Apex Clearin g Corp. All Mutual Funds: Data as of Jan 4th 2013, but is sub j ect to chan g e. Note: Client orders must be submitted atleast 15 minutes prior to the Fund's official cut-off time (below), otherwise entry will be on a best-efforts basis. (Direxion, Profunds, Rydex, & Vanguard, among others, now have early cut-off times.) To search for a particular mutual fund via symbol, name, etc, use the Search Box in top menu bar of Adobe Reader… For easier viewing, increase size to atleast 125% Name Share Class Cusip Symbol Load Type NTF Status Redemption Fee Family Name Open? (Yes/No) $ Initial Buy Min $ Subsequent Buy Min $ IRA Initial Buy Min Settles (days) Cut Off (EST) 360 USX CHINA CLASS A A 885572107 HPCHX FRONT END NON-NTF N/A 360 Y 2500 250 1000 3 4:00 PM 360 USX CHINA CLASS C C 885572206 HPCCX BACK END NON-NTF N/A 360 Y 2500 250 1000 3 4:00 PM 361 ABSOLUTE ALPHA CLASS A A 461418527 AAFAX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM 361 ABSOLUTE ALPHA CLASS I I 461418519 AAFIX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM 361 LONG SHORT EQUITY CLASS A A 461418329 ALSQX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM 361 LONG SHORT EQUITY CLASS I I 461418311 ALSZX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM 361 MANAGED FUTURES CLASS A A 461418345 AMFQX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM 361 MANAGED FUTURES CLASS I I 461418337 AMFZX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM AAM BAHL AND GAYNOR INCOME GROWTH CLASS A A 461418188 AFNAX FRONT END NON-NTF 2% < 90 DAYS AAM Y 2500 250 2500 1 4:00 PM AAM BAHL AND GAYNOR INCOME GROWTH CLASS C C 461418162 AFNIX NO LOAD NON-NTF 2% < 90 DAYS AAM Y 1000000 100000 1000000 1 4:00 PM ABERDEEN ASIA BOND CLASS A A 003021227 AEEAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN ASIA BOND CLASS C C 003021219 AEECX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN ASIA BOND INSTITUTIONAL CLASS INSTL 003021847 CSABX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN ASIA PACIFIC EX JAPAN EQUITY CLASS A A 003021185 APJAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN ASIA PACIFIC EX JAPAN EQUITY CLASS C C 003021177 APJCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN CHINA OPPORTUNITIES CLASS A A 003019106 GOPAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN CHINA OPPORTUNITIES CLASS C C 003019304 GOPCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN CORE FIXED INCOME CLASS A A 003021102 PCDFX FRONT END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN CORE FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021409 PDIVX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM ABERDEEN DIVERSIFIED ALTERNATIVES CLASS A A 003020849 GASAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN DIVERSIFIED ALTERNATIVES CLASS C C 003020823 GAMCX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN DIVERSIFIED INCOME CLASS A A 003020104 GMAAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN DIVERSIFIED INCOME CLASS C C 003020302 GMACX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN DYNAMIC ALLOCATION CLASS C C 003020880 GMMCX BACK END NON-NTF N/A ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS INSTL 003021714 ABEMX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS A A 003021250 GEGAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS C C 003021243 GEGCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN EQUITY LONG SHORT CLASS A A 003020377 MLSAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN EQUITY LONG SHORT CLASS C C 003020351 MLSCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN EQUITY LONG SHORT INSTITUTIONAL CLASS INSTL 003020336 GGUIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN GLOBAL EQUITY CLASS A A 003020310 GLLAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL EQUITY CLASS C C 003020286 GLLCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL FIXED INCOME CLASS A A 003021755 CUGAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL FIXED INCOME CLASS C C 003021748 CGBCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL FIXED INCOME CLASS R R 003021763 AGCRX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1 1 1 1 4:00 PM ABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL CLASS INSTL 003021730 AGCIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021722 CGFIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM ABERDEEN GLOBAL NATURAL RESOURCES CLASS A A 003019718 GGNAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL NATURAL RESOURCES CLASS C C 003019684 GGNCX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL SMALL CAP CLASS A A 003021821 WVCCX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL SMALL CAP CLASS C C 003021797 CPVCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN GLOBAL SMALL CAP CLASS R R 003021813 