources Limited UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 50% 60% >7,000 75%

UEN.L Urals Energy Public Company Limited UNITED KINGDStockbroking onlyYes 1% 0 - 1,404 25% 1,404 - 2,808 30% 30% 2,808 - 4,212 50% 75% >4,212 75%

UZS.L Uranium Resources PLC UNITED KINGDStockbroking onlyNo 1% 0 - 12,500 25% 12,500 - 25,000 30% 30% 25,000 - 37,500 50% 75% >37,500 75%

UANC.L Urban&Civic PLC UNITED KINGDYes - No CR Yes 1% 0 - 42 25% 42 - 84 30% 30% 84 - 126 50% 75% >126 75%

UEM.L Utilico Emerging Markets Limited UNITED KINGDYes Yes 0.3% 0 - 400 25% 400 - 1,200 40% 40% 1,200 - 1,300 60% 75% >1,300 75%

UEMS.L Utilico Emerging Markets Limited UNITED KINGDYes No 0.3% 0 - 20 25% 20 - 120 40% 40% 120 - 200 50% 60% >200 75%

UTL.L Utilico Investments Limited UNITED KINGDYes - No CR No 1% 0 - 94 25% 94 - 188 30% 30% 188 - 282 50% 75% >282 75%

UTW.L Utilitywise PLC UNITED KINGDYes Yes 1% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

VSLV.L VPC Specialty Lending Investments PLC UNITED KINGDYes Yes 1% 0 - 320 25% 320 - 1,920 40% 40% 1,920 - 6,400 50% 60% >6,400 75%

VSLC.L VPC Specialty Lending Investments PLC UNITED KINGDYes Yes 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 260 35% 45% >260 75%

VALX.L ValiRx PLC UNITED KINGDYes - No CR Yes 1% 0 - 500 25% 500 - 1,000 30% 30% 1,000 - 1,500 50% 75% >1,500 75%

VIN.L Value & Income Trust PLC UNITED KINGDYes Yes 0.7% 0 - 80 25% 80 - 250 40% 40% 250 - 290 75% 75% >290 75%

VUKE.L Vanguard FTSE 100 UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 34,000 10% 34,000 - 204,000 20% 20% 204,000 - 340,000 35% 45% >340,000 75%

VMID.L Vanguard FTSE 250 UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

VHYL.L Vanguard FTSE All-World High Dividend Yield UUNITED KINGDYes No 0.3% 0 - 300 10% 300 - 1,800 20% 20% 1,800 - 3,000 35% 45% >3,000 75%

VWRL.L Vanguard FTSE All-World UCITS ETF UNITED KINGDYes No 0.3% 0 - 22,000 10% 22,000 - 132,000 20% 20% 132,000 - 220,000 35% 45% >220,000 75%

VWRD.L Vanguard FTSE All-World UCITS ETF UNITED KINGDYes No 0.3% 0 - 22,000 10% 22,000 - 132,000 20% 20% 132,000 - 220,000 35% 45% >220,000 75%

VDPX.L Vanguard FTSE Developed Asia Pacific ex JapaUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VAPX.L Vanguard FTSE Developed Asia Pacific ex JapaUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VEUR.L Vanguard FTSE Developed Europe UCITS ETFUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 15,000 20% 20% 15,000 - 25,000 35% 45% >25,000 75%

VERX.L Vanguard FTSE Developed Europe ex UK UCITUNITED KINGDStockbroking onlyNo 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VEVE.L Vanguard FTSE Developed World UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

VFEM.L Vanguard FTSE Emerging Markets UCITS ETF UNITED KINGDYes No 0.3% 0 - 27,500 10% 27,500 - 165,000 20% 20% 165,000 - 275,000 35% 45% >275,000 75%

VJPN.L Vanguard FTSE Japan UCITS ETF UNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VDJP.L Vanguard FTSE Japan UCITS ETF UNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VDNR.L Vanguard FTSE North America UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

VLIQ.L Vanguard Global Liquidity Factor UCITS ETF ShUNITED KINGDStockbroking onlyNo 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

VMVL.L Vanguard Global Minimum Volatility UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

VMOM.L Vanguard Global Momentum Factor UCITS ETFUNITED KINGDStockbroking onlyNo 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

VVAL.L Vanguard Global Value Factor UCITS ETF SharUNITED KINGDStockbroking onlyNo 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

VUSD.L Vanguard S&P 500 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 39,000 10% 39,000 - 234,000 20% 20% 234,000 - 390,000 35% 45% >390,000 75%

VUSA.L Vanguard S&P 500 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

VGOV.L Vanguard U.K. Gilt UCITS ETF UNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

VUCP.L Vanguard USD Corporate Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

VAST.L Vast Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 7,273 25% 7,273 - 14,546 30% 30% 14,546 - 21,819 50% 75% >21,819 75%

VEC.L Vectura Group PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,630 60% 75% >3,630 75%

VED.L Vedanta Resources PLC UNITED KINGDYes Yes 0.7% 0 - 536 10% 536 - 2,680 20% 20% 2,680 - 4,550 35% 45% >4,550 75%

VELA.L Vela Technologies PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 30% 30% 6,000 - 40,000 50% 75% >40,000 75%

VLSV.L Velocys PLC UNITED KINGDYes - No CR Yes 1% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

VLOX.L Velox3 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 14,998,500 75% 75% >14,998,500 ERROR

VENN.L Venn Life Sciences Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

VLG.L Venture Life Group PLC UNITED KINGDYes - No CR No 1% 0 - 15 25% 15 - 45 40% 40% 45 - 149,985 75% 75% >149,985 ERROR

VEN2.L Ventus 2 VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 100 40% 40% 100 - 500 60% 60% >500 75%

VEN2c.L Ventus 2 VCT PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 100 40% 40% 100 - 500 60% 60% >500 75%

VEN2d.L Ventus 2 VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

VEN.L Ventus VCT PLC UNITED KINGDYes - No CR No 1% 0 - 10 25% 10 - 100 40% 40% 100 - 500 60% 60% >500 75%

VENd.L Ventus VCT PLC UNITED KINGDYes - No CR No 0.3% 0 - 5 10% 5 - 10 16% 16% 10 - 49,995 30% 30% >49,995 ERROR

VZC.L Verizon Communications Inc UNITED KINGDYes - No CR Yes 0.3% 0 - 28,000 5% 28,000 - 56,000 20% 20% 56,000 - 84,000 30% 40% >84,000 75%

VER.L Vernalis PLC UNITED KINGDYes - No CR Yes 1% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

VRP.L Verona Pharma PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,125 25% 3,125 - 6,250 30% 30% 6,250 - 9,375 50% 75% >9,375 75%

VRS.L Versarien PLC UNITED KINGDYes - No CR Yes 1% 0 - 339 25% 339 - 678 30% 30% 678 - 1,017 50% 75% >1,017 75%

VSN.L Verseon Corporation UNITED KINGDYes - No CR Yes 1% 0 - 25 25% 25 - 150 40% 40% 150 - 300 50% 60% >300 75%

VCBC.L Vertu Capital Limited UNITED KINGDStockbroking onlyNo 1% 0 - 750 25% 750 - 2,250 40% 40% 2,250 - 7,499,250 75% 75% >7,499,250 ERROR

VTU.L Vertu Motors PLC UNITED KINGDYes Yes 1% 0 - 1,200 25% 1,200 - 3,504 40% 40% 3,504 - 3,900 60% 75% >3,900 75%

VSVS.L Vesuvius PLC UNITED KINGDYes - No CR Yes 0.7% 0 - 300 20% 300 - 900 30% 30% 900 - 1,647 50% 60% >1,647 75%

VNET.L Vianet Group PLC UNITED KINGDYes - No CR No 1% 0 - 144 25% 144 - 288 30% 30% 288 - 432 50% 75% >432 75%

VOG.L Victoria Oil & Gas PLC UNITED KINGDYes Yes 1% 0 - 793 25% 793 - 1,373 40% 40% 1,373 - 2,577 60% 75% >2,577 75%

VCP.L Victoria PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 90 40% 40% 90 - 300 50% 75% >300 75%

VCTX.L Victrex PLC UNITED KINGDYes Yes 0.3% 0 - 200 20% 200 - 600 30% 30% 600 - 700 75% 75% >700 75%

VICOq.L Vimetco NV UNITED KINGDNo No 1% 0 - 55,500 25% 55,500 - 111,000 40% 40% 111,000 - 138,700 75% 75% >138,700 75%

VOF.L VinaCapital Vietnam Opportunity Fund Limited UNITED KINGDNo Yes ERROR 0 - ERROR 25% ERROR - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERROR

VNLq.L VinaLand Limited UNITED KINGDNo No 1% 0 - 20,000 10% 20,000 - 120,000 16% 16% 120,000 - 160,000 20% 30% >160,000 30%

VNLZ.L Vinaland ZDP Limited UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 20 40% 40% 20 - 99,990 75% 75% >99,990 ERROR

VIPE.L Vipera PLC UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 150 35% 35% 150 - 3,750 50% 60% >3,750 75%

VM.L Virgin Money Holdings (UK) PLC UNITED KINGDYes Yes 0.3% 0 - 530 10% 530 - 2,120 20% 20% 2,120 - 4,240 45% 50% >4,240 75%

VLK.L Vislink PLC UNITED KINGDYes - No CR Yes 1% 0 - 236 25% 236 - 472 30% 30% 472 - 708 50% 75% >708 75%

VISM.L Vitesse Media PLC UNITED KINGDStockbroking onlyNo 1% 0 - 300 25% 300 - 900 40% 40% 900 - 2,999,700 75% 75% >2,999,700 ERROR

VOD.L Vodafone Group PLC UNITED KINGDYes Yes 0.3% 0 - 5,000 5% 5,000 - 25,000 10% 10% 25,000 - 100,000 20% 40% >100,000 75%

VLX.L Volex PLC UNITED KINGDYes Yes 0.7% 0 - 204 25% 204 - 612 40% 40% 612 - 663 60% 75% >663 75%

VGAS.L Volga Gas PLC UNITED KINGDYes - No CR Yes 1% 0 - 94 25% 94 - 188 40% 40% 188 - 235 75% 75% >235 75%

VTAV.L Volta Finance Limited UNITED KINGDYes - No CR No 0.3% 0 - 500 10% 500 - 1,000 16% 16% 1,000 - 4,999,500 30% 30% >4,999,500 ERROR

FAN.L Volution Group PLC UNITED KINGDYes Yes 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 6,000 50% 60% >6,000 75%

VLE.L Volvere PLC UNITED KINGDStockbroking onlyNo 1% 0 - 3 25% 3 - 9 40% 40% 9 - 29,997 75% 75% >29,997 ERROR

VP.L Vp PLC UNITED KINGDYes Yes 0.7% 0 - 40 25% 40 - 100 40% 40% 100 - 124 60% 75% >124 75%

WRESW.L W Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 12,048 25% 12,048 - 24,096 30% 30% 24,096 - 36,144 50% 75% >36,144 75%

WAND.L WANdis Company PLC UNITED KINGDYes - No CR Yes 1% 0 - 30 25% 30 - 90 30% 30% 90 - 150 50% 75% >150 75%

WHI.L WH Ireland Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 105 25% 105 - 210 30% 30% 210 - 315 50% 75% >315 75%

SMWH.L WH Smith PLC UNITED KINGDYes Yes 0.3% 0 - 450 15% 450 - 1,399 25% 25% 1,399 - 1,575 40% 55% >1,575 75%

WPP.L WPP PLC UNITED KINGDYes Yes 0.3% 0 - 700 5% 700 - 3,682 10% 10% 3,682 - 14,700 20% 40% >14,700 75%

ATKW.L WS Atkins PLC UNITED KINGDYes Yes 0.7% 0 - 200 20% 200 - 600 30% 30% 600 - 700 75% 75% >700 75%

WYG.L WYG PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 250 40% 40% 250 - 400 60% 75% >400 75%

WALG.L Walcom Group Limited UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 4,999,500 75% 75% >4,999,500 ERROR

WCW.L Walker Crips Group PLC UNITED KINGDYes - No CR No 1% 0 - 222 25% 222 - 444 30% 30% 444 - 666 50% 75% >666 75%

WGB.L Walker Greenbank PLC UNITED KINGDYes - No CR Yes 1% 0 - 60 25% 60 - 180 30% 30% 180 - 480 50% 60% >480 75%

WTGW.L Watchstone Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 45 40% 45 - 135 50% 50% 135 - 450 60% 60% >450 75%

WATRI.L Water Intelligence PLC UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

WTM.L Waterman Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 300 40% 40% 300 - 600 50% 60% >600 75%

WJG.L Watkin Jones PLC UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

WETI.L Weatherly International PLC UNITED KINGDYes - No CR Yes 1% 0 - 3,458 25% 3,458 - 6,916 30% 30% 6,916 - 10,374 50% 75% >10,374 75%

WEBH.L Webis Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 2,667 25% 2,667 - 5,334 30% 30% 5,334 - 8,001 50% 75% >8,001 75%

WKOF.L Weiss Korea Opportunity Fund Limited UNITED KINGDYes - No CR No 0.3% 0 - 35 10% 35 - 70 16% 16% 70 - 349,965 20% 30% >349,965 30%

WRLW.L Wentworth Resources Limited UNITED KINGDYes - No CR Yes 1% 0 - 215 25% 215 - 430 30% 30% 430 - 645 50% 75% >645 75%

WAFM.L West African Minerals Corporation UNITED KINGDStockbroking onlyYes 1% 0 - 1,404 25% 1,404 - 2,808 30% 30% 2,808 - 4,212 50% 75% >4,212 75%

WSG.L Westminster Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 450 30% 30% 450 - 750 50% 75% >750 75%

WNRG.L Westmount Energy Limited UNITED KINGDStockbroking onlyNo 1% 0 - 50 25% 50 - 200 40% 40% 200 - 499,950 75% 75% >499,950 ERROR

WTB.L Whitbread PLC UNITED KINGDYes Yes 0.3% 0 - 150 5% 150 - 1,215 10% 10% 1,215 - 2,287 20% 40% >2,287 75%

WMH.L William Hill PLC UNITED KINGDYes Yes 0.3% 0 - 1,500 10% 1,500 - 10,500 20% 20% 10,500 - 21,000 30% 50% >21,000 75%

WIL.L Wilmington PLC UNITED KINGDYes Yes 0.7% 0 - 100 25% 100 - 300 40% 40% 300 - 325 60% 75% >325 75%

WIN.L Wincanton PLC UNITED KINGDYes Yes 0.7% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 1,750 75% 75% >1,750 75%

WPHO.L Windar Photonics PLC UNITED KINGDStockbroking onlyYes 1% 0 - 70 25% 70 - 140 40% 40% 140 - 210 50% 75% >210 75%

WLG.L Wireless Group PLC UNITED KINGDYes Yes 0.7% 0 - 300 25% 300 - 900 40% 40% 900 - 1,014 60% 75% >1,014 75%

DEMP.L WisdomTree Emerging Asia Equity Income UC UNITED KINGDYes No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

WTDEM.L WisdomTree Emerging Markets Equity Income UNITED KINGDYes - No CR No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

WTDGSE.L WisdomTree Emerging Markets SmallCap DividUNITED KINGDYes No 1% 0 - 15 25% 15 - 90 40% 40% 90 - 195 60% 75% >195 75%

WTEEI.L WisdomTree Europe Equity Income UCITS ETFUNITED KINGDYes No 0.3% 0 - 15 10% 15 - 90 20% 20% 90 - 195 35% 45% >195 75%






HEDJ.L WisdomTree Europe Equity UCITS ETF - USD UNITED KINGDYes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

DFE.L WisdomTree Europe SmallCap Dividend UCITSUNITED KINGDYes No 0.3% 0 - 15 10% 15 - 60 20% 20% 60 - 90 35% 45% >90 75%

DXGP.L WisdomTree Germany Equity UCITS ETF - GB UNITED KINGDYes - No CR No 0.3% 0 - 15 10% 15 - 90 20% 20% 90 - 195 35% 45% >195 75%

ISEQ.L WisdomTree ISEQ 20(r) UCITS ETF UNITED KINGDYes No 1% 0 - 8 10% 8 - 48 16% 16% 48 - 80 24% 30% >80 30%

DXJP.L WisdomTree Japan Equity UCITS ETF GBP HeUNITED KINGDYes No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

WUKD.L WisdomTree UK Equity Income UCITS ETF GBUNITED KINGDYes No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

DHS.L WisdomTree US Equity Income UCITS ETF UNITED KINGDYes No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

DESE.L WisdomTree US SmallCap Dividend UCITS ETUNITED KINGDYes No 1% 0 - 15 10% 15 - 90 16% 16% 90 - 195 24% 30% >195 30%

WSBN.L Wishbone Gold PLC UNITED KINGDStockbroking onlyNo 1% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 2,000 50% 75% >2,000 75%

WTAN.L Witan Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

WIPA.L Witan Pacific Investment Trust PLC UNITED KINGDYes Yes 0.3% 0 - 80 25% 80 - 250 40% 40% 250 - 280 60% 75% >280 75%

WIZZ.L Wizz Air Holdings PLC UNITED KINGDYes - No CR Yes 1% 0 - 330 25% 330 - 1,980 40% 40% 1,980 - 6,600 50% 60% >6,600 75%

MRW.L Wm. Morrison Supermarkets PLC UNITED KINGDYes Yes 0.3% 0 - 2,200 5% 2,200 - 19,998 10% 10% 19,998 - 40,150 20% 40% >40,150 75%

WLFE.L Wolf Minerals Limited UNITED KINGDYes - No CR No 1% 0 - 100 25% 100 - 500 40% 40% 500 - 800 50% 75% >800 75%

WOS.L Wolseley PLC UNITED KINGDYes Yes 0.3% 0 - 200 5% 200 - 1,500 10% 10% 1,500 - 3,750 20% 40% >3,750 75%

WPCT.L Woodford Patient Capital Trust PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 1,000 50% 60% >1,000 75%

WKP.L Workspace Group PLC UNITED KINGDYes Yes 0.7% 0 - 250 25% 250 - 750 40% 40% 750 - 875 75% 75% >875 75%

WLDC.L World Careers Network PLC UNITED KINGDStockbroking onlyNo 1% 0 - 5 25% 5 - 15 40% 40% 15 - 49,995 75% 75% >49,995 ERROR

WPG.L Worldpay Group PLC UNITED KINGDYes Yes 0.7% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

WSL.L Worldsec Limited UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

WWH.L Worldwide Healthcare Trust PLC UNITED KINGDYes Yes 0.3% 0 - 150 20% 150 - 450 30% 30% 450 - 487 50% 60% >487 75%

WYWYN.L Wynnstay Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 15 25% 15 - 30 30% 30% 30 - 45 50% 75% >45 75%

WSP.L Wynnstay Properties PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1 25% 1 - 3 40% 40% 3 - 9,999 75% 75% >9,999 ERROR

PJPq.L X5 Retail Group NV UNITED KINGDYes - No CR Yes 1% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

XLM.L XLMedia PLC UNITED KINGDYes - No CR No 1% 0 - 150 25% 150 - 750 40% 40% 750 - 1,200 50% 60% >1,200 75%

XPP.L XP Power Limited UNITED KINGDYes Yes 0.7% 0 - 50 25% 50 - 150 40% 40% 150 - 175 75% 75% >175 75%

XAR.L Xaar PLC UNITED KINGDYes - No CR Yes 0.3% 0 - 200 20% 200 - 600 30% 30% 600 - 898 50% 60% >898 75%

XCH.L Xchanging PLC UNITED KINGDNo Yes 0.7% 0 - 800 25% 800 - 2,400 40% 40% 2,400 - 2,600 60% 75% >2,600 75%

XELX.L Xcite Energy Limited UNITED KINGDYes - No CR Yes 1% 0 - 1,600 25% 1,600 - 4,752 40% 40% 4,752 - 5,200 60% 75% >5,200 75%

XSG.L Xeros Technology Group PLC UNITED KINGDYes - No CR No 1% 0 - 50 25% 50 - 300 40% 40% 300 - 400 50% 60% >400 75%

XPLX.L Xplorer PLC UNITED KINGDStockbroking onlyNo 1% 0 - 30 25% 30 - 210 40% 40% 210 - 510 50% 75% >510 75%

XTR.L Xtract Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 35,714 25% 35,714 - 71,428 30% 30% 71,428 - 107,142 50% 75% >107,142 75%

YOLO.L Yolo Leisure and Technology PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 450 40% 40% 450 - 1,500 50% 75% >1,500 75%

YOU.L YouGov PLC UNITED KINGDYes - No CR Yes 1% 0 - 99 25% 99 - 198 30% 30% 198 - 297 50% 75% >297 75%

YNGa.L Young & Co.'s Brewery PLC UNITED KINGDYes Yes 0.7% 0 - 20 25% 20 - 60 40% 40% 60 - 65 60% 75% >65 75%

YU.L Yu Energy Limited UNITED KINGDStockbroking onlyNo 1% 0 - 7 25% 7 - 37 40% 40% 37 - 60 50% 60% >60 75%

YUJ.L Yujin International Limited UNITED KINGDStockbroking onlyNo 1% 0 - 20 25% 20 - 60 40% 40% 60 - 199,980 75% 75% >199,980 ERROR

ZAMB.L Zambeef Products PLC UNITED KINGDYes - No CR Yes 1% 0 - 301 25% 301 - 602 30% 30% 602 - 903 50% 75% >903 75%

ZIOC.L Zanaga Iron Ore Company Limited UNITED KINGDStockbroking onlyYes 0.7% 0 - 900 25% 900 - 2,754 40% 40% 2,754 - 3,600 75% 75% >3,600 75%

ZEG.L Zegona Communications PLC UNITED KINGDYes - No CR Yes 1% 0 - 60 25% 60 - 180 40% 40% 180 - 360 50% 60% >360 75%

ZBO.L Zibao Metals Recycling Holdings PLC UNITED KINGDStockbroking onlyNo 1% 0 - 200 25% 200 - 600 40% 40% 600 - 1,999,800 75% 75% >1,999,800 ERROR

ZOX.L Zincox Resources PLC UNITED KINGDYes - No CR Yes 1% 0 - 460 25% 460 - 920 30% 30% 920 - 1,380 50% 75% >1,380 75%

ZOLq.L Zoltav Resources Inc UNITED KINGDStockbroking onlyYes 1% 0 - 75 25% 75 - 300 40% 40% 300 - 750 50% 60% >750 75%

ZOO.L Zoo Digital Group PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,250 25% 1,250 - 2,500 30% 30% 2,500 - 3,750 50% 75% >3,750 75%

ZPLAZ.L Zoopla Property Group PLC UNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 5,000 20% 20% 5,000 - 10,000 35% 45% >10,000 75%

ZTF.L Zotefoams PLC UNITED KINGDYes - No CR Yes 1% 0 - 100 25% 100 - 200 30% 30% 200 - 230 50% 75% >230 75%

ZYT.L Zytronic PLC UNITED KINGDYes - No CR Yes 1% 0 - 39 25% 39 - 78 30% 30% 78 - 117 50% 75% >117 75%

ACSO.L accesso Technology Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 80 25% 80 - 160 40% 40% 160 - 200 60% 75% >200 75%

BLUR.L blur Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 150 25% 150 - 300 30% 30% 300 - 450 50% 60% >450 75%

BOOH.L boohoo.com PLC UNITED KINGDYes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%

BPTY.L bwin.party digital entertainment PLC UNITED KINGDYes Yes 0.7% 0 - 4,000 15% 4,000 - 12,000 25% 25% 12,000 - 16,000 40% 55% >16,000 75%

XPLA.L db Physical Platinum ETC UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

XRH0.L db Physical Rhodium ETC UNITED KINGDYes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

XCT9.L db WTI Crude Oil Booster ETC UNITED KINGDYes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 2,000 20% 20% 2,000 - 4,000 35% 45% >4,000 75%

XDGU.L db x-trackers Barclays USD Corporate Bond UCUNITED KINGDYes No 0.3% 0 - 3,600 10% 3,600 - 21,600 20% 20% 21,600 - 39,600 35% 45% >39,600 75%

XDDX.L db x-trackers DAX(r) UCITS ETF (DR) - IncomeUNITED KINGDYes No 0.3% 0 - 50 10% 50 - 150 20% 20% 150 - 300 35% 45% >300 75%

XDEQ.L db x-trackers Equity Quality Factor UCITS ETF UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XDEV.L db x-trackers Equity Value Factor UCITS ETF (DUNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

XD3E.L db x-trackers Euro Stoxx(r) Select Dividend 30 UUNITED KINGDStockbroking onlyNo 0.3% 0 - 300 10% 300 - 1,800 20% 20% 1,800 - 3,000 35% 45% >3,000 75%

XFEW.L db x-trackers FTSE 100 Equal Weight UCITS EUNITED KINGDYes No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

XUKS.L db x-trackers FTSE 100 Short Daily UCITS ETFUNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XDEX.L db x-trackers FTSE All-World ex UK UCITS ETFUNITED KINGDYes No 0.3% 0 - 0 10% 0 - 4 20% 20% 4 - 9 35% 45% >9 75%

XFVT.L db x-trackers FTSE Vietnam UCITS ETF 1C UNITED KINGDYes - No CR Yes 0.7% 0 - 20 15% 20 - 100 25% 25% 100 - 200 40% 55% >200 75%

ASHR.L db x-trackers Harvest CSI300 Index UCITS ETFUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

RQFI.L db x-trackers Harvest CSI300 Index UCITS ETFUNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XUGS.L db x-trackers II UK GILTS Short Daily UCITS ETUNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XDNS.L db x-trackers JPX-Nikkei 400 UCITS ETF (DR) UNITED KINGDYes - No CR No 0.7% 0 - 44 10% 44 - 311 15% 15% 311 - 400 25% 30% >400 38%

XDNG.L db x-trackers JPX-Nikkei 400 UCITS ETF (DR) 2UNITED KINGDYes - No CR No 0.3% 0 - 47 10% 47 - 283 20% 20% 283 - 519 35% 45% >519 75%

XLDX.L db x-trackers LevDAX(r) Daily UCITS ETF 1C UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XMAW.L db x-trackers MSCI AC World Index UCITS ETFUNITED KINGDYes No 0.3% 0 - 37 10% 37 - 188 20% 20% 188 - 414 35% 45% >414 75%

XMAS.L db x-trackers MSCI EM Asia Index UCITS ETF 1UNITED KINGDYes Yes 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

XESG.L db x-trackers MSCI EM Short Daily Index UCITSUNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XEUM.L db x-trackers MSCI Europe Mid Cap Index UCITUNITED KINGDYes No 0.3% 0 - 30 10% 30 - 90 20% 20% 90 - 180 35% 45% >180 75%

XXSC.L db x-trackers MSCI Europe Small Cap Index UCUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

XCX5.L db x-trackers MSCI India Index UCITS ETF 1C UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

XDN0.L db x-trackers MSCI Nordic Index UCITS ETF (D UNITED KINGDYes No 0.3% 0 - 10 10% 10 - 20 20% 20% 20 - 40 35% 45% >40 75%

XDTK.L db x-trackers MSCI Turkey Index UCITS ETF (DUNITED KINGDYes - No CR No 1% 0 - 20 10% 20 - 100 16% 16% 100 - 200 24% 30% >200 30%

XD9U.L db x-trackers MSCI USA Index UCITS ETF (DR)UNITED KINGDYes No 0.3% 0 - 1,300 10% 1,300 - 8,300 20% 20% 8,300 - 9,700 35% 45% >9,700 75%

XDUS.L db x-trackers MSCI USA Index UCITS ETF (DR)UNITED KINGDYes No 0.3% 0 - 13 10% 13 - 83 20% 20% 83 - 97 35% 45% >97 75%

XDWD.L db x-trackers MSCI World Index UCITS ETF (DRUNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

XDGM.L db x-trackers Mittelstand & MidCap Germany UCUNITED KINGDYes No 0.3% 0 - 29 10% 29 - 206 20% 20% 206 - 295 35% 45% >295 75%

XNIF.L db x-trackers Nifty 50 UCITS ETF 1C UNITED KINGDYes Yes 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XRSG.L db x-trackers Russell 2000 UCITS ETF (DR) 1CUNITED KINGDYes No 0.3% 0 - 3 10% 3 - 18 20% 20% 18 - 27 35% 45% >27 75%

XRSU.L db x-trackers Russell 2000 UCITS ETF (DR) 1CUNITED KINGDYes No 0.3% 0 - 300 10% 300 - 1,900 20% 20% 1,900 - 2,900 35% 45% >2,900 75%

XRSS.L db x-trackers Russell Midcap UCITS ETF (DR) UNITED KINGDYes No 0.3% 0 - 29 10% 29 - 209 20% 20% 209 - 298 35% 45% >298 75%

XRMU.L db x-trackers Russell Midcap UCITS ETF (DR) UNITED KINGDYes No 0.3% 0 - 2,900 10% 2,900 - 20,900 20% 20% 20,900 - 29,800 35% 45% >29,800 75%

XT2D.L db x-trackers S&P 500 2x Inverse Daily UCITS EUNITED KINGDYes - No CR No 1% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

XSL2.L db x-trackers S&P 500 2x Leveraged Daily UCITUNITED KINGDYes - No CR No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

XS2D.L db x-trackers S&P 500 2x Leveraged Daily UCITUNITED KINGDYes No 0.3% 0 - 400 10% 400 - 2,400 20% 20% 2,400 - 4,000 35% 45% >4,000 75%

XSPS.L db x-trackers S&P 500 Inverse Daily UCITS ETFUNITED KINGDYes No 1% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

XDPGD.L db x-trackers S&P 500 UCITS ETF (DR) 2C UNITED KINGDYes Yes 0.3% 0 - 2 10% 2 - 14 20% 20% 14 - 21 35% 45% >21 75%

XSPX.L db x-trackers S&P 500 UCITS ETF 1C UNITED KINGDYes No 0.3% 0 - 450 10% 450 - 2,700 20% 20% 2,700 - 4,500 35% 45% >4,500 75%

XDWE.L db x-trackers S&P 500(r) Equal Weight UCITS EUNITED KINGDYes No 0.3% 0 - 14 10% 14 - 85 20% 20% 85 - 99 35% 45% >99 75%

XDEW.L db x-trackers S&P 500(r) Equal Weight UCITS EUNITED KINGDYes No 0.3% 0 - 1,400 10% 1,400 - 8,500 20% 20% 8,500 - 9,900 35% 45% >9,900 75%

XSGI.L db x-trackers S&P Global Infrastructure UCITS UNITED KINGDYes No 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

XSKR.L db x-trackers Stoxx(r) Europe 600 TelecommunUNITED KINGDYes No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

XGSD.L db x-trackers Stoxx(r) Global Select Dividend 10UNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,200 20% 20% 1,200 - 2,000 35% 45% >2,000 75%

DOTD.L dotDigital Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 327 25% 327 - 654 30% 30% 654 - 981 50% 75% >981 75%

ETXP.L e-Therapeutics PLC UNITED KINGDYes - No CR Yes 1% 0 - 435 25% 435 - 870 30% 30% 870 - 1,305 50% 75% >1,305 75%

E2V.L e2v Technologies PLC UNITED KINGDYes Yes 0.7% 0 - 600 25% 600 - 1,800 40% 40% 1,800 - 2,100 75% 75% >2,100 75%

ESGq.L eServGlobal Limited UNITED KINGDYes - No CR Yes 1% 0 - 202 25% 202 - 404 30% 30% 404 - 606 50% 75% >606 75%

EZH.L easyHotel PLC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 90 40% 40% 90 - 299,970 75% 75% >299,970 ERROR

EZJ.L easyJet PLC UNITED KINGDYes Yes 0.3% 0 - 500 5% 500 - 2,910 10% 10% 2,910 - 7,000 20% 40% >7,000 75%

EGS.L eg solutions PLC UNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 30 40% 40% 30 - 99,990 75% 75% >99,990 ERROR

ENTU.L entu (UK) PLC UNITED KINGDYes - No CR Yes 1% 0 - 50 25% 50 - 300 40% 40% 300 - 500 50% 60% >500 75%

ESUR.L esure Group PLC UNITED KINGDYes - No CR Yes 1% 0 - 800 20% 800 - 2,400 30% 30% 2,400 - 3,984 50% 60% >3,984 75%

HVO.L hVIVO PLC UNITED KINGDStockbroking onlyNo 1% 0 - 40 25% 40 - 100 40% 40% 100 - 110 60% 75% >110 75%

IBPO.L iEnergizer Limited UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 749,925 75% 75% >749,925 ERROR

LQDH.L iShares $ Corporate Bond Interest Rate HedgedUNITED KINGDYes No 0.7% 0 - 100 10% 100 - 500 15% 15% 500 - 1,000 25% 30% >1,000 38%

LQDG.L iShares $ Corporate Bond Interest Rate HedgedUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

LQDE.L iShares $ Corporate Bond UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

ISEMCR.L iShares $ Emerging Markets Corporate Bond UCUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

EMCP.L iShares $ Emerging Markets Corporate Bond UCUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SHYU.L iShares $ High Yield Corporate Bond UCITS ETUNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SDHY.L iShares $ Short Duration High Yield Corporate BUNITED KINGDNo Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IPTS.L iShares $ TIPS UCITS ETF UNITED KINGDStockbroking onlyYes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IDTP.L iShares $ TIPS UCITS ETF UNITED KINGDStockbroking onlyYes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 72,000 35% 45% >72,000 75%

IDBT.L iShares $ Treasury Bond 1-3yr UCITS ETF UNITED KINGDYes No 0.3% 0 - 1,200 10% 1,200 - 7,500 20% 20% 7,500 - 10,000 35% 45% >10,000 75%

IBTS.L iShares $ Treasury Bond 1-3yr UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 11,000 10% 11,000 - 77,000 20% 20% 77,000 - 99,000 35% 45% >99,000 75%

CBU3.L iShares $ Treasury Bond 1-3yr UCITS ETF (AccUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

CU31.L iShares $ Treasury Bond 1-3yr UCITS ETF (AccUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

CBU7.L iShares $ Treasury Bond 3-7yr UCITS ETF (AccUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

CU71.L iShares $ Treasury Bond 3-7yr UCITS ETF (AccUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

ISTB.L iShares $ Treasury Bond 7-10yr UCITS ETF UNITED KINGDYes - No CR Yes 0.3% 0 - 7,500 10% 7,500 - 52,500 20% 20% 52,500 - 75,000 35% 45% >75,000 75%

CU01.L iShares $ Treasury Bond 7-10yr UCITS ETF (AcUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

CBU0.L iShares $ Treasury Bond 7-10yr UCITS ETF (AcUNITED KINGDNo No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IS15.L iShares (GBP) Corporate Bond 0-5yr UCITS ETUNITED KINGDYes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

ISXF.L iShares (GBP) Corporate Bond ex-Financials U UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SSXF.L iShares (GBP) Corporate Bond ex-Financials U UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

INXG.L iShares (GBP) Index-Linked Gilts UCITS ETF UNITED KINGDYes No 0.3% 0 - 825,000 10% 825,000 - 4,950,000 20% 20% 4,950,000 - 8,456,200 35% 45% >8,456,200 75%






IAEX.L iShares AEX UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2,400 10% 2,400 - 15,000 20% 20% 15,000 - 25,200 35% 45% >25,200 75%

SPAGA.L iShares Agribusiness UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

IAPD.L iShares Asia Pacific Dividend UCITS ETF UNITED KINGDYes - No CR Yes 0.3% 0 - 495 10% 495 - 2,970 20% 20% 2,970 - 4,950 35% 45% >4,950 75%

IASP.L iShares Asia Property Yield UCITS ETF UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IAUT.L iShares Austria Government Bond UCITS ETF UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

SAUT.L iShares Austria Government Bond UCITS ETF UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

BRIC.L iShares BRIC 50 UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 1,400 10% 1,400 - 8,400 20% 20% 8,400 - 15,050 35% 45% >15,050 75%

IBEL.L iShares Belgium Government Bond UCITS ETFUNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

ISSBEL.L iShares Belgium Government Bond UCITS ETFUNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

FXC.L iShares China Large Cap UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 900 10% 900 - 5,400 20% 20% 5,400 - 9,000 35% 45% >9,000 75%

SLXX.L iShares Core (GBP) Corporate Bond UCITS ETUNITED KINGDYes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

CSX5.L iShares Core EURO STOXX 50 UCITS ETF UNITED KINGDNo No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

CS51.L iShares Core EURO STOXX 50 UCITS ETF UNITED KINGDNo No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

IEAC.L iShares Core Euro Corporate Bond UCITS ETFUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IEBC.L iShares Core Euro Corporate Bond UCITS ETFUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IEGA.L iShares Core Euro Government Bond UCITS ETUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

SEGA.L iShares Core Euro Government Bond UCITS ETUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

ISF.L iShares Core FTSE 100 UCITS ETF (Dist) UNITED KINGDYes Yes 0.3% 0 - 2,000 5% 2,000 - 10,000 10% 10% 10,000 - 20,000 25% 40% >20,000 75%

EMIM.L iShares Core MSCI Emerging Markets IMI UCITSUNITED KINGDYes Yes 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 60 35% 45% >60 75%

EIMI.L iShares Core MSCI Emerging Markets IMI UCITSUNITED KINGDYes No 0.3% 0 - 200 10% 200 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

SJPA.L iShares Core MSCI Japan IMI UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IJAP.L iShares Core MSCI Japan IMI UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

CPXJ.L iShares Core MSCI Pacific ex Japan UCITS ET UNITED KINGDNo No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CPJ1.L iShares Core MSCI Pacific ex Japan UCITS ET UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

SWDA.L iShares Core MSCI World UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

CSPX.L iShares Core S&P 500 UCITS ETF UNITED KINGDNo Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IGLT.L iShares Core UK Gilts UCITS ETF UNITED KINGDYes No 0.3% 0 - 1,725,000 10% 1,725,000 - 9,918,700 20% 20% 9,918,700 - 15,093,700 35% 45% >15,093,700 75%

IWDP.L iShares Developed Markets Property Yield UCITUNITED KINGDYes Yes 0.3% 0 - 25 10% 25 - 200 20% 20% 200 - 300 35% 45% >300 75%

IDWP.L iShares Developed Markets Property Yield UCITUNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

IESG.L iShares Dow Jones Europe Sustainability ScreeUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IESE.L iShares Dow Jones Europe Sustainability ScreeUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IGSU.L iShares Dow Jones Global Sustainability ScreenUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IGSG.L iShares Dow Jones Global Sustainability ScreenUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CIND.L iShares Dow Jones Industrial Average UCITS EUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

CID1.L iShares Dow Jones Industrial Average UCITS EUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

IDVY.L iShares EURO Dividend UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 3,000 10% 3,000 - 20,250 20% 20% 20,250 - 30,000 35% 45% >30,000 75%

EUE.L iShares EURO STOXX 50 UCITS ETF (Dist) UNITED KINGDYes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%

DJMC.L iShares EURO STOXX Mid UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 2,400 10% 2,400 - 15,000 20% 20% 15,000 - 25,200 35% 45% >25,200 75%

DJSC.L iShares EURO STOXX Small UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 3,000 10% 3,000 - 20,250 20% 20% 20,250 - 30,000 35% 45% >30,000 75%

IDJG.L iShares EURO Total Market Growth Large UCITUNITED KINGDYes Yes 0.3% 0 - 2,400 10% 2,400 - 15,000 20% 20% 15,000 - 25,200 35% 45% >25,200 75%

IDJV.L iShares EURO Total Market Value Large UCITSUNITED KINGDYes No 0.7% 0 - 2,100 10% 2,100 - 15,225 20% 20% 15,225 - 19,950 35% 45% >19,950 75%

IGEA.L iShares Emerging Asia Local Government BondUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SGEA.L iShares Emerging Asia Local Government BondUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

DEIN.L iShares Emerging Market Infrastructure UCITS UNITED KINGDYes No 0.3% 0 - 300 10% 300 - 2,100 20% 20% 2,100 - 3,000 35% 45% >3,000 75%

IEMI.L iShares Emerging Market Infrastructure UCITS UNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 21 20% 20% 21 - 30 35% 45% >30 75%

SEDY.L iShares Emerging Markets Dividend UCITS ETFUNITED KINGDYes Yes 0.7% 0 - 200 25% 200 - 1,000 40% 40% 1,000 - 10,000 50% 75% >10,000 75%

IEML.L iShares Emerging Markets Local Government BUNITED KINGDYes - No CR Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IEAG.L iShares Euro Aggregate Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SEAG.L iShares Euro Aggregate Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SE15.L iShares Euro Corporate Bond 1-5yr UCITS ETFUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IE15.L iShares Euro Corporate Bond 1-5yr UCITS ETFUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

ISBB.L iShares Euro Corporate Bond BBB-BB UCITS EUNITED KINGDYes Yes 0.7% 0 - 10 10% 10 - 60 15% 15% 60 - 100 25% 30% >100 38%

IEBB.L iShares Euro Corporate Bond BBB-BB UCITS EUNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

EUCF.L iShares Euro Corporate Bond Financials UCITSUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IECF.L iShares Euro Corporate Bond Financials UCITSUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IRCP.L iShares Euro Corporate Bond Interest Rate HedUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IRHC.L iShares Euro Corporate Bond Interest Rate HedUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IBCX.L iShares Euro Corporate Bond Large Cap UCITSUNITED KINGDYes Yes 0.3% 0 - 80,000 10% 80,000 - 480,000 20% 20% 480,000 - 800,000 35% 45% >800,000 75%

IEX5.L iShares Euro Corporate Bond ex-Financials 1-5UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

EEX5.L iShares Euro Corporate Bond ex-Financials 1-5UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IEXF.L iShares Euro Corporate Bond ex-Financials UC UNITED KINGDYes - No CR No 0.3% 0 - 12,500 10% 12,500 - 75,000 20% 20% 75,000 - 125,000 35% 45% >125,000 75%

ICOV.L iShares Euro Covered Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 4,000 10% 4,000 - 24,000 20% 20% 24,000 - 36,000 35% 45% >36,000 75%

IEGE.L iShares Euro Government Bond 0-1yr UCITS ETUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IBGE.L iShares Euro Government Bond 0-1yr UCITS ETUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IEGS.L iShares Euro Government Bond 1-3yr UCITS ETUNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IBGS.L iShares Euro Government Bond 1-3yr UCITS ETUNITED KINGDYes No 0.3% 0 - 1,200 10% 1,200 - 7,500 20% 20% 7,500 - 10,000 35% 45% >10,000 75%

CBE3.L iShares Euro Government Bond 1-3yr UCITS ETUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

CE31.L iShares Euro Government Bond 1-3yr UCITS ETUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

IBGZ.L iShares Euro Government Bond 10-15yr UCITSUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IEGZ.L iShares Euro Government Bond 10-15yr UCITSUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IBGL.L iShares Euro Government Bond 15-30yr UCITSUNITED KINGDStockbroking onlyNo 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IBGX.L iShares Euro Government Bond 3-5yr UCITS ETUNITED KINGDYes Yes 0.3% 0 - 1,200 10% 1,200 - 7,500 20% 20% 7,500 - 10,000 35% 45% >10,000 75%

IEGX.L iShares Euro Government Bond 3-5yr UCITS ETUNITED KINGDYes No 0.3% 0 - 1,200 10% 1,200 - 7,500 20% 20% 7,500 - 10,000 35% 45% >10,000 75%

CE71.L iShares Euro Government Bond 3-7yr UCITS ETUNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

CBE7.L iShares Euro Government Bond 3-7yr UCITS ETUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

IBGY.L iShares Euro Government Bond 5-7yr UCITS ETUNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IEGY.L iShares Euro Government Bond 5-7yr UCITS ETUNITED KINGDYes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IBGM.L iShares Euro Government Bond 7-10yr UCITS EUNITED KINGDYes - No CR No 0.3% 0 - 6,500 10% 6,500 - 39,000 20% 20% 39,000 - 78,000 35% 45% >78,000 75%

CBE0.L iShares Euro Government Bond 7-10yr UCITS EUNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

IHYG.L iShares Euro High Yield Corporate Bond UCITSUNITED KINGDYes Yes 0.3% 0 - 5,000 10% 5,000 - 25,000 20% 20% 25,000 - 50,000 35% 45% >50,000 75%

ISIBC1.L iShares Euro Inflation Linked Government Bond UNITED KINGDYes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IBCI.L iShares Euro Inflation Linked Government Bond UNITED KINGDYes Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

IPRP.L iShares European Property Yield UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 5 10% 5 - 30 20% 20% 30 - 50 35% 45% >50 75%

CUKX.L iShares FTSE 100 UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

ISMIDD.L iShares FTSE 250 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 13,500 10% 13,500 - 81,000 20% 20% 81,000 - 148,500 35% 45% >148,500 75%

CMIB.L iShares FTSE MIB UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

CMB1.L iShares FTSE MIB UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

IMIB.L iShares FTSE MIB UCITS ETF (Dist) UNITED KINGDStockbroking onlyYes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IEUT.L iShares FTSEurofirst 100 UCITS ETF UNITED KINGDYes No 0.3% 0 - 37 10% 37 - 187 20% 20% 187 - 412 35% 45% >412 75%

IEUR.L iShares FTSEurofirst 80 UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,100 10% 2,100 - 15,225 20% 20% 15,225 - 19,950 35% 45% >19,950 75%

SFIN.L iShares Finland Government Bond UCITS ETF UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

IFIN.L iShares Finland Government Bond UCITS ETF UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

IFRB.L iShares France Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

SFRB.L iShares France Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

IDEU.L iShares Germany Government Bond UCITS ET UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

SDEU.L iShares Germany Government Bond UCITS ET UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

SAAA.L iShares Global AAA-AA Government Bond UCITUNITED KINGDStockbroking onlyNo 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

INRG.L iShares Global Clean Energy UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 10,500 10% 10,500 - 65,625 20% 20% 65,625 - 99,750 35% 45% >99,750 75%

CRPH.L iShares Global Corporate Bond EUR Hedged UCUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CORP.L iShares Global Corporate Bond UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 7,500 10% 7,500 - 52,500 20% 20% 52,500 - 75,000 35% 45% >75,000 75%

SGLO.L iShares Global Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

IGLO.L iShares Global Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

GHYS.L iShares Global High Yield Corp Bond GBP HedgUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

HYLD.L iShares Global High Yield Corp Bond UCITS ETUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IGHY.L iShares Global High Yield Corp Bond UCITS ETUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

IGIL.L iShares Global Inflation Linked Government BonUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SGIL.L iShares Global Inflation Linked Government BonUNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

INFR.L iShares Global Infrastructure UCITS ETF UNITED KINGDYes No 0.3% 0 - 25 10% 25 - 200 20% 20% 200 - 300 35% 45% >300 75%

IDIN.L iShares Global Infrastructure UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 27,500 10% 27,500 - 165,000 20% 20% 165,000 - 275,000 35% 45% >275,000 75%

WOODT.L iShares Global Timber & Forestry UCITS ETF UNITED KINGDYes No 0.3% 0 - 8 10% 8 - 48 20% 20% 48 - 80 35% 45% >80 75%

IH2O.L iShares Global Water UCITS ETF UNITED KINGDStockbroking onlyNo 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

DH2O.L iShares Global Water UCITS ETF UNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

SPGPG.L iShares Gold Producers UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

IITB.L iShares Italy Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

SITB.L iShares Italy Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

EMBE.L iShares J. P. Morgan $ EM Bond EUR Hedged UUNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SEMB.L iShares J.P. Morgan $ Emerging Markets Bond UNITED KINGDYes Yes 1% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

IEMB.L iShares J.P. Morgan $ Emerging Markets Bond UNITED KINGDStockbroking onlyYes 0.3% 0 - 13,000 10% 13,000 - 78,000 20% 20% 78,000 - 130,000 35% 45% >130,000 75%

IPRV.L iShares Listed Private Equity UCITS ETF UNITED KINGDYes No 0.3% 0 - 12 10% 12 - 75 20% 20% 75 - 100 35% 45% >100 75%

IDPE.L iShares Listed Private Equity UCITS ETF UNITED KINGDYes No 0.3% 0 - 1,200 10% 1,200 - 7,500 20% 20% 7,500 - 10,000 35% 45% >10,000 75%

ISFE.L iShares MSCI AC Far East ex-Japan Small CapUNITED KINGDYes - No CR No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

IDFE.L iShares MSCI AC Far East ex-Japan Small CapUNITED KINGDYes No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

IFFF.L iShares MSCI AC Far East ex-Japan UCITS ET UNITED KINGDYes Yes 0.3% 0 - 2,100 10% 2,100 - 15,225 20% 20% 15,225 - 19,950 35% 45% >19,950 75%

SSAC.L iShares MSCI ACWI UCITS ETF UNITED KINGDYes No 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

ISACI.L iShares MSCI ACWI UCITS ETF UNITED KINGDYes No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

SAUS.L iShares MSCI Australia UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 80 10% 80 - 480 20% 20% 480 - 720 35% 45% >720 75%

IAUS.L iShares MSCI Australia UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 72,000 35% 45% >72,000 75%

CSBR.L iShares MSCI Brazil UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CBR1.L iShares MSCI Brazil UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