WPVAX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1 1 1 1 4:00 PM ABERDEEN GLOBAL SMALL CAP INSTITUTIONAL SERVICE INSTL SVC 003021789 ABNIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM ABERDEEN INTERNATIONAL EQUITY CLASS A A 003019445 GIGAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN INTERNATIONAL EQUITY CLASS C C 003019429 GIGCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN INTERNATIONAL EQUITY INSTITUTIONAL SERVICE INSTL SVC 003019387 GIGSX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM ABERDEEN SMALL CAP CLASS A A 003020716 GSXAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN SMALL CAP CLASS C C 003020682 GSXCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN TAX FREE INCOME CLASS A A 003020161 NTFAX FRONT END NON-NTF 2% < 5 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM ABERDEEN TAX FREE INCOME CLASS C C 003020146 GTICX BACK END NON-NTF 2% < 5 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM A BERDEEN ULTRA SHORT DURATION BOND INSTITUTIONAL C L INSTL 003021490 AUDIX NO LOAD NON-NTF N/A ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN US EQUITY CLASS A A 003021425 GXXAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US EQUITY CLASS C C 003021417 GXXCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US EQUITY II CLASS A A 003021367 WFAGX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US EQUITY II CLASS C C 003021359 CCPCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US EQUITY INSTITUTIONAL SERVICE INSTL SVC 003021375 GXXIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM ABERDEEN US HIGH YIELD BOND CLASS A A 003021318 AUYAX FRONT END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US HIGH YIELD BOND CLASS C C 003021292 AUYCX BACK END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM ABERDEEN US HIGH YIELD BOND INSTITUTIONAL CLASS INSTL 003021276 AUYIX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ABERDEEN US HIGH YIELD BOND INSTITUTIONAL SERVICE INSTL SVC 003021268 AUYSX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM ADIRONDACK SMALL CAP N/A 00688P103 ADKSX NO LOAD NON-NTF 1% < 30 DAYS ADIRONDACK Y 3000 50 1000 1 4:00 PM ACADIAN EMERGING MARKETS N/A 00758M162 AEMGX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM ACADIAN EMERGING MARKETS DEBT N/A 00769G709 AEMDX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 1000 2500 3 4:00 PM CAMBIAR AGGRESSIVE VALUE INVESTOR CLASS INVESTOR 0075W0650 CAMAX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM CAMBIAR OPPORTUNITY INSTITUTIONAL CLASS INSTL 0075W0825 CAMWX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM CAMBIAR OPPORTUNITY INVESTOR CLASS INVESTOR 00758M261 CAMOX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM CAMBIAR SMALL CAP INSTITUTIONAL CLASS INSTL 0075W0593 CAMZX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM CAMBIAR SMALL CAP INVESTOR CLASS INVESTOR 0075W0817 CAMSX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 10000 100 2500 1 4:00 PM CS MCKEE INSTITUTIONAL INSTL 00758M188 MKIEX NO LOAD NON-NTF 1% < 180 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM FROST INTERNATIONAL EQUITY INSTITUTIONAL INSTL 00766Y836 FITNX NO LOAD NON-NTF 2% < 30 DAYS ADVISORS INNER CIRCLE Y 1000000 1 1000000 1 4:00 PM FROST TOTAL RETURN BOND INSTITUTIONAL INSTL 00766Y810 FIJEX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 1000000 1 1000000 1 4:00 PM LSV VALUE EQUITY INSTITUTIONAL INSTL 00758M634 LSVEX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 100000 1 100000 1 4:00 PM RICE HALL JAMES MICRO CAP N/A 00758M212 RHJSX NO LOAD NON-NTF 2% < 180 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM RICE HALL JAMES SMALL/MID CAP N/A 00758M196 RHJMX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM WESTWOOD INCOME OPPORTUNITY INSTITUTIONAL INSTL 0075W0775 WHGIX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 5000 1 5000 1 4:00 PM ADVISORY RESEARCH ALL CAP VALUE N/A 461418816 ADVGX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM ADVISORY RESEARCH GLOBAL VALUE N/A 461418683 ADVWX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM ADVISORY RESEARCH INTERNATIONAL ALL CAP VALUE N/A 461418477 ADVEX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM ADVISORY RESEARCH INTERNATIONAL SMALL CAP VALUE N/A 461418741 ADVIX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM AEGIS HIGH YIELD N/A 00764V206 AHYFX NO LOAD NON-NTF N/A AEGIS Y 10000 1000 4000 1 4:00 PM AEGIS VALUE N/A 00761L102 AVALX NO LOAD NON-NTF N/A AEGIS Y 10000 1000 4000 1 4:00 PM AKRE FOCUS INSTITUTIONAL INSTL 742935125 AKRIX NO LOAD NON-NTF 1% < 30 DAYS AKRE Y 250000 25000 250000 1 4:00 PM AKRE FOCUS RETAIL RETAIL 742935117 AKREX NO LOAD NON-NTF 1% < 30 DAYS AKRE Y 2000 250 1000 1 4:00 PM AL FRANK N/A 007989874 VALUX NO LOAD NON-NTF 2% < 2 MONTHS AL FRANK