IBZL.L iShares MSCI Brazil UCITS ETF (Dist) UNITED KINGDYes Yes 0.7% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 9,900 35% 45% >9,900 75%






CCAU.L iShares MSCI Canada UCITS ETF UNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,500 20% 20% 1,500 - 3,000 35% 45% >3,000 75%

CSCA.L iShares MSCI Canada UCITS ETF UNITED KINGDNo No 0.3% 0 - 2 10% 2 - 15 20% 20% 15 - 30 35% 45% >30 75%

CEMA.L iShares MSCI EM Asia UCITS ETF UNITED KINGDNo No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CEA1.L iShares MSCI EM Asia UCITS ETF UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

DLTM.L iShares MSCI EM Latin America UCITS ETF (D UNITED KINGDYes - No CR No 0.3% 0 - 400 10% 400 - 2,400 20% 20% 2,400 - 4,000 35% 45% >4,000 75%

LTAM.L iShares MSCI EM Latin America UCITS ETF (D UNITED KINGDYes - No CR No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

CEUS.L iShares MSCI EMU Small Cap UCITS ETF UNITED KINGDNo No 0.3% 0 - 200 10% 200 - 1,500 20% 20% 1,500 - 3,000 35% 45% >3,000 75%

CES1.L iShares MSCI EMU Small Cap UCITS ETF UNITED KINGDNo No 0.3% 0 - 2 10% 2 - 15 20% 20% 15 - 30 35% 45% >30 75%

CEU1.L iShares MSCI EMU UCITS ETF UNITED KINGDNo No 0.3% 0 - 3 10% 3 - 21 20% 20% 21 - 30 35% 45% >30 75%

CEU0.L iShares MSCI EMU UCITS ETF UNITED KINGDNo No 0.3% 0 - 300 10% 300 - 2,100 20% 20% 2,100 - 3,000 35% 45% >3,000 75%

IDEE.L iShares MSCI Eastern Europe Capped UCITS EUNITED KINGDYes No 0.3% 0 - 300 10% 300 - 2,100 20% 20% 2,100 - 3,000 35% 45% >3,000 75%

IEER.L iShares MSCI Eastern Europe Capped UCITS EUNITED KINGDYes No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

IEMG.L iShares MSCI Emerging Markets Consumer GroUNITED KINGDYes No 1% 0 - 2 25% 2 - 10 40% 40% 10 - 20 60% 75% >20 75%

CEMG.L iShares MSCI Emerging Markets Consumer GroUNITED KINGDYes No 1% 0 - 200 25% 200 - 1,000 40% 40% 1,000 - 2,000 60% 75% >2,000 75%

ISDE.L iShares MSCI Emerging Markets Islamic UCITSUNITED KINGDYes No 0.3% 0 - 400 10% 400 - 2,400 20% 20% 2,400 - 4,000 35% 45% >4,000 75%

ISEM.L iShares MSCI Emerging Markets Islamic UCITSUNITED KINGDYes No 0.3% 0 - 4 10% 4 - 24 20% 20% 24 - 40 35% 45% >40 75%

ISEMV.L iShares MSCI Emerging Markets Minimum Vola UNITED KINGDYes Yes 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

ISEMMV.L iShares MSCI Emerging Markets Minimum Vola UNITED KINGDYes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IEMS.L iShares MSCI Emerging Markets Small Cap UCUNITED KINGDYes Yes 0.7% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%

IEAM.L iShares MSCI Emerging Markets UCITS ETF (AUNITED KINGDYes - No CR No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

SEMA.L iShares MSCI Emerging Markets UCITS ETF (AUNITED KINGDYes No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

IDEM.L iShares MSCI Emerging Markets UCITS ETF (DUNITED KINGDYes Yes 0.7% 0 - 180,000 10% 180,000 - 990,000 20% 20% 990,000 - 1,980,000 35% 45% >1,980,000 75%

IEEM.L iShares MSCI Emerging Markets UCITS ETF (DUNITED KINGDYes Yes 0.3% 0 - 9,750 10% 9,750 - 60,937 20% 20% 60,937 - 99,937 35% 45% >99,937 75%

MVEU.L iShares MSCI Europe Minimum Volatility UCITS UNITED KINGDYes No 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%

SMEA.L iShares MSCI Europe UCITS ETF (Acc) UNITED KINGDYes - No CR No 0.3% 0 - 20 10% 20 - 100 20% 20% 100 - 200 35% 45% >200 75%

IMEU.L iShares MSCI Europe UCITS ETF (Dist) UNITED KINGDYes - No CR Yes 0.3% 0 - 250 10% 250 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

EUXS.L iShares MSCI Europe ex-UK GBP Hedged UCITUNITED KINGDStockbroking onlyNo 1% 0 - 10 25% 10 - 60 40% 40% 60 - 100 60% 75% >100 75%

IEUX.L iShares MSCI Europe ex-UK UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 485 10% 485 - 2,910 20% 20% 2,910 - 4,850 35% 45% >4,850 75%

IGCC.L iShares MSCI GCC ex-Saudi Arabia UCITS ETFUNITED KINGDYes - No CR No 1% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

SGCC.L iShares MSCI GCC ex-Saudi Arabia UCITS ETFUNITED KINGDYes - No CR No 1% 0 - 1 25% 1 - 10 40% 40% 10 - 15 60% 75% >15 75%

IJPE.L iShares MSCI Japan EUR Hedged UCITS ETF UNITED KINGDYes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

IJPH.L iShares MSCI Japan GBP Hedged UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

ISJP.L iShares MSCI Japan Small Cap UCITS ETF (Di UNITED KINGDYes Yes 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

CSJP.L iShares MSCI Japan UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 120 10% 120 - 720 20% 20% 720 - 1,200 35% 45% >1,200 75%

IJPN.L iShares MSCI Japan UCITS ETF (Dist) UNITED KINGDYes Yes 0.3% 0 - 9,750 10% 9,750 - 60,937 20% 20% 60,937 - 99,937 35% 45% >99,937 75%

IJPD.L iShares MSCI Japan USD Hedged UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

CSKR.L iShares MSCI Korea UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

CKR1.L iShares MSCI Korea UCITS ETF (Acc) UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 5 20% 20% 5 - 10 35% 45% >10 75%

IKOR.L iShares MSCI Korea UCITS ETF (Dist) UNITED KINGDYes Yes 0.7% 0 - 1,800 10% 1,800 - 9,900 20% 20% 9,900 - 19,800 35% 45% >19,800 75%

CMX1.L iShares MSCI Mexico Capped UCITS ETF UNITED KINGDNo No 0.3% 0 - 120 10% 120 - 720 20% 20% 720 - 1,200 35% 45% >1,200 75%

INAA.L iShares MSCI North America UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 25 10% 25 - 200 20% 20% 200 - 300 35% 45% >300 75%

IDNA.L iShares MSCI North America UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

SPXJ.L iShares MSCI Pacific ex-Japan UCITS ETF (DisUNITED KINGDYes - No CR No 0.3% 0 - 120 10% 120 - 720 20% 20% 720 - 1,200 35% 45% >1,200 75%

IPXJ.L iShares MSCI Pacific ex-Japan UCITS ETF (DisUNITED KINGDYes Yes 0.3% 0 - 12,000 10% 12,000 - 72,000 20% 20% 72,000 - 120,000 35% 45% >120,000 75%

SPOL.L iShares MSCI Poland UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 3 10% 3 - 21 20% 20% 21 - 30 35% 45% >30 75%

IPLD.L iShares MSCI Poland UCITS ETF UNITED KINGDYes No 0.3% 0 - 300 10% 300 - 2,100 20% 20% 2,100 - 3,000 35% 45% >3,000 75%

CSRU.L iShares MSCI Russia ADR GDR UCITS ETF UNITED KINGDNo No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

SRSA.L iShares MSCI South Africa UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 2 10% 2 - 10 20% 20% 10 - 20 35% 45% >20 75%

IRSA.L iShares MSCI South Africa UCITS ETF UNITED KINGDYes - No CR No 0.3% 0 - 200 10% 200 - 1,000 20% 20% 1,000 - 2,000 35% 45% >2,000 75%

ITWN.L iShares MSCI Taiwan UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 1,800 10% 1,800 - 9,900 20% 20% 9,900 - 19,800 35% 45% >19,800 75%

UKRE.L iShares MSCI Target UK Real Estate UCITS ETUNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

UKPR.L iShares MSCI Target UK Real Estate UCITS ETUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

USPR.L iShares MSCI Target US Real Estate UCITS ETUNITED KINGDYes No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 24% 30% >1,000 30%

USRE.L iShares MSCI Target US Real Estate UCITS ETUNITED KINGDYes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

ITKY.L iShares MSCI Turkey UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 900 10% 900 - 5,400 20% 20% 5,400 - 9,000 35% 45% >9,000 75%

CUKL.L iShares MSCI UK Large Cap UCITS ETF UNITED KINGDNo No 1% 0 - 1 25% 1 - 10 40% 40% 10 - 15 60% 75% >15 75%

CUKS.L iShares MSCI UK Small Cap UCITS ETF UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 3 20% 20% 3 - 5 35% 45% >5 75%

CSUK.L iShares MSCI UK UCITS ETF UNITED KINGDNo No 0.3% 0 - 2 10% 2 - 14 20% 20% 14 - 22 35% 45% >22 75%

ISDU.L iShares MSCI USA Islamic UCITS ETF UNITED KINGDYes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

ISUS.L iShares MSCI USA Islamic UCITS ETF UNITED KINGDYes No 0.3% 0 - 40 10% 40 - 200 20% 20% 200 - 400 35% 45% >400 75%

CUS1.L iShares MSCI USA Small Cap UCITS ETF UNITED KINGDNo No 0.3% 0 - 10 10% 10 - 60 20% 20% 60 - 100 35% 45% >100 75%

CUSS.L iShares MSCI USA Small Cap UCITS ETF UNITED KINGDNo No 0.3% 0 - 100 10% 100 - 1,000 20% 20% 1,000 - 1,500 35% 45% >1,500 75%

CSUS.L iShares MSCI USA UCITS ETF UNITED KINGDNo No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

CSU1.L iShares MSCI USA UCITS ETF UNITED KINGDNo No 0.3% 0 - 1 10% 1 - 6 20% 20% 6 - 10 35% 45% >10 75%

IWDE.L iShares MSCI World EUR Hedged UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IGWD.L iShares MSCI World GBP Hedged UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 100 10% 100 - 500 20% 20% 500 - 1,000 35% 45% >1,000 75%

ISDW.L iShares MSCI World Islamic UCITS ETF UNITED KINGDYes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

ISWD.L iShares MSCI World Islamic UCITS ETF UNITED KINGDYes No 0.3% 0 - 40 10% 40 - 200 20% 20% 200 - 400 35% 45% >400 75%

MVOL.L iShares MSCI World Minimum Volatility UCITS EUNITED KINGDYes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

ISMINV.L iShares MSCI World Minimum Volatility UCITS EUNITED KINGDYes Yes 0.3% 0 - 30 10% 30 - 150 20% 20% 150 - 300 35% 45% >300 75%

IWFQ.L iShares MSCI World Quality Factor UCITS ETF UNITED KINGDNo No 1% 0 - 100 10% 100 - 500 16% 16% 500 - 1,000 20% 30% >1,000 30%

IWRD.L iShares MSCI World UCITS ETF (Dist) UNITED KINGDYes Yes 0.3% 0 - 300 5% 300 - 900 10% 10% 900 - 1,800 25% 40% >1,800 75%

CNX1.L iShares NASDAQ 100 UCITS ETF UNITED KINGDNo No 0.3% 0 - 60 10% 60 - 420 20% 20% 420 - 480 35% 45% >480 75%

INLD.L iShares Netherlands Government Bond UCITS UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

SNLD.L iShares Netherlands Government Bond UCITS UNITED KINGDYes No 1% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

CNKY.L iShares Nikkei 225 UCITS ETF UNITED KINGDNo No 0.3% 0 - 2 10% 2 - 15 20% 20% 15 - 30 35% 45% >30 75%

SPOGO.L iShares Oil & Gas Exploration & Production UC UNITED KINGDYes - No CR No 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

SGLN.L iShares Physical Gold ETC UNITED KINGDYes No 0.3% 0 - 30 10% 30 - 210 20% 20% 210 - 300 35% 45% >300 75%

IGLN.L iShares Physical Gold ETC UNITED KINGDYes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

IPDM.L iShares Physical Palladium ETC UNITED KINGDYes No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

SPDM.L iShares Physical Palladium ETC UNITED KINGDYes - No CR No 1% 0 - 30 25% 30 - 210 40% 40% 210 - 300 60% 75% >300 75%

SPLTI.L iShares Physical Platinum ETC UNITED KINGDYes No 1% 0 - 30 25% 30 - 210 40% 40% 210 - 300 60% 75% >300 75%

IPLTI.L iShares Physical Platinum ETC UNITED KINGDYes No 1% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

SSLN.L iShares Physical Silver ETC UNITED KINGDYes - No CR No 0.3% 0 - 230 10% 230 - 1,610 20% 20% 1,610 - 2,300 35% 45% >2,300 75%

IUSEA.L iShares S&P 500 EUR Hedged UCITS ETF UNITED KINGDYes No 0.3% 0 - 28,500 10% 28,500 - 171,000 20% 20% 171,000 - 285,000 35% 45% >285,000 75%

IGUS.L iShares S&P 500 GBP Hedged UCITS ETF UNITED KINGDYes No 0.3% 0 - 20 10% 20 - 80 20% 20% 80 - 140 35% 45% >140 75%

IUIT.L iShares S&P 500 Information Technology SectoUNITED KINGDNo No 1% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 400,000 60% 75% >400,000 75%

ISMVUS.L iShares S&P 500 Minimum Volatility UCITS ETFUNITED KINGDYes No 0.3% 0 - 5 10% 5 - 15 20% 20% 15 - 25 35% 45% >25 75%

ISSPMV.L iShares S&P 500 Minimum Volatility UCITS ETFUNITED KINGDYes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

IUSA.L iShares S&P 500 UCITS ETF (Dist) UNITED KINGDYes Yes 0.3% 0 - 100,000 10% 100,000 - 550,000 20% 20% 550,000 - 950,000 35% 45% >950,000 75%

ISP6.L iShares S&P SmallCap 600 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

EUN.L iShares STOXX Europe 50 UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 50 10% 50 - 300 20% 20% 300 - 500 35% 45% >500 75%

IESP.L iShares Spain Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

ISSESP.L iShares Spain Government Bond UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

IUKD.L iShares UK Dividend UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 12,750 10% 12,750 - 76,500 20% 20% 76,500 - 149,812 35% 45% >149,812 75%

IGLS.L iShares UK Gilts 0-5yr UCITS ETF UNITED KINGDStockbroking onlyYes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IUKP.L iShares UK Property UCITS ETF UNITED KINGDYes Yes 0.7% 0 - 3,000 10% 3,000 - 20,250 20% 20% 20,250 - 30,000 35% 45% >30,000 75%

SUAG.L iShares US Aggregate Bond UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

IUSP.L iShares US Property Yield UCITS ETF UNITED KINGDYes Yes 0.3% 0 - 25 10% 25 - 200 20% 20% 200 - 300 35% 45% >300 75%

IDUP.L iShares US Property Yield UCITS ETF UNITED KINGDYes No 0.3% 0 - 2,500 10% 2,500 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

INTUP.L intu properties PLC UNITED KINGDYes Yes 0.7% 0 - 1,200 10% 1,200 - 7,248 20% 20% 7,248 - 16,200 35% 45% >16,200 75%

IOMG.L iomart Group PLC UNITED KINGDYes Yes 1% 0 - 450 25% 450 - 1,399 40% 40% 1,399 - 1,624 75% 75% >1,624 75%

IL0A.L permanent tsb Group Holdings PLC UNITED KINGDYes - No CR No 1% 0 - 13,500 25% 13,500 - 40,500 40% 40% 40,500 - 134,986,500 75% 75% >134,986,500 ERROR

R4ER.L reach4entertainment enterprises PLC UNITED KINGDStockbroking onlyNo 1% 0 - 1,702 25% 1,702 - 3,404 30% 30% 3,404 - 5,106 50% 75% >5,106 75%

REDT.L red24 PLC UNITED KINGDStockbroking onlyNo 1% 0 - 75 25% 75 - 225 40% 40% 225 - 300 50% 75% >300 75%

ZMNO.L zamano PLC UNITED KINGDStockbroking onlyNo 1% 0 - 150 25% 150 - 450 40% 40% 450 - 1,499,850 75% 75% >1,499,850 ERROR

FLWS.O 1-800-Flowers.com Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

SRCE.O 1st Source Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

VNET.O 21Vianet Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 15% 5,000 - 40,000 25% 25% 40,000 - 500,000 40% 55% >500,000 75%

XXII.P 22nd Century Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

TWOU.O 2U Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 1,500 25% 25% 1,500 - 2,000 40% 55% >2,000 75%

DDD.N 3D Systems Corporation UNITED STAT Yes Yes 0.3% 0 - 11,300 15% 11,300 - 56,500 25% 25% 56,500 - 226,000 40% 55% >226,000 75%

MMM.N 3M Company UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 63,000 10% 10% 63,000 - 250,000 20% 40% >250,000 75%

WBAI.N 500.com Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 66,000 60% 75% >66,000 75%

JOBS.O 51job Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

WUBA.N 58.com Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 125,000 40% 55% >125,000 75%

SIXD.O 6D Global Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CAFD.O 8point3 Energy Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

EGHT.O 8x8 Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

CAS.N A. M. Castle & Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SHLM.O A. Schulman Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

ATEN.K A10 Networks Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

AAC AAC Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AAON.O AAON Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

AIR.N AAR Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

ABB.N ABB Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 50,000 10% 10% 50,000 - 656,000 20% 40% >656,000 75%

ABMD.O ABIOMED Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

ABM ABM Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

ACAD.O ACADIA Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 700,000 60% 75% >700,000 75%

ACCO.K ACCO Brands Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%






ACIW.O ACI Worldwide Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ADMA.O ADMA Biologics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,500 60% 75% >4,500 75%

ADTN.O ADTRAN Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

ACM.N AECOM UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

AEG.N AEGON NV UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

AEPI.O AEP Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

MITT.K AG Mortgage Investment Trust Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

AGCO.K AGCO Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 79,900 20% 20% 79,900 - 315,000 35% 45% >315,000 75%

GAS.N AGL Resources Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

AKS.N AK Steel Holding Corporation UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

ALE.N ALLETE Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SBIO.P ALPS Medical Breakthroughs ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SGDJ.P ALPS Sprott Junior Gold Miners ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

AMAG.O AMAG Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

AMC AMC Entertainment Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

AMCX.O AMC Networks Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 245,000 35% 45% >245,000 75%

UHAL.O AMER Company UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 19,500 35% 45% >19,500 75%

AHS AMN Healthcare Services Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

ANIP.O ANI Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

AOS.N AO Smith Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 348,000 35% 45% >348,000 75%

ARC.N ARC Document Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ARKW.P ARK Web x.0 ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ARMH.O ARM Holdings PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 30,000 10% 10% 30,000 - 355,000 20% 40% >355,000 75%

ARR ARMOUR Residential REIT Inc UNITED STAT Yes Yes 0.3% 0 - 70,000 25% 70,000 - 424,900 40% 40% 424,900 - 1,400,000 60% 75% >1,400,000 75%

ARRS.O ARRIS International PLC UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 600,000 35% 45% >600,000 75%

ASA.N ASA Gold and Precious Metals Limited UNITED STAT Yes Yes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 22,000 60% 75% >22,000 75%

ASMI.O ASM International NV UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 60% 75% >3,500 75%

ASML.O ASML Holding NV UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 25,000 10% 10% 25,000 - 188,000 20% 40% >188,000 75%

T.N AT&T Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 5% 50,000 - 251,000 10% 10% 251,000 - 1,000,000 20% 40% >1,000,000 75%

ATRI.O ATRION Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AUO.N AU Optronics Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

AVHI.O AV Homes Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 30,000 60% 75% >30,000 75%

AVEO.O AVEO Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 42,000 40% 40% 42,000 - 552,000 60% 75% >552,000 75%

AVG AVG Technologies NV UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

AVX.N AVX Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

AXS.N AXIS Capital Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AZZ AZZ Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

AAN.N Aaron's Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

ABAX.O Abaxis Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

ABBV.K AbbVie Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 165,000 10% 10% 165,000 - 660,000 20% 40% >660,000 75%

ABT.N Abbott Laboratories UNITED STAT Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 214,500 10% 10% 214,500 - 870,000 20% 40% >870,000 75%

ABGB.O Abengoa SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ABY.O Abengoa Yield PLC UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

ABEO.O Abeona Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 42,000 40% 40% 42,000 - 150,000 60% 75% >150,000 75%

ANF.N Abercrombie & Fitch Company UNITED STAT Yes Yes 0.3% 0 - 24,300 10% 24,300 - 121,500 20% 20% 121,500 - 486,000 35% 45% >486,000 75%

GCH.N Aberdeen Greater China Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 15,200 60% 75% >15,200 75%

AXAS.O Abraxas Petroleum Corporation UNITED STAT Yes - No CR No 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 1,050,000 60% 75% >1,050,000 75%

ACTG.O Acacia Research Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

ACHC.O Acadia Healthcare Company Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

AKR Acadia Realty Trust UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

AXDX.O Accelerate Diagnostics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

XLRN.O Acceleron Pharma Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

ACN.N Accenture PLC UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 102,500 10% 10% 102,500 - 410,000 20% 40% >410,000 75%

ANCX.O Access National Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

ACHI.PK Accretive Health Inc UNITED STAT No No 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

ARAY.O Accuray Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 450,000 40% 55% >450,000 75%

ACW Accuride Corporation UNITED STAT Yes Yes 0.3% 0 - 4,200 25% 4,200 - 8,400 40% 40% 8,400 - 84,000 60% 75% >84,000 75%

ACRX.O AcelRx Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 250,500 60% 75% >250,500 75%

ACET.O Aceto Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

AKAO.O Achaogen Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ACHN.O Achillion Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 45,000 25% 45,000 - 274,900 40% 40% 274,900 - 900,000 60% 75% >900,000 75%

ACRS.O Aclaris Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

ACOR.O Acorda Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

ATNM.A Actinium Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

ATVI.O Activision Blizzard Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,680,000 20% 40% >1,680,000 75%

ACTA.O Actua Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ATU.N Actuant Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

AYI.N Acuity Brands Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 126,000 35% 45% >126,000 75%

ACXM.O Acxiom Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ADK AdCare Health Systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ADMS.O Adamas Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ADMP.O Adamis Pharmaceuticals Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ADX.N Adams Diversified Equity Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 26,000 60% 75% >26,000 75%

AE.A Adams Resources & Energy Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ADAP.O Adaptimmune Therapeutics PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 675,000 60% 75% >675,000 75%

ADUS.O Addus HomeCare Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

AGRO.K Adecoagro SA UNITED STAT Yes Yes 0.3% 0 - 2,100 20% 2,100 - 4,200 30% 30% 4,200 - 42,000 50% 60% >42,000 75%

ADPT.K Adeptus Health Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ADBE.O Adobe Systems Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 121,800 10% 10% 121,800 - 480,000 20% 40% >480,000 75%

ADRO.O Aduro BioTech Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 600,000 60% 75% >600,000 75%

AAP.N Advance Auto Parts Inc UNITED STAT Yes Yes 0.3% 0 - 6,500 10% 6,500 - 32,500 20% 20% 32,500 - 130,000 35% 45% >130,000 75%

WMS Advanced Drainage Systems Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

AEIS.O Advanced Energy Industries Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

AMD.O Advanced Micro Devices Inc UNITED STAT Yes Yes 0.3% 0 - 200,000 10% 200,000 - 1,000,000 20% 20% 1,000,000 - 4,600,000 35% 45% >4,600,000 75%

ASX Advanced Semiconductor Engineering Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 525,000 35% 45% >525,000 75%

AAV Advantage Oil & Gas Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

ATE Advantest Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

ADXS.O Advaxis Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

GYEN.P AdvisorShares Gartman Gold Yen ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HYLD.P AdvisorShares Peritus High Yield ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

HDGE.P AdvisorShares Ranger Equity Bear ETF UNITED STAT Yes Call In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TTFS.K AdvisorShares TrimTabs Float Shrink ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

ANW.N Aegean Marine Petroleum Network Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

AEGR.O Aegerion Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 25% 8,000 - 50,000 40% 40% 50,000 - 264,000 60% 75% >264,000 75%

AEGN.O Aegion Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

AER.N AerCap Holdings NV UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AERI.O Aerie Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

AVAV.O AeroVironment Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

HIVE.K Aerohive Networks Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 140,000 60% 75% >140,000 75%

AJRD.N Aerojet Rocketdyne Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AROP.PK Aeropostale Inc UNITED STAT No Yes 0.3% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

AEZS.O Aeterna Zentaris Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 75,000 60% 75% >75,000 75%

AET.N Aetna Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 480,000 20% 40% >480,000 75%

AMG.N Affiliated Managers Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 87,000 35% 45% >87,000 75%

AFMD.O Affimed NV UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AFFY.PK Affymax Inc UNITED STAT No No 0.3% 0 - 18,100 25% 18,100 - 36,200 40% 40% 36,200 - 235,300 60% 75% >235,300 75%

AFFX.O Affymetrix Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

AFL.N Aflac Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 528,000 20% 40% >528,000 75%

AGEN.O Agenus Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 350,000 60% 75% >350,000 75%

AGRX.O Agile Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

A.N Agilent Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 600,000 20% 40% >600,000 75%

AGYS.O Agilysys Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AGIO.O Agios Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 300,000 60% 75% >300,000 75%

AEM.N Agnico Eagle Mines Limited UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 495,000 35% 45% >495,000 75%

ADC Agree Realty Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AGU.N Agrium Inc UNITED STAT Yes Yes 0.3% 0 - 9,400 10% 9,400 - 47,000 20% 20% 47,000 - 188,000 35% 45% >188,000 75%

AIMT.O Aimmune Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

AL.N Air Lease Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

AIRM.O Air Methods Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

APD.N Air Products and Chemicals Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 284,000 20% 40% >284,000 75%

ATSG.O Air Transport Services Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

AMCN.O AirMedia Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,200 25% 7,200 - 14,400 40% 40% 14,400 - 144,000 60% 75% >144,000 75%

AYR.N Aircastle Limited UNITED STAT Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

ARG Airgas Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 190,500 20% 40% >190,500 75%

AIXG.O Aixtron SE UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 20% 1,000 - 2,000 30% 30% 2,000 - 20,000 50% 60% >20,000 75%

AKAM.O Akamai Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 138,600 20% 20% 138,600 - 555,000 30% 50% >555,000 75%

AKTX.O Akari Therapeutics PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AKBA.O Akebia Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

AKRX.O Akorn Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

ALG Alamo Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%






AGI Alamos Gold Inc UNITED STAT Yes No 0.3% 0 - 5,000 20% 5,000 - 30,000 32% 32% 30,000 - 100,000 40% 48% >100,000 60%

ALRM.O Alarm.Com Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

ALK.N Alaska Air Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 410,000 35% 45% >410,000 75%

AIN.N Albany International Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

AMRI.O Albany Molecular Research Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ALB.N Albemarle Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 255,000 35% 45% >255,000 75%

ALU.N Alcatel-Lucent UNITED STAT Stockbroking onlyYes 0.3% 0 - 70,000 5% 70,000 - 424,900 10% 10% 424,900 - 3,920,000 20% 40% >3,920,000 75%

AA.N Alcoa Inc UNITED STAT Yes Yes 0.3% 0 - 80,000 5% 80,000 - 732,000 10% 10% 732,000 - 2,960,000 20% 40% >2,960,000 75%

ADHD.O Alcobra Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

ALDR.O Alder Biopharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ALR.N Alere Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

AMLP.P Alerian MLP ETF UNITED STAT Yes No 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 72,000 35% 45% >72,000 75%

ALEX.K Alexander & Baldwin Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

ALX.N Alexander's Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

ARE Alexandria Real Estate Equities Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

ALXN.O Alexion Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 184,000 20% 40% >184,000 75%

BABA.K Alibaba Group Holding Limited UNITED STAT Yes Yes 0.3% 0 - 18,000 5% 18,000 - 90,000 15% 15% 90,000 - 360,000 35% 50% >360,000 75%

ALCO.O Alico Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 4,000 40% 40% 4,000 - 6,000 60% 75% >6,000 75%

ALGN.O Align Technology Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 306,000 35% 45% >306,000 75%

ALIM.O Alimera Sciences Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

ALKS.O Alkermes PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 322,000 35% 45% >322,000 75%

Y Alleghany Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%

ATI.N Allegheny Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 630,000 30% 50% >630,000 75%

ABTX.O Allegiance Bancshares Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ALGT.O Allegiant Travel Company UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

ALLE.N Allegion PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 475,000 40% 55% >475,000 75%

AGN.N Allergan PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 1,300 10% 1,300 - 9,100 20% 20% 9,100 - 52,000 30% 50% >52,000 75%

ADS.N Alliance Data Systems Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 500,000 35% 45% >500,000 75%

AFOP.O Alliance Fiber Optic Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

AIQ.O Alliance Healthcare Services Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AHGP.O Alliance Holdings GP LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AOI.N Alliance One International Inc UNITED STAT Yes Yes 0.3% 0 - 5,900 25% 5,900 - 11,800 40% 40% 11,800 - 118,000 60% 75% >118,000 75%

ARLP.O Alliance Resource Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

AB.N AllianceBernstein Holding LP UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

LNT.N Alliant Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

NCV.N AllianzGI Convertible & Income Fund UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

NFJ.N AllianzGI NFJ Dividend Interest & Premium StraUNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

AMOT.O Allied Motion Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AWH Allied World Assurance Company Holding SA UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

ALSN.K Allison Transmission Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 549,000 35% 45% >549,000 75%

ALLT.O Allot Communications Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MDRX.O Allscripts Healthcare Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

ALLY.N Ally Financial Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

AFAM.O Almost Family Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ALNY.O Alnylam Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 210,000 60% 75% >210,000 75%

ALJ.N Alon USA Energy Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

ALDW.K Alon USA Partners LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 120,000 60% 75% >120,000 75%

AOSL.O Alpha & Omega Semiconductor Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ANRZQ.PK Alpha Natural Resources Inc UNITED STAT No No 0.3% 0 - 110,000 25% 110,000 - 650,100 40% 40% 650,100 - 2,200,000 60% 75% >2,200,000 75%

APT Alpha Pro Tech Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ALFA.P AlphaClone Alternative Alpha ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GOOGL.O Alphabet Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 15,000 10% 10% 15,000 - 60,000 25% 40% >60,000 75%

GOOG.O Alphabet Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 15,000 10% 10% 15,000 - 60,000 25% 40% >60,000 75%

ATEC.O Alphatec Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 8,900 25% 8,900 - 17,800 40% 40% 17,800 - 83,700 60% 75% >83,700 75%

AAMC.K Altisource Asset Management Corporation UNITED STAT No Yes 0.3% 0 - 800 25% 800 - 2,400 40% 40% 2,400 - 4,800 60% 75% >4,800 75%

ASPS.O Altisource Portfolio Solutions SA UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

RESI.K Altisource Residential Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

AIMC.O Altra Industrial Motion Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MO.N Altria Group Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 234,100 10% 10% 234,100 - 945,000 20% 40% >945,000 75%

AWCMY.PK Alumina Limited UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 90,000 60% 75% >90,000 75%

ACH.N Aluminum Corporation Of China Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

AMSG.O AmSurg Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

AFSI.O AmTrust Financial Services Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

AMRN.O Amarin Corporation PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 140,000 25% 140,000 - 849,800 40% 40% 849,800 - 2,800,000 60% 75% >2,800,000 75%

AYA.O Amaya Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

AMZN.O Amazon.com Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 23,300 10% 10% 23,300 - 93,700 20% 40% >93,700 75%

AMBC.O Ambac Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

AMBA.O Ambarella Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 276,000 40% 55% >276,000 75%

AMBR.K Amber Road Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 45,000 60% 75% >45,000 75%

ABEV.K Ambev SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 2,400,000 35% 45% >2,400,000 75%

DOX.O Amdocs Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 376,000 35% 45% >376,000 75%

AMFW.K Amec Foster Wheeler PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 350,000 35% 45% >350,000 75%

AMDA.O Amedica Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 300,000 60% 75% >300,000 75%

AMED.O Amedisys Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

AEE.N Ameren Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 776,000 20% 40% >776,000 75%

AMRC.K Ameresco Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

APU AmeriGas Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

AMX.N America Movil S.A.B. de CV UNITED STAT Stockbroking onlyYes 0.3% 0 - 39,200 10% 39,200 - 196,000 20% 20% 196,000 - 784,000 35% 45% >784,000 75%

CRMT.O America's Car-Mart Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AAL.O American Airlines Group Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 1,815,000 40% 55% >1,815,000 75%

APPCQ.PK American Apparel Inc UNITED STAT No No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 525,000 60% 75% >525,000 75%

AAT American Assets Trust Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

AXL.N American Axle & Manufacturing Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

ACC.N American Campus Communities Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AGNC.O American Capital Agency Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 37,800 10% 37,800 - 189,000 20% 20% 189,000 - 756,000 35% 45% >756,000 75%

AGNCP.O American Capital Agency Corporation UNITED STAT Yes Yes 1% 0 - 4,000 10% 4,000 - 28,000 16% 16% 28,000 - 1,700,000 24% 30% >1,700,000 30%

AGNCB.O American Capital Agency Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

ACAS.O American Capital Limited UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

MTGE.O American Capital Mortgage Investment CorporaUNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

AEO.N American Eagle Outfitters Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 1,200,000 35% 45% >1,200,000 75%

AEP.N American Electric Power Co. Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 666,000 20% 40% >666,000 75%

AETI.O American Electric Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AEL.N American Equity Investment Life Holding CompaUNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AXP.N American Express Company UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 93,600 10% 10% 93,600 - 375,000 20% 40% >375,000 75%

AFG.N American Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

AMH American Homes 4 Rent UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 549,000 35% 45% >549,000 75%

AIG.N American International Group Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 169,800 10% 10% 169,800 - 690,000 20% 40% >690,000 75%

AIG_t.N American International Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 100 50% 100 - 300 50% 50% 300 - 600 50% 50% >600 50%

AMID.K American Midstream Partners LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

AMNB.O American National Bankshares Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

ANAT.O American National Insurance Company UNITED STAT Yes Yes 0.3% 0 - 500 10% 500 - 1,500 20% 20% 1,500 - 7,500 35% 45% >7,500 75%

AOBI.PK American Oriental Bioengineering Inc UNITED STAT No No 0.3% 0 - 138,700 25% 138,700 - 277,400 40% 40% 277,400 - 346,700 75% 75% >346,700 75%

APEI.O American Public Education Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

ARII.O American Railcar Industries Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

ARPI.K American Residential Properties Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ASEI.O American Science & Engineering Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 15,500 50% 60% >15,500 75%

AMSWA.O American Software Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,000 60% 75% >16,000 75%

AWR.N American States Water Company UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

AMSC.O American Superconductor Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 900 25% 900 - 1,800 40% 40% 1,800 - 18,000 60% 75% >18,000 75%

AMT.N American Tower Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 100,000 10% 10% 100,000 - 405,000 20% 40% >405,000 75%

AVD American Vanguard Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

AWK.N American Water Works Company Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

AMWD.O American Woodmark Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

AMP.N Ameriprise Financial Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 312,000 20% 40% >312,000 75%

ABCB.O Ameris Ban Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

AMSF.O Amerisafe Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ABC.N AmerisourceBergen Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 488,000 20% 40% >488,000 75%

ATLO.O Ames National Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

AME.N Ametek Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 651,000 20% 40% >651,000 75%

AMGN.O Amgen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 67,200 10% 10% 67,200 - 270,000 20% 40% >270,000 75%

FOLD.O Amicus Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 800,000 60% 75% >800,000 75%

ANFI.K Amira Nature Foods Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

AMKR.O Amkor Technology Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

AMPH.O Amphastar Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

APH.N Amphenol Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 552,000 20% 40% >552,000 75%

BETR.K Amplify Snack Brands Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

AMRS.O Amyris Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

ANAC.O Anacor Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 250,000 60% 75% >250,000 75%

APC.N Anadarko Petroleum Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 102,000 10% 10% 102,000 - 405,000 20% 40% >405,000 75%

ADI.O Analog Devices Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 658,000 20% 40% >658,000 75%






ALOG.O Analogic Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

AVXL.O Anavex Life Sciences Corporation UNITED STAT Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 350,000 60% 75% >350,000 75%

ABCW.O Anchor BanCorp Wisconsin Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ANGI.O Angie's List Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

ANGO.O AngioDynamics Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

AU.N AngloGold Ashanti Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 5% 15,000 - 90,000 10% 10% 90,000 - 960,000 20% 40% >960,000 75%

BUD.N Anheuser-Busch InBev SA NV UNITED STAT Yes Yes 0.3% 0 - 8,200 10% 8,200 - 41,000 20% 20% 41,000 - 164,000 35% 45% >164,000 75%

ANIK.O Anika Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 250,000 60% 75% >250,000 75%

AXE.N Anixter International Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

NLY.N Annaly Capital Management Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 77,100 10% 77,100 - 385,500 20% 20% 385,500 - 1,542,000 35% 45% >1,542,000 75%

NLY_pd.N Annaly Capital Management Inc UNITED STAT Yes No 1% 0 - 4,000 10% 4,000 - 76,000 16% 16% 76,000 - 4,300,000 24% 30% >4,300,000 30%

ANSS.O Ansys Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ATRS.O Antares Pharma Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

AM Antero Midstream Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 50,000 40% 50% >50,000 75%

AR.N Antero Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 426,000 35% 45% >426,000 75%

ANTM.K Anthem Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 376,000 20% 40% >376,000 75%

ANTH.O Anthera Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 351,000 60% 75% >351,000 75%

ANH.N Anworth Mortgage Asset Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

AON.N Aon PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 390,000 20% 40% >390,000 75%

APA.N Apache Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 99,800 10% 10% 99,800 - 400,000 20% 40% >400,000 75%

AIV.N Apartment Investment and Management CompaUNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 90,000 20% 20% 90,000 - 603,000 30% 50% >603,000 75%

APIC.O Apigee Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 32% 32% 12,000 - 40,000 40% 48% >40,000 60%

APOG.O Apogee Enterprises Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

ARI Apollo Commercial Real Estate Finance Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

APOL.O Apollo Education Group Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 520,000 35% 45% >520,000 75%

APO Apollo Global Management LLC UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

AINV.O Apollo Investment Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

AMTG.K Apollo Residential Mortgage Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

APPF.O AppFolio Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

APLE.K Apple Hospitality REIT Inc UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%

AAPL.O Apple Inc UNITED STAT Yes Yes 0.3% 0 - 21,000 5% 21,000 - 105,000 10% 10% 105,000 - 420,000 20% 40% >420,000 75%

AGTC.O Applied Genetic Technologies Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AIT.N Applied Industrial Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

AMAT.O Applied Materials Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 1,750,000 20% 40% >1,750,000 75%

AMCC.O Applied Micro Circuits Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

AAOI.O Applied Optoelectronics Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

AREX.O Approach Resources Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 399,000 60% 75% >399,000 75%

ATR AptarGroup Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

WTR.N Aqua America Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AQXP.O Aquinox Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 100,500 60% 75% >100,500 75%

ARQL.O ArQule Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 70,000 60% 75% >70,000 75%

ARLZ.O Aralez Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 12,500 40% 40% 12,500 - 200,000 60% 75% >200,000 75%

ARMK.K Aramark UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 150,000 35% 45% >150,000 75%

PETX.O Aratana Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 500,000 60% 75% >500,000 75%

ABUS.O Arbutus Biopharma Corporation UNITED STAT Yes - No CR No 0.3% 0 - 15,000 25% 15,000 - 75,000 40% 40% 75,000 - 300,000 50% 60% >300,000 75%

ARCX.K Arc Logistics Partners LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ARCB.O ArcBest Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

RKDA.O Arcadia Biosciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

MT.N ArcelorMittal UNITED STAT Stockbroking onlyNo 0.3% 0 - 20,000 5% 20,000 - 120,000 10% 10% 120,000 - 1,000,000 20% 40% >1,000,000 75%

ACGL.O Arch Capital Group Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

ACIIQ.PK Arch Coal Inc UNITED STAT No Call In 0.3% 0 - 120,000 25% 120,000 - 724,800 40% 40% 724,800 - 2,400,000 60% 75% >2,400,000 75%

ADM.N Archer-Daniels-Midland Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 810,000 20% 40% >810,000 75%

AROC.K Archrock Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

APLP.O Archrock Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ARCO.K Arcos Dorados Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

ACAT.O Arctic Cat Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ARDX.O Ardelyx Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ASC Ardmore Shipping Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ARNA.O Arena Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 36,000 15% 36,000 - 180,000 25% 25% 180,000 - 720,000 40% 55% >720,000 75%

ARCC.O Ares Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

ACRE.K Ares Commercial Real Estate Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 45,000 60% 75% >45,000 75%

ARDC.K Ares Dynamic Credit Allocation Fund Inc UNITED STAT Yes No 0.3% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 42,000 35% 45% >42,000 75%

AGX Argan Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AGII.O Argo Group International Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

ARGS.O Argos Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 13,000 60% 75% >13,000 75%

ARIA.O Ariad Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 1,400,000 60% 75% >1,400,000 75%

ANET.N Arista Networks Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 150,000 40% 55% >150,000 75%

AI Arlington Asset Investment Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

AHH Armada Hoffler Properties Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 30,000 40% 40% 30,000 - 75,000 60% 75% >75,000 75%

AFI Armstrong Flooring Inc UNITED STAT Yes - No CR No 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

AWI Armstrong World Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 450,000 35% 45% >450,000 75%

ARRY.O Array BioPharma Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

GYLD.P Arrow Dow Jones Global Yield ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ARW.N Arrow Electronics Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 297,000 35% 45% >297,000 75%

AROW.O Arrow Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ARWR.O Arrowhead Research Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 400,000 60% 75% >400,000 75%

ARTNA.O Artesian Resources Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

AJG.N Arthur J Gallagher & Company UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

APAM.K Artisan Partners Asset Management Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

AKG.A Asanko Gold Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ABG.N Asbury Automotive Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

ASNA.O Ascena Retail Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

ASCMA.O Ascent Capital Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

ASTI.O Ascent Solar Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 200,000 25% 200,000 - 1,000,000 40% 40% 1,000,000 - 4,000,000 60% 75% >4,000,000 75%

AHP Ashford Hospitality Prime Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,200 25% 1,200 - 6,000 40% 40% 6,000 - 9,600 60% 75% >9,600 75%

AHT.N Ashford Hospitality Trust Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

AINC.A Ashford Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ASH.N Ashland Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 172,000 35% 45% >172,000 75%

AHL Aspen Insurance Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

AZPN.O Aspen Technology Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ASMB.O Assembly Biosciences Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

ASB.N Associated Banc- Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

AC Associated Capital Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AIZ.N Assurant Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 300,000 30% 50% >300,000 75%

AGO.N Assured Guaranty Limited UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 720,000 35% 45% >720,000 75%

ASTE.O Astec Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

AST Asterias Biotherapeutics Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 4,000 40% 40% 4,000 - 10,000 50% 75% >10,000 75%

AF.N Astoria Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

AZN.N AstraZeneca PLC UNITED STAT Yes Yes 0.3% 0 - 12,300 10% 12,300 - 61,500 20% 20% 61,500 - 246,000 35% 45% >246,000 75%

ATRO.O Astronics Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

ATROB.PK Astronics Corporation UNITED STAT No No 0.3% 0 - 400 25% 400 - 600 40% 40% 600 - 3,999,600 75% 75% >3,999,600 ERROR

ATRA.O Atara Biotherapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ATTO.K Atento SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

AFCB.O Athens Bancshares Corporation UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AT Atlantic Power Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

ATNI.O Atlantic Tele-Network Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

AAWW.O Atlas Air Worldwide Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

ATLS.K Atlas Energy Grou PLC UNITED STAT Yes Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

AFH.O Atlas Financial Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

ARP Atlas Resource Partners LP UNITED STAT Yes Call In 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 250,000 50% 60% >250,000 75%

TEAM.O Atlassian Corporation PLC UNITED STAT Yes - No CR No 0.3% 0 - 15,000 10% 15,000 - 75,000 20% 20% 75,000 - 300,000 35% 45% >300,000 75%

ATML.O Atmel Corporation UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 2,100,000 35% 45% >2,100,000 75%

ATO.N Atmos Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ATRC.O AtriCure Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ATTU.O Attunity Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ATW.N Atwood Oceanics Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

AUDC.O AudioCodes Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

AUPH.P Aurinia Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

EARS.O Auris Medical Holding AG UNITED STAT Stockbroking onlyYes 0.3% 0 - 8,000 25% 8,000 - 72,000 40% 40% 72,000 - 240,000 60% 75% >240,000 75%

AN.N AutoNation Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 528,000 30% 50% >528,000 75%

AZO.N AutoZone Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 62,000 20% 40% >62,000 75%

ABTL.O Autobytel Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ADSK.O Autodesk Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 612,000 20% 40% >612,000 75%

ATHM.N Autohome Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 225,000 40% 55% >225,000 75%

ALV.N Autoliv Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 174,000 35% 45% >174,000 75%

ADP.O Automatic Data Processing Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 435,000 20% 40% >435,000 75%

AAVL.O Avalanche Biotechnologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AVLNF.PK Avalon Rare Metals Inc UNITED STAT No No 0.3% 0 - 28,700 25% 28,700 - 57,400 40% 40% 57,400 - 230,100 60% 75% >230,100 75%

AVB.N Avalonbay Communities Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 257,500 20% 40% >257,500 75%

AVY.N Avery Dennison Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 378,000 30% 50% >378,000 75%






AVH.N Avianca Holdings SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 15% 10,000 - 30,000 30% 30% 30,000 - 100,000 45% 60% >100,000 75%

AVNW.O Aviat Networks Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 8,400 25% 8,400 - 16,800 40% 40% 16,800 - 161,700 60% 75% >161,700 75%

AVID.O Avid Technology Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AVIR.O Aviragen Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 34,800 60% 75% >34,800 75%

CAR.O Avis Budget Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 435,000 35% 45% >435,000 75%

AVA.N Avista Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

AV.N Aviva PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,100 20% 1,100 - 2,200 30% 30% 2,200 - 22,000 50% 60% >22,000 75%

AVT.N Avnet Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 385,000 35% 45% >385,000 75%

AVOL.N Avolon Holdings Limited UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

AVP.N Avon Products Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 2,000,000 30% 50% >2,000,000 75%

AXTA.K Axalta Coating Systems Limited UNITED STAT Yes No 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 1,098,000 35% 45% >1,098,000 75%

ACLS.O Axcelis Technologies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

AXLL.K Axiall Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 400,000 35% 45% >400,000 75%

AXPW.O Axion Power International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

AXGN.O AxoGen Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

AXON.K Axovant Sciences Limited UNITED STAT Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

AXSM.O Axsome Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

AZUR.K Azure Midstream Partners LP UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 120,000 60% 75% >120,000 75%

BEAV.O B E Aerospace Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 204,000 35% 45% >204,000 75%

BGS.N B&G Foods Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 35,000 35% 45% >35,000 75%

BATS.K BATS Global Markets Inc UNITED STAT Yes No 0.3% 0 - 7,000 25% 7,000 - 21,000 40% 40% 21,000 - 49,000 50% 60% >49,000 75%

BBT BB&T Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 890,000 20% 40% >890,000 75%

BBCN.O BBCN Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

BFR BBVA Banco Frances SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

BBX BBX Capital Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

BCE.N BCE Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 390,000 35% 45% >390,000 75%

BGCP.O BGC Partners Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

BHP.N BHP Billiton Limited UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 39,900 10% 10% 39,900 - 245,000 20% 40% >245,000 75%

BBL.N BHP Billiton PLC UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 10,000 10% 10% 10,000 - 264,000 20% 40% >264,000 75%

BIND.O BIND Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 31,500 60% 75% >31,500 75%

BJRI.O BJ's Restaurants Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

STCK.O BMC Stock Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

BNCN.O BNC Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

BOKF.O BOK Financial Corporation UNITED STAT Yes Call In 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

BP.N BP PLC UNITED STAT Yes Yes 0.3% 0 - 17,100 5% 17,100 - 85,500 10% 10% 85,500 - 342,000 20% 40% >342,000 75%

BPT.N BP Prudhoe Bay Royalty Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

BPZRQ.PK BPZ Resources Inc UNITED STAT No No 0.3% 0 - 8,000 25% 8,000 - 50,000 40% 40% 50,000 - 160,000 60% 75% >160,000 75%

BRFS.K BRF SA UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

BLMT.O BSB Bancorp Inc. (Maryland) UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 3,500 60% 75% >3,500 75%

BSQR.O BSQUARE Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

BT.N BT Group PLC UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

BWXT.K BWX Technologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 345,000 35% 45% >345,000 75%

BW Babcock & Wilcox Enterprises Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 135,000 40% 55% >135,000 75%

BMI Badger Meter Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BIDU.O Baidu Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 49,700 10% 10% 49,700 - 200,000 20% 40% >200,000 75%

BHI.N Baker Hughes Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 139,500 10% 10% 139,500 - 555,000 20% 40% >555,000 75%

BCPC.O Balchem Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

BWINB.O Baldwin & Lyons Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

BLL.N Ball Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 475,000 20% 40% >475,000 75%

BLDP.O Ballard Power Systems Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

BANC.K Banc of California Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BANF.O BancFirst Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BBVA.K Banco Bilbao Vizcaya Argentaria SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

BBD.N Banco Bradesco SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 56,200 10% 56,200 - 343,300 20% 20% 343,300 - 1,854,600 35% 45% >1,854,600 75%

BBDO.K Banco Bradesco SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

BLX.N Banco Latinoamericano de Comercio Exterior SUNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

BMA.N Banco Macro SA UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

BSBR.K Banco Santander (Brasil) SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

SAN.N Banco Santander SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 5% 25,000 - 150,000 10% 10% 150,000 - 1,850,000 20% 40% >1,850,000 75%

BSAC.K Banco Santander-Chile UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

BCH.N Banco de Chile UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CIB.N Bancolombia SA UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

BXS.N BancorpSouth Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

BKMU.O Bank Mutual Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 58,000 60% 75% >58,000 75%

BAC.N Bank of America Corporation UNITED STAT Yes Yes 0.3% 0 - 100,000 5% 100,000 - 498,000 10% 10% 498,000 - 2,000,000 20% 40% >2,000,000 75%

BOH.N Bank of Hawaii Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

BMRC.O Bank of Marin Ban Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

BMO.N Bank of Montreal UNITED STAT Yes Yes 0.3% 0 - 12,800 10% 12,800 - 64,000 20% 20% 64,000 - 256,000 35% 45% >256,000 75%

OZRK.O Bank of the Ozarks Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 40,000 35% 45% >40,000 75%

BFIN.O BankFinancial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BKU BankUnited Inc UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 350,000 35% 45% >350,000 75%

RATE.N Bankrate Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 250,000 35% 45% >250,000 75%

BANR.O Banner Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

BAA.A Banro Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 27,300 25% 27,300 - 54,600 40% 40% 54,600 - 429,900 60% 75% >429,900 75%

BZUN.O Baozun Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 50% 60% >4,000 75%

BHB.A Bar Harbor Banksh AE UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 3,000 60% 75% >3,000 75%

BCS_pc.N Barclays Bank PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 5% 6,000 - 42,000 10% 10% 42,000 - 1,326,000 18% 22% >1,326,000 38%

BCS.N Barclays PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 9,000 5% 9,000 - 54,900 10% 10% 54,900 - 972,000 20% 40% >972,000 75%

BNED.N Barnes & Noble Education Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BKS.N Barnes & Noble Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

B.N Barnes Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CUDA.K Barracuda Networks Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

BBSI.O Barrett Business Services Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ABX.N Barrick Gold Corporation UNITED STAT Yes Yes 0.3% 0 - 40,900 10% 40,900 - 204,500 20% 20% 204,500 - 818,000 35% 45% >818,000 75%

BAS.N Basic Energy Services Inc UNITED STAT Yes Call In 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

BSET.O Bassett Furniture Industries Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BAX.N Baxter International Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 120,400 10% 10% 120,400 - 480,000 20% 40% >480,000 75%

BV.O Bazaarvoice Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

BECN.O Beacon Roofing Supply Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

BSF.O Bear State Financial Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 8,000 60% 75% >8,000 75%

BZH.N Beazer Homes USA Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

BEBE.O Bebe Stores Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

BDX.N Becton Dickinson and Company UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 292,000 20% 40% >292,000 75%

BBBY.O Bed Bath & Beyond Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 504,000 20% 40% >504,000 75%

BGNE.O BeiGene Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

BELFB.O Bel Fuse Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BDC.N Belden Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

BXE Bellatrix Exploration Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 25% 25,000 - 125,000 40% 40% 125,000 - 250,000 60% 75% >250,000 75%

BLPH.O Bellerophon Therapeutics LLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BLCM.O Bellicum Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

BEL.N Belmond Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

BMS.N Bemis Company Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 324,000 30% 50% >324,000 75%

BHE.N Benchmark Electronics Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

BNCL.O Beneficial Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BNFT.O Benefitfocus Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

BRKb Berkshire Hathaway Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 72,400 10% 10% 72,400 - 288,700 20% 40% >288,700 75%

BHLB.K Berkshire Hills Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

BERY.K Berry Plastics Group Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

BBY.N Best Buy Co. Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 45,000 5% 45,000 - 335,700 10% 10% 335,700 - 1,350,000 20% 40% >1,350,000 75%

BGFV.O Big 5 Sporting Goods Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

BIG.N Big Lots Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

BH Biglari Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 3,000 25% 25% 3,000 - 5,000 40% 55% >5,000 75%

BBG Bill Barrett Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 501,000 40% 55% >501,000 75%

BIO Bio-Rad Laboratories Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

TECH.O Bio-Techne Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

BCRX.O BioCryst Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

BDSI.O BioDelivery Sciences International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 250,000 60% 75% >250,000 75%

BLFS.O BioLife Solutions Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

BLRX.O BioLineRx Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 12,000 40% 40% 12,000 - 372,000 60% 75% >372,000 75%

BMRN.O BioMarin Pharmaceutical Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 11,000 25% 11,000 - 55,000 40% 40% 55,000 - 220,000 60% 75% >220,000 75%

BMR.N BioMed Realty Trust Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 700,000 35% 45% >700,000 75%

BIOS.O BioScrip Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 300,000 40% 55% >300,000 75%

BBC.O BioShares(TM) Biotechnology Clinical Trials FunUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BBP.O BioShares(TM) Biotechnology Products Fund UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BSTC.O BioSpecifics Technologies Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BEAT.O BioTelemetry Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

BTX.A BioTime Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 95,000 60% 75% >95,000 75%

BIOC.O Biocept Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 12,000 25% 12,000 - 48,000 40% 40% 48,000 - 84,000 60% 75% >84,000 75%

BIIB.O Biogen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 25,300 10% 10% 25,300 - 100,000 20% 40% >100,000 75%

BVXV.O BiondVax Pharmaceuticals Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%






BITA.K Bitauto Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

BBOX.O Black Box Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BDE.O Black Diamond Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

BKH Black Hills Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

BKFS.K Black Knight Financial Services Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 24,000 32% 32% 24,000 - 80,000 40% 48% >80,000 60%

BSM Black Stone Minerals LP UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 950,000 60% 75% >950,000 75%

BBRY.O BlackBerry Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 92,700 10% 92,700 - 463,500 20% 20% 463,500 - 1,854,000 35% 45% >1,854,000 75%

BKCC.O BlackRock Capital Investment Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

HYT BlackRock Corporate High Yield Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 180,000 35% 45% >180,000 75%

BDJ BlackRock Enhanced Equity Dividend Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 150,000 35% 45% >150,000 75%

EGF.N BlackRock Enhanced Government Fund Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

BLK.N BlackRock Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 27,500 10% 10% 27,500 - 110,000 20% 40% >110,000 75%

BGY.N BlackRock International Growth and Income TruUNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

BLW.N BlackRock Limited Duration Income Trust UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

MNE.N BlackRock Muni New York Intermediate DurationUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

MUA.N BlackRock MuniAssets Fund Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%

MUS BlackRock MuniHoldings Quality Fund Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BSD.N BlackRock Strategic Municipal Trust UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%

BBN.N BlackRock Taxable Municipal Bond Trust UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

BLKB.O Blackbaud Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

HAWK.O Blackhawk Network Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 12,000 28% 28% 12,000 - 75,000 40% 48% >75,000 75%

BXMT.N Blackstone Mortgage Trust Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 200,000 40% 55% >200,000 75%

BLMN.O Bloomin' Brands Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

BLT Blount International Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

BCOR.O Blucora Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

BLBD.O Blue Bird Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,000 60% 75% >14,000 75%

BHBK.O Blue Hills Bancorp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

NILE.O Blue Nile Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

ITEQ.O BlueStar TA-BIGITech(TM) Israel Technology ETUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BKEP.O Blueknight Energy Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 34,000 60% 75% >34,000 75%

BPMC.O Blueprint Medicines Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

BRG Bluerock Residential Growth REIT Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BWP Boardwalk Pipeline Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 624,000 35% 45% >624,000 75%

BOBE.O Bob Evans Farms Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

BODY.PK Body Central Corporation UNITED STAT No No 0.3% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 10,000 60% 75% >10,000 75%

BOFI.O BofI Holding Inc UNITED STAT Yes Yes 0.3% 0 - 60,000 10% 60,000 - 360,000 20% 20% 360,000 - 600,000 35% 45% >600,000 75%

WIFI.O Boingo Wireless Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

BCC Boise Cascade Company UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

BOJA.O Bojangles' Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

BONT.O Bon-Ton Stores Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 25% 20,000 - 80,000 40% 40% 80,000 - 120,000 60% 75% >120,000 75%

BONA.O Bona Film Group Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

BCEI.K Bonanza Creek Energy Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

BOOT.K Boot Barn Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 25,000 40% 40% 25,000 - 45,000 50% 60% >45,000 75%

BAH.N Booz Allen Hamilton Holding Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

BWA.N BorgWarner Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 576,000 20% 40% >576,000 75%

SAM.N Boston Beer Co. Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

BPFH.O Boston Private Financial Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 225,000 40% 55% >225,000 75%

BXP.N Boston Properties Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 300,000 20% 40% >300,000 75%

BSX.N Boston Scientific Corporation UNITED STAT Yes Yes 0.3% 0 - 18,700 10% 18,700 - 130,900 20% 20% 130,900 - 748,000 30% 50% >748,000 75%

EPAY.O Bottomline Technologies (de) Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

BDBD.O Boulder Brands Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 501,000 35% 45% >501,000 75%

BIF Boulder Growth & Income Fund Inc UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

BOX Box Inc UNITED STAT Yes No 0.3% 0 - 5,000 20% 5,000 - 30,000 32% 32% 30,000 - 50,000 40% 48% >50,000 60%

TEUFF.PK Box Ships Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BYD.N Boyd Gaming Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

BRC.N Brady Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

BDN.N Brandywine Realty Trust UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

BAK Braskem SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 225,000 40% 55% >225,000 75%

BBRG.O Bravo Brio Restaurant Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

BBEP.O Breitburn Energy Partners LP UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 45% >400,000 75%

BDGE.O Bridge Bancorp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,000 60% 75% >16,000 75%

BPI Bridgepoint Education Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

BGG.N Briggs & Stratton Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

BFAM.N Bright Horizons Family Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

BCOV.O Brightcove Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

EAT.N Brinker International Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 330,000 35% 45% >330,000 75%

BMY.N Bristol-Myers Squibb Company UNITED STAT Yes - No CR Yes 0.3% 0 - 30,000 5% 30,000 - 153,000 10% 10% 153,000 - 600,000 20% 40% >600,000 75%

BRS.N Bristow Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

BRX Brixmor Property Group Inc UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 576,000 35% 45% >576,000 75%

BSFT.O BroadSoft Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

BRCM.O Broadcom Corporation UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 266,000 10% 10% 266,000 - 1,050,000 20% 40% >1,050,000 75%

AVGO.O Broadcom Limited UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 576,000 20% 40% >576,000 75%

BR.N Broadridge Financial Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

BRCD.O Brocade Communications Systems Inc UNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 1,710,000 35% 45% >1,710,000 75%

BKD.N Brookdale Senior Living Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

BAM.N Brookfield Asset Management Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 37,500 20% 20% 37,500 - 120,000 35% 45% >120,000 75%

BIP.N Brookfield Infrastructure Partners LP UNITED STAT Yes Call In 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

BPY.N Brookfield Property Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

BEP Brookfield Renewable Energy Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HTR Brookfield Total Return Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

BRKL.O Brookline Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

BRKS.O Brooks Automation Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

BRO.N Brown & Brown Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

BFb.N Brown-Forman Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 190,500 20% 40% >190,500 75%

BFa Brown-Forman Corporation UNITED STAT Yes No 0.3% 0 - 100 25% 100 - 300 40% 40% 300 - 500 60% 75% >500 75%

BRKR.O Bruker Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

BC.N Brunswick Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 385,000 35% 45% >385,000 75%

BMTC.O Bryn Mawr Bank Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

BPL.N Buckeye Partners LP UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

BWLD.O Buffalo Wild Wings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 126,000 35% 45% >126,000 75%

BBW Build-A-Bear Workshop Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 125,000 60% 75% >125,000 75%

BLDR.O Builders FirstSource Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 82,000 60% 75% >82,000 75%

BG.N Bunge Limited UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 210,000 35% 45% >210,000 75%

BURL.N Burlington Stores Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

CJES.K C&J Energy Services Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

BNK C1 Financial Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CA.O CA Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,010,000 20% 40% >1,010,000 75%

CACI.K CACI International Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

CAI CAI International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CRR.N CARBO Ceramics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 137,500 35% 45% >137,500 75%

CBZ CBIZ Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CBL.N CBL & Associates Properties Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 975,000 35% 45% >975,000 75%

CBOE.O CBOE Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CBG.N CBRE Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,230,000 20% 40% >1,230,000 75%

CBSa CBS Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 3,500 75% 75% >3,500 75%

CBS.N CBS Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 128,100 10% 10% 128,100 - 510,000 20% 40% >510,000 75%

CDI CDI Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 27,000 40% 40% 27,000 - 45,000 60% 75% >45,000 75%

CDK.O CDK Global Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 300,000 35% 45% >300,000 75%

CDW.O CDW Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 300,000 60% 75% >300,000 75%

CEB.N CEB Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

CECE.O CECO Environmental Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CVM.A CEL-SCI Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

CX.N CEMEX S.A.B. de CV UNITED STAT Stockbroking onlyYes 0.3% 0 - 64,000 10% 64,000 - 320,000 20% 20% 320,000 - 1,280,000 35% 45% >1,280,000 75%

CEVA.O CEVA Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CF.N CF Industries Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 144,000 20% 40% >144,000 75%

CGG.N CGG UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 18,700 60% 75% >18,700 75%

GIB.N CGI Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

CHRW.O CH Robinson Worldwide Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 610,000 20% 40% >610,000 75%

CIFC.O CIFC LLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

CIR.N CIRCOR International Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 40,000 40% 55% >40,000 75%

CIT.N CIT Group Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 351,000 35% 45% >351,000 75%

CLC.N CLARCOR Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

CME.O CME Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 430,000 20% 40% >430,000 75%

CMS.N CMS Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,170,000 20% 40% >1,170,000 75%

CNA.N CNA Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

CCNE.O CNB Financial Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CNHI.K CNH Industrial NV UNITED STAT Yes Yes 0.3% 0 - 100,000 10% 100,000 - 300,000 20% 20% 300,000 - 600,000 30% 35% >600,000 75%

CNO.N CNO Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CEO.N CNOOC Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

CNXC.K CNX Coal Resources LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%






CISG.O CNinsure Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CNNX.K CONE Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 70,000 60% 75% >70,000 75%

CNMD.O CONMED Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

CNX.N CONSOL Energy Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 868,000 20% 40% >868,000 75%

CPL.N CPFL Energia SA UNITED STAT No Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

PMTS.O CPI Card Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

BCR.N CR Bard Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 240,000 20% 40% >240,000 75%

CRAI.O CRA International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CRH.N CRH PLC UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

CSGS.O CSG Systems International Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

CCLP.O CSI Compressco LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

AFTY.P CSOP FTSE China A50 ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CSRA.K CSRA Inc UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 752,000 35% 45% >752,000 75%

CSS CSS Industries Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CST.N CST Brands Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CSX.O CSX Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 1,200,000 20% 40% >1,200,000 75%

CTCM.O CTC Media Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

CTIC.O CTI BioPharma Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 70,000 20% 70,000 - 424,900 30% 30% 424,900 - 1,400,000 50% 60% >1,400,000 75%

CTS CTS Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CUNB.O CU Ban Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

CUI.O CUI Global Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 110,000 60% 75% >110,000 75%

CVBF.O CVB Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

CVI.N CVR Energy Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

UAN CVR Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CVRR.K CVR Refining LP UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

CVS.N CVS Health Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 119,000 10% 10% 119,000 - 480,000 20% 40% >480,000 75%

CVSL.P CVSL Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 50,000 60% 75% >50,000 75%

CYS.N CYS Investments Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 25% 8,000 - 48,000 40% 40% 48,000 - 1,528,000 60% 75% >1,528,000 75%

CAB.N Cabela's Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 260,000 35% 45% >260,000 75%

CABO.K Cable ONE Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

CVC.N Cablevision Systems Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

CBT.N Cabot Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

CCMP.O Cabot Microelectronics Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

COG.N Cabot Oil & Gas Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 860,000 20% 40% >860,000 75%

CDNS.O Cadence Design Systems Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 1,140,000 35% 45% >1,140,000 75%

CDZI.O Cadiz Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 20,000 60% 75% >20,000 75%

CSTE.O CaesarStone Sdot-Yam Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 150,000 35% 45% >150,000 75%

CACQ.O Caesars Acquisition Company UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 16,000 40% 40% 16,000 - 28,000 60% 75% >28,000 75%

CZR.O Caesars Entertainment Corporation UNITED STAT Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 450,000 35% 45% >450,000 75%

CALM.O Cal-Maine Foods Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CAMP.O CalAmp Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CAA.N CalAtlantic Group Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 390,000 35% 45% >390,000 75%

CLBS.O Caladrius Biosciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

CLMS.O Calamos Asset Management Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CVWG.O Calavo Growers Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CAL.N Caleres Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

CCC.N Calgon Carbon Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

CRC.N California Resources Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 25,000 50% 75% >25,000 75%

CWT.N California Water Service Group UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

CALA.O Calithera Biosciences Inc UNITED STAT Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 60% >200,000 75%

CALX.K Calix Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

ELY.N Callaway Golf Company UNITED STAT Yes Yes 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

CALD.O Callidus Software Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

CPE.N Callon Petroleum Company UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 20% 6,000 - 36,000 30% 30% 36,000 - 540,000 50% 60% >540,000 75%

CPN.N Calpine Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 800,000 35% 45% >800,000 75%

CLMT.O Calumet Specialty Products Partners LP UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

ABCD.O Cambium Learning Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CBM Cambrex Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

CAC.O Camden National Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CPT.N Camden Property Trust UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 255,000 35% 45% >255,000 75%

CCJ.N Cameco Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 760,000 35% 45% >760,000 75%

CAM.N Cameron International Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 136,300 10% 10% 136,300 - 540,000 20% 40% >540,000 75%

CPB.N Campbell Soup Company UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 776,000 20% 40% >776,000 75%

CCG.N Campus Crest Communities Inc UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 280,000 60% 75% >280,000 75%

CANF.P Can-Fite BioPharma Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CNI.N Canadian National Railway Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 300,000 35% 45% >300,000 75%

CNQ.N Canadian Natural Resources Limited UNITED STAT Yes Yes 0.3% 0 - 23,800 10% 23,800 - 119,000 20% 20% 119,000 - 476,000 35% 45% >476,000 75%

CP.N Canadian Pacific Railway Limited UNITED STAT Yes Yes 0.3% 0 - 5,400 10% 5,400 - 27,000 20% 20% 27,000 - 108,000 35% 45% >108,000 75%

CSIQ.O Canadian Solar Inc UNITED STAT Yes Yes 0.3% 0 - 22,100 10% 22,100 - 110,500 20% 20% 110,500 - 442,000 35% 45% >442,000 75%

CGIX.O Cancer Genetics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CAJ.N Canon Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CMN Cantel Medical Corporation UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 50,000 60% 75% >50,000 75%

CBNJ.O Cape Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CPLA.O Capella Education Company UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

CBF.O Capital Bank Financial Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 20,000 25% 25% 20,000 - 50,000 40% 55% >50,000 75%

CCBG.O Capital City Bank Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

COF.N Capital One Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 114,900 10% 10% 114,900 - 465,000 20% 40% >465,000 75%

CPLP.O Capital Product Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 210,000 60% 75% >210,000 75%

CSU Capital Senior Living Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

CSWC.O Capital Southwest Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CFFN.O Capitol Federal Financial Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

CAPN.O Capnia Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CMO.N Capstead Mortgage Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

CPST.O Capstone Turbine Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 13,500 30% 30% 13,500 - 45,000 50% 60% >45,000 75%

KMX.N CarMax Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 702,000 20% 40% >702,000 75%

CARA.O Cara Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

CARB.O Carbonite Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CBYL.O Carbylan Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CFNL.O Cardinal Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CAH.N Cardinal Health Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 472,000 20% 40% >472,000 75%

CRME.O Cardiome Pharma Corporation UNITED STAT Yes - No CR Call In 0.3% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 34,000 60% 75% >34,000 75%

CSII.O Cardiovascular Systems Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

CATM.O Cardtronics Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CCP Care Capital Properties Inc UNITED STAT Yes No 0.3% 0 - 1,000 20% 1,000 - 6,000 32% 32% 6,000 - 20,000 40% 48% >20,000 70%

CRCM.K Care.com Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CDNA.O CareDx Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CTRE.O CareTrust REIT Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CECO.O Career Education Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 400,000 50% 60% >400,000 75%

CSL.N Carlisle Companies Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CKEC.O Carmike Cinemas Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

CCL.N Carnival Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 810,000 20% 40% >810,000 75%

CARO.O Carolina Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

CRS.N Carpenter Technology Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CSV.N Carriage Services Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CRZO.O Carrizo Oil & Gas Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 387,000 35% 45% >387,000 75%

TAST.O Carrols Restaurant Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CRI.N Carter's Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 245,000 35% 45% >245,000 75%

CACB.O Cascade Ban Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CSCD.O Cascade Microtech Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CWST.O Casella Waste Systems Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CASY.O Casey's General Stores Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

CSH.N Cash America International Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

CASS.O Cass Information Systems Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 10,000 60% 75% >10,000 75%

ROX.A Castle Brands Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

CSLT.N Castlight Health Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 99,000 35% 45% >99,000 75%

CATB.O Catabasis Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 5,000 40% 40% 5,000 - 8,000 60% 75% >8,000 75%

CTLT.N Catalent Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 300,000 35% 45% >300,000 75%

CBIO.O Catalyst Biosciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

CPRX.O Catalyst Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 305,000 60% 75% >305,000 75%

CTT CatchMark Timber Trust Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CAT.N Caterpillar Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 86,200 10% 10% 86,200 - 345,000 20% 40% >345,000 75%

CATY.O Cathay General Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

CVCO.O Cavco Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

CAVM.O Cavium Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

FUN Cedar Fair LP UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

CDR Cedar Realty Trust Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 10,000 40% 40% 10,000 - 100,000 60% 75% >100,000 75%

CGI Celadon Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

CE.N Celanese Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 310,000 35% 45% >310,000 75%

CPXX.O Celator Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

CLS.N Celestica Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%






CELG.O Celgene Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 101,600 10% 10% 101,600 - 400,000 20% 40% >400,000 75%

CEL.N Cellcom Israel Limited UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

CLDX.O Celldex Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 600,000 60% 75% >600,000 75%

CLLS.O Cellectis SA UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 10,000 32% 32% 10,000 - 50,000 40% 48% >50,000 60%

CBMG.O Cellular Biomedicine Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CPAC.K Cementos Pacasmayo SAA UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CEMP.O Cempra Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

CETX.O Cemtrex Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CVE.N Cenovus Energy Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

CNC.N Centene Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 268,000 35% 45% >268,000 75%

CNP.N CenterPoint Energy Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,380,000 20% 40% >1,380,000 75%

CSFL.O CenterState Banks Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CETV.O Central European Media Enterprises Limited UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

CEF.A Central Fund of Canada Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

CENT.O Central Garden & Pet Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CENTA.O Central Garden & Pet Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CPF Central Pacific Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

LEU.N Centrus Energy Corporation UNITED STAT No No 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

CENX.O Century Aluminum Company UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

CNBKA.O Century Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CCS.N Century Communities Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CTL.N CenturyLink Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,080,000 20% 40% >1,080,000 75%

CPHD.O Cepheid UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

CRNT.O Ceragon Networks Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,500 25% 5,500 - 11,000 40% 40% 11,000 - 110,000 60% 75% >110,000 75%

CERN.O Cerner Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 552,000 20% 40% >552,000 75%

CERU.O Cerulean Pharma Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CERS.O Cerus Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 450,000 60% 75% >450,000 75%

CYOU.O Changyou.com Limited UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

ECOM.K ChannelAdvisor Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

CTHR.O Charles & Colvard Limited UNITED STAT Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

CRL.N Charles River Laboratories International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

GTLS.O Chart Industries Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 188,000 35% 45% >188,000 75%

CHTR.O Charter Communications Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 258,000 20% 40% >258,000 75%

CHFN.O Charter Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

CCF Chase Corporation UNITED STAT Yes - No CR No 0.3% 0 - 500 25% 500 - 1,500 40% 40% 1,500 - 2,500 60% 75% >2,500 75%

CLDT.K Chatham Lodging Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

CHKP.O Check Point Software Technologies Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 498,000 20% 40% >498,000 75%

CKP.N Checkpoint Systems Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

CMCM.K Cheetah Mobile Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 175,000 60% 75% >175,000 75%

CHGG.N Chegg Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 16,000 40% 40% 16,000 - 80,000 50% 60% >80,000 75%

CHE.N Chemed Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SQM.N Chemical & Mining Co. of Chile Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

CHFC.O Chemical Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CCXI.O ChemoCentryx Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,100 25% 2,100 - 8,400 40% 40% 8,400 - 98,700 60% 75% >98,700 75%

CHMT.K Chemtura Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 10,000 20% 20% 10,000 - 450,000 35% 45% >450,000 75%

LNG.A Cheniere Energy Inc UNITED STAT Yes Yes 0.3% 0 - 17,700 25% 17,700 - 88,500 40% 40% 88,500 - 354,000 60% 75% >354,000 75%

CHKE.O Cherokee Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

CHK.N Chesapeake Energy Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 35,000 5% 35,000 - 331,100 10% 10% 331,100 - 1,330,000 20% 40% >1,330,000 75%

CHSP.K Chesapeake Lodging Trust UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 68,000 60% 75% >68,000 75%

CPK Chesapeake Utilities Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CHEV.O Cheviot Financial Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CVX.N Chevron Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 73,300 10% 10% 73,300 - 292,500 20% 40% >292,500 75%

CHMA.O Chiasma Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

CBI.N Chicago Bridge & Iron Company NV UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 210,000 35% 45% >210,000 75%

CHS.N Chico's FAS Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 975,000 35% 45% >975,000 75%

CIM.N Chimera Investment Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CMRX.O Chimerix Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

CAAS.O China Automotive Systems Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 22,000 60% 75% >22,000 75%

CBPO.O China Biologic Products Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 15,000 40% 40% 15,000 - 40,000 50% 60% >40,000 75%

CO China Cord Blood Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

STV.N China Digital TV Holding Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,600 25% 5,600 - 11,200 40% 40% 11,200 - 112,000 60% 75% >112,000 75%

DL.N China Distance Education Holdings Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CEA China Eastern Airlines Corporation Limited UNITED STAT Yes - No CR No 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 36,000 40% 55% >36,000 75%

JRJC.O China Finance Online Company Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 225,000 60% 75% >225,000 75%

CHOPF.PK China Gerui Advanced Materials Group Limited UNITED STAT No No 0.3% 0 - 1,600 25% 1,600 - 3,200 40% 40% 3,200 - 4,400 60% 75% >4,400 75%

CGA China Green Agriculture Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HGSH.O China HGS Real Estate Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

CJJD.O China Jo-Jo Drugstores Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

LFC.N China Life Insurance Company Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 60,000 35% 45% >60,000 75%

HTHT.O China Lodging Group Limited UNITED STAT Yes Call In 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

CHL.N China Mobile Limited UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 343,000 35% 45% >343,000 75%

NPD China Nepstar Chain Drugstore Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 18,000 40% 40% 18,000 - 72,000 60% 75% >72,000 75%

SNP.N China Petroleum & Chemical Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

CREG.O China Recycling Energy Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 350,000 60% 75% >350,000 75%

ZNH.N China Southern Airlines Company Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 19,200 60% 75% >19,200 75%

CHU.N China Unicom (Hong Kong) Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

CYD China Yuchai International Limited UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ZX China Zenix Auto International Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

CCIH.O ChinaCache International Holdings Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

IMOS.O ChipMOS TECHNOLOGIES (Bermuda) LimitedUNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 24,000 25% 25% 24,000 - 152,000 40% 55% >152,000 75%

CMG.N Chipotle Mexican Grill Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 5% 1,000 - 10,000 10% 10% 10,000 - 60,000 20% 40% >60,000 75%

CHH.N Choice Hotels International Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

CBK Christopher & Banks Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 250,500 60% 75% >250,500 75%

CB.N Chubb Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 388,000 20% 40% >388,000 75%

CHD.N Church & Dwight Co. Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 256,000 35% 45% >256,000 75%

CHDN.O Churchill Downs Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%

CHUY.O Chuy's Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

CBR.N Ciber Inc UNITED STAT Yes Yes 0.3% 0 - 3,800 25% 3,800 - 7,600 40% 40% 7,600 - 76,000 60% 75% >76,000 75%

CDTX.O Cidara Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CIEN.K Ciena Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 166,500 20% 20% 166,500 - 660,000 35% 45% >660,000 75%

CI.N Cigna Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 426,000 20% 40% >426,000 75%

XEC.N Cimarex Energy Company UNITED STAT Yes Yes 0.3% 0 - 7,600 10% 7,600 - 38,000 20% 20% 38,000 - 152,000 35% 45% >152,000 75%

CMPR.O Cimpress NV UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

CBB.N Cincinnati Bell Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

CINF.O Cincinnati Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 300,000 20% 40% >300,000 75%

CNK Cinemark Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

CTAS.O Cintas Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 276,000 20% 40% >276,000 75%

CPHR.O Cipher Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

CRUS.O Cirrus Logic Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

CSCO.O Cisco Systems Inc UNITED STAT Yes Yes 0.3% 0 - 70,000 5% 70,000 - 368,900 10% 10% 368,900 - 1,470,000 20% 40% >1,470,000 75%

CTRN.O Citi Trends Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

C.N Citigroup Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 168,000 10% 10% 168,000 - 673,700 20% 40% >673,700 75%

CZNC.O Citizens & Northern Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 7,500 60% 75% >7,500 75%

CFG.N Citizens Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 60,000 35% 45% >60,000 75%

CIA Citizens Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CTXS.O Citrix Systems Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 584,000 20% 40% >584,000 75%

CHCO.O City Holding Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CIO City Office Reit Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 100 25% 100 - 600 40% 40% 600 - 3,000 60% 75% >3,000 75%

CVEO.N Civeo Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 15,000 30% 30% 15,000 - 30,000 45% 60% >30,000 75%

CIVI.N Civitas Solutions Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

CWEI.K Clayton Williams Energy Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

CDTI.O Clean Diesel Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

CLNE.O Clean Energy Fuels Corporation UNITED STAT Yes Call In 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

CLH Clean Harbors Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

CCO Clear Channel Outdoor Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CTR.N ClearBridge Energy MLP Total Return Fund Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

CLRO.O ClearOne Inc UNITED STAT Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

CLFD.O Clearfield Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CLW Clearwater Paper Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 65,000 40% 55% >65,000 75%

CNL.N Cleco Corporation UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

CBLI.O Cleveland BioLabs Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CLF.N Cliffs Natural Resources Inc UNITED STAT Yes Call In 0.3% 0 - 60,000 10% 60,000 - 359,400 20% 20% 359,400 - 1,440,000 30% 50% >1,440,000 75%

CSBK.O Clifton Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 24,000 60% 75% >24,000 75%

CLD.N Cloud Peak Energy Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

GLO.A Clough Global Opportunities Fund UNITED STAT Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 26,000 60% 75% >26,000 75%

CLVS.O Clovis Oncology Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 300,000 60% 75% >300,000 75%

MYCC.K ClubCorp Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

COBZ.O CoBiz Financial Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 35,000 60% 75% >35,000 75%

CLCD.O CoLucid Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CSGP.O CoStar Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%






COH.N Coach Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 690,000 20% 40% >690,000 75%

CIE.N Cobalt International Energy Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 45,000 25% 45,000 - 246,600 40% 40% 246,600 - 990,000 60% 75% >990,000 75%

COKE.O Coca-Cola Bottling Co. Consolid AE UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CCE.N Coca-Cola Enterprises Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 720,000 20% 40% >720,000 75%

KOF.N Coca-Cola FEMSA S.A.B de CV UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

CDRB.O Code Rebel Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 2,500 40% 40% 2,500 - 3,500 60% 75% >3,500 75%

CDXS.O Codexis Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CDE.N Coeur Mining Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CCOI.O Cogent Communications Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 150,000 35% 45% >150,000 75%

CGNX.O Cognex Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

CTSH.O Cognizant Technology Solutions Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 330,000 20% 40% >330,000 75%

CNS Cohen & Steers Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

COHR.O Coherent Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

CHRS.O Coherus Biosciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

COHU.O Cohu Inc UNITED STAT Yes Yes 0.3% 0 - 1,700 25% 1,700 - 3,400 40% 40% 3,400 - 25,900 60% 75% >25,900 75%

CFX.N Colfax Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

CL.N Colgate-Palmolive Company UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 132,500 10% 10% 132,500 - 530,000 20% 40% >530,000 75%

CLCT.O Collectors Universe Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,000 60% 75% >3,000 75%

COLL.O Collegium Pharmaceutical Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 45,000 60% 75% >45,000 75%

CIGI.O Colliers International Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CLNY.K Colony Capital Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 500,000 60% 75% >500,000 75%

SFR Colony Starwood Homes UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

COLB.O Columbia Banking System Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

USA.N Columbia Funds Trust XII - Liberty All Star EquitUNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

CPGX.K Columbia Pipeline Group Inc UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 724,000 35% 45% >724,000 75%

CPPL.N Columbia Pipeline Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

CXP Columbia Property Trust Inc UNITED STAT Yes No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

COLM.O Columbia Sportswear Company UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

CMCO.O Columbus McKinnon Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CMCSA.O Comcast Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 155,100 10% 10% 155,100 - 630,000 20% 40% >630,000 75%

CMA.N Comerica Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 696,000 20% 40% >696,000 75%

FIX.N Comfort Systems USA Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

COMM.O CommScope Holding Company Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 140,000 40% 55% >140,000 75%

CVLT.O CommVault Systems Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 238,000 35% 45% >238,000 75%

CBSH.O Commerce Bancshares Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

CMC.N Commercial Metals Company UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

CVGI.O Commercial Vehicle Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 55,000 60% 75% >55,000 75%

CSAL.O Communications Sales & Leasing Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

CBU Community Bank System Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

CYH.N Community Health Systems Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 400,000 35% 45% >400,000 75%

CYHHZ.O Community Health Systems Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 150,000 50% 60% >150,000 75%

CTBI.O Community Trust Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,000 60% 75% >14,000 75%

COB.O CommunityOne Ban Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CBD.N Companhia Brasileira de Distribuicao UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 274,500 35% 45% >274,500 75%

CIG.N Companhia Energetica de Minas Gerais SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

ELP.N Companhia Paranaense de Energia - COPEL UNITED STAT Stockbroking onlyYes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

SID.N Companhia Siderurgica Nacional UNITED STAT Stockbroking onlyCall In 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 3,420,000 35% 45% >3,420,000 75%

SBS.N Companhia de Saneamento Basico do Estado dUNITED STAT Stockbroking onlyNo 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 1,428,000 35% 45% >1,428,000 75%

CCU.N Compania Cervecerias Unidas SA UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

BVN.N Compania de Minas Buenaventur ASA UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

CMP.N Compass Minerals International Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

CGEN.O Compugen Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 20% 4,000 - 24,000 30% 30% 24,000 - 250,000 50% 60% >250,000 75%

CPSI.O Computer Programs & Systems Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

CSC.N Computer Sciences Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 525,000 20% 40% >525,000 75%

CRK.N Comstock Resources Inc UNITED STAT Yes Call In 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

CMTL.O Comtech Telecommunications Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

CAG.N ConAgra Foods Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,130,000 20% 40% >1,130,000 75%

CNAT.O Conatus Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

CNCE.O Concert Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 55,000 60% 75% >55,000 75%

CXO.N Concho Resources Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,400 10% 7,400 - 37,000 20% 20% 37,000 - 148,000 35% 45% >148,000 75%

CCM Concord Medical Services Holdings Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

CXRX.O Concordia Healthcare Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

CFMS.O ConforMIS Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

CNOB.O ConnectOne Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 60,000 60% 75% >60,000 75%

CTWS.O Connecticut Water Service Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

CNXR.O Connecture Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

CONN.O Conns Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 351,000 60% 75% >351,000 75%

COP.N ConocoPhil LP UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 127,000 10% 10% 127,000 - 500,000 20% 40% >500,000 75%

CNSL.O Consolidated Communications Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

ED.N Consolidated Edison Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 606,000 20% 40% >606,000 75%

CTO Consolidated Tomoka Land Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

CWCO.O Consolidated Water Company Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,300 25% 1,300 - 6,500 40% 40% 6,500 - 40,300 60% 75% >40,300 75%

CTCT.O Constant Contact Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

STZ.N Constellation Brands Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 420,000 30% 50% >420,000 75%

CSTM.K Constellium N.V UNITED STAT Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 376,000 35% 45% >376,000 75%

XLY.P Consumer Discretionary Select Sector SPDR(rUNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

XLP.P Consumer Staples Select Sector SPDR(r) FundUNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

MCF.A Contango Oil & Gas Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CBPX.K Continental Building Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CLR.N Continental Resources Inc UNITED STAT Yes Yes 0.3% 0 - 7,300 10% 7,300 - 36,500 20% 20% 36,500 - 146,000 35% 45% >146,000 75%

CTRV.O ContraVir Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 21,000 60% 75% >21,000 75%

CTRL.O Control4 Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

VLRS.K Controladora Vuela Compania de Aviacion S.A.BUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

CVG.N Convergys Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

CTB.N Cooper Tire & Rubber Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CPS.N Cooper-Standard Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

CPA.N Copa Holdings SA UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 115,000 35% 45% >115,000 75%

CPRT.O Copart Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

CORR.K CorEnergy Infrastructure Trust Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

CRMD.P CorMedix Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 60,000 60% 75% >60,000 75%

CRVL.O CorVel Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

CRBP.O Corbus Pharmaceuticals Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

CORT.O Corcept Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CLB.N Core Laboratories NV UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 90,000 35% 45% >90,000 75%

CMT.A Core Molding Technologies Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 22,000 60% 75% >22,000 75%

CORE.O Core-Mark Holding Company Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

CLGX.K CoreLogic Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

COR CoreSite Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

CVRS.P Corindus Vascular Robotics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

CORI.O Corium International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

CSOD.O Cornerstone OnDemand Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 475,000 40% 55% >475,000 75%

GLW.N Corning Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 5% 50,000 - 435,500 10% 10% 435,500 - 1,750,000 20% 40% >1,750,000 75%

BCA.N CorpBanca UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

OFC.N Corporate Office Properties Trust UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CXW.N Corrections Corporation of America UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CZZ.N Cosan Limited UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

CMRE.K Costamare Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 45,000 40% 60% >45,000 75%

COST.O Costco Wholesale Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 71,600 10% 10% 71,600 - 288,000 20% 40% >288,000 75%

COT.N Cott Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

COTY.N Coty Inc UNITED STAT Yes Call In 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

CUZ.N Cousins Properties Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

CVA.N Covanta Holding Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 915,000 35% 45% >915,000 75%

CVTI.O Covenant Transportation Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

COVS.O Covisint Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

COWN.O Cowen Group Inc UNITED STAT Yes No 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 450,000 40% 55% >450,000 75%

CBRL.O Cracker Barrel Old Country Store Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

BREW.O Craft Brew Alliance Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CR.N Crane Company UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

CRDb.N Crawford & Company UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 14,000 60% 75% >14,000 75%

CRAY.O Cray Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

BAP.N Credi Corporation Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 124,000 35% 45% >124,000 75%

CACC.O Credit Acceptance Corporation UNITED STAT Yes Call In 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 15,000 50% 60% >15,000 75%

CS.N Credit Suisse Group AG UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 25,000 10% 10% 25,000 - 80,000 20% 40% >80,000 75%

CREE.O Cree Inc UNITED STAT Yes Yes 0.3% 0 - 13,700 10% 13,700 - 68,500 20% 20% 68,500 - 274,000 35% 45% >274,000 75%

CPG Crescent Point Energy Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CEQP.K Crestwood Equity Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 300,000 40% 55% >300,000 75%

CRESY.O Cresud Sociedad Anonima Comercial Inmobilia UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

CWGL.PK Crimson Wine Group Limited UNITED STAT No No 0.3% 0 - 2,100 25% 2,100 - 4,200 40% 40% 4,200 - 32,000 60% 75% >32,000 75%

CRTO.O Criteo SA UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 50,000 50% 75% >50,000 75%

CROX.O Crocs Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%






CCRN.O Cross Country Healthcare Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CAPL.K CrossAmerica Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

CCI.N Crown Castle International Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 440,000 20% 40% >440,000 75%

CCK.N Crown Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 378,000 35% 45% >378,000 75%

CRWN.O Crown Media Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CRY CryoLife Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CTRP.O Ctrip.com International Limited UNITED STAT Yes Yes 0.3% 0 - 36,400 10% 36,400 - 182,000 20% 20% 182,000 - 728,000 35% 45% >728,000 75%

CUBE.K CubeSmart UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

CUB.N Cubic Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

CFR.N Cullen Frost Bankers Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

CFI Culp Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

CMI.N Cummins Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 58,500 10% 10% 58,500 - 231,000 20% 40% >231,000 75%

CMLS.O Cumulus Media Inc UNITED STAT Yes - No CR No 0.3% 0 - 6,000 15% 6,000 - 42,000 25% 25% 42,000 - 600,000 40% 55% >600,000 75%

CRIS.O Curis Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 400,000 60% 75% >400,000 75%

FXA.P CurrencyShares(r) Australian Dollar Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%

FXB.P CurrencyShares(r) British Pound Sterling Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FXC CurrencyShares(r) Canadian Dollar Trust UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FXE CurrencyShares(r) Euro Trust UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%

FXY CurrencyShares(r) Japanese Yen Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FXS.P CurrencyShares(r) Swedish Krona Trust UNITED STAT Stockbroking onlyYes 0.3% 0 - 0 25% 0 - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERROR

FXF.P CurrencyShares(r) Swiss Franc Trust UNITED STAT Yes No 0.3% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 3,000 60% 75% >3,000 75%

CW.N Curtiss-Wright Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SRV.N Cushing MLP Total Return Fund UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 40,000 60% 75% >40,000 75%

CUBI.K Customers Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CUTR.O Cutera Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

CVT.N Cvent Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

CYBR.O CyberArk Software Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 60,000 40% 40% 60,000 - 120,000 60% 75% >120,000 75%

CYCC.O Cyclacel Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

CBAY.O Cymabay Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

CYNO.O Cynosure Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 120,000 50% 60% >120,000 75%

CY.O Cypress Semiconductor Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

CONE.O Cyrusone Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 300,000 60% 75% >300,000 75%

CYTR.O CytRx Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 25% 20,000 - 100,000 40% 40% 100,000 - 220,000 60% 75% >220,000 75%

CYTK.O Cytokinetics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 35,000 15% 35,000 - 210,000 24% 24% 210,000 - 7,000,000 36% 45% >7,000,000 45%

CTMX.O CytomX Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

CYTX.O Cytori Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 42,000 40% 40% 42,000 - 1,248,000 60% 75% >1,248,000 75%

CTSO.O Cytosorbents Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

DPM.N DCP Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

DCT.N DCT Industrial Trust Inc UNITED STAT Yes Yes 0.3% 0 - 8,800 10% 8,800 - 52,800 20% 20% 52,800 - 554,400 35% 45% >554,400 75%

DDR.N DDR Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,025,000 35% 45% >1,025,000 75%

XRAY.O DENTSPLY International Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 427,000 30% 50% >427,000 75%

DHX.N DHI Group Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

DHT DHT Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 25% 20,000 - 100,000 40% 40% 100,000 - 600,000 60% 75% >600,000 75%

DNP DNP Select Income Fund Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

DHI.N DR Horton Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,410,000 20% 40% >1,410,000 75%

DRD.N DRDGOLD Limited UNITED STAT Stockbroking onlyCall In 0.3% 0 - 3,900 25% 3,900 - 7,800 40% 40% 7,800 - 60,400 60% 75% >60,400 75%

DSKX.O DS Healthcare Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

DSPG.O DSP Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 16,000 60% 75% >16,000 75%

DST.N DST Systems Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

DSW.N DSW Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 434,000 35% 45% >434,000 75%

DTE.N DTE Energy Company UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 464,000 20% 40% >464,000 75%

DTSI.O DTS Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

DRRX.O DURECT Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 250,500 60% 75% >250,500 75%

DXPE.O DXP Enterprises Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 65,000 40% 55% >65,000 75%

DVA.N DaVita HealthCare Partners Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 500,000 20% 40% >500,000 75%

DJCO.O Daily Journal Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

DAKP.K Dakota Plains Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

DAKT.O Daktronics Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

DAN.N Dana Holding Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 820,000 35% 45% >820,000 75%

DHR.N Danaher Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 108,900 10% 10% 108,900 - 435,000 20% 40% >435,000 75%

DQ Daqo New Energy Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

DRI.N Darden Restaurants Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 690,000 30% 50% >690,000 75%

DAR.N Darling Ingredients Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

DTLK.O Datalink Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PLAY.O Dave & Buster's Entertainment Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

DTEA.O DavidsTea Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

DV.N DeVry Education Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

DF.N Dean Foods Company UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

DECK.K Deckers Outdoor Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 196,000 35% 45% >196,000 75%

DE.N Deere & Company UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 97,000 10% 10% 97,000 - 390,000 20% 40% >390,000 75%

DFRG.O Del Frisco's Restaurant Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

TACO.O Del Taco Restaurants Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 90,000 60% 75% >90,000 75%

VFL.P Delaware Investments National Municipal IncomUNITED STAT Yes - No CR Yes 0.3% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 2,999,700 75% 75% >2,999,700 ERROR

DKL Delek Logistics Partners LP UNITED STAT Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

DK.N Delek US Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 426,000 35% 45% >426,000 75%

DLPH.N Delphi Automotive PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

DAL.N Delta Air Lines Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 5% 50,000 - 265,500 10% 10% 265,500 - 1,050,000 20% 40% >1,050,000 75%

DEL.N Deltic Timber Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,700 60% 75% >11,700 75%

DLX.N Deluxe Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

DMD Demand Media Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 48,000 60% 75% >48,000 75%

DWRE.N Demandware Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 200,000 35% 45% >200,000 75%

DNR.N Denbury Resources Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 2,040,000 30% 50% >2,040,000 75%

DNN.A Denison Mines Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

DENN.O Denny's Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 274,500 40% 55% >274,500 75%

DEPO.O DepoMed Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 549,000 35% 45% >549,000 75%

DERM.O Dermira Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

DHOXY.PK Desarrolladora Homex S.A.B. de CV UNITED STAT No No 0.3% 0 - 8,300 25% 8,300 - 16,600 40% 40% 16,600 - 166,000 60% 75% >166,000 75%

DEST.O Destination Maternity Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

DXLG.O Destination XL Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

DB.N Deutsche Bank AG UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 10,000 20% 20% 10,000 - 50,000 35% 60% >50,000 75%

ASHR.P Deutsche X-trackers Harvest CSI 300 China A-SUNITED STAT Yes Call In 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

ASHS.P Deutsche X-trackers Harvest CSI 500 China-A SUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DBGR.P Deutsche X-trackers MSCI Germany Hedged EqUNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DBJP.P Deutsche X-trackers MSCI Japan Hedged EquitUNITED STAT Yes Call In 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,000 50% 60% >10,000 75%

DVN Devon Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 540,000 20% 40% >540,000 75%

DXMM.PK Dex Media Inc UNITED STAT No No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%

DXCM.O DexCom Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

DEO.N Diageo PLC UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 9,000 10% 10% 9,000 - 133,500 20% 40% >133,500 75%

DMND.O Diamond Foods Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

DHIL.O Diamond Hill Investment Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

DO.N Diamond Offshore Drilling Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 680,000 30% 50% >680,000 75%

DRII.N Diamond Resorts International Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

FANG.O Diamondback Energy Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 225,000 60% 75% >225,000 75%

DRH.N Diamondrock Hospitality Company UNITED STAT Yes Yes 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

DSX.N Diana Shipping Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

DRNA.O Dicerna Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

DKS.N Dick's Sporting Goods Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 320,000 35% 45% >320,000 75%

DBD.N Diebold Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

DGII.O Digi International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

DMRC.O Digimarc Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

DGLY.O Digital Ally Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 32,000 60% 75% >32,000 75%

DLR.N Digital Realty Trust Inc UNITED STAT Yes Yes 0.3% 0 - 15,600 10% 15,600 - 78,000 20% 20% 78,000 - 312,000 35% 45% >312,000 75%

APPS.O Digital Turbine Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 110,000 60% 75% >110,000 75%

DGI.N DigitalGlobe Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

DDS.N Dillard's Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 184,000 35% 45% >184,000 75%

DCOM.O Dime Community Bancshares Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 2,000 30% 30% 2,000 - 20,000 50% 60% >20,000 75%

DMTX.O Dimension Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 15,000 40% 40% 15,000 - 24,000 60% 75% >24,000 75%

DIN.N DineEquity Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

DIOD.O Diodes Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

DPLO.K Diplomat Pharmacy Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

KNOW.K Direxion All Cap Insider Sentiment Sh AE UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TMV.P Direxion Daily 20+ Year Treasury Bear 3X Sh A UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

TMF.P Direxion Daily 20+ Year Treasury Bull 3X Sh AEUNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BRZU.P Direxion Daily Brazil Bull 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 30,000 40% 55% >30,000 75%

CHAD.P Direxion Daily CSI 300 China A Share Bear 1X SUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CHAU.P Direxion Daily CSI 300 China A Share Bull 2X S UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DZK Direxion Daily Developed Markets Bull 3X Sh AEUNITED STAT Yes - No CR Call In 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 20,000 40% 50% >20,000 75%

EDZ.P Direxion Daily Emerging Markets Bear 3X Sh AEUNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

EDC Direxion Daily Emerging Markets Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 3,600 15% 3,600 - 21,600 24% 24% 21,600 - 47,800 39% 54% >47,800 75%

ERY Direxion Daily Energy Bear 3X Sh AE UNITED STAT Yes - No CR Call In 0.3% 0 - 800 25% 800 - 4,800 40% 40% 4,800 - 8,000 60% 75% >8,000 75%






ERX Direxion Daily Energy Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 50% 50% >50,000 75%

YANG.P Direxion Daily FTSE China Bear 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

YINN.P Direxion Daily FTSE China Bull 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

EURL.K Direxion Daily FTSE Europe Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

FAZ.P Direxion Daily Financial Bear 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,300 25% 1,300 - 7,800 40% 40% 7,800 - 13,000 60% 75% >13,000 75%

FAS.P Direxion Daily Financial Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 36,000 20% 36,000 - 216,000 40% 40% 216,000 - 360,000 60% 75% >360,000 75%

DUST.P Direxion Daily Gold Miners Index Bear 3X Sh AEUNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 15% 25,000 - 150,000 25% 25% 150,000 - 250,000 45% 55% >250,000 75%

NUGT.P Direxion Daily Gold Miners Index Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 45% 55% >30,000 75%

CURE.P Direxion Daily Healthcare Bull 3X Sh AE UNITED STAT Yes - No CR Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

JPNL.K Direxion Daily Japan Bull 3X Sh AE UNITED STAT Stockbroking onlyNo 0.3% 0 - 800 25% 800 - 4,800 40% 40% 4,800 - 8,000 60% 75% >8,000 75%

JDST Direxion Daily Junior Gold Miners Index Bear 3XUNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 50,000 25% 25% 50,000 - 100,000 40% 55% >100,000 75%

JNUG Direxion Daily Junior Gold Miners Index Bull 3X SUNITED STAT Yes - No CR Yes 0.3% 0 - 2,400 15% 2,400 - 14,400 25% 25% 14,400 - 48,000 40% 55% >48,000 75%

GASL.P Direxion Daily Natural Gas Related Bull 3X Sh AUNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 100,000 60% 75% >100,000 75%

DRV Direxion Daily Real Estate Bear 3X Sh AE UNITED STAT Yes - No CR Call In 0.3% 0 - 600 20% 600 - 4,800 30% 30% 4,800 - 7,200 50% 60% >7,200 75%

DRN Direxion Daily Real Estate Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 15,000 40% 50% >15,000 75%

RUSS.P Direxion Daily Russia Bear 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RUSL.P Direxion Daily Russia Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 800 25% 800 - 4,800 38% 38% 4,800 - 8,000 62% 75% >8,000 94%

LABD.P Direxion Daily S&P Biotech Bear 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

LABU.P Direxion Daily S&P Biotech Bull 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

GUSH.P Direxion Daily S&P Oil & Gas Exp. & Prod. Bull UNITED STAT Yes - No CR No 0.3% 0 - 50,000 25% 50,000 - 150,000 40% 40% 150,000 - 300,000 60% 75% >300,000 75%

SPXS.P Direxion Daily S&P500(r) Bear 3X Sh AE UNITED STAT Yes - No CR Call In 0.3% 0 - 5,000 25% 5,000 - 31,200 40% 40% 31,200 - 50,000 60% 75% >50,000 75%

SPXL.K Direxion Daily S&P500(r) Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 12,000 20% 12,000 - 75,000 30% 30% 75,000 - 120,000 50% 60% >120,000 75%

SOXS.P Direxion Daily Semiconductor Bear 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SOXL.P Direxion Daily Semiconductor Bull 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%

TZA.P Direxion Daily Small Cap Bear 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 26% 26% 15,000 - 25,000 40% 56% >25,000 75%

TNA Direxion Daily Small Cap Bull 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 60,000 35% 45% >60,000 75%

TECS.K Direxion Daily Technology Bear 3X Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 13,000 40% 45% >13,000 75%

TECL.P Direxion Daily Technology Bull 3X Sh AE UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 35,000 25% 25% 35,000 - 50,000 40% 45% >50,000 75%

BRZS.P Direxion Shares ETF Trust - Direxion Daily BrazUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IBLN.P Direxion iBillionaire Index ETF UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%

DFS.N Discover Financial Services UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 585,000 20% 40% >585,000 75%

DISCK.O Discovery Communications Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

DISCA.O Discovery Communications Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 412,000 20% 40% >412,000 75%

DISH.O Dish Network Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 590,000 20% 40% >590,000 75%

DVCR.O Diversicare Healthcare Services Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

DLB.N Dolby Laboratories Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

DG.N Dollar General Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 580,000 20% 40% >580,000 75%

DLTR.O Dollar Tree Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 642,000 20% 40% >642,000 75%

DDC.N Dominion Diamond Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

DOMR.PK Dominion Resources Black Warrior Trust UNITED STAT No No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 30,000 60% 75% >30,000 75%

D.N Dominion Resources Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 470,000 20% 40% >470,000 75%

DPZ.N Domino's Pizza Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 231,000 35% 45% >231,000 75%

UFS Domtar Corporation UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 45% >400,000 75%

DCI.N Donaldson Company Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

DGICA.O Donegal Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DMLP.O Dorchester Minerals LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

LPG.N Dorian LPG Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 30% 30% 6,000 - 100,000 50% 60% >100,000 75%

DORM.O Dorman Products Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

PLOW.K Douglas Dynamics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

DEI.N Douglas Emmett Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

DOV.N Dover Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 388,000 20% 40% >388,000 75%

DPS.N Dr Pepper Snapple Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 660,000 20% 40% >660,000 75%

RDY.N Dr. Reddy's Laboratories Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

DDAY.O DraftDay Fantasy Sports Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 224,000 60% 75% >224,000 75%

DRWI.O DragonWave Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 150,000 60% 75% >150,000 75%

DWA.O DreamWorks Animation SKG Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

DW Drew Industries Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

DRQ.N Dril-Quip Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

DRYS.O DryShips Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 80,000 35% 45% >80,000 75%

DFT.N DuPont Fabros Technology Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

DCO Ducommun Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

DUK.N Duke Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 117,000 10% 10% 117,000 - 468,000 20% 40% >468,000 75%

DRE.N Duke Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

DLTH.O Duluth Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

DNB.N Dun & Bradstreet Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 189,000 30% 50% >189,000 75%

DNKN.O Dunkin' Brands Group Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 336,000 35% 45% >336,000 75%

DYAX.O Dyax Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

DY.N Dycom Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

DLNG.O Dynagas LNG Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 200,000 60% 75% >200,000 75%

BOOM.O Dynamic Materials Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

DVAX.O Dynavax Technologies Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 25% 7,000 - 42,400 40% 40% 42,400 - 140,000 60% 75% >140,000 75%

DYN.N Dynegy Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 700,000 60% 75% >700,000 75%

DX Dynex Capital Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 120,000 60% 75% >120,000 75%

ETFC.O E*TRADE Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,500,000 30% 50% >1,500,000 75%

DANG.K E-Commerce China Dangdang Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

EJ.N E-House (China) Holdings Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

DD.N E. I. du Pont de Nemours and Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 129,000 10% 10% 129,000 - 510,000 20% 40% >510,000 75%

EDAP.O EDAP TMS SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

EMC.N EMC Corporation UNITED STAT Yes Yes 0.3% 0 - 60,000 5% 60,000 - 327,600 10% 10% 327,600 - 1,320,000 20% 40% >1,320,000 75%

EMCI.O EMC Insurance Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

EME.N EMCOR Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

EMKR.O EMCORE Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

EOG.N EOG Resources Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 47,000 10% 10% 47,000 - 190,000 20% 40% >190,000 75%

EPE EP Energy Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 1,428,000 60% 75% >1,428,000 75%

EPAM.K EPAM Systems Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

EPRS.O EPIRUS Biopharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 60% 75% >40,000 75%

EPR.N EPR Properties UNITED STAT Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

EQT.N EQT Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 340,000 20% 40% >340,000 75%

EQM.N EQT Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

ESE.N ESCO Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

PPLT.P ETFS Physical Platinum Sh AE UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%

EVEP.O EV Energy Partners LP UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 200,000 60% 75% >200,000 75%

EVTC.K EVERTEC Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

EVLV.O EVINE Live Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

XCO.N EXCO Resources Inc UNITED STAT Yes Call In 0.3% 0 - 70,000 25% 70,000 - 424,900 40% 40% 424,900 - 1,400,000 60% 75% >1,400,000 75%

EZPW.O EZCORP Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

EZCH.O EZchip Semiconductor Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

EGBN.O Eagle Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

EBMT.O Eagle Bancorp Montana Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EGLE.O Eagle Bulk Shipping Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 200 25% 200 - 1,200 40% 40% 1,200 - 4,000 60% 75% >4,000 75%

EXP.N Eagle Materials Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 196,000 35% 45% >196,000 75%

EGRX.O Eagle Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ECC Eagle Point Credit Company Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ELNK.O EarthLink Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

ESTE.A Earthstone Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

EWBC.O East West Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

EGP EastGroup Properties Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

DEA Easterly Government Properties Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

EMN.N Eastman Chemical Company UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 400,000 20% 40% >400,000 75%

KODK.K Eastman Kodak Company UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ETN.N Eaton Corporation PLC UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 114,400 10% 10% 114,400 - 465,000 20% 40% >465,000 75%

EV.N Eaton Vance Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

EVT.N Eaton Vance Tax-Advantaged Dividend Income UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

ETG.N Eaton Vance Tax-Advantaged Global Dividend InUNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

ETW.N Eaton Vance Tax-Managed Global Buy-Write OpUNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

EXG.N Eaton Vance Tax-Managed Global Diversified E UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

EBIX.O Ebix Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

ELON.O Echelon Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 25% 2,500 - 4,000 40% 40% 4,000 - 5,000 60% 75% >5,000 75%

ECHO.O Echo Global Logistics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

SATS.O EchoStar Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

ECR Eclipse Resources Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 450,000 60% 75% >450,000 75%

ECL.N Ecolab Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 325,000 20% 40% >325,000 75%

EC Ecopetrol SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%

EDR EdR UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

EDGE.O Edge Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

EPC Edgewell Personal Care Company UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

EIX.N Edison International UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 656,000 20% 40% >656,000 75%

EDIT.O Editas Medicine Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

EDUC.O Educational Development Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 4,500 40% 40% 4,500 - 7,500 60% 75% >7,500 75%

EW.N Edwards Lifesciences Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 492,000 20% 40% >492,000 75%






EGLT.O Egalet Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

EIGR.O Eiger Biopharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

EE.N El Paso Electric Company UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

LOCO.O El Pollo Loco Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 18,000 60% 75% >18,000 75%

ESLT.O Elbit Systems Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

EGO.N Eldorado Gold Corporation UNITED STAT Yes Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 2,340,000 35% 45% >2,340,000 75%

ERI.O Eldorado Resorts Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ELRC.O Electro Rent Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ESIO.O Electro Scientific Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

EA.O Electronic Arts Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,200,000 20% 40% >1,200,000 75%

EFII.O Electronics for Imaging Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

EBIO.O Eleven Biotherapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

LLY.N Eli Lilly and Company UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 153,600 10% 10% 153,600 - 620,000 20% 40% >620,000 75%

RDEN.O Elizabeth Arden Inc UNITED STAT Yes Call In 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ELLI.K Ellie Mae Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

EFC Ellington Financial LLC UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

AKOa.N Embotelladora Andina SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

AKOb.N Embotelladora Andina SA UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ERJ.N Embraer SA UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 495,000 35% 45% >495,000 75%

EMES.N Emerge Energy Services LP UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 75,000 50% 60% >75,000 75%

EBS Emergent BioSolutions Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

EMR.N Emerson Electric Company UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 513,000 20% 40% >513,000 75%

MSN.P Emerson Radio Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NYNY.O Empire Resorts Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ESRT.N Empire State Realty Trust Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 450,000 40% 55% >450,000 75%

EIG Employers Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

EDN Empresa Distribuidora y Comercializadora NortUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

EOC.N Empresa Nacional de Electricidad SA UNITED STAT No Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

ICA.N Empresas ICA S.A.B. de CV UNITED STAT Stockbroking onlyCall In 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

ENLC.K EnLink Midstream LLC UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 240,000 40% 55% >240,000 75%

ENLK.K EnLink Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

NPO.N EnPro Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

ENTA.O Enanta Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

EEQ.N Enbridge Energy Management LLC UNITED STAT Yes Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

EEP Enbridge Energy Partners LP UNITED STAT Yes No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 501,000 60% 75% >501,000 75%

ENB.N Enbridge Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 390,000 35% 45% >390,000 75%

ECA.N Encana Corporation UNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 225,000 20% 20% 225,000 - 900,000 35% 45% >900,000 75%

ECPG.O Encore Capital Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

WIRE.O Encore Wire Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

EXK Endeavour Silver Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 375,000 60% 75% >375,000 75%

ENDP.O Endo International PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 11,600 25% 11,600 - 58,000 40% 40% 58,000 - 232,000 60% 75% >232,000 75%

GI EndoChoice Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ECYT.O Endocyte Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 426,000 60% 75% >426,000 75%

ELGX.O Endologix Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 225,000 35% 45% >225,000 75%

EIGI.O Endurance International Group Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 130,000 40% 55% >130,000 75%

ENH Endurance Specialty Holdings Limited UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 90,000 35% 45% >90,000 75%

NDRO.K Enduro Royalty Trust UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ENOC.O EnerNOC Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ENS.N EnerSys UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

EGN.N Energen Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 220,000 35% 45% >220,000 75%

ENR.N Energizer Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 172,000 35% 45% >172,000 75%

WATT.O Energous Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 75,000 60% 75% >75,000 75%

EFOI.O Energy Focus Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

UUUU.K Energy Fuels Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 1,900 25% 1,900 - 3,800 40% 40% 3,800 - 38,000 60% 75% >38,000 75%

ERII.O Energy Recovery Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

XLE.P Energy Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%

ETE.N Energy Transfer Equity LP UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 780,000 35% 45% >780,000 75%

ETP.N Energy Transfer Partners LP UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 310,000 35% 45% >310,000 75%

EXXI.PK Energy XXI Limited UNITED STAT No Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 693,000 35% 45% >693,000 75%

ERF.N Enerplus Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 25% 8,000 - 50,000 40% 40% 50,000 - 160,000 60% 75% >160,000 75%

ENI.N Enersis Americas SA UNITED STAT No Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

EGL.N Engility Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

E.N Eni SpA UNITED STAT No Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

EBF Ennis Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ENVA.N Enova International Inc UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 19,998,000 75% 75% >19,998,000 ERROR

ENPH.O Enphase Energy Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%

ESV.N Ens Company PLC UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 648,000 20% 40% >648,000 75%

ENSV.A Enservco Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

ESGR.O Enstar Group Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

ENTG.O Entegris Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

ENTL.O Entellus Medical Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ETM Entercom Communications Corporation UNITED STAT Yes - No CR No 0.3% 0 - 300 25% 300 - 1,800 40% 40% 1,800 - 9,000 60% 75% >9,000 75%

ETR.N Entergy Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 516,000 20% 40% >516,000 75%

EBTC.O Enterprise Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

EFSC.O Enterprise Financial Services Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

EPD.N Enterprise Products Partners LP UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 250,000 35% 45% >250,000 75%

EVC Entravision Communications Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

EGI.A Entree Gold Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 41,600 25% 41,600 - 83,200 40% 40% 83,200 - 104,000 75% 75% >104,000 75%

ENV.N Envestnet Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

EVI.P EnviroStar Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

EVHC.N Envision Healthcare Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

ENZ Enzo Biochem Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 12,000 40% 40% 12,000 - 126,000 60% 75% >126,000 75%

ENZN.O Enzon Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 17,100 25% 17,100 - 34,200 40% 40% 34,200 - 162,400 60% 75% >162,400 75%

EPIQ.O Epiq Systems Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

EPZM.O Epizyme Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

EFX.N Equifax Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 300,000 20% 40% >300,000 75%

EQIX.O Equinix Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 171,000 20% 40% >171,000 75%

EQC Equity Commonwealth UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 400,000 60% 75% >400,000 75%

ELS.N Equity LifeStyle Properties Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

EQY.N Equity One Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

EQR.N Equity Residential UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 568,000 20% 40% >568,000 75%

ERA Era Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ERIC.O Ericsson UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 5% 15,000 - 90,000 10% 10% 90,000 - 1,320,000 20% 40% >1,320,000 75%

ERIE.O Erie Indemnity Company UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

ERN.A Erin Energy Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

EROS.K Eros International PLC UNITED STAT Yes Call In 0.3% 0 - 5,000 25% 5,000 - 25,000 40% 40% 25,000 - 75,000 60% 75% >75,000 75%

ESCA.O Escalade Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ESPR.O Esperion Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ESND.O Essendant Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

ESNT.K Essent Group Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

ESS.N Essex Property Trust Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 100,000 35% 45% >100,000 75%

ESL.N Esterline Technologies Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

ETH.N Ethan Allen Interiors Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

ETSY.O Etsy Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

EURN.K Euronav NV UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 175,000 60% 75% >175,000 75%

EEFT.O Euronet Worldwide Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 120,000 35% 45% >120,000 75%

EVER.K EverBank Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

EVR.N Evercore Partners Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

RE.N Everest Re Group Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 114,000 35% 45% >114,000 75%

GCA.N Everi Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 36,000 40% 40% 36,000 - 330,000 60% 75% >330,000 75%

ES.N Eversource Energy UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 740,000 20% 40% >740,000 75%

EVDY.K Everyday Health Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

EVH Evolent Health Inc UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 400,000 60% 75% >400,000 75%

EPM.A Evolution Petroleum Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

EXAS.O Exact Sciences Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 300,000 60% 75% >300,000 75%

EXAC.O Exactech Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

EXAM.K ExamWorks Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%

EXAR.K Exar Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

EXEL.O Exelixis Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 60% 75% >600,000 75%

EXC.N Exelon Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 279,900 10% 10% 279,900 - 1,110,000 20% 40% >1,110,000 75%

EXLS.O Exlservice Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

EXPE.O Expedia Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 432,000 20% 40% >432,000 75%

EXPD.O Expeditors International of Washington Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 600,000 20% 40% >600,000 75%

EXPO.O Exponent Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

EXPR.K Express Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 850,000 35% 45% >850,000 75%

ESRX.O Express Scripts Holding Company UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 108,400 10% 10% 108,400 - 440,000 20% 40% >440,000 75%

STAY.N Extended Stay America Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 200,000 35% 45% >200,000 75%

EXTN.K Exterran Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

EXR.N Extra Space Storage Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 351,000 35% 45% >351,000 75%

EXTR.O Extreme Networks Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 501,000 60% 75% >501,000 75%






XOM.N Exxon Mobil Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 88,400 10% 10% 88,400 - 355,000 20% 40% >355,000 75%

FNB.N F.N.B. Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

FFIV.O F5 Networks Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 294,000 20% 40% >294,000 75%

FARO.O FARO Technologies Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

FFG FBL Financial Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FCB FCB Financial Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

FEIC.O FEI Company UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

FLIR.O FLIR Systems Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 530,000 30% 50% >530,000 75%

FLY FLY Leasing Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

FMC.N FMC Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 376,000 20% 40% >376,000 75%

FTI.N FMC Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 648,000 20% 40% >648,000 75%

FRPH.O FRP Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

FTD.O FTD Companies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 100 25% 100 - 600 40% 40% 600 - 1,200 60% 75% >1,200 75%

FCN.N FTI Consulting Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

FXCM.K FXCM Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

FN Fabrinet UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

FB.O Facebook Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 125,000 10% 10% 125,000 - 500,000 20% 40% >500,000 75%

FDS.N FactSet Research Systems Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 162,000 35% 45% >162,000 75%

FICO.K Fair Isaac Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

FCS.O Fairchild Semiconductor International Inc UNITED STAT No Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

FMSA.K Fairmount Santrol Holdings Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 576,000 60% 75% >576,000 75%

FRP.O Fairpoint Communications Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

FWM.O Fairway Group Holdings Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

DAVE.O Famous Dave's of America Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FARM.O Farmer Brothers Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FFKT.O Farmers Capital Bank Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

FAST.O Fastenal Company UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 744,000 20% 40% >744,000 75%

FATE.O Fate Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FDX.N FedEx Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 62,100 10% 10% 62,100 - 252,000 20% 40% >252,000 75%

AGM Federal Agricultural Mortgage Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FMCC.OB Federal Home Loan Mortgage Corporation UNITED STAT No No 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 7,825,200 35% 45% >7,825,200 75%

FNMA.OB Federal National Mortgage Association UNITED STAT No No 0.3% 0 - 75,000 10% 75,000 - 450,000 20% 20% 450,000 - 13,725,000 35% 45% >13,725,000 75%

FRT.N Federal Realty Investment Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 150,000 35% 45% >150,000 75%

FSS Federal Signal Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

FDML.O Federal-Mogul Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

FII.N Federated Investors Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

FNHC.O Federated National Holding Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

FCH.N FelCor Lodging Trust Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

FENX.O Fenix Parts Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

RACE.K Ferrari NV UNITED STAT Yes No 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

FGP Ferrellgas Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

FOE Ferro Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

FCAU.K Fiat Chrysler Automobiles NV UNITED STAT Yes No 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 3,200,000 20% 40% >3,200,000 75%

FBR Fibria Celulose SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 498,000 35% 45% >498,000 75%

FGEN.O FibroGen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

FCSC.O Fibrocell Science Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

FGL Fidelity & Guaranty Life UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

FNF.N Fidelity National Financial Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 128,200 20% 20% 128,200 - 525,000 35% 45% >525,000 75%

FNFV.K Fidelity National Financial Ventures UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 25,000 25% 25% 25,000 - 50,000 45% 60% >50,000 75%

FIS.N Fidelity National Information Services Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 620,000 20% 40% >620,000 75%

LION.O Fidelity Southern Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

FHLC.N Fidelity(r) MSCI Health Care Index ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FRGI.O Fiesta Restaurant Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

FSAM.O Fifth Street Asset Management Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FSC.O Fifth Street Finance Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

FITB.O Fifth Third Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,540,000 20% 40% >1,540,000 75%

FNGN.O Financial Engines Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

FISI.O Financial Institutions Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

XLF.P Financial Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 130,000 10% 130,000 - 780,000 20% 20% 780,000 - 1,495,000 35% 45% >1,495,000 75%

FNSR.O Finisar Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 690,000 35% 45% >690,000 75%

FINL.O Finish Line Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

FEYE.O FireEye Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 100,000 20% 20% 100,000 - 500,000 35% 45% >500,000 75%

FAF.N First American Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

FBP First Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 376,000 60% 75% >376,000 75%

FBNC.O First Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BUSE.O First Busey Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

FBIZ.O First Business Financial Services Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

FCFS.O First Cash Financial Services Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

CIVB.O First Citizens Banc Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

FCNCA.O First Citizens Bancshares Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%

FCF First Commonwealth Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

FCBC.O First Community Bancshares Inc UNITED STAT No Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FBNK.O First Connecticut Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

FDC First Data Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

FDEF.O First Defiance Financial Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FFBC.O First Financial Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

FFIN.O First Financial Bankshares Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 82,000 40% 55% >82,000 75%

THFF.O First Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FFWM.O First Foundation Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

FHN.N First Horizon National Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,400,000 35% 45% >1,400,000 75%

FR.N First Industrial Realty Trust Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

FIBK.O First Interstate Bancsystem Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

AG.N First Majestic Silver Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

FRME.O First Merchants Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

FMBI.O First Midwest Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

FNBC.O First NBC Bank Holding Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 35,000 40% 55% >35,000 75%

FNFG.O First Niagara Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 1,830,000 35% 45% >1,830,000 75%

FPO First Potomac Realty Trust UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

FRC First Republic Bank UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 336,000 35% 45% >336,000 75%

FSLR.O First Solar Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 40% 60% >20,000 75%

FDN.P First Trust Dow Jones Internet Index Fund UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FCG.P First Trust Exchange-Traded Fund - First Trust UNITED STAT Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

MDIV.O First Trust Multi-Asset Diversified Income Index UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

TDIV.O First Trust NASDAQ Technology Dividend IndexUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

QTEC.O First Trust NASDAQ-100-Technology Sector IndUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FBT.P First Trust NYSE Arca Biotechnology Index Fun UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FPX.P First Trust US IPO Index Fund UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 30,000 60% 75% >30,000 75%

FE.N FirstEnergy Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,050,000 20% 40% >1,050,000 75%

FMER.O FirstMerit Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

SVVC.O Firsthand Technology Value Fund Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

FISV.O Fiserv Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 549,000 20% 40% >549,000 75%

FIT Fitbit Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

FIVE.O Five Below Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 456,000 35% 45% >456,000 75%

OAKS.K Five Oaks Investment Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 30,000 60% 75% >30,000 75%

FPRX.O Five Prime Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

FVE Five Star Quality Care Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

FIVN.O Five9 Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

FBC.N Flagstar Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

PFD.N Flaherty & Crumrine Preferred Income Fund IncUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

FLML.O Flamel Technologies SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

FLT FleetCor Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 35,600 20% 20% 35,600 - 140,000 35% 45% >140,000 75%

FLTX.K Fleetmatics Group PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 350,000 35% 45% >350,000 75%

FLKS.O Flex Pharma Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

FSI Flexible Solutions International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 15,000 40% 40% 15,000 - 20,000 60% 75% >20,000 75%

FLXN.O Flexion Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

FLXS.O Flexsteel Industries Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

FLEX.O Flextronics International Limited UNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 1,845,000 35% 45% >1,845,000 75%

FTK Flotek Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%

FLO.N Flowers Foods Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

FLS.N Flowserve Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 436,000 20% 40% >436,000 75%

FLDM.O Fluidigm Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

FLR.N Fluor Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 420,000 20% 40% >420,000 75%

FFIC.O Flushing Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

FOMX.O Foamix Pharmaceuticals Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

FOGO.O Fogo de Chao Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

FMX.N Fomento Economico Mexicano S.A.B de C.V UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 184,000 35% 45% >184,000 75%

FONR.O Fonar Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,000 60% 75% >11,000 75%

FL.N Foot Locker Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 420,000 35% 45% >420,000 75%

F.N Ford Motor Company UNITED STAT Yes Yes 0.3% 0 - 110,000 5% 110,000 - 545,600 10% 10% 545,600 - 2,172,500 20% 40% >2,172,500 75%

FELP.N Foresight Energy LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%






FCEa.N Forest City Enterprises Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%

FOR Forestar Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

FORM.O FormFactor Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

FORTY.O Formula Systems (1985) Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

FORR.O Forrester Research Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FTNT.O Fortinet Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 750,000 35% 45% >750,000 75%

FIG.N Fortress Investment Grou PLC UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

FSM Fortuna Silver Mines Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 130,000 60% 75% >130,000 75%

FBHS.K Fortune Brands Home & Security Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 360,000 35% 45% >360,000 75%

FET Forum Energy Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

FWRD.O Forward Air Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

FORD.O Forward Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 75,000 60% 75% >75,000 75%

FWP.O Forward Pharma AS UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

FOSL.O Fossil Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 276,000 20% 40% >276,000 75%

FMI.O Foundation Medicine Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 24,000 25% 25% 24,000 - 500,000 40% 55% >500,000 75%

FCPT.K Four Corners Property Trust Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

FXCB.O Fox Chase Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FOXF.O Fox Factory Holding Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

FRAN.O Francesca's Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

FNV.N Franco-Nevada Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 322,000 60% 75% >322,000 75%

FI Frank's International NV UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 325,500 40% 55% >325,500 75%

FC Franklin Covey Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

FELE.O Franklin Electric Co. Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

FSB Franklin Financial Network Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BEN.N Franklin Resources Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 630,000 20% 40% >630,000 75%

FSP.A Franklin Street Properties Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

FRED.O Fred's Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

FREE.O FreeSeas Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 150,000 60% 75% >150,000 75%

FCX.N Freeport-McMoRan Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 246,700 10% 10% 246,700 - 980,000 20% 40% >980,000 75%

RAIL.O FreightCar America Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

FDP.N Fresh Del Monte Produce Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

FRPT.O Freshpet Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 90,000 60% 75% >90,000 75%

FRD.N Friedman Industries Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

FTR.O Frontier Communications Corporation UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 500,000 20% 20% 500,000 - 4,500,000 30% 50% >4,500,000 75%

FRO.N Frontline Limited UNITED STAT Yes Yes 0.3% 0 - 45,000 25% 45,000 - 274,900 40% 40% 274,900 - 900,000 60% 75% >900,000 75%

FSYS.O Fuel Systems Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

FCEL.O FuelCell Energy Inc UNITED STAT Yes Yes 0.3% 0 - 5,800 20% 5,800 - 35,200 30% 30% 35,200 - 116,000 50% 60% >116,000 75%

FORK.O Fuling Global Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

FULT.O Fulton Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

FRM Furmanite Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 65,000 60% 75% >65,000 75%

FF FutureFuel Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GK.O G&K Services Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

GIII.O G-III Apparel Group Limited UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 187,500 40% 55% >187,500 75%

GCAP.K GAIN Capital Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

GGN.A GAMCO Global Gold Natural Resources & IncomUNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

GBL.N GAMCO Investors Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GMT.N GATX Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

GCP GCP Applied Technologies Inc UNITED STAT Yes No 0.3% 0 - 10,000 25% 10,000 - 70,000 40% 40% 70,000 - 250,000 60% 75% >250,000 75%

GFIG.K GFI Group Inc UNITED STAT No No 0.3% 0 - 4,300 25% 4,300 - 8,600 40% 40% 8,600 - 86,000 60% 75% >86,000 75%

GNC.N GNC Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 371,000 35% 45% >371,000 75%

GOL GOL Linhas Aereas Inteligentes SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

GPX GP Strategies Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

GSIG.O GSI Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

GSVC.O GSV Capital Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

GTATQ.PK GT Advanced Technologies Inc UNITED STAT No No 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,450,000 40% 55% >1,450,000 75%

GTT.N GTT Communications Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

GTXI.O GTx Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GWPH.O GW Pharmaceuticals PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 80,000 60% 75% >80,000 75%

GFA.N Gafisa SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 400,000 40% 55% >400,000 75%

GALE.O Galena Biopharma Inc UNITED STAT Yes - No CR No 1% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 1,302,000 60% 75% >1,302,000 75%

GME.N GameStop Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 233,700 20% 20% 233,700 - 925,000 30% 50% >925,000 75%

GLPI.O Gaming and Leisure Properties Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

GCI.N Gannett Co. Inc UNITED STAT No Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

GRMN.O Garmin Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 652,000 20% 40% >652,000 75%

IT.N Gartner Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

GLOG.K GasLog Limited UNITED STAT Yes - No CR No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 700,000 60% 75% >700,000 75%

GLOP.K GasLog Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GST.P Gastar Exploration Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 20,000 25% 20,000 - 200,000 40% 40% 200,000 - 360,000 60% 75% >360,000 75%

GNMK.O GenMark Diagnostics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

GENC.O Gencor Industries Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

GNRT.K Gener8 Maritime Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

GNRC.K Generac Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 295,000 35% 45% >295,000 75%

GAM General American Investors Company Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,500 60% 75% >16,500 75%

BGC.N General Cable Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

GNCMA.O General Communication Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

GD.N General Dynamics Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 78,300 10% 10% 78,300 - 315,000 20% 40% >315,000 75%

GE.N General Electric Company UNITED STAT Yes Yes 0.3% 0 - 60,000 5% 60,000 - 323,400 10% 10% 323,400 - 1,320,000 20% 40% >1,320,000 75%

GFN.O General Finance Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

GGP.N General Growth Properties Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,530,000 20% 40% >1,530,000 75%

GIS.N General Mills Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 670,000 20% 40% >670,000 75%

GM.N General Motors Company UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 231,300 10% 10% 231,300 - 945,000 20% 40% >945,000 75%

GCO.N Genesco Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

GWR.N Genesee & Wyoming Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 172,000 35% 45% >172,000 75%

GEL Genesis Energy LP UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

GEN.N Genesis Healthcare Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

GENE.O Genetic Technologies Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 7,000 25% 7,000 - 35,000 40% 40% 35,000 - 70,000 60% 75% >70,000 75%

GNE Genie Energy Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GNCA.O Genocea Biosciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GHDX.O Genomic Health Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

G.N Genpact Limited UNITED STAT Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

GNTX.O Gentex Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 16,000 10% 16,000 - 100,000 20% 20% 100,000 - 320,000 35% 45% >320,000 75%

THRM.O Gentherm Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 240,000 35% 45% >240,000 75%

GPC.N Genuine Parts Company UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 375,000 20% 40% >375,000 75%

GNW.N Genworth Financial Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,150,000 20% 40% >2,150,000 75%

GPRK.K GeoPark Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GEOS.O Geospace Technologies Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 225,000 35% 45% >225,000 75%

GGB.N Gerdau SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 2,415,000 35% 45% >2,415,000 75%

GABC.O German American Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GERN.O Geron Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 60,000 25% 60,000 - 349,800 40% 40% 349,800 - 1,200,000 60% 75% >1,200,000 75%

GTY.N Getty Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GEVO.O Gevo Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 100,500 60% 75% >100,500 75%

ROCK.O Gibraltar Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

GIG GigOptix Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

GIGM.O GigaMedia Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 8,500 60% 75% >8,500 75%

GIMO.K Gigamon Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

GIL.N Gildan Activewear Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 40,000 35% 45% >40,000 75%

GILD.O Gilead Sciences Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 30,000 10% 10% 30,000 - 120,000 20% 40% >120,000 75%

GBCI.O Glacier Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

GOOD.O Gladstone Commercial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GAIN.O Gladstone Investment Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GKOS.K Glaukos Corporation UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

GSK.N GlaxoSmithKline PLC UNITED STAT Yes Yes 0.3% 0 - 14,900 10% 14,900 - 74,500 20% 20% 74,500 - 298,000 35% 45% >298,000 75%

GBT.O Global Blood Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

BRSS.K Global Brass and Copper Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ENT.O Global Eagle Entertainment Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 225,000 40% 55% >225,000 75%

GBLI.O Global Indemnity PLC UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GLP Global Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 53,000 40% 55% >53,000 75%

GPN.N Global Payments Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 500,000 35% 45% >500,000 75%

GLPW.K Global Power Equipment Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GSOL.O Global Sources Limited UNITED STAT Yes Yes 0.3% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 16,500 60% 75% >16,500 75%

COPX.K Global X Copper Miners ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GREK.K Global X FTSE Greece 20 ETF UNITED STAT Yes - No CR Call In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PGAL.P Global X FTSE Portugal 20 ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GLDX.P Global X Gold Explorers ETF UNITED STAT Yes Yes 0.3% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 12,000 35% 45% >12,000 75%

LIT.P Global X Lithium ETF UNITED STAT Yes - No CR No 0.3% 0 - 800 25% 800 - 4,800 40% 40% 4,800 - 8,000 60% 75% >8,000 75%

ARGT.P Global X MSCI Argentina ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NGE.P Global X MSCI Nigeria ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NORW.P Global X MSCI Norway ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PAK Global X MSCI Pakistan ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SIL Global X Silver Miners ETF UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 50,000 20% 20% 50,000 - 70,000 35% 45% >70,000 75%






SOCL.O Global X Social Media Index ETF UNITED STAT Yes Call In 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

SDIV.P Global X SuperDividend(TM) ETF UNITED STAT Yes Call In 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

URA Global X Uranium ETF UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 25,000 30% 30% 25,000 - 40,000 40% 50% >40,000 75%

GSAT.A Globalstar Inc UNITED STAT Yes - No CR No 0.3% 0 - 10,000 15% 10,000 - 50,000 25% 25% 50,000 - 2,180,000 40% 55% >2,180,000 75%

GLOB.K Globant SA UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GSM.O Globe Specialty Metals Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

GBIM.O GlobeImmune Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 75,000 60% 75% >75,000 75%

GLBS.O Globus Maritime Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,800 25% 4,800 - 9,600 40% 40% 9,600 - 12,000 75% 75% >12,000 75%

GMED.K Globus Medical Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%

GLUU.O Glu Mobile Inc UNITED STAT Yes Yes 0.3% 0 - 40,000 20% 40,000 - 240,000 30% 30% 240,000 - 800,000 50% 60% >800,000 75%

GDDY.K GoDaddy Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

GPRO.O GoPro Inc UNITED STAT Yes Call In 0.3% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 60,000 35% 45% >60,000 75%

GOGO.O Gogo Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 840,000 35% 45% >840,000 75%

GLNG.O Golar LNG Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

GMLP.O Golar LNG Partners Limited Partnership UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 7,500 40% 40% 7,500 - 180,000 60% 75% >180,000 75%

GFI.N Gold Fields Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,000,000 35% 45% >1,000,000 75%

GORO.A Gold Resource Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

GG.N Goldcorp Inc UNITED STAT Yes Yes 0.3% 0 - 30,200 10% 30,200 - 151,000 20% 20% 151,000 - 604,000 35% 45% >604,000 75%

AUMN.A Golden Minerals Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

GOGL.O Golden Ocean Group Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 424,000 60% 75% >424,000 75%

GSS.A Golden Star Resources Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

GSLC.P Goldman Sachs ActiveBeta(r) U.S. Large Cap EUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

GDPM.PK Goodrich Petroleum Corporation UNITED STAT No Call In 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

GMAN.O Gordmans Stores Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GRC.A Gorman-Rupp Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GOV.N Government Properties Income Trust UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

GGG.N Graco Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

GHM.A Graham Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

GHC.N Graham Holdings Company UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 10,000 20% 20% 10,000 - 15,000 30% 50% >15,000 75%

GPT Gramercy Property Trust Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 175,000 60% 75% >175,000 75%

GTE.A Gran Tierra Energy Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 15% 9,000 - 54,900 25% 25% 54,900 - 180,000 40% 55% >180,000 75%

LOPE.O Grand Canyon Education Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

GVA.N Granite Construction Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

GPK Graphic Packaging Holding Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 2,130,000 35% 45% >2,130,000 75%

GTN Gray Television Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 130,000 40% 55% >130,000 75%

AJX Great Ajax Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

GBSN.O Great Basin Scientific Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 76,000 60% 75% >76,000 75%

GLDD.O Great Lakes Dredge & Dock Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

GPL.A Great Panther Silver Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 13,500 25% 13,500 - 27,000 40% 40% 27,000 - 270,000 60% 75% >270,000 75%

GXP.N Great Plains Energy Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

GSBC.O Great Southern Bancorp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GWB Great Western Bancorp. Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 70,000 60% 75% >70,000 75%

GB Greatbatch Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

GNBC.O Green Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

GRBK.O Green Brick Partners Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,600 25% 1,600 - 6,400 40% 40% 6,400 - 30,400 60% 75% >30,400 75%

GDOT.K Green Dot Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

GPRE.O Green Plains Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

GPP.O Green Plains Partners LP UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

GCBC.O Greene County Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

GHL.N Greenhill & Co. Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

GLRE.O Greenlight Capital Re Limited UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 300,000 35% 45% >300,000 75%

GEF.N Greif Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

GFF Griffon Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GRFS.O Grifols SA UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

GPI Group 1 Automotive Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

GRPN.O Groupon Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 79,200 10% 79,200 - 396,000 20% 20% 396,000 - 1,584,000 35% 45% >1,584,000 75%

GRUB.N GrubHub Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 699,000 35% 45% >699,000 75%

OMAB.O Grupo Aeroportuario del Centro Norte S.A.B. de UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ASR.N Grupo Aeroportuario del Sureste SAB de CV UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

AVAL.N Grupo Aval Acciones Y Valores SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

GGAL.O Grupo Financiero Galicia SA UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

SIM Grupo Simec S.A.B. de CV UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 10,100 60% 75% >10,100 75%

TV.N Grupo Televisa S.A.B. UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 570,000 35% 45% >570,000 75%

GBNK.O Guaranty Ban Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

GES.N Guess' Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

EEB Guggenheim BRIC ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

GBAB.K Guggenheim Build America Bonds Managed DuUNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

BSCI.P Guggenheim BulletShares 2018 Corporate BondUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

BSCM.P Guggenheim BulletShares 2022 Corporate BondUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TAO.P Guggenheim China Real Estate ETF UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HAO.P Guggenheim China Small Cap ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

NFO.P Guggenheim Insider Sentiment ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RSP.P Guggenheim S&P 500(r) Equal Weight ETF UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

RYE.P Guggenheim S&P 500(r) Equal Weight Energy UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

XLG.P Guggenheim S&P 500(r) Top 50 ETF UNITED STAT Yes No 0.3% 0 - 300 10% 300 - 1,800 20% 20% 1,800 - 3,000 35% 45% >3,000 75%

LVL.P Guggenheim S&P Global Dividend OpportunitiesUNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CGW.P Guggenheim S&P Global Water Index ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

EWSC.K Guggenheim S&P SmallCap 600(r) Equal WeigUNITED STAT Yes No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

SEA.P Guggenheim Shipping ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TAN Guggenheim Solar ETF UNITED STAT Yes Call In 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%

CSD.P Guggenheim Spin-Off ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 60,000 35% 45% >60,000 75%

GOF Guggenheim Strategic Opportunities Fund UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%

CUT.P Guggenheim Timber ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GUID.O Guidance Software Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

GWRE.K Guidewire Software Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

GULTU.PK Gulf Coast Ultra Deep Royalty Trust UNITED STAT No No 0.3% 0 - 5,600 25% 5,600 - 11,200 40% 40% 11,200 - 112,000 60% 75% >112,000 75%

GURE.O Gulf Resources Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

GLF.N Gulfmark Offshore Inc UNITED STAT Yes Call In 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

GPOR.O Gulfport Energy Corporation UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 850,000 35% 45% >850,000 75%

HEES.O H&E Equipment Services Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 230,000 60% 75% >230,000 75%

HRB.N H&R Block Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,000,000 20% 40% >1,000,000 75%

FUL.N HB Fuller Company UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HCHC.A HC2 Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

HCA.N HCA Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 16,700 10% 16,700 - 83,500 20% 20% 83,500 - 334,000 35% 45% >334,000 75%

HCI HCI Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

HCP.N HCP Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 880,000 20% 40% >880,000 75%

HDS.O HD Supply Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

HDB.N HDFC Bank Limited UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

HLS.N HEALTHSOUTH Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

HEI.N HEICO Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

HEIa.N HEICO Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

HF HFF Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

HMSY.O HMS Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 375,000 35% 45% >375,000 75%

HNI.N HNI Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

HPQ.N HP Inc UNITED STAT Yes Yes 0.3% 0 - 60,000 5% 60,000 - 277,200 10% 10% 277,200 - 1,110,000 20% 40% >1,110,000 75%

HSBC.K HSBC Holdings PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 30,000 10% 10% 30,000 - 310,000 20% 40% >310,000 75%

HSNI.O HSN Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HAE.N Haemonetics Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

HK.N Halcon Resources Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 375,000 35% 45% >375,000 75%

HNRG.O Hallador Energy Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 48,000 60% 75% >48,000 75%

HAL.N Halliburton Company UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 155,400 10% 10% 155,400 - 630,000 20% 40% >630,000 75%

HALL.O Hallmark Financial Services Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HALO.O Halozyme Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

HYH Halyard Health Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 25,000 50% 75% >25,000 75%

HMPR.O Hampton Roads Bankshares Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HBHC.O Hancock Holding Company UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 340,000 35% 45% >340,000 75%

HNH.O Handy & Harman Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HBI.N Hanesbrands Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 230,000 35% 45% >230,000 75%

HGR Hanger Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

HAFC.O Hanmi Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

HASI.K Hannon Armstrong Sustainable Infrastructure C UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 90,000 60% 75% >90,000 75%

HQCL.O Hanwha Q CELLS Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,500 20% 3,500 - 21,000 30% 30% 21,000 - 35,000 50% 60% >35,000 75%

HRG Harbinger Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

HOG.N Harley-Davidson Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 510,000 20% 40% >510,000 75%

HAR.N Harman International Industries Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 318,000 20% 40% >318,000 75%

HLIT.O Harmonic Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

HMY.N Harmony Gold Mining Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

HRS.N Harris Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 324,000 20% 40% >324,000 75%

HSC.N Harsco Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

HHS.N Harte-Hanks Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%






HBIO.O Harvard Bioscience Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HAS.O Hasbro Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 630,000 20% 40% >630,000 75%

HTS.N Hatteras Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

HVT Haverty Furniture Companies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

HE.N Hawaiian Electric Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

HA.O Hawaiian Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

HCOM.O Hawaiian Telcom Holdco Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HWKN.O Hawkins Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HAYN.O Haynes International Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HW.N Headwaters Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

XLV.P Health Care Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

HNT.N Health Net Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

HQY.O HealthEquity Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HR.N Healthcare Realty Trust Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

HCSG.O Healthcare Services Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

HTA Healthcare Trust of America Inc UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 26,000 35% 45% >26,000 75%

HSTM.O Healthstream Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 70,000 40% 55% >70,000 75%

HWAY.O Healthways Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

HTLD.O Heartland Express Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

HTLF.O Heartland Financial USA Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HPY Heartland Payment Systems Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

HTWR.O Heartware International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

HTBX.O Heat Biologics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 20,000 60% 75% >20,000 75%

HL.N Hecla Mining Company UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

HSII.O Heidrick & Struggles International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

HELE.O Helen of Troy Limited UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

HLX.N Helix Energy Solutions Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

HP.N Helmerich & Payne Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 368,000 20% 40% >368,000 75%

HMTV.O Hemisphere Media Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HSIC.O Henry Schein Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 199,500 20% 40% >199,500 75%

HLF.N Herbalife Limited UNITED STAT Yes - No CR No 0.3% 0 - 12,500 10% 12,500 - 62,500 20% 20% 62,500 - 250,000 35% 45% >250,000 75%

HERO.O Hercules Offshore Inc UNITED STAT No No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 25,000 40% 55% >25,000 75%

HTGC.K Hercules Technology Growth Capital Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

HTBK.O Heritage Commerce Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HFWA.O Heritage Financial Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

HRTG.K Heritage Insurance Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

HEOP.O Heritage Oaks Ban Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

HCCI.O Heritage-Crystal Clean Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

MLHR.O Herman Miller Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

HRTX.O Heron Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

HT Hersha Hospitality Trust UNITED STAT Yes No 0.3% 0 - 800 25% 800 - 5,600 40% 40% 5,600 - 153,600 60% 75% >153,600 75%

HTZ.N Hertz Global Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 32,400 10% 32,400 - 162,000 20% 20% 162,000 - 648,000 35% 45% >648,000 75%

HSKA.O Heska Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

HES.N Hess Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 420,000 20% 40% >420,000 75%

HXL.N Hexcel Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

HCLP.K Hi-Crush Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

HIBB.O Hibbett Sports Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

HPJ.O Highpower International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 45,000 60% 75% >45,000 75%

HIHO.O Highway Holdings Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HIW.N Highwoods Properties Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

HIL Hill International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HRC.N Hill-Rom Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HI.N Hillenbrand Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

HTH Hilltop Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 140,000 40% 55% >140,000 75%

HLT.N Hilton Worldwide Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 15% 30,000 - 90,000 25% 25% 90,000 - 360,000 45% 60% >360,000 75%

HIMX.O Himax Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,200,000 35% 45% >1,200,000 75%

HIFS.O Hingham Institution for Savings UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

HMLP.K Hoegh LNG Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HFC.N HollyFrontier Corporation UNITED STAT Yes Yes 0.3% 0 - 18,000 10% 18,000 - 90,000 20% 20% 90,000 - 360,000 35% 45% >360,000 75%

HOLI.O HollySys Automation Technologies Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

HOLX.O Hologic Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 25% 35,000 - 196,000 40% 40% 196,000 - 770,000 60% 75% >770,000 75%

HBCP.O Home Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

HOMB.O Home Bancshares Inc. (Conway AR) UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 34,000 40% 55% >34,000 75%

HMST.O HomeStreet Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

HTBI.O HomeTrust Bancshares Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

HMIN.O Homeinns Hotel Group UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HMC.N Honda Motor Company Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

HON.N Honeywell International Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 87,900 10% 10% 87,900 - 345,000 20% 40% >345,000 75%

HKTVY.PK Hong Kong Television Network Limited UNITED STAT No No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

HOFT.O Hooker Furniture Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

HMN Horace Mann Educators Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

HBNC.O Horizon Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HZN Horizon Global Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HZNP.O Horizon Pharma PLC UNITED STAT Yes - No CR No 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 600,000 35% 45% >600,000 75%

HKOR.P Horizons Korea KOSPI 200 ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HRL.N Hormel Foods Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 702,000 20% 40% >702,000 75%

HOS.N Hornbeck Offshore Services Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

ZINCQ.PK Horsehead Holding Corporation UNITED STAT No Call In 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

HDP.O Hortonworks Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

HPT.N Hospitality Properties Trust UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

HST.N Host Hotels & Resorts Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,760,000 20% 40% >1,760,000 75%

HMHC.O Houghton Mifflin Harcourt Company UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 350,000 35% 45% >350,000 75%

HLI Houlihan Lokey Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 45,000 60% 75% >45,000 75%

HOV.N Hovnanian Enterprises Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

HNP.N Huaneng Power International Inc UNITED STAT Yes Call In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 18,200 60% 75% >18,200 75%

HUBG.O Hub Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

HUBS.K HubSpot Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 20% 10,000 - 50,000 40% 40% 50,000 - 100,000 50% 60% >100,000 75%

HUBB.K Hubbell Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HBM HudBay Minerals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 25% 6,000 - 36,000 40% 40% 36,000 - 90,000 60% 75% >90,000 75%

HPP Hudson Pacific Properties Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

HGT.N Hugoton Royalty Trust UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

HUM.N Humana Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 332,000 20% 40% >332,000 75%

HBAN.O Huntington Bancshares Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 350,000 10% 10% 350,000 - 3,640,000 20% 40% >3,640,000 75%

HII.N Huntington Ingalls Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 174,000 35% 45% >174,000 75%

HUN.N Huntsman Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 720,000 35% 45% >720,000 75%

HURC.O Hurco Companies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

HURN.O Huron Consulting Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

HTCH.O Hutchinson Technology Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

HCM.O Hutchison China MediTech Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

H Hyatt Hotels Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

HDRA.O Hydra Industries Acquisition Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

HYGS.O Hydrogenics Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

HY Hyster-Yale Materials Handling Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

IAC.O IAC InterActive Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 243,000 35% 45% >243,000 75%

IAG.N IAMGOLD Corporation UNITED STAT Yes Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 4,000,000 35% 45% >4,000,000 75%

ICFI.O ICF International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

IBN.N ICICI Bank Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 495,000 35% 45% >495,000 75%

ICLR.O ICON PLC UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ICUI.O ICU Medical Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

IEX.N IDEX Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

IDXX.O IDEXX Laboratories Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 268,000 35% 45% >268,000 75%

IDT IDT Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

IHS.N IHS Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

IIVI.O II-VI Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

IMAX.K IMAX Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

IMS.N IMS Health Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 40,000 30% 30% 40,000 - 72,000 40% 50% >72,000 75%

INCR.O INC Research Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 500,000 60% 75% >500,000 75%

ING.N ING Groep NV UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 5% 6,000 - 34,900 10% 10% 34,900 - 120,000 20% 40% >120,000 75%

INSY.O INSYS Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

INTL.O INTL FCStone Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

IO.N ION Geophysical Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

IPGP.O IPG Photonics Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

IRMD.O IRadimed Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

ITC.N ITC Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

ITT.N ITT Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

ESI.N ITT Educational Services Inc UNITED STAT Yes Call In 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

IXYS.O IXYS Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

IKGH.O Iao Kun Group Holding Company Limited UNITED STAT Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

IBKC.O IberiaBank Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

IEP.O Icahn Enterprises LP UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%






ICON.O Iconix Brand Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

IDA IdaCorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

IDRA.O Idera Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 25% 7,000 - 49,000 40% 40% 49,000 - 1,519,000 60% 75% >1,519,000 75%

IRG.O Ignite Restaurant Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

RXDX.O Ignyta Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ITW.N Illinois Tool Works Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 426,000 20% 40% >426,000 75%

ILMN.O Illumina Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 50,600 10% 10% 50,600 - 203,000 20% 40% >203,000 75%

IMN.N Imation Corporation UNITED STAT Yes Yes 0.3% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 53,400 60% 75% >53,400 75%

IMMR.O Immersion Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

IMDZ.O Immune Design Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

IMNP.O Immune Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

IMGN.O ImmunoGen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

IMMU.O Immunomedics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 450,000 60% 75% >450,000 75%

IMH.A Impac Mortgage Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

IPXL.O Impax Laboratories Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

IMO.A Imperial Oil Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 35% 35% 6,000 - 200,000 50% 75% >200,000 75%

IMPV.K Imperva Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

IMMY.O Imprimis Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

IMPR.K Imprivata Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

NVIV.O InVivo Therapeutics Holdings Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

INCY.O Incyte Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 260,000 35% 45% >260,000 75%

ICD Independence Contract Drilling Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 21,000 60% 75% >21,000 75%

IHC Independence Holding Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

IRT.A Independence Realty Trust Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

INDB.O Independent Bank Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

IBCP.O Independent Bank Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

IBTX.O Independent Bank Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

XLI.P Industrial Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

IBA Industrias Bachoco S.A.B. de CV UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

INFN.O Infinera Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

INFI.O Infinity Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 475,000 40% 55% >475,000 75%

IPCC.O Infinity Property and Casualty Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

BLOX.K Infoblox Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 549,000 60% 75% >549,000 75%

IFON.O Infosonics Corporation UNITED STAT Stockbroking onlyNo 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

INFY.K Infosys Limited UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 1,120,000 35% 45% >1,120,000 75%

HIFR.K InfraREIT Inc UNITED STAT Yes - No CR No 1% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

IR.N Ingersoll-Rand PLC UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 570,000 20% 40% >570,000 75%

IMKTA.O Ingles Markets Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

IM.N Ingram Micro Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

INGR.K Ingredion Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 260,000 35% 45% >260,000 75%

IRC.N Inland Real Estate Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

INWK.O InnerWorkings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

INNL.O Innocoll AG UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

IPHS.O Innophos Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

IOSP.O Innospec Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

INVA.O Innoviva Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 420,000 60% 75% >420,000 75%

INGN.O Inogen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ITEK.O Inotek Pharmaceuticals Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

INOV.O Inovalon Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

INO.O Inovio Pharmaceuticals Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 70,000 25% 70,000 - 424,900 40% 40% 424,900 - 1,400,000 60% 75% >1,400,000 75%

IPHI.K Inphi Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

NSIT.O Insight Enterprises Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 80,000 40% 55% >80,000 75%

INSM.O Insmed Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 150,000 50% 60% >150,000 75%

NSP.N Insperity Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

IBP Installed Building Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

IIIN.O Insteel Industries Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

INST.K Instructure Inc UNITED STAT Yes No 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 70%

PODD.O Insulet Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%

IART.O Integra LifeSciences Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

IDTI.O Integrated Device Technology Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

INTC.O Intel Corporation UNITED STAT Yes Yes 0.3% 0 - 70,000 5% 70,000 - 336,000 10% 10% 336,000 - 1,347,500 20% 40% >1,347,500 75%

IQNT.O Inteliquent Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

IPCI.O IntelliPharmaCeutics International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

INS Intelligent Systems Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

I Intelsat SA UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

IPAR.O Inter Parfums Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 12,000 60% 75% >12,000 75%

ICLD.O InterCloud Systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 200,000 60% 75% >200,000 75%

IDCC.O InterDigital Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

IOC InterOil Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 320,000 35% 45% >320,000 75%

IBKR.O Interactive Brokers Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

ININ.O Interactive Intelligence Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 80,000 35% 45% >80,000 75%

ICPT.O Intercept Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,400 25% 2,400 - 12,000 40% 40% 12,000 - 48,000 60% 75% >48,000 75%

ICE.N Intercontinental Exchange Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 38,700 10% 10% 38,700 - 156,000 20% 40% >156,000 75%

IHG.N Intercontinental Hotels Group PLC UNITED STAT Yes Yes 0.3% 0 - 1,800 15% 1,800 - 9,000 25% 25% 9,000 - 36,000 40% 55% >36,000 75%

TILE.O Interface Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

INAP.O Internap Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

IBOC.O International Bancshares Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

IBM.N International Business Machines Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 60,000 10% 10% 60,000 - 200,000 20% 40% >200,000 75%

IFF.N International Flavors & Fragrances Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 170,000 20% 40% >170,000 75%

IGT.N International Game Technology PLC UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 400,000 20% 20% 400,000 - 2,240,000 30% 50% >2,240,000 75%

IP.N International Paper Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 675,000 20% 40% >675,000 75%

ISCA.O International Speedway Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

THM.A International Tower Hill Mines Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 24,800 25% 24,800 - 49,600 40% 40% 49,600 - 238,300 60% 75% >238,300 75%

IIJI.O Internet Initiative Japan Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 6,300 60% 75% >6,300 75%

XENT.O Intersect ENT Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

INTX.O Intersections Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ISIL.O Intersil Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

IILG.O Interval Leisure Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 24,000 25% 25% 24,000 - 100,000 40% 55% >100,000 75%

INXN.K Interxion Holding NV UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

ITCI.O Intra-Cellular Therapies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

IL IntraLinks Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

SNOW.K Intrawest Resorts Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

IPI.N Intrepid Potash Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

XON Intrexon Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 35% 35% 9,000 - 225,000 65% 65% >225,000 75%

IIN.O Intricon Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

INTU.O Intuit Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 464,000 20% 40% >464,000 75%

ISRG.O Intuitive Surgical Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 18,900 10% 10% 18,900 - 76,000 20% 40% >76,000 75%

IVC.N Invacare Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 60% 75% >30,000 75%

INVN.K InvenSense Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 810,000 35% 45% >810,000 75%

SNAK.O Inventure Foods Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

IVZ.N Inves Company Limited UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 975,000 20% 40% >975,000 75%

IVR.N Invesco Mortgage Capital Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

VVR.N Invesco Senior Income Trust UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

ITG.N Investment Technology Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ISBC.O Investors Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 6,400 15% 6,400 - 38,400 25% 25% 38,400 - 128,000 40% 55% >128,000 75%

IRET.K Investors Real Estate Trust UNITED STAT Yes No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 274,500 40% 55% >274,500 75%

NVTA.K Invitae Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

IVTY.O Invuity Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

IONS.O Ionis Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 16,000 25% 16,000 - 80,000 40% 40% 80,000 - 320,000 60% 75% >320,000 75%

IRDM.O Iridium Communications Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 400,000 40% 55% >400,000 75%

IRM.N Iron Mountain Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 900,000 30% 50% >900,000 75%

IRWD.O Ironwood Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 600,000 50% 60% >600,000 75%

ISLE.O Isle of Capri Casinos Inc UNITED STAT Yes Yes 0.3% 0 - 1,800 25% 1,800 - 3,600 40% 40% 3,600 - 36,000 60% 75% >36,000 75%

ISRL.O Isramco Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

ITUB.K Itau Unibanco Holding SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 63,300 10% 63,300 - 316,500 20% 20% 316,500 - 1,266,000 35% 45% >1,266,000 75%

ITRI.O Itron Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

IVANF.PK Ivanhoe Energy Inc UNITED STAT No No 0.3% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 50,000 60% 75% >50,000 75%

XXIA.O Ixia UNITED STAT Yes Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

JJSF.O J&J Snack Foods Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

JAX J. Alexander's Holdings Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

JCP.N J. C. Penney Company Inc UNITED STAT Yes Yes 0.3% 0 - 135,600 10% 135,600 - 678,000 20% 20% 678,000 - 2,712,000 35% 45% >2,712,000 75%

JASO.O JA Solar Holdings Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

JAKK.O JAKKS Pacific Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

JBHT.O JB Hunt Transport Services Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 230,000 35% 45% >230,000 75%

JD.O JD.com Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 100,000 15% 100,000 - 200,000 30% 30% 200,000 - 500,000 50% 60% >500,000 75%

WOWO.O JM WOWO UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

JPEP.K JP Energy Partners LP UNITED STAT Yes No 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 60% >200,000 75%

JPM.N JPMorgan Chase & Company UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 143,100 10% 10% 143,100 - 570,000 20% 40% >570,000 75%

JRJR.A JRjr33 Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

JBL.N Jabil Circuit Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,500,000 30% 50% >1,500,000 75%






JKHY.O Jack Henry & Associates Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

JACK.O Jack in the Box Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

JAXB.O Jacksonville Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

JEC.N Jacobs Engineering Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 426,000 20% 40% >426,000 75%

JAGX.O Jaguar Animal Health Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

JAGGF.PK Jaguar Mining Inc UNITED STAT No No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 675,000 60% 75% >675,000 75%

JMBA.O Jamba Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

JRCCQ.PK James River Coal Company UNITED STAT No No 0.3% 0 - 22,500 25% 22,500 - 45,000 40% 40% 45,000 - 450,000 60% 75% >450,000 75%

JRVR.O James River Group Holdings Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 33,000 60% 75% >33,000 75%

JNS.N Janus Capital Group Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

JAH.N Jarden Corporation UNITED STAT Yes Yes 0.3% 0 - 10,500 10% 10,500 - 59,900 20% 20% 59,900 - 420,000 35% 45% >420,000 75%

JASN.O Jason Industries Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

JAZZ.O Jazz Pharmaceuticals PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 5,200 10% 5,200 - 26,000 20% 20% 26,000 - 104,000 35% 45% >104,000 75%

JBLU.O JetBlue Airways Corporation UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 1,960,000 35% 45% >1,960,000 75%

DATE.O Jiayuan.com International Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,600 25% 2,600 - 5,200 40% 40% 5,200 - 52,000 60% 75% >52,000 75%

JKS.N JinkoSolar Holding Company Limited UNITED STAT Yes Call In 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

JST.O Jinpan International Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

JIVE.O Jive Software Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

JBSS.O John B Sanfilippo & Son Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

JBT John Bean Technologies Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

JWa.N John Wiley & Sons Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

JNJ.N Johnson & Johnson UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 89,800 10% 10% 89,800 - 360,000 20% 40% >360,000 75%

JCI.N Johnson Controls Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 680,000 20% 40% >680,000 75%

JOUT.O Johnson Outdoors Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

JONE.K Jones Energy Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 90,000 60% 75% >90,000 75%

JLL.N Jones Lang LaSalle Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 138,000 35% 45% >138,000 75%

JMG Journal Media Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

JOY.N Joy Global Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 146,800 20% 20% 146,800 - 585,000 30% 50% >585,000 75%

JMEI.N Jumei International Holding Limited UNITED STAT Yes Yes 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 245,000 60% 75% >245,000 75%

JNPR.K Juniper Networks Inc UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 303,700 10% 10% 303,700 - 1,215,000 20% 40% >1,215,000 75%

JUNO.O Juno Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

JE.N Just Energy Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

LRN.N K12 Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

KTWO.O K2M Group Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

KAR.N KAR Auction Services Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 590,000 35% 45% >590,000 75%

KB.N KB Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

KBH.N KB Home UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

KBR.N KBR Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 525,000 35% 45% >525,000 75%

KBSF.O KBS Fashion Group Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

KCG.N KCG Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

KKR.N KKR & Co. LP UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 690,000 35% 45% >690,000 75%

KLAC.O KLA-Tencor Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 510,000 20% 40% >510,000 75%

KLXI.O KLX Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 475,000 35% 45% >475,000 75%

KMG KMG Chemicals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 19,000 60% 75% >19,000 75%

KVHI.O KVH Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

KAI Kadant Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

KALU.O Kaiser Aluminum Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

KBIOQ.PK KaloBios Pharmaceuticals Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 45% 6,000 - 40,000 60% 75% >40,000 75%

KAMN.K Kaman Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

KNDI.O Kandi Technologies Group Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

KCLI.O Kansas City Life Insurance Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

KSU.N Kansas City Southern UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 348,000 20% 40% >348,000 75%

KS.N KapStone Paper and Packaging Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

KPTI.O Karyopharm Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

KATE.K Kate Spade & Company UNITED STAT Yes Yes 0.3% 0 - 8,000 25% 8,000 - 50,000 30% 30% 50,000 - 1,336,000 40% 50% >1,336,000 75%

KED.N Kayne Anderson Energy Development CompanUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

KYE.N Kayne Anderson Energy Total Return Fund Inc UNITED STAT Yes - No CR No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 27,500 35% 45% >27,500 75%

KYN.N Kayne Anderson MLP Investment Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

KRNY.O Kearny Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 19,200 60% 75% >19,200 75%

K.N Kellogg Company UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 552,000 20% 40% >552,000 75%

KELYA.O Kelly Services Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

KMPR.K Kemper Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 65,000 40% 55% >65,000 75%

KMT.N Kennametal Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

KW Kennedy-Wilson Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

KERX.O Keryx Biopharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 925,000 60% 75% >925,000 75%

GMCR.O Keurig Green Mountain Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 20% 15,000 - 71,700 35% 35% 71,700 - 288,700 50% 75% >288,700 75%

KEY.N Key Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 2,580,000 20% 40% >2,580,000 75%

KEG.N Key Energy Services Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

KEYS.K Keysight Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 20,000 30% 30% 20,000 - 40,000 45% 60% >40,000 75%

KFRC.O Kforce Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

KRC.N Kilroy Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 295,000 35% 45% >295,000 75%

KE.O Kimball Electronics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

KBAL.O Kimball International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

KMB.N Kimberly-Clark Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 300,000 20% 40% >300,000 75%

KIM.N Kimco Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,530,000 20% 40% >1,530,000 75%

KMI.N Kinder Morgan Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 980,000 20% 40% >980,000 75%

KND.N Kindred Healthcare Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 140,000 60% 75% >140,000 75%

KING.K King Digital Entertainment PLC UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 7,500 25% 25% 7,500 - 50,000 50% 60% >50,000 75%

KINS.O Kingstone Companies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

KGC.N Kinross Gold Corporation UNITED STAT Yes Yes 0.3% 0 - 110,000 10% 110,000 - 650,100 20% 20% 650,100 - 3,190,000 35% 45% >3,190,000 75%

KEX.N Kirby Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

KIRK.O Kirkland's Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

KITE.O Kite Pharma Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 25,000 20% 20% 25,000 - 50,000 35% 45% >50,000 75%

KRG Kite Realty Group Trust UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 225,000 35% 45% >225,000 75%

KLDX.K Klondex Mines Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 600,000 60% 75% >600,000 75%

KNX Knight Transportation Inc UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 300,000 35% 45% >300,000 75%

KNL Knoll Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

KN.N Knowles Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 7,500 30% 30% 7,500 - 15,000 40% 50% >15,000 75%

KSS.N Kohl's Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 650,000 20% 40% >650,000 75%

KONA.O Kona Grill Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

KNMCY.PK Konami Holdings Corporation UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 75% 75% >4,000 75%

KZ.O KongZhong Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

PHG.N Koninklijke Philips N.V UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

KOPN.O Kopin Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

KOP Koppers Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

KEP Korea Electric Power Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

KFY.N Korn Ferry International UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

KRNT.O Kornit Digital Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 1,000,000 50% 60% >1,000,000 75%

KOS Kosmos Energy Limited UNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 875,000 35% 45% >875,000 75%

KWEB.O KraneShares CSI China Internet ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

KRA Kraton Performance Polymers Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

KTOS.O Kratos Defense & Security Solutions Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 250,000 60% 75% >250,000 75%

KKD.N Krispy Kreme Doughnuts Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

KRO.N Kronos Worldwide Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

KUTV.O Ku6 Media Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 400,000 60% 75% >400,000 75%

KLIC.O Kulicke and Soffa Industries Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

KYO.N Kyocera Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,700 60% 75% >8,700 75%

LB.N L Brands Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 608,000 20% 40% >608,000 75%

LLL.N L-3 Communications Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 274,500 20% 40% >274,500 75%

FSTR.O LB Foster Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LDKYQ.PK LDK Solar Company Limited UNITED STAT No No 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

LDRH.O LDR Holding Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

LPL.N LG Display Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

LGIH.O LGI Homes Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

LHCG.O LHC Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

LKQ.O LKQ Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 570,000 35% 45% >570,000 75%

SCD.N LMP Capital and Income Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 20,000 60% 75% >20,000 75%

LPLA.O LPL Financial Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 376,000 35% 45% >376,000 75%

LXU.N LSB Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

LYTS.O LSI Industries Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

LTC LTC Properties Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

LJPC.O La Jolla Pharmaceutical Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

LQ.N La Quinta Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

LZB.N La-Z-Boy Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 200,000 40% 55% >200,000 75%

LHO.N LaSalle Hotel Properties UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

LH.N Laboratory Corp. of America Holdings UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 363,000 20% 40% >363,000 75%

LADR.K Ladder Capital Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

LTS.A Ladenburg Thalmann Financial Services Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

LSG Lake Shore Gold Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 210,000 60% 75% >210,000 75%

LBAI.O Lakeland Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%






LKFN.O Lakeland Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LAKE.O Lakeland Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 50% 5,000 - 30,000 60% 60% 30,000 - 49,995,000 75% 75% >49,995,000 ERROR

LRCX.O Lam Research Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 632,000 20% 40% >632,000 75%

LAMR.O Lamar Advertising Company UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 324,000 35% 45% >324,000 75%

LANC.O Lancaster Colony Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

LDR Landauer Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LNDC.O Landec Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

LARK.O Landmark Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

LMRK.O Landmark Infrastructure Partners LP UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LE.O Lands' End Inc UNITED STAT Yes Call In 0.3% 0 - 2,000 20% 2,000 - 10,000 32% 32% 10,000 - 20,000 40% 48% >20,000 75%

LSTR.O Landstar System Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

LCI.N Lannett Company Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

LNTH.O Lantheus Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

LPI.N Laredo Petroleum Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 620,000 35% 45% >620,000 75%

LVS.N Las Vegas Sands Corporation UNITED STAT Yes Yes 0.3% 0 - 10,400 10% 10,400 - 52,000 20% 20% 52,000 - 208,000 35% 45% >208,000 75%

LSCC.O Lattice Semiconductor Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

LAWS.O Lawson Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LAYN.O Layne Christensen Company UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 46,000 60% 75% >46,000 75%

LAZ.N Lazard Limited UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

LMAT.O LeMaitre Vascular Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LF.N LeapFrog Enterprises Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

LEA.N Lear Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 217,000 35% 45% >217,000 75%

LGCY.O Legacy Reserves LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 300,000 40% 55% >300,000 75%

LTXB.O LegacyTexas Financial Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

LM.N Legg Mason Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 705,000 30% 50% >705,000 75%

LEG.N Leggett & Platt Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 528,000 30% 50% >528,000 75%

LDOS.K Leidos Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 364,000 35% 45% >364,000 75%

LEJU.K Leju Holdings Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 225,000 35% 45% >225,000 75%

LC LendingClub Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

TREE.O LendingTree Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

LEN.N Lennar Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 800,000 20% 40% >800,000 75%

LENb.N Lennar Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,500 60% 75% >7,500 75%

LII.N Lennox International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 186,000 35% 45% >186,000 75%

LUK.N Leucadia National Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 625,000 20% 40% >625,000 75%

LVLT.K Level 3 Communications Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 430,000 35% 45% >430,000 75%

LXRX.O Lexicon Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

LXP.N Lexington Realty Trust UNITED STAT Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%

LXK.N Lexmark International Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 402,000 35% 45% >402,000 75%

LBY.A Libbey Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

BATRA.O Liberty Braves Group UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

BATRK.O Liberty Braves Group UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

LBRDA.O Liberty Broadband Corporation UNITED STAT Yes No 0.3% 0 - 3,000 15% 3,000 - 12,000 30% 30% 12,000 - 60,000 45% 60% >60,000 75%

LBRDK.O Liberty Broadband Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

LBTYA.O Liberty Global PLC UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 400,000 20% 40% >400,000 75%

LBTYK.O Liberty Global PLC UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 204,000 35% 45% >204,000 75%

QVCA.O Liberty Interactive Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 1,001,000 20% 40% >1,001,000 75%

LILA.O Liberty LiLAC Group UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

LILAB.PK Liberty LiLAC Group UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

LILAK.O Liberty LiLAC Group UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

LMCA.O Liberty Media Corporation UNITED STAT Yes Yes 0.3% 0 - 800 5% 800 - 8,000 10% 10% 8,000 - 65,600 20% 40% >65,600 75%

LMCK.O Liberty Media Corporation UNITED STAT Yes No 0.3% 0 - 800 15% 800 - 5,600 25% 25% 5,600 - 80,000 40% 55% >80,000 75%

LPT.N Liberty Property Trust UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 450,000 35% 45% >450,000 75%

LSXMA.O Liberty SiriusXM Group UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

LSXMK.O Liberty SiriusXM Group UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

TAX.O Liberty Tax Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LTRPA.O Liberty TripAdvisor Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%

LVNTA.O Liberty Ventures UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

LOCK.N LifeLock Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 25,000 20% 20% 25,000 - 500,000 35% 45% >500,000 75%

LPNT.O LifePoint Health Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

LCUT.O Lifetime Brands Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LWAY.O Lifeway Foods Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

LGND.O Ligand Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 250,000 60% 75% >250,000 75%

LITB.K LightInTheBox Holding Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

LPTH.O LightPath Technologies Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

LTBR.O Lightbridge Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

LLNW.O Limelight Networks Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

LMNR.O Limoneira Company UNITED STAT Stockbroking onlyCall In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LINC.O Lincoln Educational Services Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,200 25% 4,200 - 8,400 40% 40% 8,400 - 57,700 60% 75% >57,700 75%

LECO.O Lincoln Electric Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

LNC.N Lincoln National Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 680,000 20% 40% >680,000 75%

LNN.N Lindsay Corporation UNITED STAT Yes Call In 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

LLTC.O Linear Technology Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 726,000 20% 40% >726,000 75%

LNKD.K LinkedIn Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 9,000 20% 30% 9,000 - 18,000 40% 60% >18,000 75%

LNCO.O Linn Co LLC UNITED STAT Yes - No CR Call In 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 376,000 35% 45% >376,000 75%

LINE.O Linn Energy LLC UNITED STAT Yes - No CR Call In 0.3% 0 - 25,000 25% 25,000 - 126,700 40% 40% 126,700 - 500,000 60% 75% >500,000 75%

LBIO.O Lion Biotechnologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 65,000 60% 75% >65,000 75%

LIOX.O Lionbridge Technologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

LGF.N Lions Gate Entertainment Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 525,000 35% 45% >525,000 75%

LPCN.O Lipocine Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 74,000 60% 75% >74,000 75%

LIQDQ.PK Liquid Holdings Group Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

LQDT.O Liquidity Services Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

LAD.N Lithia Motors Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

LFUS.O Littelfuse Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

LIVN.O LivaNova PLC UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

LYV.N Live Nation Entertainment Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

LOB.O Live Oak Bancshares Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

LPSN.O LivePerson Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

LYG.N Lloyds Banking Group PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

LMT.N Lockheed Martin Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 51,100 10% 10% 51,100 - 203,000 20% 40% >203,000 75%

L.N Loews Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 400,000 20% 40% >400,000 75%

LOGM.O LogMeIn Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

LOGI.O Logitech International SA UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

EVAR.O Lombard Medical Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 25,000 50% 75% >25,000 75%

LORL.O Loral Space & Communications Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

LPX.N Louisiana-Pacific Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 920,000 35% 45% >920,000 75%

LOW.N Lowe's Companies Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 176,100 10% 10% 176,100 - 690,000 20% 40% >690,000 75%

LOXO.O Loxo Oncology Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

LULU.O Lululemon Athletica Inc UNITED STAT Yes Yes 0.3% 0 - 16,300 10% 16,300 - 81,500 20% 20% 81,500 - 326,000 35% 45% >326,000 75%

LL.N Lumber Liquidators Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 43,300 20% 20% 43,300 - 176,000 35% 45% >176,000 75%

LITE.O Lumentum Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

LMNX.O Luminex Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

LMOS.O Lumos Networks Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

LXFR.K Luxfer Holdings PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

LXFT.K Luxoft Holding Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

LUX.N Luxottica Group SpA UNITED STAT No Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

LDL Lydall Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

LYB.N LyondellBasell Industries NV UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 5% 10,000 - 98,500 10% 10% 98,500 - 390,000 20% 40% >390,000 75%

MTSI.O M A-Com Technology Solutions Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

MHO M I Homes Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

MTB.N M&T Bank Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 291,000 20% 40% >291,000 75%

MMS.N MAXIMUS Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

MBFI.O MB Financial Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

MBI.N MBIA Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 1,320,000 35% 45% >1,320,000 75%

MBTF.O MBT Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

MCFT.O MCBC Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MDC.N MDC Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

MDCA.O MDC Partners Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

MDU.N MDU Resources Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

MD MEDNAX Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 200,000 35% 45% >200,000 75%

MEIP.O MEI Pharma Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 351,000 60% 75% >351,000 75%

MFA.N MFA Financial Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 20% 35,000 - 210,000 30% 30% 210,000 - 700,000 50% 60% >700,000 75%

MGEE.O MGE Energy Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

MTG.N MGIC Investment Corporation UNITED STAT Yes Yes 0.3% 0 - 70,000 10% 70,000 - 424,900 20% 20% 424,900 - 1,890,000 35% 45% >1,890,000 75%

MGM MGM Resorts International UNITED STAT Yes Yes 0.3% 0 - 32,000 10% 32,000 - 160,000 20% 20% 160,000 - 640,000 35% 45% >640,000 75%

MGPI.O MGP Ingredients Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

MNDO.O MIND C.T.I. Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MB.O MINDBODY Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

MKSI.O MKS Instruments Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

MPLX.N MPLX LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 15,000 35% 45% >15,000 75%

MRC MRC Global Inc UNITED STAT Yes - No CR No 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 1,026,000 35% 45% >1,026,000 75%






MRVC.O MRV Communications Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

MSA.N MSA Safety Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

MSM.N MSC Industrial Direct Co. Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 198,000 35% 45% >198,000 75%

MSCI.K MSCI Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

MSGN.K MSG Networks Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MTSC.O MTS Systems Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

MYRG.O MYR Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CLI.N Mack-Cali Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

MGU.N Macquarie Global Infrastructure Total Return FuUNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 16,700 60% 75% >16,700 75%

MIC.N Macquarie Infrastructure Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 140,000 35% 45% >140,000 75%

MGNX.O MacroGenics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

MCUR.O Macrocure Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

M.N Macy's Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 155,700 10% 10% 155,700 - 625,000 20% 40% >625,000 75%

MCZ.A Mad Catz Interactive Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MAGS.O Magal Security Systems Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 375,000 60% 75% >375,000 75%

MGLN.O Magellan Health Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MMP.N Magellan Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

MPET.O Magellan Petroleum Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

MGA.N Magna International Inc UNITED STAT Yes Yes 0.3% 0 - 14,000 10% 14,000 - 79,900 20% 20% 79,900 - 378,000 35% 45% >378,000 75%

MX.N MagnaChip Semiconductor Corporation UNITED STAT Yes - No CR No 0.3% 0 - 6,000 25% 6,000 - 24,000 50% 50% 24,000 - 144,000 75% 75% >144,000 75%

MNGA.O MagneGas Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 400,000 60% 75% >400,000 75%

MHRC.PK Magnum Hunter Resources Corporation UNITED STAT No No 0.3% 0 - 10,000 15% 10,000 - 50,000 25% 25% 50,000 - 2,000,000 40% 55% >2,000,000 75%

MHLD.O Maiden Holdings Limited UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

MAIN.K Main Street Capital Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MSFG.O MainSource Financial Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MMYT.O MakeMyTrip Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

MBUU.O Malibu Boats Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MNK.N Mallinckrodt PLC UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 246,000 35% 45% >246,000 75%

MLVF.O Malvern Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

MANT.O ManTech International Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

MANU.K Manchester United PLC UNITED STAT Yes Yes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 22,000 60% 75% >22,000 75%

MANH.O Manhattan Associates Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

MNKD.O MannKind Corporation UNITED STAT Yes - No CR Call In 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 3,000,000 35% 45% >3,000,000 75%

MN Manning & Napier Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MAN.N ManpowerGroup Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 215,000 35% 45% >215,000 75%

MFC.N Manulife Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 840,000 35% 45% >840,000 75%

MRO.N Marathon Oil Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,005,000 20% 40% >1,005,000 75%

MPC.N Marathon Petroleum Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 94,900 10% 10% 94,900 - 375,000 20% 40% >375,000 75%

MCHX.O Marchex Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MMI Marcus & Millichap Inc UNITED STAT Yes No 0.3% 0 - 1,000 20% 1,000 - 6,000 35% 35% 6,000 - 40,000 50% 75% >40,000 75%

MRIN.K Marin Software Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MHG Marine Harvest ASA UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%

MPX Marine Products Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 4,000 60% 75% >4,000 75%

HZO Marinemax Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

MRNS.O Marinus Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

MKL.N Markel Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

AFK.P Market Vectors ETF Trust - Market Vectors AfricUNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

MOO Market Vectors ETF Trust - Market Vectors Agri UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

BIZD.P Market Vectors ETF Trust - Market Vectors BDCUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BBH.O Market Vectors ETF Trust - Market Vectors Biot UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%

BRF Market Vectors ETF Trust - Market Vectors BrazUNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PEK Market Vectors ETF Trust - Market Vectors ChinUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

CNXT.K Market Vectors ETF Trust - Market Vectors ChinUNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

KOL.P Market Vectors ETF Trust - Market Vectors CoaUNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

EGPT.P Market Vectors ETF Trust - Market Vectors Egy UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%

GEX.P Market Vectors ETF Trust - Market Vectors GlobUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

GDX.P Market Vectors ETF Trust - Market Vectors GoldUNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

HYD Market Vectors ETF Trust - Market Vectors HighUNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 15,000 30% 30% 15,000 - 60,000 40% 45% >60,000 75%

SCIF.P Market Vectors ETF Trust - Market Vectors IndiaUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IDX Market Vectors ETF Trust - Market Vectors IndoUNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

EMLC.P Market Vectors ETF Trust - Market Vectors J.P. UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 24,000 20% 20% 24,000 - 40,000 35% 45% >40,000 75%

GDXJ.P Market Vectors ETF Trust - Market Vectors JuniUNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%

OIH.P Market Vectors ETF Trust - Market Vectors Oil SUNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 450,000 35% 45% >450,000 75%

PPH Market Vectors ETF Trust - Market Vectors PhaUNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

PFXF.P Market Vectors ETF Trust - Market Vectors PrefUNITED STAT yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

REMX.P Market Vectors ETF Trust - Market Vectors RareUNITED STAT Yes Yes 0.3% 0 - 200 10% 200 - 1,500 20% 20% 1,500 - 2,500 35% 45% >2,500 75%

RSX Market Vectors ETF Trust - Market Vectors RusUNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

RSXJ.P Market Vectors ETF Trust - Market Vectors RusUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%

SMH Market Vectors ETF Trust - Market Vectors SemUNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

SLX Market Vectors ETF Trust - Market Vectors SteeUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

VNM.P Market Vectors ETF Trust - Market Vectors VietnUNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 30% 35% >20,000 75%

MKTX.O MarketAxess Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

MKTO.O Marketo Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

MRKT.O Markit Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 40,000 20% 20% 40,000 - 75,000 30% 50% >75,000 75%

MRLN.O Marlin Business Services Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MAR.O Marriott International Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 648,000 20% 40% >648,000 75%

VAC.N Marriott Vacations Worldwide Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MMC.N Marsh & McLennan Companies Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 700,000 20% 40% >700,000 75%

MRTN.O Marten Transport Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MLM.N Martin Marietta Materials Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 141,000 35% 45% >141,000 75%

MMLP.O Martin Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

MRVL.O Marvell Technology Group Limited UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 271,500 20% 20% 271,500 - 1,100,000 35% 45% >1,100,000 75%

MTZ.N MasTec Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

MAS.N Masco Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,480,000 20% 40% >1,480,000 75%

MASI.O Masimo Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

DOOR.K Masonite International Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 70,000 35% 45% >70,000 75%

MSTX.P Mast Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 40,000 25% 40,000 - 200,000 40% 40% 200,000 - 440,000 60% 75% >440,000 75%

MA.N MasterCard Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 107,600 10% 10% 107,600 - 440,000 20% 40% >440,000 75%

MTDR.K Matador Resources Company UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 20% 9,000 - 54,900 30% 30% 54,900 - 180,000 50% 60% >180,000 75%

MTCH.O Match Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

MTLS.O Materialise NV UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

XLB.P Materials Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%

MTRN.N Materion Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 51,000 50% 60% >51,000 75%

MTRX.O Matrix Service Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

MATX.K Matson Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

MAT.O Mattel Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 910,000 20% 40% >910,000 75%

MATW.O Matthews International Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

MFRM.O Mattress Firm Holding Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

MTSN.O Mattson Technology Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 250,000 60% 75% >250,000 75%

MXL MaxLinear Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 25,000 60% 75% >25,000 75%

MXPT.K MaxPoint Interactive Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

MXIM.O Maxim Integrated Products Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,050,000 20% 40% >1,050,000 75%

MXWL.O Maxwell Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

MKC.N McCormick & Company Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 326,000 20% 40% >326,000 75%

MDR.N McDermott International Inc UNITED STAT Yes Yes 0.3% 0 - 60,000 25% 60,000 - 349,800 40% 40% 349,800 - 1,920,000 60% 75% >1,920,000 75%

MCD.N McDonald's Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 86,800 10% 10% 86,800 - 345,000 20% 40% >345,000 75%

MUX.N McEwen Mining Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

MGRC.O McGrath Rent Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MHFI.K McGraw Hill Financial Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 410,000 20% 40% >410,000 75%

MCK.N McKesson Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 47,400 10% 10% 47,400 - 192,000 20% 40% >192,000 75%

MJN.N Mead Johnson Nutrition Company UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 430,000 20% 40% >430,000 75%

MTL.N Mechel OAO UNITED STAT Stockbroking onlyYes 0.3% 0 - 13,000 20% 13,000 - 26,000 30% 30% 26,000 - 41,600 50% 60% >41,600 75%

MDAS.O MedAssets Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

TAXI.O Medallion Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

MDGN.A Medgenics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MDWD.O MediWound Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%

MEG.N Media General Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

MPW.N Medical Properties Trust Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

MNOV.O MediciNova Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MDSO.O Medidata Solutions Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

MED Medifast Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MDVN.O Medivation Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,800 25% 20,800 - 104,000 40% 40% 104,000 - 416,000 60% 75% >416,000 75%

MCC Medley Capital Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 183,000 60% 75% >183,000 75%

MDLY.K Medley Management Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MDT.N Medtronic PLC UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 146,400 10% 10% 146,400 - 585,000 20% 40% >585,000 75%

MEET.O MeetMe Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

MPEL.O Melco Crown Entertainment Limited UNITED STAT Yes Yes 0.3% 0 - 19,500 10% 19,500 - 97,500 20% 20% 97,500 - 390,000 35% 45% >390,000 75%

MLNX.O Mellanox Technologies Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 140,000 35% 45% >140,000 75%

MEMP.O Memorial Production Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 525,000 40% 55% >525,000 75%

MRD.O Memorial Resource Development Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 35,000 20% 20% 35,000 - 500,000 35% 45% >500,000 75%






MENT.O Mentor Graphics Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

MELI.O Mercadolibre Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 175,000 35% 45% >175,000 75%

MBWM.O Mercantile Bank Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MERC.O Mercer International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MBVT.O Merchants Bancshares Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

MRK.N Merck & Co. Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 150,000 10% 10% 150,000 - 600,000 20% 40% >600,000 75%

MCY.N Mercury General Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

MRCY.O Mercury Systems Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 30,000 60% 75% >30,000 75%

MDP.N Meredith Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

EBSB.O Meridian Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 80,000 40% 55% >80,000 75%

VIVO.O Meridian Bioscience Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

MMSI.O Merit Medical Systems Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

MTH.N Meritage Homes Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

MTOR.K Meritor Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

MACK.O Merrimack Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 925,000 35% 45% >925,000 75%

MSLI.O Merus Labs International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 7,500 40% 40% 7,500 - 12,000 60% 75% >12,000 75%

MLAB.O Mesa Laboratories Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

MSB Mesabi Trust UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,200 25% 1,200 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

MET.N MetLife Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 165,200 10% 10% 165,200 - 665,000 20% 40% >665,000 75%

CASH.O Meta Financial Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 800 25% 800 - 6,400 40% 40% 6,400 - 16,000 60% 75% >16,000 75%

MPG Metaldyne Performance Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MEOH.O Methanex Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 350,000 35% 45% >350,000 75%

MEI.N Methode Electronics Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

METR.O Metro Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

MTD.N Mettler-Toledo International Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 67,000 35% 45% >67,000 75%

MDXG.O MiMedx Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 325,500 40% 55% >325,500 75%

MIXT.K MiX Telematics Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

KORS.K Michael Kors Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 84,600 20% 20% 84,600 - 345,000 30% 50% >345,000 75%

MSTR.O MicroStrategy Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MCHP.O Microchip Technology Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 728,000 20% 40% >728,000 75%

MU.O Micron Technology Inc UNITED STAT Yes Yes 0.3% 0 - 70,000 5% 70,000 - 331,800 10% 10% 331,800 - 1,330,000 20% 40% >1,330,000 75%

MSCC.O Microsemi Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

MSFT.O Microsoft Corporation UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 221,400 10% 10% 221,400 - 888,700 20% 40% >888,700 75%

MVIS.O Microvision Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 120,000 60% 75% >120,000 75%

MAA.N Mid-America Apartment Communities Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 245,000 35% 45% >245,000 75%

MOFG.O MidWest One Financial Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

MTP.O Midatech Pharma PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 10,500 50% 60% >10,500 75%

MIDD.O Middleby Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 40,000 35% 45% >40,000 75%

MSEX.O Middlesex Water Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MPOY.PK Midstates Petroleum Company Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MCRN.K Milacron Holdings Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

MLSS.A Milestone Scientific Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MLR Miller Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MIME.O Mimecast Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 15,000 40% 40% 15,000 - 75,000 60% 75% >75,000 75%

MR.N Mindray Medical International Limited UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

MTX.N Minerals Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

MRTX.O Mirati Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MG Mistras Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MITK.O Mitek Systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

MTU.N Mitsubishi UFJ Financial Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

MFG.N Mizuho Financial Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 8,000 40% 40% 8,000 - 80,000 60% 75% >80,000 75%

MINI.O Mobile Mini Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

MBT.N Mobile TeleSystems PJSC UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 915,000 35% 45% >915,000 75%

MOBL.O MobileIron Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 135,000 60% 75% >135,000 75%

MBLY.N Mobileye NV UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 40% 40% 60,000 - 100,000 50% 60% >100,000 75%

MODN.K Model N Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MOD Modine Manufacturing Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 55,000 60% 75% >55,000 75%

MLNK.O ModusLink Global Solutions Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MC.N Moelis & Company UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

MHK.N Mohawk Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 225,000 20% 40% >225,000 75%

MOH Molina Healthcare Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 214,500 35% 45% >214,500 75%

TAP.N Molson Coors Brewing Company UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 476,000 20% 40% >476,000 75%

MCPIQ.PK Molycorp Inc UNITED STAT No No 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 800,000 35% 45% >800,000 75%

MNTA.O Momenta Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

MOMO.O Momo Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 12,000 40% 40% 12,000 - 30,000 50% 60% >30,000 75%

MCRI.O Monarch Casino & Resort Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

MDLZ.O Mondelez International Inc UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 243,900 10% 10% 243,900 - 990,000 20% 40% >990,000 75%

MGI.O Moneygram International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

MNR Monmouth Real Estate Investment Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MORE.K Monogram Residential Trust Inc UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 600,000 35% 45% >600,000 75%

MPWR.O Monolithic Power Systems Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

TYPE.O Monotype Imaging Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

MNRO.O Monro Muffler Brake Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

MON.N Monsanto Company UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 76,000 10% 10% 76,000 - 300,000 20% 40% >300,000 75%

MNST.O Monster Beverage Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 462,000 20% 40% >462,000 75%

MWW.N Monster Worldwide Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 15% 25,000 - 150,000 25% 25% 150,000 - 500,000 40% 55% >500,000 75%

MCO.N Moody's Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 420,000 20% 40% >420,000 75%

MOGa.N Moog Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

MS.N Morgan Stanley UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 280,300 10% 10% 280,300 - 1,120,000 20% 40% >1,120,000 75%

APF.N Morgan Stanley Asia-Pacific Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,100 25% 1,100 - 2,200 40% 40% 2,200 - 13,700 60% 75% >13,700 75%

CAF.N Morgan Stanley China A Share Fund Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

EDD.N Morgan Stanley Emerging Markets Domestic DeUNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

IIF Morgan Stanley India Investment Fund Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

MHGC.O Morgans Hotel Group Company UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

MORN.O Morningstar Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

MPAA.O Motorcar Parts of America Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

MSI.N Motorola Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 510,000 20% 40% >510,000 75%

MDM.O Mountain Province Diamonds Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

MOV Movado Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

MLI.N Mueller Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

MWA.N Mueller Water Products Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

MPSX.K Multi Packaging Solutions International Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 50,000 60% 75% >50,000 75%

LABL.O Multi-Color Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

MFLX.O Multi-Fineline Electronix Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MUR.N Murphy Oil Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 552,000 20% 40% >552,000 75%

MUSA.K Murphy USA Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

MYE Myers Industries Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MYL.O Mylan NV UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 720,000 20% 40% >720,000 75%

MYOK.O MyoKardia Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 15,000 40% 40% 15,000 - 36,000 60% 75% >36,000 75%

MYRX.PK Myrexis Inc UNITED STAT No No 0.3% 0 - 96,800 25% 96,800 - 193,600 40% 40% 193,600 - 242,000 75% 75% >242,000 75%

MYGN.O Myriad Genetics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 520,000 35% 45% >520,000 75%

NBTB.O NBT Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

NCS.N NCI Building Systems Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

NCR.N NCR Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 480,000 35% 45% >480,000 75%

EGOV.O NIC Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 225,000 40% 55% >225,000 75%

NICE.O NICE Systems Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

NKE.N NIKE Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 220,000 10% 10% 220,000 - 880,000 20% 40% >880,000 75%

NL NL Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

NMIH.O NMI Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

NNBR.O NN Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

DNOW.K NOW Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 12,000 40% 40% 12,000 - 45,000 50% 60% >45,000 75%

NQ.N NQ Mobile Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 46,200 25% 46,200 - 231,000 40% 40% 231,000 - 924,000 60% 75% >924,000 75%

NRG.N NRG Energy Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,170,000 20% 40% >1,170,000 75%

NYLD.N NRG Yield Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 300,000 60% 75% >300,000 75%

NYLDa.N NRG Yield Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 100,000 60% 75% >100,000 75%

NTLS.O NTELOS Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

DCM.N NTT DOCOMO Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

NVEE.O NV5 Global Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

NVEC.O NVE Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NVDA.O NVIDIA Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,860,000 20% 40% >1,860,000 75%

NVR.N NVR Inc UNITED STAT Yes Yes 0.3% 0 - 700 10% 700 - 3,500 20% 20% 3,500 - 14,000 35% 45% >14,000 75%

NXPI.O NXP Semiconductors NV UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 600,000 20% 40% >600,000 75%

NBR.N Nabors Industries Limited UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,840,000 30% 50% >1,840,000 75%

NC Nacco Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,500 60% 75% >7,500 75%

NSTG.O NanoString Technologies Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NANO.O Nanometrics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

NSPH.O Nanosphere Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NK.O NantKwest Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

NDAQ.O Nasdaq Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 630,000 30% 50% >630,000 75%

NTRA.O Natera Inc UNITED STAT Yes - No CR No 0.3% 0 - 700 25% 700 - 1,400 40% 40% 1,400 - 4,200 50% 60% >4,200 75%






NATH.O Nathan's Famous Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

NBHC.K National Bank Holdings Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

NBGPY.PK National Bank of Greece SA UNITED STAT No No 0.3% 0 - 45,000 15% 45,000 - 274,900 25% 25% 274,900 - 900,000 40% 55% >900,000 75%

NKSH.O National Bankshares Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 7,000 60% 75% >7,000 75%

FIZZ.O National Beverage Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 12,000 60% 75% >12,000 75%

NCMI.O National CineMedia Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

NCOM.O National Commerce Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NFG.N National Fuel Gas Company UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

NGHC.O National General Holdings Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

NGG.N National Grid PLC UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 9,000 10% 10% 9,000 - 30,000 20% 40% >30,000 75%

NHI.N National Health Investors Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

NHC.A National HealthCare Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NATI.O National Instruments Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

NATL.O National Interstate Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

NOV.N National Oilwell Varco Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 432,000 20% 40% >432,000 75%

NPBC.O National Penn Bancshares Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

NPK National Presto Industries Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NRCIA.O National Research Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,999,000 75% 75% >9,999,000 ERROR

NNN.N National Retail Properties Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 495,000 50% 60% >495,000 75%

NSA National Storage Affili AE UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

NWLI.O National Western Life Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

NSM.N Nationstar Mortgage Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 25,000 40% 40% 25,000 - 60,000 50% 60% >60,000 75%

NGS.N Natural Gas Services Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 19,500 60% 75% >19,500 75%

NGVC.K Natural Grocers by Vitamin Cottage Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 800 25% 800 - 4,800 40% 40% 4,800 - 40,000 60% 75% >40,000 75%

NHTC.O Natural Health Trends Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

NRP Natural Resource Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 20,000 60% 75% >20,000 75%

NATR.O Nature's Sunshine Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BABY.O Natus Medical Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

NVSL.O Naugatuck Valley Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%

NLS Nautilus Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

NAVB.P Navidea Biopharmaceuticals Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

NAVI.O Navient Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 1,500,000 35% 45% >1,500,000 75%

NCI Navigant Consulting Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

NVGS.K Navigator Holdings Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

NNA Navios Maritime Acquisition Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

NM.N Navios Maritime Holdings Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

NAP Navios Maritime Midstream Partners LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

NAV.N Navistar International Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 468,000 35% 45% >468,000 75%

NP Neenah Paper Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 40,000 40% 55% >40,000 75%

NEFF.K Neff Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

NKTR.O Nektar Therapeutics UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

NNI.N Nelnet Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

NPTN.K NeoPhotonics Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NEOG.O Neogen Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

NEO.O Neogenomics Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

NEOS.O Neos Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

NEOT.O Neothetics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

NVCN.O Neovasc Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

NRX.O NephroGenex Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

UEPS.O Net 1 Ueps Technologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

NTAP.O NetApp Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 820,000 20% 40% >820,000 75%

NTES.O NetEase Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 225,000 35% 45% >225,000 75%

NTCT.O NetScout Systems Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

NTWK.O NetSol Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

N.N NetSuite Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 147,500 35% 45% >147,500 75%

NFLX.O Netflix Inc UNITED STAT Yes Yes 0.3% 0 - 17,000 5% 17,000 - 51,000 15% 20% 51,000 - 204,000 30% 40% >204,000 75%

NTGR.O Netgear Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

NSR.N NeuStar Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

NDRM.O NeuroDerm Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 25% 6,000 - 42,000 40% 40% 42,000 - 174,000 60% 75% >174,000 75%

NBIX.O Neurocrine Biosciences Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

NVRO.K Nevro Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

NSU.A Nevsun Resources Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

NGD.A New Gold Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%

NJR.N New Jersey Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

NEWM.K New Media Investment Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 135,000 35% 45% >135,000 75%

NMFC.K New Mountain Finance Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

EDU.N New Oriental Education & Technology Group IncUNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

NEWR.O New Relic Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

NRZ.N New Residential Investment Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 1,950,000 50% 60% >1,950,000 75%

SNR New Senior Investment Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 70,500 60% 75% >70,500 75%

NYCB.K New York Community Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

NYMT.O New York Mortgage Trust Inc UNITED STAT Yes No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 480,000 60% 75% >480,000 75%

NYRT.K New York REIT Inc UNITED STAT Yes No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 724,000 60% 75% >724,000 75%

NBBC.O NewBridge Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NLNK.O NewLink Genetics Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 200,000 40% 55% >200,000 75%

NEU.N NewMarket Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

NEWS.O NewStar Financial Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

NCT Newcastle Investment Corporation UNITED STAT Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 190,000 60% 75% >190,000 75%

NWL.N Newell Rubbermaid Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 1,000,000 20% 40% >1,000,000 75%

NFX.N Newfield Exploration Company UNITED STAT Yes Yes 0.3% 0 - 45,000 25% 45,000 - 330,700 40% 40% 330,700 - 1,305,000 50% 60% >1,305,000 75%

NEM.N Newmont Mining Corporation UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 349,300 10% 10% 349,300 - 1,400,000 20% 40% >1,400,000 75%

NR.N Newpark Resources Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

NEWP.O Newport Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NWSA.O News Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,880,000 20% 40% >1,880,000 75%

NWS.O News Corporation UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

NEWT.O Newtek Business Services Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

NXRT.K NexPoint Residential Trust Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

NXST.O Nexstar Broadcasting Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 110,000 35% 45% >110,000 75%

NEE.N NextEra Energy Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 360,000 20% 40% >360,000 75%

NI.N NiSource Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 944,000 20% 40% >944,000 75%

NICK.O Nicholas Financial Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

NJ.N Nidec Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

NLSN.K Nielsen Holdings PLC UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 729,000 20% 40% >729,000 75%

NMBL.K Nimble Storage Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 300,000 35% 45% >300,000 75%

NTT.N Nippon Telegraph and Telephone Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

NKA.N Niska Gas Storage Partners LLC UNITED STAT Yes - No CR Yes 0.3% 0 - 1,400 25% 1,400 - 2,800 40% 40% 2,800 - 28,000 60% 75% >28,000 75%

NVLS.O Nivalis Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

NOAH.N Noah Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

HLTH.A Nobilis Health Corporation UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 99,000 60% 75% >99,000 75%

NE.N Noble Corporation PLC UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,070,000 20% 40% >1,070,000 75%

NBL.N Noble Energy Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 1,000,000 10% 10% 1,000,000 - 2,000,000 20% 40% >2,000,000 75%

NOK.N Nokia Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 100,000 5% 100,000 - 583,000 10% 10% 583,000 - 2,300,000 20% 40% >2,300,000 75%

NMR Nomura Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

NDLS.O Noodles & Company UNITED STAT Yes Call In 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

NORD.K Nord Anglia Education Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

NAO Nordic American Offshore Limited UNITED STAT Yes - No CR Call In 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 250,000 50% 60% >250,000 75%

NAT.N Nordic American Tankers Limited UNITED STAT Yes Call In 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 400,000 60% 75% >400,000 75%

NDSN.O Nordson Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

JWN.N Nordstrom Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 570,000 20% 40% >570,000 75%

NSC.N Norfolk Southern Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 357,000 20% 40% >357,000 75%

NTK.O Nortek Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 17,200 50% 60% >17,200 75%

PALDF.PK North American Palladium Limited UNITED STAT No No 0.3% 0 - 100 25% 100 - 200 40% 40% 200 - 2,000 60% 75% >2,000 75%

NADL.K North Atlantic Drilling Limited UNITED STAT Yes No 0.3% 0 - 300 25% 300 - 2,100 40% 40% 2,100 - 50,100 60% 75% >50,100 75%

NRF.N NorthStar Realty Finance Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 2,460,000 35% 45% >2,460,000 75%

NECB.O Northeast Community Bancorp Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

NAK.A Northern Dynasty Minerals Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 11,500 25% 11,500 - 23,000 40% 40% 23,000 - 158,100 60% 75% >158,100 75%

NOG.A Northern Oil and Gas Inc UNITED STAT Yes - No CR No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 600,000 60% 75% >600,000 75%

NTI.N Northern Tier Energy LP UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

NTRS.O Northern Trust Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 535,000 20% 40% >535,000 75%

NFBK.O Northfield Bancorp Inc. (Staten Island NY) UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 75,000 60% 75% >75,000 75%

NOC.N Northrop Grumman Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 276,000 20% 40% >276,000 75%

NSAM.N Northstar Asset Management Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 25,000 38% 38% 25,000 - 50,000 50% 75% >50,000 75%

NRE Northstar Realty Europe Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

NWBI.O Northwest Bancshares Inc UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%

NWBO.O Northwest Biotherapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 200,000 60% 75% >200,000 75%

NWN Northwest Natural Gas Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 40,000 40% 55% >40,000 75%

NWPX.O Northwest Pipe Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

NWE Northwestern Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 105,000 35% 45% >105,000 75%

NCLH.O Norwegian Cruise Line Holdings Limited UNITED STAT Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 300,000 35% 45% >300,000 75%

NWFL.O Norwood Financial Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 500 25% 500 - 1,000 40% 40% 1,000 - 4,999,500 75% 75% >4,999,500 ERROR






NCQ.A NovaCopper Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 11,800 25% 11,800 - 23,600 40% 40% 23,600 - 104,900 60% 75% >104,900 75%

NG.A NovaGold Resources Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 15% 25,000 - 150,000 25% 25% 150,000 - 500,000 40% 55% >500,000 75%

NVDQ.O Novadaq Technologies Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

NVS.N Novarti SA UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 34,900 10% 10% 34,900 - 198,000 20% 40% >198,000 75%

MIFI.O Novatel Wireless Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

NVAX.O Novavax Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 45,000 50% 60% >45,000 75%

NVO.N Novo Nordisk AS UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 34,900 10% 10% 34,900 - 378,000 20% 40% >378,000 75%

NVCR.O NovoCure Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 160,000 60% 75% >160,000 75%

NVGN.O Novogen Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 175,000 60% 75% >175,000 75%

NUS.N Nu Skin Enterprises Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,900 10% 10,900 - 54,500 20% 20% 54,500 - 218,000 35% 45% >218,000 75%

NS.N NuStar Energy LP UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

NUVA.O NuVasive Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%

NUAN.O Nuance Communications Inc UNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 274,900 20% 20% 274,900 - 1,125,000 35% 45% >1,125,000 75%

NUE.N Nucor Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 651,000 20% 40% >651,000 75%

NUTR.O Nutraceutical International Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

NTRI.O Nutrisystem Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%

NUV Nuveen Municipal Value Fund Inc UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

NESC.PK Nuverra Environmental Solutions Inc UNITED STAT No Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

NXTM.O Nxstage Medical Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

NYMX.O Nymox Pharmaceutical Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 351,000 60% 75% >351,000 75%

ORLY.O O'Reilly Automotive Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 216,000 20% 40% >216,000 75%

OFG OFG Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,500 15% 1,500 - 6,000 25% 25% 6,000 - 247,500 40% 55% >247,500 75%

OGE.N OGE Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 460,000 35% 45% >460,000 75%

OMAM.K OM Asset Management PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 20% 3,000 - 15,000 30% 30% 15,000 - 30,000 50% 60% >30,000 75%

OMN OMNOVA Solutions Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ON.O ON Semiconductor Corporation UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,750,000 35% 45% >1,750,000 75%

OGS.N ONE Gas Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 300,000 35% 45% >300,000 75%

OKE.N ONEOK Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 555,000 20% 40% >555,000 75%

OKS ONEOK Partners LP UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 300,000 35% 45% >300,000 75%

OPWR.K OPOWER Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

ORBC.O ORBCOMM Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 150,000 60% 75% >150,000 75%

IX.N ORIX Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,800 60% 75% >8,800 75%

OSIS.O OSI Systems Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 64,000 35% 45% >64,000 75%

OXGN.O OXiGENE Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

OAK Oaktree Capital Group LLC UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

OAS.N Oasis Petroleum Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 390,000 35% 45% >390,000 75%

OCAT.O Ocata Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

OXY.N Occidental Petroleum Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 86,800 10% 10% 86,800 - 345,000 20% 40% >345,000 75%

OBCI.O Ocean Bio-Chem Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

ORIG.O Ocean Rig UDW Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

OCFC.O OceanFirst Financial Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

OII.N Oceaneering International Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 234,000 35% 45% >234,000 75%

OZM.N Och-Ziff Capital Management Grou PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

OCLR.O Oclaro Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 20% 20,000 - 120,000 30% 30% 120,000 - 400,000 50% 60% >400,000 75%

OCUL.O Ocular Therapeutix Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

OCLS.O Oculus Innovative Sciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

OCN.N Ocwen Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 435,000 35% 45% >435,000 75%

OMEX.O Odyssey Marine Exploration Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

ODP.O Office Depot Inc UNITED STAT Yes Yes 0.3% 0 - 80,000 10% 80,000 - 475,200 20% 20% 475,200 - 3,280,000 35% 45% >3,280,000 75%

OHRP.O Ohr Pharmaceutical Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 300,000 60% 75% >300,000 75%

OIBR.K Oi SA UNITED STAT No Call In 0.3% 0 - 50,000 15% 50,000 - 300,000 25% 25% 300,000 - 1,000,000 40% 55% >1,000,000 75%

OIBRc.N Oi SA UNITED STAT No Yes 0.3% 0 - 8,900 25% 8,900 - 17,800 40% 40% 17,800 - 26,700 60% 75% >26,700 75%

OIS.N Oil States International Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 170,000 35% 45% >170,000 75%

ODC Oil-Dri Corp. of America UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

ODFL.O Old Dominion Freight Line Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

ONB.O Old National Ban Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%

ORI.N Old Republic International Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

OSBC.O Old Second Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

OLN.N Olin Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

OLLI.O Ollie's Bargain Outlet Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

ZEUS.O Olympic Steel Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

OHI.N Omega Healthcare Investors Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 525,000 50% 60% >525,000 75%

OME Omega Protein Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

OFLX.O OmegaFlex Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

OMER.O Omeros Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

OVTI.O OmniVision Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

OMCL.O Omnicell Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

OMC.N Omnicom Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 440,000 20% 40% >440,000 75%

ASGN.K On Assignment Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%

ONDK.K On Deck Capital Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 70%

OGXI.O OncoGenex Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

OMED.O OncoMed Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ONCS.O OncoSec Medical Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,300 25% 2,300 - 6,900 40% 40% 6,900 - 11,500 60% 75% >11,500 75%

ONCYF.PK Oncolytics Biotech Inc UNITED STAT No No 0.3% 0 - 20,000 25% 20,000 - 40,000 40% 40% 40,000 - 360,000 60% 75% >360,000 75%

ONTX.O Onconova Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 20,000 40% 40% 20,000 - 35,000 60% 75% >35,000 75%

ONTY.O Oncothyreon Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 60% 75% >200,000 75%

OHGI.O One Horizon Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

OLP One Liberty Properties Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

OB OneBeacon Insurance Group Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

OMF OneMain Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

OOMA.N Ooma Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

OTEX.O Open Text Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

OPHT.O Ophthotech Corporation UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 100,000 60% 75% >100,000 75%

OPK.N Opko Health Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 45,000 25% 45,000 - 274,900 40% 40% 274,900 - 1,980,000 60% 75% >1,980,000 75%

OPY Oppenheimer Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RWV Oppenheimer Navellier Overall A-100 Revenue UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

OPB.O Opus Bank UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

OSUR.O OraSure Technologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 274,500 40% 55% >274,500 75%

ORCL.K Oracle Corporation UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 219,100 10% 10% 219,100 - 877,500 20% 40% >877,500 75%

OGEN.K Oragenics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

ORMP.O Oramed Pharmaceuticals Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ORAN.K Orange UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

OA.N Orbital ATK Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 129,000 35% 45% >129,000 75%

ORBK.O Orbotech Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ORC Orchid Island Capital Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 225,000 60% 75% >225,000 75%

TIS Orchids Paper Products Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

OREX.O Orexigen Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 25% 8,000 - 48,000 40% 40% 48,000 - 800,000 60% 75% >800,000 75%

ONVO.A Organovo Holdings Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 60,000 25% 60,000 - 349,800 40% 40% 349,800 - 1,200,000 60% 75% >1,200,000 75%

SEED.O Origin Agritech Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

OESX.O Orion Energy Systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

ORN Orion Marine Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ORIT.O Oritani Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ORA.N Ormat Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

OFIX.O Orthofix International NV UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

OSK.N Oshkosh Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 306,000 35% 45% >306,000 75%

OSIR.O Osiris Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

OTEL.O Otelco Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

OTIC.O Otonomy Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

OTTR.O Otter Tail Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

OUTR.O Outerwall Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 230,000 35% 45% >230,000 75%

OUT.N Outfront Media Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 84,000 35% 45% >84,000 75%

OVAS.O OvaScience Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

OSTK.O Overstock.com Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

OMI.N Owens & Minor Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

OC.N Owens Corning UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 378,000 35% 45% >378,000 75%

OI.N Owens-Illinois Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 528,000 30% 50% >528,000 75%

OXFD.O Oxford Immunotec Global PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

OXM Oxford Industries Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

PTSI.O P.A.M. Transportation Services Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PCAR.O PACCAR Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 540,000 20% 40% >540,000 75%

PRXL.O PAREXEL International Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

PBF.N PBF Energy Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

PCCC.O PC Connection Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PDCE.O PDC Energy Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 310,000 60% 75% >310,000 75%

PDFS.O PDF Solutions Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PDLI.O PDL BioPharma Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 60% 75% >600,000 75%

PFSW.O PFSweb Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PCG.N PG&E Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 760,000 20% 40% >760,000 75%

PGTI.O PGT Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 549,000 50% 60% >549,000 75%

GLT PH Glatfelter Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%






PHH.N PHH Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

PHIIK.O PHI Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PICO.O PICO Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

HYS.P PIMCO 0-5 Year High Yield Corporate Bond IndeUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PZC PIMCO California Municipal Income Fund III UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PTY.N PIMCO Corporate & Income Opportunity Fund UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

PCN.N PIMCO Corporate & Income Strategy Fund UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

PDI.N PIMCO Dynamic Income Fund UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 150,000 60% 75% >150,000 75%

PHK.N PIMCO High Income Fund UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

PFN PIMCO Income Strategy Fund II UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 60,000 35% 45% >60,000 75%

PML.N PIMCO Municipal Income Fund II UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

PMX.N PIMCO Municipal Income Fund III UNITED STAT Yes No 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 15,000 35% 45% >15,000 75%

BOND.P PIMCO Total Return Active Exchange-Traded FUNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

PJT PJT Partners Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PMCS.O PMC-Sierra Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

PNM.N PNM Resources Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

PKX.N POS Company UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

POZN.O POZEN Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

PPG.N PPG Industries Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 140,000 20% 40% >140,000 75%

PPL.N PPL Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,050,000 20% 40% >1,050,000 75%

PRAA.O PRA Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PRAH.O PRA Health Sciences Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

PRO PROS Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

PSB.N PS Business Parks Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

TLK.N PT Telekomunikasi Indonesia Tbk UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

PTC.O PTC Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

PTCT.O PTC Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 400,000 35% 45% >400,000 75%

PVH.N PVH Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 282,000 20% 40% >282,000 75%

PACW.O PacWest Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 45% >400,000 75%

PACB.O Pacific Biosciences of California Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 305,000 60% 75% >305,000 75%

ROYT.K Pacific Coast Oil Trust UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PCBK.O Pacific Continental Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PACD.K Pacific Drilling SA UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

PEIX.O Pacific Ethanol Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 252,000 60% 75% >252,000 75%

PPBI.O Pacific Premier Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PCRX.O Pacira Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

PKG.N Packaging Corporation of America UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 231,000 35% 45% >231,000 75%

PTIE.O Pain Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%

PANW.K Palo Alto Networks Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 231,000 35% 45% >231,000 75%

PAM Pampa Energia SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 95,000 60% 75% >95,000 75%

PAAS.O Pan American Silver Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%

P.N Pandora Media Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 23,000 10% 23,000 - 115,000 20% 20% 115,000 - 460,000 35% 45% >460,000 75%

PNRA.O Panera Bread Company UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 23,300 20% 20% 23,300 - 92,000 35% 45% >92,000 75%

PHX Panhandle Oil and Gas Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PZZA.O Papa John's International Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

FRSH.O Papa Murphy's Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PARR.A Par Pacific Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PGNPQ.PK Paragon Offshore PLC UNITED STAT No No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 150,000 40% 55% >150,000 75%

PGRE.K Paramount Group Inc UNITED STAT Yes No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 651,000 60% 75% >651,000 75%

PRTK.O Paratek Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

PCYG.O Park City Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PKE Park Electrochemical Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 24,000 60% 75% >24,000 75%

PRK.A Park National Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 12,700 50% 60% >12,700 75%

PSTB.O Park Sterling Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PKOH.O Park-Ohio Holdings Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PKD.N Parker Drilling Company UNITED STAT Yes Yes 0.3% 0 - 9,000 25% 9,000 - 54,900 40% 40% 54,900 - 180,000 60% 75% >180,000 75%

PH.N Parker-Hannifin Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 284,000 20% 40% >284,000 75%

PKY Parkway Properties Inc UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 150,000 35% 45% >150,000 75%

PE Parsley Energy Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 24,000 20% 20% 24,000 - 120,000 35% 45% >120,000 75%

PTNR.O Partner Communications Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PRE.N PartnerRe Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 164,000 35% 45% >164,000 75%

PRTY.K Party City Holdco Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 32% 32% 6,000 - 20,000 40% 48% >20,000 60%

PATK.O Patrick Industries Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PN Patriot National Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PEGI.O Pattern Energy Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 32% 32% 6,000 - 150,000 48% 60% >150,000 75%

PDCO.O Patterson Companies Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 50,000 20% 20% 50,000 - 325,000 30% 50% >325,000 75%

PTEN.O Patterson-UTI Energy Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 580,000 35% 45% >580,000 75%

PYPL.O PayPal Holdings Inc UNITED STAT Yes No 0.3% 0 - 6,200 10% 6,200 - 37,200 20% 20% 37,200 - 124,000 35% 45% >124,000 75%

PAYX.O Paychex Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 801,000 20% 40% >801,000 75%

PAYC.K Paycom Software Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PCTY.O Paylocity Holding Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

BTUUQ.PK Peabody Energy Corporation UNITED STAT No Call In 0.3% 0 - 3,400 15% 3,400 - 20,400 25% 25% 20,400 - 136,000 45% 60% >136,000 75%

PGC.O Peapack-Gladstone Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PEB Pebblebrook Hotel Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

PEGA.O Pegasystems Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

PCO.O Pendrell Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

PGH.N Pengrowth Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

PENN.O Penn National Gaming Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

PVAH.PK Penn Virginia Corporation UNITED STAT No No 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

PWE.N Penn West Petroleum Limited UNITED STAT Yes Call In 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

PTXP.O PennTex Midstream Partners LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 500 20% 500 - 3,000 32% 32% 3,000 - 10,000 40% 48% >10,000 60%

PNNT.O PennantPark Investment Corporation UNITED STAT Yes No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 172,500 60% 75% >172,500 75%

PWOD.O Penns Woods Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

PEI Pennsylvania Real Estate Investment Trust UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

PFSI.K PennyMac Financial Services Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

PMT.N PennyMac Mortgage Investment Trust UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

PAG.N Penske Automotive Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PNR.N Pentair PLC UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 426,000 20% 40% >426,000 75%

PEN Penumbra Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%

PBCT.O People's United Financial Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 350,000 20% 20% 350,000 - 1,505,000 30% 50% >1,505,000 75%

PUB.O People's Utah Ban Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PEBO.O Peoples Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

PFIS.O Peoples Financial Services Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%

PBY.N Pep Boys - Manny Moe & Jack UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

POM.N Pepco Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 1,005,000 30% 50% >1,005,000 75%

PEP.N Pepsico Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 106,600 10% 10% 106,600 - 420,000 20% 40% >420,000 75%

PPHM.O Peregrine Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 60% 75% >500,000 75%

PRFT.O Perficient Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

PFGC.K Performance Food Group Company UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%

PSG Performance Sports Group Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

PERI.O Perion Network Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 32,000 60% 75% >32,000 75%

PKI.N PerkinElmer Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 399,000 30% 50% >399,000 75%

PBT.N Permian Basin Royalty Trust UNITED STAT Yes Call In 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 40,000 60% 75% >40,000 75%

PTX.O Pernix Therapeutics Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

PRGO.K Perrigo Company PLC UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 225,000 20% 40% >225,000 75%

PERY.O Perry Ellis International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

PGLC.O Pershing Gold Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PETS.O PetMed Express Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PTR.N PetroChina Company Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

PQ.N PetroQuest Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%

PZE.N Petrobras Argentina SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,100 25% 3,100 - 6,200 40% 40% 6,200 - 62,000 60% 75% >62,000 75%

PBRa Petroleo Brasileiro S.A. - Petrobras UNITED STAT Stockbroking onlyYes 0.3% 0 - 50,000 10% 50,000 - 300,000 20% 20% 300,000 - 1,350,000 35% 45% >1,350,000 75%

PBR.N Petroleo Brasileiro S.A. - Petrobras UNITED STAT Yes Yes 0.3% 0 - 72,300 10% 72,300 - 361,500 20% 20% 361,500 - 1,446,000 35% 45% >1,446,000 75%

PEO.N Petroleum & Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PFNX.K Pfenex Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PFE.N Pfizer Inc UNITED STAT Yes Yes 0.3% 0 - 50,000 5% 50,000 - 260,500 10% 10% 260,500 - 1,050,000 20% 40% >1,050,000 75%

PMC PharMerica Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

PTGCY.PK Pharol SGPS SA UNITED STAT No No 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

PAHC.O Phibro Animal Health Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

PM.N Philip Morris International Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 103,600 10% 10% 103,600 - 420,000 20% 40% >420,000 75%

PHI.N Philippine Long Distance Telephone Company UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

PSX.N Phillips 66 UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 109,600 10% 10% 109,600 - 435,000 20% 40% >435,000 75%

PSXP.K Phillips 66 Partners LP UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 12,000 30% 30% 12,000 - 150,000 50% 60% >150,000 75%

FENG.K Phoenix New Media Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

PHMD.O PhotoMedex Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PLAB.O Photronics Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

DOC Physicians Realty Trust UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

PNY Piedmont Natural Gas Co. Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

PDM Piedmont Office Realty Trust Inc UNITED STAT Yes No 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 450,000 35% 45% >450,000 75%

PIR Pier 1 Imports Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 924,000 35% 45% >924,000 75%






PIRS.O Pieris Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 25,000 40% 40% 25,000 - 50,000 60% 75% >50,000 75%

PPC.O Pilgrim's Pride Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

PNK.O Pinnacle Entertainment Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

PNFP.O Pinnacle Financial Partners Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 65,000 40% 55% >65,000 75%

PF.N Pinnacle Foods Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

PNW.N Pinnacle West Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 60,000 20% 20% 60,000 - 474,000 30% 50% >474,000 75%

PES Pioneer Energy Services Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 651,000 60% 75% >651,000 75%

PXD.N Pioneer Natural Resources Company UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 44,900 10% 10% 44,900 - 180,000 20% 40% >180,000 75%

PJC.N Piper Jaffray Companies UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

PBI.N Pitney Bowes Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 300,000 20% 20% 300,000 - 1,290,000 30% 50% >1,290,000 75%

PXLW.O Pixelworks Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 300,000 60% 75% >300,000 75%

PAA.N Plains All American Pipeline LP UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 310,000 35% 45% >310,000 75%

PAGP.K Plains GP Holdings LP UNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 375,000 35% 45% >375,000 75%

PLNT.K Planet Fitness Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

PLT.N Plantronics Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

PAH Platform Specialty Products Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 225,000 35% 45% >225,000 75%

PLXS.O Plexus Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

PLUG.O Plug Power Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 510,000 60% 75% >510,000 75%

PCL.N Plum Creek Timber Co. Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 576,000 20% 40% >576,000 75%

PSTI.O Pluristem Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PGEM.K Ply Gem Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

PCOM.O Points International Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PII.N Polaris Industries Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 124,000 35% 45% >124,000 75%

POL.N PolyOne Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PLCM.O Polycom Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 1,290,000 35% 45% >1,290,000 75%

OPYGY.PK Polyus Gold PJSC UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

POOL.O Pool Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

PLKI.O Popeyes Louisiana Kitchen Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

BPOP.O Popular Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

POR.N Portland General Electric Company UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

PTLA.O Portola Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 90,000 60% 75% >90,000 75%

POST.K Post Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

PPS.N Post Properties Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

POT.N Potash Corporation of Saskatchewan Inc UNITED STAT Yes Yes 0.3% 0 - 24,700 10% 24,700 - 123,500 20% 20% 123,500 - 494,000 35% 45% >494,000 75%

PBPB.O Potbelly Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 40,000 60% 75% >40,000 75%

PCH.O Potlatch Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

POWL.O Powell Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

POWI.O Power Integrations Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

PSIX.O Power Solutions International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

POWR.K PowerSecure International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

PKW PowerShares Buyback Achievers Portfolio UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PCEF.P PowerShares CEF Income Composite PortfolioUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

CHNA.P PowerShares China A-Share Portfolio UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DSUM.P PowerShares Chinese Yuan Dim Sum Bond PoUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DBA PowerShares DB Agriculture Fund UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,500 20% 20% 34,500 - 60,000 35% 45% >60,000 75%

DBB.P PowerShares DB Base Metals Fund UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

DBC.P PowerShares DB Commodity Index Tracking FuUNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%

DBE PowerShares DB Energy Fund UNITED STAT Yes Call In 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%

DGL.P PowerShares DB Gold Fund UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DBO PowerShares DB Oil Fund UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

DBP PowerShares DB Precious Metals Fund UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

UDN.P PowerShares DB US Dollar Index Bearish FundUNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

UUP PowerShares DB US Dollar Index Bullish Fund UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,500 20% 20% 34,500 - 60,000 35% 45% >60,000 75%

PTF PowerShares DWA Technology Momentum Po UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PBE PowerShares Dynamic Biotechnology & GenomUNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PBJ.P PowerShares Dynamic Food & Beverage PortfoUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PCY PowerShares Emerging Markets Sovereign DebUNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PGF.P PowerShares Financial Preferred Portfolio UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

PHB.P PowerShares Fundamental High Yield CorporatUNITED STAT Yes Call In 0.3% 0 - 3,000 10% 3,000 - 15,000 20% 20% 15,000 - 30,000 35% 45% >30,000 75%

PIO PowerShares Global Water Portfolio UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PEY.P PowerShares High Yield Equity Dividend AchievUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

KBWB.P PowerShares KBW Bank Portfolio UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

KBWD.P PowerShares KBW High Dividend Yield FinanciUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

KBWY.P PowerShares KBW Premium Yield Equity REITUNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PGX.P PowerShares Preferred Portfolio UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%

QQQ.O PowerShares QQQ UNITED STAT Yes Yes 0.3% 0 - 40,000 5% 40,000 - 240,000 10% 10% 240,000 - 400,000 25% 40% >400,000 75%

PBP.P PowerShares S&P 500 BuyWrite Portfolio UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SPLV.K PowerShares S&P 500 Low Volatility Portfolio UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

SPHD.P PowerShares S&P 500(r) High Dividend Low VoUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

EELV.P PowerShares S&P Emerging Markets Low VolaUNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PSCE.O PowerShares S&P SmallCap Energy Portfolio UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BKLN.P PowerShares Senior Loan Portfolio UNITED STAT Yes No 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 77,000 35% 45% >77,000 75%

PHO.P PowerShares Water Resources Portfolio UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

PBW.P PowerShares WilderHill Clean Energy Portfolio UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%

PX.N Praxair Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 255,000 20% 40% >255,000 75%

PCP.N Precision Castparts Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 5% 2,500 - 25,000 10% 10% 25,000 - 127,500 20% 40% >127,500 75%

PDS.N Precision Drilling Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

APTS.K Preferred Apartment Communities Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PFBC.O Preferred Bank UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

PLPC.O Preformed Line Products Company UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

PINC.O Premier Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

PGND.K Press Ganey Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

PBH Prestige Brands Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%

PVG Pretium Resources Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

PSMT.O PriceSmart Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

PRI Primerica Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

PRMW.O Primo Water Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

PRIM.O Primoris Services Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

PFG.N Principal Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 624,000 20% 40% >624,000 75%

PVTB.O PrivateBancorp Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

PDEX.O Pro-Dex Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

PRA.N ProAssurance Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

DNAI.O ProNAi Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 200,000 50% 60% >200,000 75%

PRQR.O ProQR Therapeutics NV UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

RINF.P ProShares 30 Year TIPS TSY Spread UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TYTE.P ProShares CDS North American HY Credit ETFUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

WYDE.P ProShares CDS Short North American HY CredUNITED STAT Yes No 0.3% 0 - 0 25% 0 - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERROR

CSM.P ProShares Large Cap Core Plus UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

TBF.P ProShares Short 20+ Year Treasury UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%

DOG.P ProShares Short Dow30 UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

YXI.P ProShares Short FTSE China 50 UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SEF ProShares Short Financials UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SJB.P ProShares Short High Yield UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

EFZ.P ProShares Short MSCI EAFE UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

EUM.P ProShares Short MSCI Emerging Markets UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

PSQ.N ProShares Short QQQ UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RWM.P ProShares Short Russell2000 UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

SH ProShares Short S&P500 UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%

SVXY.P ProShares Short VIX Short-Term Futures ETF UNITED STAT Yes - No CR Call In 0.3% 0 - 4,000 10% 4,000 - 24,000 20% 20% 24,000 - 52,000 35% 45% >52,000 75%

UBT.P ProShares Ultra 20+ Year Treasury UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

UYM ProShares Ultra Basic Materials UNITED STAT Yes - No CR Call In 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 20,000 50% 75% >20,000 75%

UCO ProShares Ultra Bloomberg Crude Oil UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 15,000 20% 20% 15,000 - 30,000 35% 45% >30,000 75%

BOIL.P ProShares Ultra Bloomberg Natural Gas UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

DDM ProShares Ultra Dow30 UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 40% 40% 9,000 - 15,000 50% 75% >15,000 75%

ULE.P ProShares Ultra Euro UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

XPP.P ProShares Ultra FTSE China 50 UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%

UYG ProShares Ultra Financials UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 30% 30% 30,000 - 300,000 40% 50% >300,000 75%

UGL ProShares Ultra Gold UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 96,000 35% 45% >96,000 75%

RXL ProShares Ultra Health Care UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

UBR.P ProShares Ultra MSCI Brazil Capped UNITED STAT Yes - No CR Yes 0.3% 0 - 200 10% 200 - 1,200 20% 20% 1,200 - 17,600 35% 45% >17,600 75%

EZJ.P ProShares Ultra MSCI Japan UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

MVV ProShares Ultra MidCap400 UNITED STAT Yes - No CR Call In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BIB.O ProShares Ultra Nasdaq Biotechnology UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

DIG ProShares Ultra Oil & Gas UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 20,200 33% 33% 20,200 - 30,000 53% 73% >30,000 100%

QLD.P ProShares Ultra QQQ UNITED STAT Yes - No CR Call In 0.3% 0 - 6,000 10% 6,000 - 34,500 20% 20% 34,500 - 60,000 35% 45% >60,000 75%

URE ProShares Ultra Real E SAE UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 1,100,000 40% 50% >1,100,000 75%

UWM.P ProShares Ultra Russell2000 UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%

SSO.P ProShares Ultra S&P500 UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

AGQ ProShares Ultra Silver UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 90,000 35% 45% >90,000 75%

ROM.P ProShares Ultra Technology UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,000 50% 60% >10,000 75%






UVXY.P ProShares Ultra VIX Short-Term Futures ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 25,000 50% 60% >25,000 75%

YCL.P ProShares Ultra Yen UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

UDOW.P ProShares UltraPro Dow30 UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

UBIO.O ProShares UltraPro Nasdaq Biotechnology UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

TQQQ.O ProShares UltraPro QQQ UNITED STAT Yes - No CR Yes 0.3% 0 - 40,000 15% 40,000 - 200,000 25% 25% 200,000 - 400,000 40% 45% >400,000 75%

UPRO.P ProShares UltraPro S&P500 UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 640,000 40% 50% >640,000 75%

TTT ProShares UltraPro Short 20+ Year Treasury UNITED STAT Yes - No CR Call In 0.3% 0 - 1,300 25% 1,300 - 7,800 40% 40% 7,800 - 13,000 50% 75% >13,000 75%

SDOW.K ProShares UltraPro Short Dow30 UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 30,000 60% 75% >30,000 75%

SQQQ.O ProShares UltraPro Short QQQ UNITED STAT Yes - No CR Call In 0.3% 0 - 200 20% 200 - 1,200 30% 30% 1,200 - 2,000 50% 60% >2,000 75%

SRTY.P ProShares UltraPro Short Russell2000 UNITED STAT Yes - No CR No 0.3% 0 - 2,500 25% 2,500 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%

SPXU.P ProShares UltraPro Short S&P500 UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 5% 1,500 - 10,500 10% 10% 10,500 - 12,400 25% 40% >12,400 75%

TBT ProShares UltraShort 20+ Year Treasury UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

PST ProShares UltraShort 7-10 Year Treasury UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 16,000 20% 20% 16,000 - 32,000 35% 45% >32,000 75%

SMN ProShares UltraShort Basic Materials UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 20% 3,000 - 20,200 30% 30% 20,200 - 30,000 50% 60% >30,000 75%

SCO ProShares UltraShort Bloomberg Crude Oil UNITED STAT Yes - No CR Call In 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 80,000 35% 45% >80,000 75%

KOLD.P ProShares UltraShort Bloomberg Natural Gas UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

DXD ProShares UltraShort Dow30 UNITED STAT Yes - No CR Yes 0.3% 0 - 800 10% 800 - 5,400 20% 20% 5,400 - 8,000 35% 45% >8,000 75%

EUO ProShares UltraShort Euro UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 25,000 25% 25% 25,000 - 50,000 40% 55% >50,000 75%

FXP ProShares UltraShort FTSE China 50 UNITED STAT Yes - No CR Yes 0.3% 0 - 400 20% 400 - 2,400 30% 30% 2,400 - 4,000 50% 60% >4,000 75%

EPV.P ProShares UltraShort FTSE Europe UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SKF.P ProShares UltraShort Financials UNITED STAT Yes - No CR Yes 0.3% 0 - 500 20% 500 - 3,100 30% 30% 3,100 - 5,000 50% 60% >5,000 75%

GLL ProShares UltraShort Gold UNITED STAT Yes - No CR Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

GDXS.P ProShares UltraShort Gold Miners UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

BZQ.P ProShares UltraShort MSCI Brazil Capped UNITED STAT Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

EEV ProShares UltraShort MSCI Emerging Markets UNITED STAT Yes - No CR Yes 0.3% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 12,000 35% 45% >12,000 75%

EWV ProShares UltraShort MSCI Japan UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 50% 75% >10,000 75%

BIS.O ProShares UltraShort Nasdaq Biotechnology UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

DUG ProShares UltraShort Oil & Gas UNITED STAT Yes - No CR Call In 0.3% 0 - 800 20% 800 - 5,300 30% 30% 5,300 - 8,000 40% 50% >8,000 75%

QID.P ProShares UltraShort QQQ UNITED STAT Yes - No CR Yes 0.3% 0 - 1,600 10% 1,600 - 10,000 20% 20% 10,000 - 16,000 35% 45% >16,000 75%

SRS ProShares UltraShort Real E SAE UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,700 30% 30% 6,700 - 10,000 50% 60% >10,000 75%

TWM ProShares UltraShort Russell2000 UNITED STAT Yes - No CR Call In 0.3% 0 - 1,200 10% 1,200 - 7,200 20% 20% 7,200 - 12,000 35% 45% >12,000 75%

SDS.P ProShares UltraShort S&P500 UNITED STAT Yes - No CR No 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 350,000 35% 45% >350,000 75%

ZSL.P ProShares UltraShort Silver UNITED STAT Yes - No CR Call In 0.3% 0 - 800 20% 800 - 4,000 40% 40% 4,000 - 8,000 50% 75% >8,000 75%

YCS.P ProShares UltraShort Yen UNITED STAT Yes - No CR Yes 0.3% 0 - 500 10% 500 - 3,000 20% 20% 3,000 - 5,000 35% 45% >5,000 75%

VIXM.P ProShares VIX Mid-Term Futures ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

VIXY.P ProShares VIX Short-Term Futures ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

IPDN.O Professional Diversity Network Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 12,000 40% 40% 12,000 - 18,000 60% 75% >18,000 75%

PGNX.O Progenics Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 600,000 60% 75% >600,000 75%

PRGS.O Progress Software Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

PGR.N Progressive Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 1,390,000 20% 40% >1,390,000 75%

BIN Progressive Waste Solutions Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 95,000 40% 55% >95,000 75%

PLD.N Prologis Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 819,000 20% 40% >819,000 75%

PFPT.O Proofpoint Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

PSEC.O Prospect Capital Corporation UNITED STAT Yes Call In 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,475,000 35% 45% >1,475,000 75%

PB Prosperity Bancshares Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

PRTO.O Proteon Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 4,000 40% 40% 4,000 - 6,000 60% 75% >6,000 75%

PRTA.O Prothena Corporation PLC UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%

PRLB.K Proto Labs Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

PRSC.O Providence Service Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

PFS Provident Financial Services Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

PBIP.O Prudential Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

PRU.N Prudential Financial Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 392,000 20% 40% >392,000 75%

PUK.N Prudential PLC UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

PEG.N Public Service Enterprise Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 960,000 20% 40% >960,000 75%

PSA.N Public Storage UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 201,000 20% 40% >201,000 75%

PHM.N PulteGroup Inc UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 415,800 10% 10% 415,800 - 1,665,000 20% 40% >1,665,000 75%

PBYI.K Puma Biotechnology Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%

PCYO.O Pure Cycle Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

PSTG.N Pure Storage Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

HACK.P PureFunds ISE Cyber Security(TM) ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,000 40% 50% >10,000 75%

PPT.N Putnam Premier Income Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 300,000 50% 60% >300,000 75%

PZN Pzena Investment Management Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 13,000 60% 75% >13,000 75%

QTWO.K Q2 Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

QADA.O QAD Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

QCRH.O QCR Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,000 60% 75% >11,000 75%

QEP.N QEP Resources Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 1,000,000 30% 50% >1,000,000 75%

QLGC.O QLogic Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

QTS QTS Realty Trust Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

QCOM.O QUALCOMM Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 109,200 10% 10% 109,200 - 440,000 20% 40% >440,000 75%

QGEN.O Qiagen NV UNITED STAT Yes No 0.3% 0 - 2,000 20% 2,000 - 10,000 35% 35% 10,000 - 400,000 50% 75% >400,000 75%

QIHU.K Qihoo 360 Technology Company Limited UNITED STAT Yes Yes 0.3% 0 - 8,400 10% 8,400 - 42,000 20% 20% 42,000 - 168,000 35% 45% >168,000 75%

QIWI.O Qiwi PLC UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

QLIK.O Qlik Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 590,000 35% 45% >590,000 75%

QRVO.O Qorvo Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 50,000 40% 50% >50,000 75%

QUAD.K Quad Graphics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

KWR Quaker Chemical Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

QSII.O Quality Systems Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

QLYS.O Qualys Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

NX.N Quanex Building Products Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

PWR.N Quanta Services Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 800,000 20% 40% >800,000 75%

QTM Quantum Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 876,000 60% 75% >876,000 75%

DGX.N Quest Diagnostics Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 630,000 20% 40% >630,000 75%

STR.N Questar Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

KWKAQ.PK Quicksilver Resources Inc UNITED STAT No No 0.3% 0 - 35,000 25% 35,000 - 210,000 40% 40% 210,000 - 350,000 50% 60% >350,000 75%

QDEL.O Quidel Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ZQKSQ.PK Quiksilver Inc UNITED STAT No No 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%

QNST.O QuinStreet Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

Q.N Quintiles Transnational Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

QUMU.O Qumu Corp UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 14,000 60% 75% >14,000 75%

QUNR.O Qunar Cayman Islands Limited UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 35,000 20% 20% 35,000 - 210,000 35% 45% >210,000 75%

QHC Quorum Health Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 100 25% 100 - 600 40% 40% 600 - 2,000 50% 60% >2,000 75%

QTNT.O Quotient Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

QUOT.K Quotient Technology Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

RRD.O R.R. Donnelley & Sons Company UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 930,000 35% 45% >930,000 75%

RAS RAIT Financial Trust UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 424,000 60% 75% >424,000 75%

ROLL.O RBC Bearings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 40,000 40% 55% >40,000 75%

RCAPQ.PK RCS Capital Corporation UNITED STAT No No 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 525,000 40% 55% >525,000 75%

RMAX.K RE MAX Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 25,000 40% 40% 25,000 - 60,000 50% 60% >60,000 75%

RELX.K RELX PLC UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 20% 1,000 - 6,000 32% 32% 6,000 - 20,000 40% 48% >20,000 60%

REX REX American Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

RLI.N RLI Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

RLJ RLJ Lodging Trust UNITED STAT Yes No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 350,000 60% 75% >350,000 75%

RES.N RPC Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

RPM.N RPM International Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

RPXC.O RPX Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 130,000 40% 55% >130,000 75%

RSPP.N RSP Permian Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

RTIX.O RTI Surgical Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

RAX.N Rackspace Hosting Inc UNITED STAT Yes Yes 0.3% 0 - 24,600 20% 24,600 - 123,000 30% 30% 123,000 - 492,000 50% 60% >492,000 75%

RDNT.O RadNet Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 225,000 60% 75% >225,000 75%

RDCM.O Radcom Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

RSYS.O RadiSys Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

RDN.N Radian Group Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,050,000 35% 45% >1,050,000 75%

RLGT.K Radiant Logistics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 60,000 60% 75% >60,000 75%

RDUS.O Radius Health Inc UNITED STAT Yes - No CR No 0.3% 0 - 4,500 25% 4,500 - 27,000 40% 40% 27,000 - 157,500 60% 75% >157,500 75%

RDWR.O Radware Limited UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%

RL.N Ralph Lauren Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 210,000 20% 40% >210,000 75%

RMBS.O Rambus Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

RPT.N Ramco-Gershenson Properties Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

GOLD.O Randgold Resources Limited UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 20,000 10% 10% 20,000 - 210,000 20% 40% >210,000 75%

RRC.N Range Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 390,000 20% 40% >390,000 75%

RPD.O Rapid7 Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

RPTP.O Raptor Pharmaceuticals Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 75,000 40% 40% 75,000 - 495,000 50% 75% >495,000 75%

REEMF.PK Rare Element Resources Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,200 25% 10,200 - 20,400 40% 40% 20,400 - 204,000 60% 75% >204,000 75%

RAVN.O Raven Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

RJF.N Raymond James Financial Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 324,000 35% 45% >324,000 75%

RYAM.K Rayonier Advanced Materials Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 8,000 30% 30% 8,000 - 15,000 45% 60% >15,000 75%

RYN.N Rayonier Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 376,000 35% 45% >376,000 75%

RTN.N Raytheon Company UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 348,000 20% 40% >348,000 75%

RWLK.O ReWalk Robotics Limited UNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 50,000 50% 60% >50,000 75%

RDI.O Reading International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%






RELY.O Real Industry Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

RLD.N RealD Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

RNWK.O RealNetworks Inc UNITED STAT Yes Yes 0.3% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 46,000 60% 75% >46,000 75%

RP.O RealPage Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

RLGY.K Realogy Holdings Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 360,000 35% 45% >360,000 75%

O.N Realty Income Corporation UNITED STAT Yes Yes 0.3% 0 - 19,900 20% 19,900 - 99,500 30% 30% 99,500 - 398,000 50% 60% >398,000 75%

UTG Reaves Utility Income Fund UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

RHT.N Red Hat Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 574,000 20% 40% >574,000 75%

RLH.N Red Lion Hotels Corporation UNITED STAT Yes Yes 0.3% 0 - 2,900 25% 2,900 - 5,800 40% 40% 5,800 - 20,800 60% 75% >20,800 75%

RRGB.O Red Robin Gourmet Burgers Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

RDHL.O RedHill Biopharma Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

RWT.N Redwood Trust Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

RBC.N Regal Beloit Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

RGC.N Regal Entertainment Group UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

REG.N Regency Centers Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

REGN.O Regeneron Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 5% 3,000 - 25,600 10% 10% 25,600 - 102,000 20% 40% >102,000 75%

RGNX.O Regenxbio Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 30,000 50% 60% >30,000 75%

RM Regional Management Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

RF.N Regions Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 50,000 5% 50,000 - 500,000 10% 10% 500,000 - 3,200,000 20% 40% >3,200,000 75%

RGS.N Regis Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%

RGLS.O Regulus Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,500 75% 2,500 - 10,000 75% 75% 10,000 - 25,000 75% 75% >25,000 75%

RGA.N Reinsurance Group of America Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

REIS.O Reis Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RS.N Reliance Steel & Aluminum Company UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

RLYP.O Relypsa Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

RNR.N RenaissanceRe Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 180,000 35% 45% >180,000 75%

RNST.O Renasant Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

SOL.N ReneSola Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 60,000 20% 60,000 - 349,800 30% 30% 349,800 - 1,200,000 50% 60% >1,200,000 75%

REGI.O Renewable Energy Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

RENN.K Renren Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 500,000 35% 45% >500,000 75%

RCII.O Rent-A-Center Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

RTK.O Rentech Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

RNF.N Rentech Nitrogen Partners LP UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

RENT.O Rentrak Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%

RGEN.O Repligen Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

RPRX.O Repros Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 300,000 60% 75% >300,000 75%

RJET.O Republic Airways Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 274,500 40% 55% >274,500 75%

RBCAA.O Republic Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RSG.N Republic Services Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 847,000 20% 40% >847,000 75%

RMD.N ResMed Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 360,000 35% 45% >360,000 75%

RFP.N Resolute Forest Products Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

REXI.O Resource America Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

RSO.N Resource Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

RECN.O Resources Connection Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

QSR Restaurant Brands International Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 2,030,000 60% 75% >2,030,000 75%

BITE.O Restaurant ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

RH.N Restoration Hardware Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 287,000 35% 45% >287,000 75%

ROIC.O Retail Opportunity Investments Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%

RPAI.K Retail Properties of America Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SALE.O RetailMeNot Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 300,000 35% 45% >300,000 75%

RTRX.O Retrophin Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

RVNC.O Revance Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

REV.N Revlon Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

REXX.O Rex Energy Corporation UNITED STAT Yes Call In 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

REXR.K Rexford Industrial Realty Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%

RXN.N Rexnord Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 129,000 40% 55% >129,000 75%

RAI.N Reynolds American Inc UNITED STAT Yes Yes 0.3% 0 - 14,000 5% 14,000 - 140,000 10% 10% 140,000 - 1,386,000 20% 40% >1,386,000 75%

RICE.K Rice Energy Inc UNITED STAT Yes - No CR No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 876,000 35% 45% >876,000 75%

RIBT.O RiceBran Technologies UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 2,500 60% 75% >2,500 75%

RELL.O Richardson Electronics Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

RIC.A Richmont Mines Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

RNET.O RigNet Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 75,000 40% 55% >75,000 75%

RIGL.O Rigel Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%

REI.A Ring Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

RNG.N RingCentral Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 90,000 50% 60% >90,000 75%

RIO.N Rio Tinto PLC UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 60,000 10% 10% 60,000 - 280,000 20% 40% >280,000 75%

RBA.N Ritchie Bros. Auctioneers Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

RAD.N Rite Aid Corporation UNITED STAT Yes Yes 0.3% 0 - 140,600 10% 140,600 - 703,000 20% 20% 703,000 - 2,812,000 35% 45% >2,812,000 75%

RRTS.K Roadrunner Transportation Systems Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 90,000 40% 55% >90,000 75%

RHI.N Robert Half International Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 80,000 20% 20% 80,000 - 504,000 30% 50% >504,000 75%

ROBO.O Robo Global(TM) Robotics and Automation IndeUNITED STAT Yes - No CR No 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 10,000 50% 60% >10,000 75%

RCPI.PK Rock Creek Pharmaceuticals Inc UNITED STAT No No 0.3% 0 - 900 25% 900 - 1,800 40% 40% 1,800 - 14,400 60% 75% >14,400 75%

FUEL.O Rocket Fuel Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 374,000 40% 55% >374,000 75%

ROK.N Rockwell Automation Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 285,000 20% 40% >285,000 75%

COL.N Rockwell Collins Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 423,000 20% 40% >423,000 75%

RMTI.O Rockwell Medical Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

RSTI.O Rofin-Sinar Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%

ROG.N Rogers Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%

ROL Rollins Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

ROP.N Roper Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 210,000 20% 40% >210,000 75%

RRMS.K Rose Rock Midstream LP UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ROSG.O Rosetta Genomics Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 75,000 60% 75% >75,000 75%

RST Rosetta Stone Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

ROST.O Ross Stores Inc UNITED STAT Yes Yes 0.3% 0 - 14,000 5% 14,000 - 140,000 10% 10% 140,000 - 966,000 20% 40% >966,000 75%

RSE.N Rouse Properties Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

ROVI.O Rovi Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

RDC.N Rowan Companies PLC UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 70,000 20% 20% 70,000 - 623,000 30% 50% >623,000 75%

RY.N Royal Bank of Canada UNITED STAT Yes Yes 0.3% 0 - 12,800 10% 12,800 - 64,000 20% 20% 64,000 - 256,000 35% 45% >256,000 75%

RCL.N Royal Caribbean Cruises Limited UNITED STAT Yes Yes 0.3% 0 - 15,900 10% 15,900 - 79,500 20% 20% 79,500 - 318,000 35% 45% >318,000 75%

RDSa.N Royal Dutch Shell PLC UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 39,900 10% 10% 39,900 - 231,000 20% 40% >231,000 75%

RDSb Royal Dutch Shell PLC UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 216,000 35% 45% >216,000 75%

RGLD.O Royal Gold Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 250,000 50% 60% >250,000 75%

RBYCF.PK Rubicon Minerals Corporation UNITED STAT No No 0.3% 0 - 10,100 25% 10,100 - 20,200 40% 40% 20,200 - 202,000 60% 75% >202,000 75%

RBCN.O Rubicon Technology Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

RT.N Ruby Tuesday Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%

RKUS.K Ruckus Wireless Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 549,000 35% 45% >549,000 75%

RTEC.K Rudolph Technologies Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

RUSHA.O Rush Enterprises Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

RUTH.O Ruth's Hospitality Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

RYAAY.O Ryanair Holdings PLC UNITED STAT Yes Yes 0.3% 0 - 2,900 10% 2,900 - 19,300 20% 20% 19,300 - 58,000 35% 45% >58,000 75%

R.N Ryder System Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 30,000 20% 20% 30,000 - 276,000 30% 50% >276,000 75%

RYI Ryerson Holding Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

RHP Ryman Hospitality Properties Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%

STBA.O S&T Bancorp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SAP.N SAP SE UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 51,900 20% 20% 51,900 - 207,000 35% 45% >207,000 75%

SBAC.O SBA Communications Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 345,000 20% 40% >345,000 75%

SCG.N SCANA Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 376,000 20% 40% >376,000 75%

SEIC.O SEI Investments Company UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

SFXEQ.PK SFX Entertainment Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 350,000 60% 75% >350,000 75%

SINA.O SINA Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 11,900 10% 11,900 - 59,500 20% 20% 59,500 - 238,000 35% 45% >238,000 75%

SITO.O SITO Mobile Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 12,000 40% 40% 12,000 - 18,000 60% 75% >18,000 75%

SJW SJW Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SKM.N SK Telecom Company Limited UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SLG.N SL Green Realty Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 172,000 35% 45% >172,000 75%

SLM.O SLM Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,410,000 20% 40% >1,410,000 75%

SM.N SM Energy Company UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 195,000 35% 45% >195,000 75%

SP.O SP Plus Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

JNK.P SPDR(r) Barclays High Yield Bond ETF UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 300,000 35% 45% >300,000 75%

BWX.P SPDR(r) Barclays International Treasury Bond EUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SJNK.P SPDR(r) Barclays Short Term High Yield Bond UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%

RWO.P SPDR(r) Dow Jones Global Real Estate ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

DIA.P SPDR(r) Dow Jones Industrial Average ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 60,000 10% 10% 60,000 - 100,000 20% 40% >100,000 75%

RWX.P SPDR(r) Dow Jones International Real Estate EUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

RWR.P SPDR(r) Dow Jones REIT ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

FEZ.P SPDR(r) EURO STOXX 50 ETF UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 35,000 20% 20% 35,000 - 50,000 35% 45% >50,000 75%

GLD.P SPDR(r) Gold Sh AE UNITED STAT Yes Yes 0.3% 0 - 40,000 5% 40,000 - 240,000 10% 10% 240,000 - 1,000,000 25% 40% >1,000,000 75%

QESP.K SPDR(r) MSCI Spain Quality Mix ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SPY.P SPDR(r) S&P 500 ETF UNITED STAT Yes Yes 0.3% 0 - 300,000 5% 300,000 - 900,000 10% 10% 900,000 - 1,800,000 20% 40% >1,800,000 75%

SLYG.P SPDR(r) S&P 600 Small Cap Growth ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

BIK SPDR(r) S&P BRIC 40 ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%






KBE.P SPDR(r) S&P Bank ETF UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,500 20% 20% 34,500 - 60,000 35% 45% >60,000 75%

XBI.P SPDR(r) S&P Biotech ETF UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 150,000 35% 45% >150,000 75%

SDY.P SPDR(r) S&P Dividend ETF UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 35,000 20% 20% 35,000 - 50,000 35% 45% >50,000 75%

GMF.P SPDR(r) S&P Emerging Asia Pacific ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

EDIV.P SPDR(r) S&P Emerging Markets Dividend ETF UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 25,000 35% 45% >25,000 75%

EWX SPDR(r) S&P Emerging Markets Small Cap ETUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

WDIV.P SPDR(r) S&P Global Dividend ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

XHB.P SPDR(r) S&P Homebuilders ETF UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 40,200 20% 20% 40,200 - 70,000 35% 45% >70,000 75%

KIE.P SPDR(r) S&P Insurance ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%

GWX.P SPDR(r) S&P International Small Cap ETF UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

XME.P SPDR(r) S&P Metals and Mining ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

MDY.P SPDR(r) S&P MidCap 400 ETF UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%

XES SPDR(r) S&P Oil & Gas Equipment & Services UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

XOP.P SPDR(r) S&P Oil & Gas Exploration & Producti UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%

XPH.P SPDR(r) S&P Pharmaceuticals ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 30% 30% 6,000 - 10,000 50% 60% >10,000 75%

KRE.P SPDR(r) S&P Regional Banking ETF UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,200 20% 20% 20,200 - 30,000 35% 45% >30,000 75%

XRT.P SPDR(r) S&P Retail ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%

XSD.P SPDR(r) S&P Semiconductor ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

XSW SPDR(r) S&P Software & Services ETF UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

XTN SPDR(r) S&P Transportation ETF UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SPSC.O SPS Commerce Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 40,000 40% 55% >40,000 75%

SPXC.N SPX Corporation UNITED STAT No Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

FLOW.K SPX FLOW Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%

SSNC.O SS&C Technologies Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

STAA.O STAAR Surgical Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

STAG.K STAG Industrial Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%

STM.N STMicroelectronics NV UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

STOR.K STORE Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

STRI.K STR Holdings Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

STRT.O STRATTEC Security Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

SVU.N SUPERVALU Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 700,000 35% 45% >700,000 75%

SIVB.O SVB Financial Group UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SNX.N SYNNEX Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SOGCQ.PK Sabine Oil & Gas Corporation UNITED STAT No No 0.3% 0 - 50,000 25% 50,000 - 300,000 40% 40% 300,000 - 1,000,000 60% 75% >1,000,000 75%

SBR Sabine Royalty Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SBRA.O Sabra Health Care REIT Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 25% 4,000 - 25,000 40% 40% 25,000 - 80,000 60% 75% >80,000 75%

SABR.O Sabre Corporation UNITED STAT Yes Yes 0.3% 0 - 12,500 10% 12,500 - 75,000 20% 20% 75,000 - 150,000 35% 45% >150,000 75%

SB.N Safe Bulkers Inc UNITED STAT No Call In 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

SFE Safeguard Scientifics Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SAFT.O Safety Insurance Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 15,200 50% 60% >15,200 75%

SGA.A Saga Communications Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SAGE.O Sage Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

SGNT.O Sagent Pharmaceuticals Inc UNITED STAT Yes No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 150,000 60% 75% >150,000 75%

SAIA.O Saia Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 375,000 40% 55% >375,000 75%

SBH.N Sally Beauty Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 585,000 35% 45% >585,000 75%

SJT.N San Juan Basin Royalty Trust UNITED STAT Yes Call In 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SNDK.O SanDisk Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 450,000 20% 40% >450,000 75%

SN.N Sanchez Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 400,000 35% 45% >400,000 75%

SDOC.PK SandRidge Energy Inc UNITED STAT No No 0.3% 0 - 100,000 25% 100,000 - 600,000 40% 40% 600,000 - 2,600,000 60% 75% >2,600,000 75%

SDT SandRidge Mississippian Trust I UNITED STAT Stockbroking onlyCall In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

PER SandRidge Permian Trust UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 185,000 60% 75% >185,000 75%

SAFM.O Sanderson Farms Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SAND.A Sandstorm Gold Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%

SASR.O Sandy Spring Bancorp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SGMO.O Sangamo Biosciences Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

SANM.O Sanmina Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SNY.N Sanofi UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 5% 7,000 - 39,900 10% 10% 39,900 - 329,000 20% 40% >329,000 75%

GCVRZ.O Sanofi UNITED STAT Yes Yes 0.3% 0 - 42,700 25% 42,700 - 85,400 40% 40% 85,400 - 854,000 60% 75% >854,000 75%

SC Santander Consumer USA Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 1,128,000 35% 45% >1,128,000 75%

SPNS.O Sapiens International Corporation NV UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SPPJY.PK Sappi Limited UNITED STAT No No 0.3% 0 - 5,600 20% 5,600 - 11,200 30% 30% 11,200 - 14,000 75% 75% >14,000 75%

SAR Saratoga Investment Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 3,000 60% 75% >3,000 75%

SRPT.O Sarepta Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 31,800 25% 31,800 - 159,000 40% 40% 159,000 - 636,000 60% 75% >636,000 75%

SSL.N Sasol Limited UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

BFS.N Saul Centers Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 13,200 60% 75% >13,200 75%

SCSC.O ScanSource Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SLB.N Schlumberger Limited UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 92,000 10% 10% 92,000 - 370,000 20% 40% >370,000 75%

SCHN.O Schnitzer Steel Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

SCHL.O Scholastic Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

SCHD.P Schwab U.S. Dividend Equity ETF(TM) UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%

SCHX.K Schwab U.S. Large-Cap ETF(TM) UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SCHM.P Schwab U.S. Mid-Cap ETF(TM) UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%

SWM.N Schweitzer-Mauduit International Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 100,000 50% 60% >100,000 75%

SCLN.O SciClone Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SQI.O SciQuest Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

SAIC.K Science Applications International Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 5,000 20% 20% 5,000 - 20,000 35% 45% >20,000 75%

SGMS.O Scientific Games Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 160,000 35% 45% >160,000 75%

SALT.K Scorpio Bulkers Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 25,000 40% 40% 25,000 - 50,000 50% 60% >50,000 75%

STNG.K Scorpio Tankers Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%

SNI.O Scripps Networks Interactive Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 423,000 20% 40% >423,000 75%

SEAC.O SeaChange International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

SDRL.N SeaDrill Limited UNITED STAT Yes - No CR Call In 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 900,000 35% 50% >900,000 75%

SPNE.O SeaSpine Holdings Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SEAS.K SeaWorld Entertainment Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

SEB Seaboard Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 2,000 40% 40% 2,000 - 9,999,000 75% 75% >9,999,000 ERROR

SA.N Seabridge Gold Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 20% 6,000 - 34,900 30% 30% 34,900 - 120,000 50% 60% >120,000 75%

SBCF.O Seacoast Banking Corp. of Florida UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

CKH.N Seacor Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SDLP.K Seadrill Partners LLC UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%

STX.O Seagate Technology PLC UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 166,000 10% 10% 166,000 - 660,000 20% 40% >660,000 75%

SEE.N Sealed Air Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 855,000 30% 50% >855,000 75%

SRSC.O Sears Canada Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERROR

SHLD.O Sears Holdings Corporation UNITED STAT Yes Call In 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 405,000 35% 45% >405,000 75%

SHOS.O Sears Hometown and Outlet Stores Inc UNITED STAT No Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

SSW.N Seaspan Corporation UNITED STAT Yes Call In 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%

SGEN.O Seattle Genetics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 330,000 60% 75% >330,000 75%

EYES.O Second Sight Medical Products Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%

SNFCA.O Security National Financial Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%

SCSS.O Select Comfort Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%

SIR Select Income REIT UNITED STAT Yes No 0.3% 0 - 1,300 10% 1,300 - 7,800 20% 20% 7,800 - 260,000 35% 45% >260,000 75%

SEM Select Medical Holdings Corporation UNITED STAT Yes No 0.3% 0 - 2,400 10% 2,400 - 16,800 20% 20% 16,800 - 420,000 35% 45% >420,000 75%

SIGI.O Selective Insurance Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%

SEMG.K SemGroup Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SMI.N Semiconductor Manufacturing International CorpUNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 55,000 60% 75% >55,000 75%

SRE.N Sempra Energy UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 356,000 20% 40% >356,000 75%

SMTC.O Semtech Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

SENEA.O Seneca Foods Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SNH.N Senior Housing Properties Trust UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 792,000 35% 45% >792,000 75%

SNMX.O Senomyx Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 6,000 40% 40% 6,000 - 108,000 60% 75% >108,000 75%

ST.N Sensata Technologies Holding NV UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 24,000 20% 20% 24,000 - 450,000 35% 45% >450,000 75%

SENS.P Senseonics Holdings Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 12,000 40% 40% 12,000 - 28,000 60% 75% >28,000 75%

SXT Sensient Technologies Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%

SQNM.O Sequenom Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 600,000 60% 75% >600,000 75%

SQBG.O Sequential Brands Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

MCRB.O Seres Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 10,000 50% 60% >10,000 75%

SRG Seritage Growth Properties UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 50% 60% >60,000 75%

SCI.N Service Corporation International UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SERV.N ServiceMaster Global Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 25,000 20% 20% 25,000 - 50,000 35% 45% >50,000 75%

NOW.N ServiceNow Inc UNITED STAT Yes Yes 0.3% 0 - 12,300 10% 12,300 - 61,500 20% 20% 61,500 - 246,000 35% 45% >246,000 75%

SREV.O ServiceSource International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 232,500 60% 75% >232,500 75%

SFBS.O ServisFirst Bancshares Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SSE.N Seventy Seven Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 15% 2,000 - 10,000 30% 30% 10,000 - 20,000 45% 60% >20,000 75%

SHAK.K Shake Shack Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

SHSP.O SharpSpring Inc UNITED STAT Stockbroking onlyNo 1% 0 - 200 25% 200 - 1,500 40% 40% 1,500 - 2,500 60% 75% >2,500 75%

SMED.O Sharps Compliance Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SJR.N Shaw Communications Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 175,000 35% 50% >175,000 75%

SHLX.K Shell Midstream Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SHEN.O Shenandoah Telecommunications Company UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 32,000 60% 75% >32,000 75%

SHLO.O Shiloh Industries Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SHG.N Shinhan Financial Group Company Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%






SFL.N Ship Finance International Limited UNITED STAT Yes Yes 0.3% 0 - 7,000 25% 7,000 - 39,900 40% 40% 39,900 - 140,000 60% 75% >140,000 75%

SHPG.O Shire PLC UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 4,500 20% 20% 4,500 - 15,000 35% 45% >15,000 75%

SCVL.O Shoe Carnival Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SHOP.K Shopify Inc UNITED STAT Yes No 0.3% 0 - 500 20% 500 - 3,000 32% 32% 3,000 - 10,000 40% 48% >10,000 60%

SHOR.O ShoreTel Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SFLY.O Shutterfly Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 354,000 35% 45% >354,000 75%

SSTK.K Shutterstock Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 150,000 35% 45% >150,000 75%

SBGL.K Sibanye Gold Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%

SIEN.O Sientra Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

BSRR.O Sierra Ban Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 5,000 40% 40% 5,000 - 7,000 60% 75% >7,000 75%

SWIR.O Sierra Wireless Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 15% 7,000 - 39,900 25% 25% 39,900 - 140,000 40% 55% >140,000 75%

SIFY.O Sify Technologies Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SIGM.O Sigma Designs Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

SGMA.O SigmaTron International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

SBNY.O Signature Bank UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

SIG.N Signet Jewelers Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 52,500 20% 20% 52,500 - 210,000 35% 45% >210,000 75%

SLGN.O Silgan Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SILC.O Silicom Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SGI.O Silicon Graphics International Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

SLAB.O Silicon Laboratories Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%

SIMO.O Silicon Motion Technology Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

SPIL.O Siliconware Precision Industries Company LimitUNITED STAT Stockbroking onlyYes 0.3% 0 - 8,000 20% 8,000 - 50,000 30% 30% 50,000 - 160,000 50% 60% >160,000 75%

SBY.N Silver Bay Realty Trust Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

SSNI.K Silver Spring Networks Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SSRI.O Silver Standard Resources Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SLW.N Silver Wheaton Corporation UNITED STAT Yes Yes 0.3% 0 - 32,800 5% 32,800 - 164,000 10% 10% 164,000 - 656,000 20% 40% >656,000 75%

SFNC.O Simmons First National Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SPG.N Simon Property Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 208,000 20% 40% >208,000 75%

SSD.N Simpson Manufacturing Co. Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

SLP.O Simulations Plus Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

SBGI.O Sinclair Broadcast Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 724,000 35% 45% >724,000 75%

SHI.N Sinopec Shanghai Petrochemical Company LimUNITED STAT Yes Call In 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,200 60% 75% >11,200 75%

SVA.O Sinovac Biotech Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

SIRI.O Sirius XM Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 160,000 5% 160,000 - 1,500,800 10% 10% 1,500,800 - 9,440,000 20% 40% >9,440,000 75%

SIRO.O Sirona Dental Systems Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 240,000 35% 45% >240,000 75%

SIX.N Six Flags Entertainment Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

SZMK.O Sizmek Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 10,000 40% 40% 10,000 - 20,000 50% 75% >20,000 75%

SKX.N Skechers U.S.A. Inc UNITED STAT Yes Yes 0.3% 0 - 12,000 10% 12,000 - 72,000 20% 20% 72,000 - 240,000 35% 45% >240,000 75%

SKUL.O Skullcandy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

SKYS.O Sky Solar Holdings Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 500,000 60% 75% >500,000 75%

SKYW.O SkyWest Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%

SWKS.O Skyworks Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 520,000 35% 45% >520,000 75%

SFS Smart & Final Stores Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%

SMT.O Smart Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SNN.N Smith & Nephew PLC UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SWHC.O Smith & Wesson Holding Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 15% 15,000 - 90,000 25% 25% 90,000 - 300,000 40% 55% >300,000 75%

SNA.N Snap-on Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 15,000 20% 20% 15,000 - 130,500 30% 50% >130,500 75%

LNCE.O Snyder's-Lance Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%

SODA.O SodaStream International Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

SOHU.O Sohu.com Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 234,000 35% 45% >234,000 75%

SLRC.O Solar Capital Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%

SCTY.O SolarCity Corporation UNITED STAT Yes Yes 0.3% 0 - 11,200 10% 11,200 - 56,000 20% 20% 56,000 - 224,000 35% 45% >224,000 75%

SEDG.O SolarEdge Technologies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 25% 2,500 - 15,000 40% 40% 15,000 - 50,000 50% 60% >50,000 75%

SWI.N SolarWinds Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 378,000 35% 45% >378,000 75%

SLH.N Solera Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SAH Sonic Automotive Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

SONC.O Sonic Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SON.N Sonoco Products Company UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SONS.O Sonus Networks Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 18,000 25% 25% 18,000 - 60,000 40% 55% >60,000 75%

SNE.N Sony Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 980,000 35% 45% >980,000 75%

SRNE.O Sorrento Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%

BID.N Sotheby's UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 360,000 35% 45% >360,000 75%

SFUN.K SouFun Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 208,000 35% 45% >208,000 75%

SOR Source Capital Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%

SJI.N South Jersey Industries Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SSB.O South State Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

SOUHY.PK South32 Limited UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

SO.N Southern Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 780,000 20% 40% >780,000 75%

SCCO.K Southern Copper Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 520,000 35% 45% >520,000 75%

SBSI.O Southside Bancshares Inc UNITED STAT Yes - No CR No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 25,000 60% 75% >25,000 75%

LUV.N Southwest Airlines Company UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 1,560,000 20% 40% >1,560,000 75%

OKSB.O Southwest Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SWX.N Southwest Gas Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SWN.N Southwestern Energy Company UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 800,000 20% 40% >800,000 75%

SSS.N Sovran Self Storage Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SPKE.O Spark Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

LOV.P Spark Networks Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

ONCE.O Spark Therapeutics Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 50% 60% >100,000 75%

SPTN.O SpartanNash Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

SPA Sparton Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SE.N Spectra Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 900,000 20% 40% >900,000 75%

SEP.N Spectra Energy Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SPB.N Spectrum Brands Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SPPI.O Spectrum Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 25% 9,000 - 54,900 40% 40% 54,900 - 180,000 60% 75% >180,000 75%

TRK Speedway Motorsports Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

ANY.O Sphere 3D Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

SPR.N Spirit AeroSystems Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 570,000 50% 60% >570,000 75%

SAVE.O Spirit Airlines Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 354,000 35% 45% >354,000 75%

SRC.N Spirit Realty Capital Inc UNITED STAT Yes Yes 0.3% 0 - 40,000 15% 40,000 - 200,000 25% 25% 200,000 - 1,400,000 40% 55% >1,400,000 75%

SPLK.O Splunk Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,700 10% 9,700 - 48,500 20% 20% 48,500 - 194,000 35% 45% >194,000 75%

SPOK.O Spok Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SPWH.O Sportsman's Warehouse Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 35% 35% 50,000 - 100,000 50% 60% >100,000 75%

SRLP.K Sprague Resources LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 15,000 60% 75% >15,000 75%

S.N Sprint Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 1,128,000 35% 45% >1,128,000 75%

SGDM.P Sprott Gold Miners ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SFM.O Sprouts Farmers Market Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 70,000 20% 20% 70,000 - 1,100,000 35% 45% >1,100,000 75%

SQ Square Inc UNITED STAT Yes - No CR No 0.3% 0 - 25,000 25% 25,000 - 150,000 40% 40% 150,000 - 500,000 50% 60% >500,000 75%

STJ.N St. Jude Medical Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 504,000 20% 40% >504,000 75%

SSI Stage Stores Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

STMP.O Stamps.com Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

SFG.N StanCorp Financial Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%

SMP Standard Motor Products Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SXI Standex International Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%

SWK.N Stanley Black & Decker Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 410,000 20% 40% >410,000 75%

STN Stantec Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SPLS.O Staples Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,550,000 20% 40% >2,550,000 75%

SBLK.O Star Bulk Carriers Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%

SBUX.O Starbucks Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 222,000 10% 10% 222,000 - 900,000 20% 40% >900,000 75%

HOT.N Starwood Hotels & Resorts Worldwide Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 5% 9,000 - 90,000 10% 10% 90,000 - 423,000 20% 40% >423,000 75%

STWD.K Starwood Property Trust Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 1,152,000 35% 45% >1,152,000 75%

STRZA.O Starz UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

STFC.O State Auto Financial Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

STBZ.O State Bank Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%

SNC.O State National Companies Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

STT.N State Street Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 483,000 20% 40% >483,000 75%

STO.N Statoil ASA UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 5% 6,000 - 34,900 10% 10% 34,900 - 636,000 20% 40% >636,000 75%

STLD.O Steel Dynamics Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 940,000 35% 45% >940,000 75%

SXCL.O Steel Excel Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%

SCS.N Steelcase Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%

SMRT.O Stein Mart Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SCM Stellus Capital Investment Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

STML.O Stemline Therapeutics Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SCL Stepan Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SRCL.O Stericycle Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 180,000 20% 40% >180,000 75%

STE.N Steris PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 10% 7,000 - 35,000 20% 20% 35,000 - 140,000 35% 45% >140,000 75%

STL Sterling Ban Corporation UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%

STRL.O Sterling Construction Co. Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SHOO.O Steven Madden Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%

STC Stewart Information Services Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%

SF Stifel Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%






SWC.N Stillwater Mining Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%

SYBT.O Stock Yards Bancorp Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 4,000 40% 40% 4,000 - 6,000 60% 75% >6,000 75%

SGY.N Stone Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%

STON.K StoneMor Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%

SGBK.O Stonegate Bank UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SGM.N Stonegate Mortgage Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

SRI Stoneridge Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

STRP.A Straight Path Communications Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SSYS.O Stratasys Limited UNITED STAT Yes Yes 0.3% 0 - 6,700 10% 6,700 - 33,500 20% 20% 33,500 - 134,000 35% 45% >134,000 75%

STRA.O Strayer Education Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%

SYK.N Stryker Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 400,000 20% 40% >400,000 75%

STB.O Student Transportation Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

RGR.N Sturm Ruger & Co. Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%

SPH.N Suburban Propane Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%

SCMP.O Sucampo Pharmaceuticals Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SCNB.K Suffolk Ban Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%

SMFG.K Sumitomo Mitsui Financial Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 900,000 35% 45% >900,000 75%

INN Summit Hotel Properties Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 250,500 60% 75% >250,500 75%

SUM Summit Materials Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 24,000 50% 60% >24,000 75%

SMLP.N Summit Midstream Partners LP UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 30,000 60% 75% >30,000 75%

SNBC.O Sun Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%

SUI.N Sun Communities Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 100,000 40% 55% >100,000 75%

SNHY.O Sun Hydraulics Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SLF Sun Life Financial Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 35% 35% 6,000 - 150,000 50% 75% >150,000 75%

SXC.N SunCoke Energy Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

SXCP.K SunCoke Energy Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SUNEQ.PK SunEdison Inc UNITED STAT No Call In 0.3% 0 - 58,500 10% 58,500 - 292,500 20% 20% 292,500 - 1,170,000 35% 45% >1,170,000 75%

SEMI.O SunEdison Semiconductor Limited UNITED STAT No Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SPWR.O SunPower Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 127,500 20% 20% 127,500 - 500,000 35% 45% >500,000 75%

STI.N SunTrust Banks Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 880,000 20% 40% >880,000 75%

SU.N Suncor Energy Inc UNITED STAT Yes Yes 0.3% 0 - 24,900 10% 24,900 - 124,500 20% 20% 124,500 - 498,000 35% 45% >498,000 75%

SNSS.O Sunesis Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 572,000 60% 75% >572,000 75%

SUN.N Sunoco LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SXL.N Sunoco Logistics Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 3,000 10% 3,000 - 15,000 20% 20% 15,000 - 30,000 35% 45% >30,000 75%

RUN.O Sunrun Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 250,500 60% 75% >250,500 75%

SHO Sunstone Hotel Investors Inc UNITED STAT Yes No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 800,000 60% 75% >800,000 75%

SMCI.O Super Micro Computer Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%

SPCB.O SuperCom Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 35,000 60% 75% >35,000 75%

SPN.N Superior Energy Services Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 630,000 35% 45% >630,000 75%

SUP.N Superior Industries International Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SGC.O Superior Uniform Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

SUPN.O Supernus Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%

SRDX.O SurModics Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%

SGRY.O Surgery Partners Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 75,000 60% 75% >75,000 75%

SCAI.O Surgical Care Affiliates Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 60,000 60% 75% >60,000 75%

SFYWQ.PK Swift Energy Company UNITED STAT No No 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 50% 60% >300,000 75%

SWTF.PK Swift Energy Company UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%

SWFT.K Swift Transportation Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 680,000 35% 45% >680,000 75%

SYKE.O Sykes Enterprises Inc UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 70,000 40% 55% >70,000 75%

SYMC.O Symantec Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,560,000 20% 40% >1,560,000 75%

SYA Symetra Financial Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 175,000 35% 45% >175,000 75%

SSRG.O Symmetry Surgical Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 4,000 40% 40% 4,000 - 8,000 60% 75% >8,000 75%

SYNA.O Synaptics Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 264,000 35% 45% >264,000 75%

SNCR.O Synchronoss Technologies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 20% 3,000 - 18,000 30% 30% 18,000 - 337,500 50% 60% >337,500 75%

SYF Synchrony Financial UNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 900,000 35% 45% >900,000 75%

SGYP.O Synergy Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%

SYRG.A Synergy Resources Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 848,000 60% 75% >848,000 75%

ELOS.O Syneron Medical Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%

SYT.N Syngenta AG UNITED STAT Yes - No CR Yes 0.3% 0 - 1,500 10% 1,500 - 4,500 20% 20% 4,500 - 15,000 35% 60% >15,000 75%

SNPS.O Synopsys Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%

SNV.N Synovus Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 8,600 10% 8,600 - 50,100 20% 20% 50,100 - 172,000 35% 45% >172,000 75%

SNTA.O Synta Pharmaceuticals Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 700,000 60% 75% >700,000 75%

SYNT.O Syntel Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 40,000 40% 55% >40,000 75%

SYMX.O Synthesis Energy Systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 300,000 60% 75% >300,000 75%

SYN Synthetic Biologics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 400,000 60% 75% >400,000 75%

SYUT.O Synutra International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

SYY.N Sysco Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 940,000 20% 40% >940,000 75%

SYX.N Systemax Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 25% 1,500 - 3,000 40% 40% 3,000 - 12,500 60% 75% >12,500 75%

TMUS.O T-Mobile US Inc UNITED STAT Yes Yes 0.3% 0 - 26,600 10% 26,600 - 133,000 20% 20% 133,000 - 532,000 35% 45% >532,000 75%

TROW.O T. Rowe Price Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 410,000 20% 40% >410,000 75%

TTOO.O T2 Biosystems Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%

XRS.N TAL Education Group UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

TAL.N TAL International Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%

TASR.O TASER International Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%

TCP TC PipeLines LP UNITED STAT Yes No 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 100,000 40% 55% >100,000 75%

TCB.N TCF Financial Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%

AMTD.N TD Ameritrade Holding Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 48,000 20% 20% 48,000 - 1,528,000 35% 45% >1,528,000 75%

TEL.N TE Connectivity Limited UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 581,000 20% 40% >581,000 75%

TE.N TECO Energy Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,000,000 30% 50% >1,000,000 75%

TGNA.K TEGNA Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 900,000 35% 45% >900,000 75%

TU.N TELUS Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 15% 20,000 - 120,000 25% 25% 120,000 - 480,000 40% 55% >480,000 75%

TESS.O TESSCO Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%

TTI.N TETRA Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%

TFSL.O TFS Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%

TGTX.O TG Therapeutics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%

TSU.N TIM Participacoes SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 630,000 35% 45% >630,000 75%

TOT.N TOTAL SA UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 5% 5,000 - 30,000 10% 10% 30,000 - 275,000 20% 40% >275,000 75%

TRR TRC Companies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%

TPH TRI Pointe Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 925,000 35% 45% >925,000 75%

TTMI.O TTM Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 15% 8,000 - 50,000 25% 25% 50,000 - 160,000 40% 55% >160,000 75%

DATA.K Tableau Software Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 168,000 35% 45% >168,000 75%

TAHO.K Tahoe Resources Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%

MW.N Tailored Brands Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 376,000 35% 45% >376,000 75%TLRD.K Tailored Brands Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERRORTSM.N Taiwan Semiconductor Manufacturing CompanyUNITED STAT Yes Yes 0.3% 0 - 46,500 10% 46,500 - 232,500 20% 20% 232,500 - 930,000 35% 45% >930,000 75%TTWO.O Take-Two Interactive Software Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 875,000 35% 45% >875,000 75%TLN Talen Energy Corporation UNITED STAT Yes - No CR No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 852,000 60% 75% >852,000 75%TEP Tallgrass Energy Partners LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TLMR.O Talmer Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%TNDM.O Tandem Diabetes Care Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%SKT.N Tanger Factory Outlet Centers Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%TNGO.O Tangoe Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%TEDU.O Tarena International Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 175,500 60% 75% >175,500 75%TRGP.N Targa Resources Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 120,000 35% 45% >120,000 75%NGLS.K Targa Resources Partners LP UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%TGT.N Target Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 148,400 10% 10% 148,400 - 600,000 20% 40% >600,000 75%TARO.N Taro Pharmaceutical Industries Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%TTM.N Tata Motors Limited UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 520,000 35% 45% >520,000 75%TCO.N Taubman Centers Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 240,000 35% 45% >240,000 75%TMHC.K Taylor Morrison Home Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%TMH Team Health Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 300,000 35% 45% >300,000 75%TISI.K Team Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TEAR.O TearLab Corporation UNITED STAT Yes - No CR Call In 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 100,000 60% 75% >100,000 75%TECD.O Tech Data Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%TTGT.O TechTarget Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 42,000 60% 75% >42,000 75%XLK.P Technology Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%TCK.N Teck Resources Limited UNITED STAT Yes Yes 0.3% 0 - 34,900 10% 34,900 - 174,500 20% 20% 174,500 - 698,000 35% 45% >698,000 75%TGLS.O Tecnoglass Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%TK.N Teekay Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 25% 15,000 - 75,000 40% 40% 75,000 - 450,000 60% 75% >450,000 75%TGP Teekay LNG Partners LP. UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%TOO Teekay Offshore Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%TNK Teekay Tankers Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 25% 20,000 - 100,000 40% 40% 100,000 - 600,000 60% 75% >600,000 75%TRC.N Tejon Ranch Company UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 17,000 60% 75% >17,000 75%TDOC.K Teladoc Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 375,000 60% 75% >375,000 75%TSYS.O TeleCommunication Systems Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%TTEC.O TeleTech Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%TEO.N Telecom Argentina SA UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%TI.N Telecom Itali ASA UNITED STAT No Yes 0.3% 0 - 14,000,000 5% 14,000,000 - 84,000,0010% 10% 84,000,000 - 2,100,000,025% 40% >2,100,000,000 75%TDY.N Teledyne Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%TFX.N Teleflex Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%VIV.N Telefonica Brasil SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 870,000 35% 45% >870,000 75%TEF.N Telefonica SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%TNAV.O Telenav Inc UNITED STAT Yes Yes 0.3% 0 - 2,900 25% 2,900 - 5,800 40% 40% 5,800 - 58,000 60% 75% >58,000 75%TDS Telephone & Data Systems Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%TLSSF.PK Telesites SAB de CV UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%TLGT.O Teligent Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 250,000 60% 75% >250,000 75%






TDF.N Templeton Dragon Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%EMF.N Templeton Emerging Markets Fund UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 5,900 40% 40% 5,900 - 20,000 60% 75% >20,000 75%TRF Templeton Russia and East European Fund IncUNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TPX.N Tempur Sealy International Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 344,000 35% 45% >344,000 75%TS.N Tenaris SA UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 25,000 10% 10% 25,000 - 352,000 20% 40% >352,000 75%THC.N Tenet Healthcare Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 25% 20,000 - 178,800 40% 40% 178,800 - 720,000 50% 60% >720,000 75%TNC Tennant Company UNITED STAT Yes No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 30,000 40% 55% >30,000 75%TEN.N Tenneco Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%TDC.N Teradata Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 770,000 20% 40% >770,000 75%TER.N Teradyne Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 840,000 35% 45% >840,000 75%TEX.N Terex Corporation UNITED STAT Yes Yes 0.3% 0 - 19,000 10% 19,000 - 95,000 20% 20% 95,000 - 380,000 35% 45% >380,000 75%TX.N Ternium SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%TNH.N Terra Nitrogen Company LP UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 14,700 40% 55% >14,700 75%GLBL.O TerraForm Global Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 651,000 60% 75% >651,000 75%TERP.O TerraForm Power Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%TVIA.O TerraVia UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 20,000 25% 25% 20,000 - 450,000 40% 55% >450,000 75%TRNO.K Terreno Realty Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TBNK.O Territorial Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%TSRO.O Tesaro Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%TESO.O Tesco Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%TSLA.O Tesla Motors Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 42,000 20% 20% 42,000 - 128,000 30% 50% >128,000 75%TSO.N Tesoro Corporation UNITED STAT Yes Yes 0.3% 0 - 500 5% 500 - 3,000 15% 20% 3,000 - 6,000 30% 40% >6,000 75%TLLP.K Tesoro Logistics LP UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%TSRA.O Tessera Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 15% 4,000 - 25,000 25% 25% 25,000 - 80,000 40% 55% >80,000 75%TTEK.O Tetra Tech Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%TLOG.O TetraLogic Pharmaceuticals Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TTPH.O Tetraphase Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 125,000 60% 75% >125,000 75%CORN.P Teucrium Corn Fund UNITED STAT Yes Call In 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%WEAT.P Teucrium Wheat UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%TEVA.K Teva Pharmaceutical Industries Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 18,800 10% 18,800 - 94,000 20% 20% 94,000 - 376,000 35% 45% >376,000 75%TCBI.O Texas Capital BancShares Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%TXN.O Texas Instruments Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 189,800 10% 10% 189,800 - 760,000 20% 40% >760,000 75%TPL.N Texas Pacific Land Trust UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%TXRH.O Texas Roadhouse Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%TGH.N Textainer Group Holdings Limited UNITED STAT Yes Call In 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%TXT.N Textron Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 70,000 10% 10% 70,000 - 889,000 20% 40% >889,000 75%TXTR.N Textura Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%ADT.N The ADT Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 200,000 20% 20% 200,000 - 1,060,000 30% 50% >1,060,000 75%AES.N The AES Corporation UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 200,000 10% 10% 200,000 - 2,280,000 20% 40% >2,280,000 75%ABCO.O The Advisory Board Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%ALL.N The Allstate Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 632,000 20% 40% >632,000 75%ANDE.O The Andersons Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%TBBK.O The Bancorp Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%BK.N The Bank of New York Mellon Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,050,000 20% 40% >1,050,000 75%BX.N The Blackstone Group LP UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 133,500 20% 20% 133,500 - 525,000 35% 45% >525,000 75%BA.N The Boeing Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 63,900 10% 10% 63,900 - 255,000 20% 40% >255,000 75%BCO.N The Brink's Company UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%BKE.N The Buckle Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%CG.O The Carlyle Group LP UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%CATO.K The Cato Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%CEE.N The Central Europe Russia and Turkey Fund IncUNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 11,000 60% 75% >11,000 75%SCHW.K The Charles Schwab Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 300,000 10% 10% 300,000 - 1,320,000 20% 40% >1,320,000 75%CAKE.O The Cheesecake Factory Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%CHEF.O The Chefs' Warehouse Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%CC The Chemours Company UNITED STAT Yes - No CR No 0.3% 0 - 20,000 25% 20,000 - 120,000 40% 40% 120,000 - 1,800,000 60% 75% >1,800,000 75%PLCE.O The Children's Place Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%CHN.N The China Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%CLX.N The Clorox Company UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 380,000 20% 40% >380,000 75%KO.N The Coca-Cola Company UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 213,700 10% 10% 213,700 - 855,000 20% 40% >855,000 75%TCS.N The Container Store Group Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 10,000 25% 10,000 - 20,000 30% 30% 20,000 - 100,000 50% 60% >100,000 75%COO.N The Cooper Companies Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 132,000 35% 45% >132,000 75%DSGX.O The Descartes Systems Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%DOW.N The Dow Chemical Company UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 178,100 10% 10% 178,100 - 700,000 20% 40% >700,000 75%SSP The E. W. Scripps Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%EDE The Empire District Electric Company UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 15% 10,000 - 60,000 25% 25% 60,000 - 200,000 40% 55% >200,000 75%ENSG.O The Ensign Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%EL.N The Estee Lauder Companies Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 490,000 20% 40% >490,000 75%XONE.O The ExOne Company UNITED STAT Yes - No CR Call In 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 150,000 40% 55% >150,000 75%FNLC.O The First Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%FLIC.O The First of Long Island Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%TFM.O The Fresh Market Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%GEO The GEO Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 274,500 35% 45% >274,500 75%GDV.N The Gabelli Dividend & Income Trust UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%GAB.N The Gabelli Equity Trust Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%GPS.N The Gap Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 196,600 10% 10% 196,600 - 780,000 20% 40% >780,000 75%GS.N The Goldman Sachs Group Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 50,800 10% 10% 50,800 - 200,000 20% 40% >200,000 75%GT.O The Goodyear Tire & Rubber Company UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,250,000 30% 50% >1,250,000 75%IREBY.PK The Governor and Company of the Bank of IrelaUNITED STAT No No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%GBX.N The Greenbrier Companies Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%HABT.O The Habit Restaurants Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 75,000 60% 75% >75,000 75%HCKT.O The Hackett Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%HAIN.O The Hain Celestial Group Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 196,000 35% 45% >196,000 75%THG.N The Hanover Insurance Group Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%HIG.N The Hartford Financial Services Group Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 960,000 20% 40% >960,000 75%HSY.N The Hershey Company UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 316,000 20% 40% >316,000 75%CUBA.O The Herzfeld Caribbean Basin Fund Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,600 25% 1,600 - 6,400 40% 40% 6,400 - 48,000 60% 75% >48,000 75%HD.N The Home Depot Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 106,800 10% 10% 106,800 - 420,000 20% 40% >420,000 75%HHC The Howard Hughes Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%IFN.N The India Fund Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%INTG.O The InterGroup Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERRORIPG.N The Interpublic Group of Companies Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,995,000 20% 40% >1,995,000 75%SJM.N The J. M. Smucker Company UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 351,000 20% 40% >351,000 75%JGW.N The J.G. Wentworth Company UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 50,000 50% 60% >50,000 75%KEYW.O The KEYW Holding Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%KHC.O The Kraft Heinz Company UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 32% 32% 6,000 - 20,000 40% 48% >20,000 60%KR.N The Kroger Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 885,000 20% 40% >885,000 75%SR.N The Laclede Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%MAC.N The Macerich Company UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 426,000 20% 40% >426,000 75%MSG.N The Madison Square Garden Company UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%MTW.N The Manitowoc Company Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 570,000 35% 45% >570,000 75%MCS The Marcus Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%MNI.N The McClatchy Company UNITED STAT Yes Yes 0.3% 0 - 3,500 25% 3,500 - 7,000 40% 40% 7,000 - 70,000 60% 75% >70,000 75%MDCO.O The Medicines Company UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%MXF The Mexico Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%MIK.O The Michaels Companies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 550,000 35% 45% >550,000 75%MOS.N The Mosaic Company UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 174,200 10% 10% 174,200 - 700,000 20% 40% >700,000 75%NAVG.O The Navigators Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%GF.N The New Germany Fund Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 19,000 60% 75% >19,000 75%NWHM.K The New Home Company Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%NYT.N The New York Times Company UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%PNC.N The PNC Financial Services Group Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 408,000 20% 40% >408,000 75%PNX.N The Phoenix Companies Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 19,500 50% 60% >19,500 75%PCLN.O The Priceline Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 6,400 10% 10% 6,400 - 25,800 20% 40% >25,800 75%PG.N The Procter & Gamble Company UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 104,800 10% 10% 104,800 - 420,000 20% 40% >420,000 75%RMR.O The RMR Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%RBS.N The Royal Bank of Scotland Group PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%SMG.N The Scotts Miracle-Gro Company UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%SHW.N The Sherwin-Williams Company UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 174,000 20% 40% >174,000 75%SPNC.O The Spectranetics Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 426,000 40% 55% >426,000 75%JOE.N The St. Joe Company UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%SWZ The Swiss Helvetia Fund Inc UNITED STAT Yes Yes 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 24,000 60% 75% >24,000 75%TJX.N The TJX Companies Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 139,200 10% 10% 139,200 - 555,000 20% 40% >555,000 75%TKR.N The Timken Company UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 280,000 35% 45% >280,000 75%TTC.N The Toro Company UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%TD.N The Toronto-Dominion Bank UNITED STAT Yes No 0.3% 0 - 4,000 5% 4,000 - 20,000 10% 10% 20,000 - 240,000 25% 40% >240,000 75%TRV.N The Travelers Companies Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 400,000 20% 40% >400,000 75%ULTI.O The Ultimate Software Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%VAL.N The Valspar Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 220,000 35% 45% >220,000 75%DIS.N The Walt Disney Company UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 105,000 10% 10% 105,000 - 420,000 20% 40% >420,000 75%WEN.O The Wendy's Company UNITED STAT Yes Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 1,800,000 35% 45% >1,800,000 75%WU.N The Western Union Company UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 250,000 10% 10% 250,000 - 2,050,000 20% 40% >2,050,000 75%WTSLQ.PK The Wet Seal Inc UNITED STAT No No 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 800,000 60% 75% >800,000 75%WWAV.K The WhiteWave Foods Company UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 620,000 35% 45% >620,000 75%YORW.O The York Water Company UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%NCTY.O The9 Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,600 25% 7,600 - 15,200 40% 40% 15,200 - 31,100 60% 75% >31,100 75%TXMD.K TherapeuticsMD Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 624,000 60% 75% >624,000 75%TBPH.O Theravance Biopharma Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%TMO.N Thermo Fisher Scientific Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 270,000 20% 40% >270,000 75%THR Thermon Group Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TPRE.K Third Point Reinsurance Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%TRI.N Thomson Reuters Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 480,000 35% 45% >480,000 75%THO.N Thor Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%THLD.O Threshold Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 20% 5,000 - 30,000 30% 30% 30,000 - 100,000 50% 60% >100,000 75%TIVO.O TiVo Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 400,000 35% 45% >400,000 75%TDW.N Tidewater Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%TIF.N Tiffany & Company UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 376,000 20% 40% >376,000 75%TTS.O Tile Shop Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 225,000 40% 55% >225,000 75%TLYS.K Tilly's Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%TIME.K Time Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 300,000 35% 45% >300,000 75%TWC.N Time Warner Cable Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 57,000 10% 10% 57,000 - 230,000 20% 40% >230,000 75%TWX.N Time Warner Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 20,000 5% 20,000 - 127,400 10% 10% 127,400 - 500,000 20% 40% >500,000 75%






TMST.N TimkenSteel Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 15,000 25% 25% 15,000 - 30,000 45% 60% >30,000 75%TGD.P Timmins Gold Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%TIPT.O Tiptree Financial Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TWI.N Titan International Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%TITN.O Titan Machinery Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%TBRA.O Tobira Therapeutics Inc UNITED STAT Yes - No CR No 1% 0 - 600 25% 600 - 3,600 40% 40% 3,600 - 6,000 60% 75% >6,000 75%TKAI.O Tokai Pharmaceuticals Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%TOL.N Toll Brothers Inc UNITED STAT Yes Yes 0.3% 0 - 22,000 10% 22,000 - 110,000 20% 20% 110,000 - 440,000 35% 45% >440,000 75%TMP Tompkins Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%TNXP.O Tonix Pharmaceuticals Holding Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 80,000 60% 75% >80,000 75%TR.N Tootsie Roll Industries Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%BLD TopBuild Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%TRCH.O Torchlight Energy Resources Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TMK.N Torchmark Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 330,000 20% 40% >330,000 75%TSS.N Total System Services Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 100,000 20% 20% 100,000 - 630,000 30% 50% >630,000 75%TOWR.K Tower International Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TSEM.O Tower Semiconductor Limited UNITED STAT Yes - No CR No 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 400,000 40% 55% >400,000 75%TW.O Towers Watson & Company UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 156,000 35% 45% >156,000 75%TWER.O Towerstream Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%CLUB.O Town Sports International Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 6,000 25% 6,000 - 36,000 40% 40% 36,000 - 60,000 60% 75% >60,000 75%TOWN.O Towne Bank UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TSQ Townsquare Media Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%TM.N Toyota Motor Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 144,000 35% 45% >144,000 75%TSCO.O Tractor Supply Company UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 50,000 10% 10% 50,000 - 505,000 20% 40% >505,000 75%TAT.A TransAtlantic Petroleum Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TDG.N TransDigm Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 96,000 35% 45% >96,000 75%TRXC.A TransEnterix Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%TGA.O TransGlobe Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 2,300 25% 2,300 - 4,600 40% 40% 4,600 - 46,000 60% 75% >46,000 75%TRU TransUnion UNITED STAT Yes No 0.3% 0 - 2,000 20% 2,000 - 12,000 32% 32% 12,000 - 40,000 40% 48% >40,000 60%TBIO.O Transgenomic Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 70,000 60% 75% >70,000 75%TTHI.O Transition Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 8,000 60% 75% >8,000 75%RIG.N Transocean Limited UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 193,000 10% 10% 193,000 - 780,000 20% 40% >780,000 75%RIGP.K Transocean Partners LLC UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%TGS Transportadora de Gas Del Sur SA UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TA TravelCenters of America LLC UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%TVPT.N Travelport Worldwide Limited UNITED STAT Yes Yes 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 50,000 50% 60% >50,000 75%TZOO.O Travelzoo Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%TREC.K Trecora Resources UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TG.N Tredegar Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%THS Treehouse Foods Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%TRMR.N Tremor Video Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TRVN.O Trevena Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TREX.K Trex Co. Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%TY.N Tri-Continental Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%TCBK.O TriCo Bancsh AE UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%TRS.O TriMas Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%TNET.N TriNet Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%TCAP.K Triangle Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%TPLM.K Triangle Petroleum Corporation UNITED STAT Yes - No CR Call In 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 748,000 35% 45% >748,000 75%TRCO.K Tribune Media Company UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 225,000 60% 75% >225,000 75%TPUB.K Tribune Publishing Company UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TRIL.O Trillium Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 60% 75% >40,000 75%FCFI.K TrimTabs Intl Free-Cash-Flow ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%TRMB.O Trimble Navigation Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 450,000 35% 45% >450,000 75%TSL.N Trina Solar Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%TRIB.O Trinity Biotech PLC UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%TRN.N Trinity Industries Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 279,000 35% 45% >279,000 75%TSE Trinseo SA UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TRIP.O TripAdvisor Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 368,000 20% 40% >368,000 75%GTS Triple-S Management Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%TSC.O Tristate Capital Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TBK.O Triumph Bancorp Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%TGI.N Triumph Group Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 255,000 35% 45% >255,000 75%TROX.K Tronox Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%TROV.O TrovaGene Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%TBI TrueBlue Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%TRUE.O TrueCar Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 576,000 60% 75% >576,000 75%TRUP.K Trupanion Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%TRST.O TrustCo Bank Corp. NY UNITED STAT Yes Yes 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%TRMK.O Trustmark Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 225,000 35% 45% >225,000 75%TNP.N Tsakos Energy Navigation Limited UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%TUBE.O TubeMogul Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%TCX.O Tucows Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%TUES.O Tuesday Morning Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 300,000 35% 45% >300,000 75%TUMI.K Tumi Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%TOUR.O Tuniu Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%TUP.N Tupperware Brands Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 216,000 35% 45% >216,000 75%TKC.N Turkcell Iletisim Hizmetleri AS UNITED STAT Stockbroking onlyYes 0.3% 0 - 6,000 15% 6,000 - 34,900 25% 25% 34,900 - 120,000 40% 55% >120,000 75%TRQ.N Turquoise Hill Resources Limited UNITED STAT Yes Yes 0.3% 0 - 30,000 10% 30,000 - 180,000 20% 20% 180,000 - 600,000 35% 45% >600,000 75%HEAR.O Turtle Beach Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%TPC.N Tutor Perini Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%FOXA.O Twenty-First Century Fox Inc UNITED STAT Yes Yes 0.3% 0 - 40,000 5% 40,000 - 255,200 10% 10% 255,200 - 1,040,000 20% 40% >1,040,000 75%FOX.O Twenty-First Century Fox Inc UNITED STAT Yes Yes 0.3% 0 - 26,100 10% 26,100 - 130,500 20% 20% 130,500 - 522,000 35% 45% >522,000 75%TWIN.O Twin Disc Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%TWTR.N Twitter Inc UNITED STAT Yes Yes 0.3% 0 - 14,500 10% 14,500 - 72,500 20% 20% 72,500 - 290,000 35% 45% >290,000 75%TWO.N Two Harbors Investment Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 1,675,000 35% 45% >1,675,000 75%TYC.N Tyco International PLC UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 795,000 20% 40% >795,000 75%TYL Tyler Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 125,000 35% 45% >125,000 75%TSN.N Tyson Foods Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 885,000 20% 40% >885,000 75%USB.N U.S. Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 204,000 10% 10% 204,000 - 810,000 20% 40% >810,000 75%USCR.O U.S. Concrete Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 50,000 40% 55% >50,000 75%JETS.P U.S. Global Jets ETF UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%SLCA.K U.S. Silica Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 180,000 35% 45% >180,000 75%UBS.N UBS Group AG UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 852,000 35% 45% >852,000 75%UDR.N UDR Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 640,000 35% 45% >640,000 75%UFPT.O UFP Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 30,000 60% 75% >30,000 75%UGI.N UGI Corporation UNITED STAT Yes Yes 0.3% 0 - 4,500 10% 4,500 - 30,000 20% 20% 30,000 - 90,000 35% 45% >90,000 75%ULTA.O ULTA Salon Cosmetics & Fragrance Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 196,000 35% 45% >196,000 75%UMBF.O UMB Financial Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%UMH UMH Properties Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%URG.A UR-Energy Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%ECOL.O US Ecology Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 100,000 35% 45% >100,000 75%USPH.K US Physical Therapy Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%USAC.K USA Compression Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%USAK.O USA Truck Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%USNA.K USANA Health Sciences Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%USG.N USG Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 490,000 35% 45% >490,000 75%UTIW.O UTi Worldwide Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%UBNT.O Ubiquiti Networks Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 369,000 35% 45% >369,000 75%UCTT.O Ultra Clean Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%UPLMQ.PK Ultra Petroleum Corporation UNITED STAT No Call In 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 700,000 35% 45% >700,000 75%RARE.O Ultragenyx Pharmaceutical Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 136,000 60% 75% >136,000 75%ULBI.O Ultralife Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%ULTR.O Ultrapetrol (Bahamas) Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%UTEK.O Ultratech Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 115,000 60% 75% >115,000 75%UMPQ.O Umpqua Holdings Corporation UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 90,000 20% 20% 90,000 - 300,000 35% 45% >300,000 75%UA.N Under Armour Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 7,900 10% 7,900 - 39,500 20% 20% 39,500 - 158,000 35% 45% >158,000 75%UAc Under Armour Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERRORUNXL.O Uni-Pixel Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 10,000 25% 10,000 - 60,000 40% 40% 60,000 - 400,000 60% 75% >400,000 75%UNF UniFirst Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 30,000 35% 45% >30,000 75%UFI Unifi Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%UN.N Unilever NV UNITED STAT Yes Yes 0.3% 0 - 7,000 5% 7,000 - 39,900 10% 10% 39,900 - 434,000 20% 40% >434,000 75%UNIS.O Unilife Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%UBSH.O Union Bankshares Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%UNP.N Union Pacific Corporation UNITED STAT Yes Yes 0.3% 0 - 16,000 5% 16,000 - 92,400 10% 10% 92,400 - 368,000 20% 40% >368,000 75%UIS.N Unisys Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%UNT.N Unit Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%UBSI.O United Bankshares Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%UCBI.O United Community Banks Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 100,000 40% 55% >100,000 75%UCFC.O United Community Financial Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%UAL.N United Continental Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 18,700 10% 18,700 - 93,500 20% 20% 93,500 - 374,000 35% 45% >374,000 75%UDF.O United Development Funding IV UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%UBNK.O United Financial Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%UFCS.O United Fire Group Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%UIHC.O United Insurance Holdings Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%UMC.N United Microelectronics Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 20% 10,000 - 60,000 30% 30% 60,000 - 200,000 50% 60% >200,000 75%UNFI.O United Natural Foods Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%UNTD.O United Online Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%UPS.N United Parcel Service Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 85,600 10% 10% 85,600 - 340,000 20% 40% >340,000 75%URI.N United Rentals Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 49,900 20% 20% 49,900 - 198,000 35% 45% >198,000 75%USL.P United States 12 Month Oil Fund LP UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%BNO.P United States Brent Oil Fund LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%USM.N United States Cellular Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%UGA.P United States Gasoline Fund LP UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%USLM.O United States Lime & Minerals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERRORUNG.P United States Natural Gas Fund LP UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 59,300 20% 20% 59,300 - 100,000 35% 45% >100,000 75%USO.P United States Oil Fund LP UNITED STAT Yes Yes 0.3% 0 - 60,000 10% 60,000 - 360,000 20% 20% 360,000 - 600,000 35% 45% >600,000 75%X.N United States Steel Corporation UNITED STAT Yes Yes 0.3% 0 - 50,000 10% 50,000 - 305,500 20% 20% 305,500 - 1,200,000 30% 50% >1,200,000 75%UTX.N United Technologies Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 73,100 10% 10% 73,100 - 290,000 20% 40% >290,000 75%UTHR.O United Therapeutics Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 165,000 35% 45% >165,000 75%UNH.N UnitedHealth Group Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 113,200 10% 10% 113,200 - 460,000 20% 40% >460,000 75%






UTL Unitil Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UNVR.K Univar Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 424,000 60% 75% >424,000 75%UAM.N Universal American Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%UVV.N Universal Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%OLED.O Universal Display Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%UEIC.O Universal Electronics Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 75,000 35% 45% >75,000 75%UFPI.O Universal Forest Products Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%UHT Universal Health Realty Income Trust UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%UHS.N Universal Health Services Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 200,000 35% 45% >200,000 75%UVE Universal Insurance Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 150,000 40% 55% >150,000 75%USAP.O Universal Stainless & Alloy Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UTI Universal Technical Institute Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%UACL.O Universal Truckload Services Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UVSP.O Univest Corporation of Pennsylvania UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UNM.N Unum Group UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 752,000 20% 40% >752,000 75%UPIP.O Unwired Planet Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 11,200 25% 11,200 - 22,400 40% 40% 22,400 - 173,600 60% 75% >173,600 75%UPLD.O Upland Software Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UEC Uranium Energy Corporation UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 525,000 60% 75% >525,000 75%UE.N Urban Edge Properties UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%URBN.O Urban Outfitters Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 10% 15,000 - 150,000 20% 20% 150,000 - 930,000 30% 50% >930,000 75%UBA.N Urstadt Biddle Properties Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%UTMD.O Utah Medical Products Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 60% 75% >4,000 75%XLU.P Utilities Select Sector SPDR(r) Fund UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%VFC.N V.F. Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 590,000 20% 40% >590,000 75%VDSI.O VASCO Data Security International Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 25% 2,500 - 5,000 40% 40% 5,000 - 43,100 60% 75% >43,100 75%WOOF.O VCA Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%VER VEREIT Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 15% 30,000 - 180,000 25% 25% 180,000 - 3,000,000 40% 45% >3,000,000 75%VVUS.O VIVUS Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 40,000 25% 40,000 - 240,000 40% 40% 240,000 - 800,000 60% 75% >800,000 75%VMW.N VMware Inc UNITED STAT Yes Yes 0.3% 0 - 8,700 10% 8,700 - 43,500 20% 20% 43,500 - 174,000 35% 45% >174,000 75%VOXX.O VOXX International Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%VSEC.O VSE Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VWR.O VWR Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%EGY Vaalco Energy Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 576,000 60% 75% >576,000 75%MTN.N Vail Resorts Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%VALE.K Vale SA UNITED STAT Stockbroking onlyCall In 0.3% 0 - 56,800 10% 56,800 - 284,000 20% 20% 284,000 - 1,136,000 35% 45% >1,136,000 75%VALEp.N Vale SA UNITED STAT Stockbroking onlyYes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 4,000,000 35% 45% >4,000,000 75%VRX.N Valeant Pharmaceuticals International Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 6,000 10% 6,000 - 30,000 20% 20% 30,000 - 120,000 35% 45% >120,000 75%VLO.N Valero Energy Corporation UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 166,800 10% 10% 166,800 - 660,000 20% 40% >660,000 75%VLP Valero Energy Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%VHI.N Valhi Inc UNITED STAT Yes Yes 0.3% 0 - 1,300 25% 1,300 - 2,600 40% 40% 2,600 - 20,400 60% 75% >20,400 75%VR.N Validus Holdings Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%VLY.N Valley National Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 39,900 20% 20% 39,900 - 140,000 35% 45% >140,000 75%VMI.N Valmont Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 111,000 35% 45% >111,000 75%VNDA.O Vanda Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 325,500 60% 75% >325,500 75%VOO Vanguard 500 Index Fund ETF Class UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%VCR.P Vanguard Consumer Discretionary Index Fund EUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VDC.P Vanguard Consumer Staples Index Fund ETF SUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VWOB.P Vanguard Emerging Markets Government Bond UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VDE.P Vanguard Energy Index Fund ETF Sh AE UNITED STAT Yes - No CR No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%EDV.P Vanguard Extended Duration Treasury Index FuUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VEU.P Vanguard FTSE All-World ex-US Index Fund ETUNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%VEA.P Vanguard FTSE Developed Markets Index FundUNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%VWO.P Vanguard FTSE Emerging Markets Index Fund UNITED STAT Yes Yes 0.3% 0 - 45,000 10% 45,000 - 270,000 20% 20% 270,000 - 450,000 35% 45% >450,000 75%VGK.P Vanguard FTSE Europe Index Fund ETF Sh AEUNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 35,000 20% 20% 35,000 - 40,000 35% 45% >40,000 75%VPL.P Vanguard FTSE Pacific Index Fund ETF Sh AE UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%VHT.P Vanguard Health Care Index Fund ETF Sh AE UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VYM.P Vanguard High Dividend Yield Index Fund ETF SUNITED STAT Yes No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 19,500 40% 55% >19,500 75%VIS.P Vanguard Industrials Index Fund ETF Sh AE UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VGT.P Vanguard Information Technology Index Fund E UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%BIV Vanguard Intermediate-Term Bond Index Fund EUNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 30,000 20% 20% 30,000 - 60,000 27% 30% >60,000 75%VAW.P Vanguard Materials Index Fund ETF Sh AE UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VO.P Vanguard Mid-Cap Index Fund ETF Sh AE UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VNR.O Vanguard Natural Resources LLC UNITED STAT Yes No 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 376,000 40% 55% >376,000 75%VNQ.P Vanguard REIT Index Fund ETF Sh AE UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 25,000 35% 45% >25,000 75%VOX.P Vanguard Telecommunication Services Index F UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%BND.P Vanguard Total Bond Market Index Fund ETF ShUNITED STAT Yes No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%BNDX.P Vanguard Total International Bond Index Fund EUNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%VXUS.O Vanguard Total International Stock Index Fund EUNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VTI.P Vanguard Total Stock Market Index Fund ETF SUNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 24,000 20% 20% 24,000 - 80,000 35% 45% >80,000 75%VT.P Vanguard Total World Stock Index Fund ETF ShUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VPU.P Vanguard Utilities Index Fund ETF Sh AE UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%VTGDF.PK Vantage Drilling Company UNITED STAT No No 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%VNTV.K Vantiv Inc UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 390,000 35% 45% >390,000 75%VAR.N Varian Medical Systems Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 5% 2,000 - 20,000 10% 10% 20,000 - 376,000 20% 40% >376,000 75%VRNS.O Varonis Systems Inc UNITED STAT Yes Yes 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 84,000 50% 60% >84,000 75%VBLT.O Vascular Biogenics Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 199,500 60% 75% >199,500 75%VASC.O Vascular Solutions Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%VGR.N Vector Group Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%VVC.N Vectren Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%VEC Vectrus Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 195,000 60% 75% >195,000 75%VEDL.K Vedanta Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 75,000 40% 50% >75,000 75%VECO.O Veeco Instruments Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%VEEV.K Veeva Systems Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 300,000 35% 45% >300,000 75%UWTI.P VelocityShares 3x Long Crude Oil ETN Linked toUNITED STAT Stockbroking onlyNo 0.3% 0 - 175,000 20% 175,000 - 1,050,000 30% 30% 1,050,000 - 1,750,000 50% 60% >1,750,000 75%UGLD.O VelocityShares 3x Long Gold ETN Linked to the UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%USLV.O VelocityShares 3x Long Silver ETN Linked to theUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%ZIV.O VelocityShares Daily Inverse VIX Medium-Term UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VELTF.PK Velti PLC UNITED STAT No No 0.3% 0 - 477,000 25% 477,000 - 954,000 40% 40% 954,000 - 1,097,100 60% 75% >1,097,100 75%VTR.N Ventas Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 540,000 20% 40% >540,000 75%VEOEY.PK Veolia Environnement SA UNITED STAT No No 0.3% 0 - 3,000 20% 3,000 - 20,000 30% 30% 20,000 - 60,000 50% 60% >60,000 75%VRA.O Vera Bradley Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%VCYT.O Veracyte Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%VSTM.O Verastem Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%PAY.N VeriFone Systems Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 580,000 35% 45% >580,000 75%VRSN.O VeriSign Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 612,000 20% 40% >612,000 75%VCEL.O Vericel Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%VRNT.O Verint Systems Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%VRSK.O Verisk Analytics Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 375,000 20% 40% >375,000 75%VBTX.O Veritex Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%VRTV.K Veritiv Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 8,000 25% 25% 8,000 - 20,000 45% 60% >20,000 75%VZ.N Verizon Communications Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 178,800 10% 10% 178,800 - 700,000 20% 40% >700,000 75%VRML.O Vermillion Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%VSR.A Versar Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%VSAR.O Versartis Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%VRTX.O Vertex Pharmaceuticals Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 120,000 40% 55% >120,000 75%VSAT.O ViaSat Inc UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 40,000 35% 45% >40,000 75%VIAB.O Viacom Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 392,000 20% 40% >392,000 75%VIA.O Viacom Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 11,700 50% 60% >11,700 75%VVI.N Viad Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%VIAV.O Viavi Solutions Inc UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 1,200,000 35% 45% >1,200,000 75%VICL.O Vical Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%VICR.O Vicor Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%VLGEA.O Village Super Market Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VIP.O VimpelCom Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,000,000 30% 50% >1,000,000 75%VNCE.P Vince Holding Corporation UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 200,000 35% 45% >200,000 75%VMEM.K Violin Memory Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 300,000 60% 75% >300,000 75%VIPS.K Vipshop Holdings Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 73,000 10% 73,000 - 365,000 20% 20% 365,000 - 1,460,000 35% 45% >1,460,000 75%VA.O Virgin America Inc UNITED STAT Yes No 0.3% 0 - 5,000 15% 5,000 - 25,000 30% 30% 25,000 - 50,000 45% 60% >50,000 75%VHC.A VirnetX Holding Corporation UNITED STAT Yes - No CR Call In 0.3% 0 - 6,000 25% 6,000 - 34,900 40% 40% 34,900 - 120,000 60% 75% >120,000 75%VIRT.O Virtu Financial Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 20% 5,000 - 30,000 32% 32% 30,000 - 100,000 40% 48% >100,000 60%VRTS.O Virtus Investment Partners Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%VRTU.O Virtusa Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%V.N Visa Inc UNITED STAT Yes Yes 0.3% 0 - 18,000 5% 18,000 - 90,000 10% 10% 90,000 - 360,000 20% 40% >360,000 75%VSH.N Vishay Intertechnology Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 200,000 35% 45% >200,000 75%VPG Vishay Precision Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%VISN.O VisionChina Media Inc UNITED STAT Stockbroking onlyCall In 0.3% 0 - 8,000 25% 8,000 - 50,000 40% 40% 50,000 - 160,000 60% 75% >160,000 75%VSTO.K Vista Outdoor Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 501,000 60% 75% >501,000 75%VC.N Visteon Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 200,000 35% 45% >200,000 75%VTAE.O Vitae Pharmaceuticals Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%VTL.O Vital Therapies Inc UNITED STAT Yes - No CR No 0.3% 0 - 500 25% 500 - 3,000 40% 40% 3,000 - 37,500 60% 75% >37,500 75%VSI.N Vitamin Shoppe Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%VSLR.N Vivint Solar Inc UNITED STAT Yes - No CR No 0.3% 0 - 10,000 15% 10,000 - 30,000 30% 30% 30,000 - 80,000 45% 60% >80,000 75%VCRA.K Vocera Communications Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%VOD.O Vodafone Group PLC UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 225,900 10% 10% 225,900 - 900,000 20% 40% >900,000 75%VNRX.A VolitionRX Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VISI.A Volt Information Sciences Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%VLTC.O Voltari Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,300 25% 4,300 - 8,600 40% 40% 8,600 - 19,400 60% 75% >19,400 75%VG Vonage Holdings Corporation UNITED STAT Yes No 0.3% 0 - 3,000 15% 3,000 - 21,000 25% 25% 21,000 - 576,000 40% 55% >576,000 75%VNO.N Vornado Realty Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 5% 3,000 - 30,000 10% 10% 30,000 - 348,000 20% 40% >348,000 75%VJET.K Voxeljet AG UNITED STAT Stockbroking onlyCall In 0.3% 0 - 2,000 20% 2,000 - 12,000 40% 40% 12,000 - 24,000 50% 60% >24,000 75%VOYA.K Voya Financial Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 468,000 35% 45% >468,000 75%IGD.N Voya Global Equity Dividend and Premium OppoUNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%VYGR.O Voyager Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 19,500 60% 75% >19,500 75%VRNG.O Vringo Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 35,000 60% 75% >35,000 75%VMC.N Vulcan Materials Company UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 400,000 20% 40% >400,000 75%VUZI.O Vuzix Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 65,000 60% 75% >65,000 75%WTI.N W&T Offshore Inc UNITED STAT Yes Call In 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%WPC.N W. P. Carey Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%WRB W.R. Berkley Corporation UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%GRA.N W.R. Grace & Company UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 170,000 35% 45% >170,000 75%GWW.N W.W. Grainger Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 135,000 20% 40% >135,000 75%






WBC WABCO Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%WCIC.K WCI Communities Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%WDFC.O WD-40 Company UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 20% 1,000 - 6,000 30% 30% 6,000 - 20,000 50% 60% >20,000 75%WEC.N WEC Energy Group Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 762,000 20% 40% >762,000 75%WCC.N WESCO International Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 196,000 35% 45% >196,000 75%WEX WEX Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 140,000 35% 45% >140,000 75%WGL WGL Holdings Inc UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 150,000 35% 45% >150,000 75%WNS.N WNS (Holdings) Limited UNITED STAT Yes Yes 0.3% 0 - 2,000 20% 2,000 - 10,000 30% 30% 10,000 - 40,000 50% 60% >40,000 75%WPG.N WP GLIMCHER Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 25% 10,000 - 50,000 40% 40% 50,000 - 300,000 60% 75% >300,000 75%WPCS.O WPCS International Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 5,000 25% 5,000 - 20,000 40% 40% 20,000 - 30,000 60% 75% >30,000 75%WPPGY.O WPP PLC UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%WPX.N WPX Energy Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 25% 30,000 - 180,000 40% 40% 180,000 - 960,000 60% 75% >960,000 75%WSFS.O WSFS Financial Corporation UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 12,000 60% 75% >12,000 75%WNC.N Wabash National Corporation UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%WDR.N Waddell & Reed Financial Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 240,000 35% 45% >240,000 75%WGBS.O WaferGen Bio-systems Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%WAGE.K WageWorks Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 250,000 35% 45% >250,000 75%WMT.N Wal-Mart Stores Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 109,800 10% 10% 109,800 - 440,000 20% 40% >440,000 75%WBA.O Walgreens Boots Alliance Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 128,500 10% 10% 128,500 - 525,000 20% 40% >525,000 75%WD.N Walker & Dunlop Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 20% 1,500 - 9,000 30% 30% 9,000 - 30,000 50% 60% >30,000 75%WLTGQ.PK Walter Energy Inc UNITED STAT No No 0.3% 0 - 60,000 15% 60,000 - 349,800 25% 25% 349,800 - 1,200,000 40% 55% >1,200,000 75%WAC.N Walter Investment Management Corporation UNITED STAT Yes Call In 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%WRES.O Warren Resources Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 800,000 60% 75% >800,000 75%WAFD.O Washington Federal Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%WRE.N Washington Real Estate Investment Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%WASH.O Washington Trust Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%WCN.N Waste Connections Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%WM.N Waste Management Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 760,000 20% 40% >760,000 75%WAT.N Waters Corporation UNITED STAT Yes Yes 0.3% 0 - 1,500 5% 1,500 - 15,000 10% 10% 15,000 - 250,500 20% 40% >250,500 75%WSBF.O Waterstone Financial Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%WSO.N Watsco Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%WTS.N Watts Water Technologies Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 30,000 40% 55% >30,000 75%WPP.N Wausau Paper Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%WAVXQ.PK Wave Systems Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 150,000 60% 75% >150,000 75%W.N Wayfair Inc UNITED STAT Yes No 0.3% 0 - 4,000 25% 4,000 - 24,000 40% 40% 24,000 - 80,000 50% 60% >80,000 75%WFT.N Weatherford International PLC UNITED STAT Yes Yes 0.3% 0 - 16,900 10% 16,900 - 118,300 20% 20% 118,300 - 676,000 35% 45% >676,000 75%WEB.O Web.com Group Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 300,000 60% 75% >300,000 75%WBMD.O WebMD Health Corporation UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 344,000 35% 45% >344,000 75%WBS.N Webster Financial Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%WB.O Weibo Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 120,000 35% 45% >120,000 75%WTW.N Weight Watchers International Inc UNITED STAT Yes Call In 0.3% 0 - 15,000 25% 15,000 - 90,000 40% 40% 90,000 - 300,000 60% 75% >300,000 75%WRI.N Weingarten Realty Investors UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%WMK Weis Markets Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%WCG.N WellCare Health Plans Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 264,000 35% 45% >264,000 75%WEBK.O Wellesley Bancorp Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 9,999,000 75% 75% >9,999,000 ERRORWFC.N Wells Fargo & Company UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 180,200 10% 10% 180,200 - 735,000 20% 40% >735,000 75%HCN.N Welltower Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 5% 8,000 - 80,000 10% 10% 80,000 - 584,000 20% 40% >584,000 75%WERN.O Werner Enterprises Inc UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 250,500 35% 45% >250,500 75%WSBC.O WesBanco Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%WAIR.K Wesco Aircraft Holdings Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%WTBA.O West Bancorp. Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%WSTC.O West Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%WMAR.O West Marine Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%WST.N West Pharmaceutical Services Inc UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%WRK WestRock Company UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 376,000 60% 75% >376,000 75%WABC.O Westamerica Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 15% 2,000 - 10,000 25% 25% 10,000 - 40,000 40% 55% >40,000 75%WR.N Westar Energy Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 480,000 35% 45% >480,000 75%WAL Western Alliance Ban Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 200,000 35% 45% >200,000 75%WIA Western Asset Claymore Inflation-Linked SecurUNITED STAT Yes No 0.3% 0 - 1,400 10% 1,400 - 5,600 20% 20% 5,600 - 35,000 35% 45% >35,000 75%WMC Western Asset Mortgage Capital Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 100,000 60% 75% >100,000 75%WDC.O Western Digital Corporation UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 384,000 20% 40% >384,000 75%WGP Western Gas Equity Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 50,000 35% 45% >50,000 75%WES.N Western Gas Partners LP UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 30,000 35% 45% >30,000 75%WNR.N Western Refining Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 430,000 35% 45% >430,000 75%WAB.N Westinghouse Air Brake Technologies CorporatUNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 219,000 35% 45% >219,000 75%WLK.N Westlake Chemical Corporation UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 128,000 35% 45% >128,000 75%WLKP.K Westlake Chemical Partners LP UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%WLB.O Westmoreland Coal Company UNITED STAT Yes Call In 0.3% 0 - 10,000 15% 10,000 - 30,000 25% 25% 30,000 - 60,000 40% 55% >60,000 75%WBK.N Westpac Banking Corporation UNITED STAT Yes Yes 0.3% 0 - 40,000 5% 40,000 - 260,000 10% 10% 260,000 - 480,000 20% 40% >480,000 75%WPRT.O Westport Innovations Inc UNITED STAT Yes Call In 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 160,000 35% 45% >160,000 75%WHG Westwood Holdings Group Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 9,000 60% 75% >9,000 75%WEYS.O Weyco Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 6,000 60% 75% >6,000 75%WY.N Weyerhaeuser Company UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,095,000 20% 40% >1,095,000 75%WHR.N Whirlpool Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 240,000 20% 40% >240,000 75%WTM.N White Mountains Insurance Group Limited UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 3,000 25% 25% 3,000 - 4,900 40% 55% >4,900 75%WHF.O WhiteHorse Finance Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,200 25% 1,200 - 2,400 40% 40% 2,400 - 3,600 60% 75% >3,600 75%WSR Whitestone REIT UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%WLL.N Whiting Petroleum Corporation UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 270,000 35% 45% >270,000 75%WFM.O Whole Foods Market Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 159,200 10% 10% 159,200 - 640,000 20% 40% >640,000 75%WILN.O Wi-Lan Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%WYY.A WidePoint Corporation UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%WG.N Willbros Group Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 20,000 40% 40% 20,000 - 60,000 60% 75% >60,000 75%WLDN.O Willdan Group Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%WLH William Lyon Homes UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%WMB.N Williams Companies Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 5% 25,000 - 203,700 10% 10% 203,700 - 825,000 20% 40% >825,000 75%WPZ.N Williams Partners LP UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%WSM.N Williams-Sonoma Inc UNITED STAT Yes Yes 0.3% 0 - 9,000 10% 9,000 - 54,900 20% 20% 54,900 - 306,000 35% 45% >306,000 75%WLTW.O Willis Towers Watson PLC UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 325,500 35% 45% >325,500 75%WIBC.O Wilshire Bancorp Inc UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%WIN.O Windstream Holdings Inc UNITED STAT Yes Call In 0.3% 0 - 45,000 10% 45,000 - 450,000 20% 20% 450,000 - 3,015,000 30% 50% >3,015,000 75%WING.O Wingstop Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 40,000 50% 60% >40,000 75%WINA.O Winmark Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 500 25% 500 - 2,500 40% 40% 2,500 - 3,000 60% 75% >3,000 75%WGO.N Winnebago Industries Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%FUR.N Winthrop Realty Trust UNITED STAT Yes Yes 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 225,000 60% 75% >225,000 75%WTFC.O Wintrust Financial Corporation UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%WIT.N Wipro Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%CYB WisdomTree Chinese Yuan Strategy Fund UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%CEW.P WisdomTree Emerging Currency Strategy FundUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%HEDJ.P WisdomTree Europe Hedged Equity Fund UNITED STAT Yes No 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 77,000 35% 45% >77,000 75%DFE WisdomTree Europe SmallCap Dividend Fund UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%DBU WisdomTree Global ex-US Utilities Fund UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%EPI WisdomTree India Earnings Fund UNITED STAT Yes - No CR Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 80,000 35% 45% >80,000 75%WETF.O WisdomTree Investments Inc UNITED STAT Yes Yes 0.3% 0 - 25,000 20% 25,000 - 150,000 30% 30% 150,000 - 500,000 50% 60% >500,000 75%DXJ.P WisdomTree Japan Hedged Equity Fund UNITED STAT Yes - No CR Yes 0.3% 0 - 10,000 10% 10,000 - 70,000 20% 20% 70,000 - 100,000 35% 45% >100,000 75%DXJF.P WisdomTree Japan Hedged Financials Fund UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%DFJ.P WisdomTree Japan SmallCap Dividend Fund UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 45% 60% >10,000 75%WIX.O Wix.com Limited UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%WWW.N Wolverine World Wide Inc UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 100,000 35% 45% >100,000 75%WWD.O Woodward Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%WDAY.N Workday Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 42,900 20% 20% 42,900 - 168,000 35% 45% >168,000 75%WK Workiva Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 200 25% 200 - 1,500 40% 40% 1,500 - 18,700 60% 75% >18,700 75%WRLD.O World Acceptance Corporation UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%INT.N World Fuel Services Corporation UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%WPT World Point Terminals LP UNITED STAT Stockbroking onlyNo 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%WWE.N World Wrestling Entertainment Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%WOR.N Worthington Industries Inc UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 15,000 20% 20% 15,000 - 50,000 35% 45% >50,000 75%WMGI.O Wright Medical Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 24,000 35% 45% >24,000 75%WYN.N Wyndham Worldwide Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 468,000 20% 40% >468,000 75%WYNN.O Wynn Resorts Limited UNITED STAT Yes Yes 0.3% 0 - 5,000 5% 5,000 - 37,400 10% 10% 37,400 - 150,000 20% 40% >150,000 75%XBIT.O XBiotech Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 50% 60% >20,000 75%XL.N XL Group PLC UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 978,000 20% 40% >978,000 75%XOXO.K XO Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%XOMA.O XOMA Corporation UNITED STAT Yes - No CR No 0.3% 0 - 4,000 15% 4,000 - 20,000 25% 25% 20,000 - 748,000 40% 55% >748,000 75%XPO.N XPO Logistics Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%XTLY.K Xactly Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%XEL.N Xcel Energy Inc UNITED STAT Yes Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,125,000 20% 40% >1,125,000 75%XCRA.O Xcerra Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%XNCR.O Xencor Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%XBIO.PK Xenetic Biosciences Inc UNITED STAT No No 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 4,000 75% 75% >4,000 75%XHR Xenia Hotels & Resorts Inc UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 10,000 40% 40% 10,000 - 426,000 60% 75% >426,000 75%XNPT.O Xenoport Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 200,000 60% 75% >200,000 75%XRM Xerium Technologies Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 20,000 60% 75% >20,000 75%XRX.N Xerox Corporation UNITED STAT Yes Yes 0.3% 0 - 45,000 5% 45,000 - 450,000 10% 10% 450,000 - 3,105,000 20% 40% >3,105,000 75%XLNX.O Xilinx Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 670,000 20% 40% >670,000 75%XIN Xinyuan Real Estate Company Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%XUE.N Xueda Education Group UNITED STAT Stockbroking onlyNo 0.3% 0 - ERROR 25% ERROR - ERROR ERROR ERROR ERROR - ERROR ERROR ERROR >ERROR ERRORXNET.O Xunlei Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 100,000 60% 75% >100,000 75%MESG.O Xura Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 32,000 40% 40% 32,000 - 75,000 60% 75% >75,000 75%XYL.N Xylem Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 5% 6,000 - 60,000 10% 10% 60,000 - 726,000 20% 40% >726,000 75%YOD.O YOU On Demand Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 75,000 60% 75% >75,000 75%YPF.N YPF SA UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 610,000 35% 45% >610,000 75%YRCW.O YRC Worldwide Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 15,000 20% 15,000 - 90,000 30% 30% 90,000 - 300,000 50% 60% >300,000 75%YY.O YY Inc UNITED STAT Yes Yes 0.3% 0 - 12,400 15% 12,400 - 62,000 25% 25% 62,000 - 248,000 40% 55% >248,000 75%YDKN.K Yadkin Financial Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%YHOO.O Yahoo! Inc UNITED STAT Yes Yes 0.3% 0 - 35,000 5% 35,000 - 105,000 15% 25% 105,000 - 420,000 30% 40% >420,000 75%AUY.N Yamana Gold Inc UNITED STAT Yes Yes 0.3% 0 - 60,000 10% 60,000 - 349,800 20% 20% 349,800 - 1,560,000 35% 45% >1,560,000 75%YNDX.O Yandex NV UNITED STAT Yes - No CR Yes 0.3% 0 - 20,700 10% 20,700 - 103,500 20% 20% 103,500 - 414,000 35% 45% >414,000 75%YZC.N Yanzhou Coal Mining Company Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 2,500 20% 2,500 - 15,000 30% 30% 15,000 - 50,000 50% 60% >50,000 75%YELP.K Yelp Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 9,300 15% 9,300 - 46,500 25% 25% 46,500 - 186,000 40% 55% >186,000 75%YYY YieldShares High Income ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%YGE.N Yingli Green Energy Holding Company Limited UNITED STAT Stockbroking onlyCall In 0.3% 0 - 6,000 10% 6,000 - 36,000 20% 20% 36,000 - 60,000 35% 45% >60,000 75%






YRD Yirendai Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 3,000 25% 3,000 - 21,000 40% 40% 21,000 - 150,000 60% 75% >150,000 75%YOKU.K Youku Tudou Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 25,000 10% 25,000 - 138,000 20% 20% 138,000 - 550,000 35% 45% >550,000 75%YUM.N Yum! Brands Inc UNITED STAT Yes Yes 0.3% 0 - 10,000 5% 10,000 - 100,000 10% 10% 100,000 - 450,000 20% 40% >450,000 75%ZAGG.O ZAGG Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%ZAIS.O ZAIS Group Holdings Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 3,000 40% 40% 3,000 - 5,000 60% 75% >5,000 75%ZLTQ.O ZELTIQ Aesthetics Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 15% 1,500 - 9,000 25% 25% 9,000 - 300,000 40% 55% >300,000 75%ZIOP.O ZIOPHARM Oncology Inc UNITED STAT Yes - No CR Call In 0.3% 0 - 10,000 20% 10,000 - 50,000 30% 30% 50,000 - 2,120,000 50% 60% >2,120,000 75%ZAZA.PK ZaZa Energy Corporation UNITED STAT No No 0.3% 0 - 17,200 25% 17,200 - 34,400 40% 40% 34,400 - 138,100 60% 75% >138,100 75%ZFGN.O Zafgen Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%ZAYO.K Zayo Group Holdings Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 15% 5,000 - 30,000 25% 25% 30,000 - 625,000 40% 55% >625,000 75%ZBRA.O Zebra Technologies Corporation UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 20,000 35% 45% >20,000 75%ZEN.N Zendesk Inc UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 100,000 40% 55% >100,000 75%ZPIN.K Zhaopin Limited UNITED STAT Stockbroking onlyNo 0.3% 0 - 8,000 20% 8,000 - 24,000 30% 30% 24,000 - 64,000 50% 60% >64,000 75%Z.O Zillow Group Inc UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 208,000 35% 45% >208,000 75%ZG.O Zillow Group Inc UNITED STAT Yes - No CR No 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 525,000 35% 45% >525,000 75%ZBH Zimmer Biomet Holdings Inc UNITED STAT Yes Yes 0.3% 0 - 4,000 5% 4,000 - 40,000 10% 10% 40,000 - 348,000 20% 40% >348,000 75%ZION.O Zions Ban Corporation UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 250,000 20% 20% 250,000 - 1,000,000 30% 50% >1,000,000 75%ZIXI.O Zix Corporation UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 175,000 60% 75% >175,000 75%ZOES.N Zoe's Kitchen Inc UNITED STAT Yes - No CR No 0.3% 0 - 3,000 25% 3,000 - 18,000 40% 40% 18,000 - 261,000 60% 75% >261,000 75%ZTS.N Zoetis Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 15,000 5% 15,000 - 150,000 10% 10% 150,000 - 1,110,000 20% 40% >1,110,000 75%ZGNX.O Zogenix Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 7,000 25% 7,000 - 42,000 40% 40% 42,000 - 1,428,000 60% 75% >1,428,000 75%ZSAN.O Zosano Pharma Corporation UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%ZUMZ.O Zumiez Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 15% 3,000 - 20,000 25% 25% 20,000 - 60,000 40% 55% >60,000 75%ZYNE.O Zynerba Pharmaceuticals Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 100,500 60% 75% >100,500 75%ZNGA.O Zynga Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 150,000 10% 150,000 - 855,000 20% 20% 855,000 - 3,450,000 35% 45% >3,450,000 75%ATHN.O athenahealth Inc UNITED STAT Yes Yes 0.3% 0 - 4,400 25% 4,400 - 22,000 40% 40% 22,000 - 88,000 60% 75% >88,000 75%BLUE.O bluebird bio Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,500 25% 1,500 - 9,000 40% 40% 9,000 - 274,500 60% 75% >274,500 75%SCOR.O comScore Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 2,500 15% 2,500 - 15,000 25% 25% 15,000 - 50,000 40% 55% >50,000 75%EBAY.O eBay Inc UNITED STAT Yes Yes 0.3% 0 - 30,000 5% 30,000 - 152,100 10% 10% 152,100 - 600,000 20% 40% >600,000 75%EHTH.O eHealth Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 140,000 60% 75% >140,000 75%EHIC.K eHi Car Services Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%PLUS.O ePlus Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 20,000 40% 55% >20,000 75%HGG hhgregg Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%IBIO.K iBio Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 4,000 25% 4,000 - 20,000 40% 40% 20,000 - 776,000 60% 75% >776,000 75%DSKY.O iDreamSky Technology Limited UNITED STAT Stockbroking onlyYes 0.3% 0 - 7,500 25% 7,500 - 60,000 38% 38% 60,000 - 90,000 50% 62% >90,000 75%KANG.O iKang Healthcare Group Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 125,000 40% 55% >125,000 75%GBB.P iPath GBP USD Exchange Rate ETN UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VXZ.A iPath(r) S&P 500 VIX Mid-Term Futures(TM) ETUNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%VXX.P iPath(r) S&P 500 VIX Short-Term Futures(TM) EUNITED STAT Stockbroking onlyNo 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%IRBT.O iRobot Corporation UNITED STAT Yes - No CR Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 80,000 35% 45% >80,000 75%CSJ.P iShares 1-3 Year Credit Bond ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%SHY.P iShares 1-3 Year Treasury Bond ETF UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%TLT.O iShares 20+ Year Treasury Bond ETF UNITED STAT Yes Yes 0.3% 0 - 11,000 10% 11,000 - 55,000 20% 20% 55,000 - 110,000 35% 45% >110,000 75%IEF.P iShares 7-10 Year Treasury Bond ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%CMF iShares California Muni Bond ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%FXI.P iShares China Large-Cap ETF UNITED STAT Yes Yes 0.3% 0 - 35,000 10% 35,000 - 210,000 20% 20% 210,000 - 350,000 35% 45% >350,000 75%ICF.P iShares Cohen & Steers REIT ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%HDV.N iShares Core High Dividend ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IVV.P iShares Core S&P 500 ETF UNITED STAT Yes Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%IJR.P iShares Core S&P Small-Cap ETF UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%AGG.P iShares Core U.S. Aggregate Bond ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 12,000 10% 12,000 - 36,000 20% 20% 36,000 - 72,000 35% 45% >72,000 75%HEFA.P iShares Currency Hedged MSCI EAFE ETF UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%HEEM.K iShares Currency Hedged MSCI Emerging MarkUNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%HEZU.P iShares Currency Hedged MSCI Eurozone ETF UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%HEWJ.K iShares Currency Hedged MSCI Japan ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IEV.P iShares Europe ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IOO.P iShares Global 100 ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IXC.P iShares Global Energy ETF UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IXG.P iShares Global Financials ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IXJ.P iShares Global Healthcare ETF UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EXI.P iShares Global Industrials ETF UNITED STAT Yes Call In 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IGF.P iShares Global Infrastructure ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%IXP.P iShares Global Telecom ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 12,000 20% 20% 12,000 - 20,000 35% 45% >20,000 75%WOOD.O iShares Global Timber & Forestry ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IAU.P iShares Gold Trust UNITED STAT Yes No 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%INDY.O iShares India 50 ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%LQDH.K iShares Interest Rate Hedged Corporate Bond EUNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%CIU.P iShares Intermediate Credit Bond ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 5,000 10% 5,000 - 30,000 20% 20% 30,000 - 50,000 35% 45% >50,000 75%EMB iShares J.P. Morgan USD Emerging Markets BoUNITED STAT Yes - No CR Yes 0.3% 0 - 3,000 10% 3,000 - 18,000 20% 20% 18,000 - 30,000 35% 45% >30,000 75%ILF.P iShares Latin America 40 ETF UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%ACWI.O iShares MSCI ACWI ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%ACWX.O iShares MSCI ACWI ex U.S. ETF UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%AAXJ.O iShares MSCI All Country Asia ex Japan ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%ACWV.P iShares MSCI All Country World Minimum VolatiUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EPU.P iShares MSCI All Peru Capped ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 2,000 15% 2,000 - 12,000 25% 25% 12,000 - 20,000 40% 55% >20,000 75%EWA.P iShares MSCI Australia ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%EWO.P iShares MSCI Austria Capped ETF UNITED STAT Yes - No CR No 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%BKF.P iShares MSCI BRIC ETF UNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%EWZ.P iShares MSCI Brazil Capped ETF UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%EWZS.O iShares MSCI Brazil Small-Cap ETF UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%EWC.P iShares MSCI Canada ETF UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 40,200 20% 20% 40,200 - 70,000 35% 45% >70,000 75%ECH iShares MSCI Chile Capped ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%MCHI iShares MSCI China ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%EFA.P iShares MSCI EAFE ETF UNITED STAT Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,000,000 35% 45% >1,000,000 75%EFAV.P iShares MSCI EAFE Minimum Volatility ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EEM.P iShares MSCI Emerging Markets ETF UNITED STAT Yes Yes 0.3% 0 - 180,000 10% 180,000 - 990,000 20% 20% 990,000 - 1,980,000 35% 45% >1,980,000 75%EUFN.O iShares MSCI Europe Financials ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EZU.P iShares MSCI Eurozone ETF UNITED STAT Yes No 0.3% 0 - 20,000 10% 20,000 - 120,000 20% 20% 120,000 - 200,000 35% 45% >200,000 75%EWQ iShares MSCI France ETF UNITED STAT Yes No 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%FM iShares MSCI Frontier 100 ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EWG.P iShares MSCI Germany ETF UNITED STAT Yes Yes 0.3% 0 - 7,000 10% 7,000 - 42,000 20% 20% 42,000 - 77,000 35% 45% >77,000 75%PICK.P iShares MSCI Global Metals & Mining ProducersUNITED STAT Yes - No CR No 0.3% 0 - 5,000 25% 5,000 - 30,000 40% 40% 30,000 - 50,000 60% 75% >50,000 75%EWH.P iShares MSCI Hong Kong ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%EIDO.P iShares MSCI Indonesia ETF UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%EWI.P iShares MSCI Italy Capped ETF UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 42,000 20% 20% 42,000 - 48,000 35% 45% >48,000 75%EWJ.P iShares MSCI Japan ETF UNITED STAT Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,000,000 35% 45% >1,000,000 75%EWM.P iShares MSCI Malaysia ETF UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,500 20% 20% 34,500 - 60,000 35% 45% >60,000 75%EWW.P iShares MSCI Mexico Capped ETF UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 80,000 35% 45% >80,000 75%EPP.P iShares MSCI Pacific ex Japan ETF UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%EPHE.P iShares MSCI Philippines ETF UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EPOL.P iShares MSCI Poland Capped ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%QAT.O iShares MSCI Qatar Capped ETF UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%ERUS.P iShares MSCI Russia Capped ETF UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 13,000 60% 75% >13,000 75%EWS.P iShares MSCI Singapore ETF UNITED STAT Yes Yes 0.3% 0 - 8,000 10% 8,000 - 50,000 20% 20% 50,000 - 80,000 35% 45% >80,000 75%EZA.P iShares MSCI South Africa ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EWY.P iShares MSCI South Korea Capped ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 60,000 20% 20% 60,000 - 100,000 35% 45% >100,000 75%EWP iShares MSCI Spain Capped ETF UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%EWD.P iShares MSCI Sweden ETF UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%EWL.P iShares MSCI Switzerland Capped ETF UNITED STAT Yes No 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 19,500 35% 45% >19,500 75%EWT.P iShares MSCI Taiwan ETF UNITED STAT Yes Yes 0.3% 0 - 25,000 10% 25,000 - 150,000 20% 20% 150,000 - 250,000 35% 45% >250,000 75%THD iShares MSCI Thailand Capped ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%TUR.P iShares MSCI Turkey ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%UAE.O iShares MSCI UAE Capped ETF UNITED STAT Stockbroking onlyYes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%USMV.P iShares MSCI USA Minimum Volatility ETF UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%MTUM.K iShares MSCI USA Momentum Factor ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%EWU.P iShares MSCI United Kingdom ETF UNITED STAT Yes No 0.3% 0 - 9,000 10% 9,000 - 54,000 20% 20% 54,000 - 99,000 35% 45% >99,000 75%IWC.P iShares Micro-Cap ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%REM.P iShares Mortgage Real Estate Capped ETF UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 20,000 20% 20% 20,000 - 30,000 35% 45% >30,000 75%IBB.O iShares Nasdaq Biotechnology ETF UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%MUB iShares National Muni Bond ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IGE.P iShares North American Natural Resources ETFUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IGN.P iShares North American Tech-Multimedia NetwoUNITED STAT Yes No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%SOXX.O iShares PHLX Semiconductor ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 25% 2,000 - 12,000 40% 40% 12,000 - 20,000 60% 75% >20,000 75%REZ.P iShares Residential Real Estate Capped ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IWF.P iShares Russell 1000 Growth ETF UNITED STAT Yes No 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%IWD iShares Russell 1000 Value ETF UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 20,000 20% 20% 20,000 - 40,000 35% 45% >40,000 75%IWM.P iShares Russell 2000 ETF UNITED STAT Yes Yes 0.3% 0 - 100,000 10% 100,000 - 600,000 20% 20% 600,000 - 1,000,000 35% 45% >1,000,000 75%IWO.P iShares Russell 2000 Growth ETF UNITED STAT Yes Yes 0.3% 0 - 4,000 10% 4,000 - 25,000 20% 20% 25,000 - 40,000 35% 45% >40,000 75%IWV.P iShares Russell 3000 ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 10,000 40% 55% >10,000 75%IWR iShares Russell Mid-Cap ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 10,000 60% 75% >10,000 75%OEF.P iShares S&P 100 ETF UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%GSG.P iShares S&P GSCI Commodity-Indexed Trust UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IJJ.P iShares S&P Mid-Cap 400 Value ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%DVY.P iShares Select Dividend ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 14,000 20% 20% 14,000 - 20,000 35% 45% >20,000 75%SHV.P iShares Short Treasury Bond ETF UNITED STAT Yes No 0.3% 0 - 3,000 10% 3,000 - 21,000 20% 20% 21,000 - 30,000 35% 45% >30,000 75%SLV.P iShares Silver Trust UNITED STAT Yes Yes 0.3% 0 - 70,000 10% 70,000 - 420,000 20% 20% 420,000 - 700,000 35% 45% >700,000 75%TIP.P iShares TIPS Bond ETF UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%IYT.P iShares Transportation Average ETF UNITED STAT Yes Yes 0.3% 0 - 2,000 10% 2,000 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%ITA.P iShares U.S. Aerospace & Defense ETF UNITED STAT Yes No 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYM.P iShares U.S. Basic Materials ETF UNITED STAT Yes Yes 0.3% 0 - 1,500 10% 1,500 - 9,000 20% 20% 9,000 - 15,000 35% 45% >15,000 75%IAI.P iShares U.S. Broker-Dealers & Securities ExchaUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYK.P iShares U.S. Consumer Goods ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYC.P iShares U.S. Consumer Services ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYE.P iShares U.S. Energy ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYG.P iShares U.S. Financial Services ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYF.P iShares U.S. Financials ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYH.P iShares U.S. Healthcare ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IHF.P iShares U.S. Healthcare Providers ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%ITB.P iShares U.S. Home Construction ETF UNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%IYJ.P iShares U.S. Industrials ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IAK.P iShares U.S. Insurance ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%






IHI.P iShares U.S. Medical Devices ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IEO.P iShares U.S. Oil & Gas Exploration & ProductionUNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IEZ.P iShares U.S. Oil Equipment & Services ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IHE.P iShares U.S. Pharmaceuticals ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%PFF.P iShares U.S. Preferred Stock ETF UNITED STAT Yes Yes 0.3% 0 - 2,500 10% 2,500 - 10,000 20% 20% 10,000 - 20,000 35% 45% >20,000 75%IYR.P iShares U.S. Real Estate ETF UNITED STAT Yes Yes 0.3% 0 - 40,000 10% 40,000 - 240,000 20% 20% 240,000 - 400,000 35% 45% >400,000 75%IAT.P iShares U.S. Regional Banks ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IYW.P iShares U.S. Technology ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%IDU.P iShares U.S. Utilities ETF UNITED STAT Yes Yes 0.3% 0 - 1,000 10% 1,000 - 6,000 20% 20% 6,000 - 10,000 35% 45% >10,000 75%HYG.P iShares iBoxx $ High Yield Corporate Bond ETFUNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,200 20% 20% 20,200 - 30,000 35% 45% >30,000 75%LQD.P iShares iBoxx $ Investment Grade Corporate BoUNITED STAT Yes Yes 0.3% 0 - 10,000 10% 10,000 - 50,000 20% 20% 50,000 - 100,000 35% 45% >100,000 75%STAR.K iStar Inc UNITED STAT Yes Yes 0.3% 0 - 6,000 10% 6,000 - 34,900 20% 20% 34,900 - 120,000 35% 45% >120,000 75%SAAS.O inContact Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 15% 1,000 - 6,000 25% 25% 6,000 - 175,000 40% 55% >175,000 75%JCOM.O j2 Global Inc UNITED STAT Yes Yes 0.3% 0 - 3,000 10% 3,000 - 20,000 20% 20% 20,000 - 60,000 35% 45% >60,000 75%CALL.O magicJack VocalTec Limited UNITED STAT Yes Yes 0.3% 0 - 4,000 20% 4,000 - 25,000 30% 30% 25,000 - 80,000 50% 60% >80,000 75%PDVW.O pdvWireless Inc UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 50,000 60% 75% >50,000 75%CRM.N salesforce.com Inc UNITED STAT Yes Yes 0.3% 0 - 20,000 5% 20,000 - 132,600 10% 10% 132,600 - 540,000 20% 40% >540,000 75%RUBI.K the Rubicon Project Inc UNITED STAT Yes - No CR Yes 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 150,000 60% 75% >150,000 75%QURE.O uniQure NV UNITED STAT Yes - No CR No 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 40,000 60% 75% >40,000 75%VTVT.O vTv Therapeutics Inc UNITED STAT Stockbroking onlyNo 0.3% 0 - 1,000 25% 1,000 - 6,000 40% 40% 6,000 - 30,000 60% 75% >30,000 75%XGTI.O xG Technology Inc UNITED STAT Stockbroking onlyYes 0.3% 0 - 100,000 25% 100,000 - 400,000 40% 40% 400,000 - 1,000,000 60% 75% >1,000,000 75%

Please note that this is an indicative list showing the CommSec equity CFDs and its margins. For the latest information, please refer to the CommSec web and mobile CFD platform.

Documents

COMMSEC CFD TIERED MARGINS Domestic International Equities · As at 31 May 2016 Reuters Description Country NewPositions CanGoShort?LimitedRisk Tier1Tier1Tier2Tier2Tier2Tier3Tier3Tier3Tier4Tier4