Y 5000 500 1000 3 4:00 PM AL FRANK DIVIDEND VALUE N/A 007989585 VALDX NO LOAD NON-NTF 2% < 2 MONTHS AL FRANK Y 1000 100 1000 3 4:00 PM ALGER ANALYST CLASS A A 015566706 SPEAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER ANALYST CLASS I I 015566888 AAIYX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER CAPITAL APPRECIATION CLASS A A 015565849 ACAAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER CAPITAL APPRECIATION CLASS B B 015565880 ACAPX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER CAPITAL APPRECIATION CLASS C C 015565781 ALCCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER CAPITAL APPRECIATION CLASS I I 015570401 ALARX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER CAPITAL APPRECIATION CLASS R R 015570872 ACARX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER CAPITAL APPRECIATION FOCUS CLASS I I 015570302 ALGRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER CAPITAL APPRECIATION FOCUS CLASS R R 015570880 ALGIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER CHINA US GROWTH CLASS A A 015549108 CHUSX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER CHINA US GROWTH CLASS C C 015549207 CHUCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER DYNAMIC OPPORTUNITIES CLASS A A 015566813 SPEDX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER EMERGING MARKETS CLASS A A 015566797 AAEMX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER EMERGING MARKETS CLASS C C 015566789 ACEMX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER EMERGING MARKETS CLASS I I 015566771 AIEMX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER GREEN CLASS A A 015566409 SPEGX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GREEN CLASS C C 015566508 AGFCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GREEN CLASS I I 015566607 AGIFX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER GROWTH AND INCOME CLASS A A 015565831 ALBAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GROWTH AND INCOME CLASS C C 015565773 ALBCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GROWTH OPPORTUNITIES CLASS A A 015565450 AOFAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GROWTH OPPORTUNITIES CLASS C C 015565443 AOFCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER GROWTH OPPORTUNITIES CLASS I I 015565435 AOFIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM 1 ALGER HEALTH SCIENCES CLASS A A 015565765 AHSAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER HEALTH SCIENCES CLASS B B 015565757 AHSBX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER HEALTH SCIENCES CLASS C C 015565740 AHSCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER LARGE CAP GROWTH CLASS A A 015565856 ALGAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER LARGE CAP GROWTH CLASS B B 015565609 AFGPX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER LARGE CAP GROWTH CLASS C C 015565799 ALGCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER MID CAP GROWTH CLASS A A 015565864 AMGAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER MID CAP GROWTH CLASS B B 015565807 AMCGX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER MID CAP GROWTH CLASS C C 015565815 AMGCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER MID CAP GROWTH CLASS I I 015570203 ALMRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER MID CAP GROWTH CLASS R R 015570807 AGIRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER SMALL CAP GROWTH CLASS A A 015565872 ALSAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SMALL CAP GROWTH CLASS B B 015565500 ALSCX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER SMALL CAP GROWTH CLASS C C 015565823 AGSCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SMALL CAP GROWTH CLASS I I 015570104 ALSRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER SMALL CAP GROWTH CLASS R R 015570708 ASIRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER SMID CAP GROWTH CLASS A A 015565732 ALMAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SMID CAP GROWTH CLASS B B 015565724 ALMBX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM ALGER SMID CAP GROWTH CLASS C C 015565716 ALMCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SMID CAP GROWTH CLASS I I 015565468 ASIMX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM ALGER SPECTRA CLASS A A 015566102 SPECX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SPECTRA CLASS C C 015566201 ASPCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM ALGER SPECTRA CLASS I I 015566300 ASPIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2000 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T854 LTAVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2005 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T813 LTBVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2010 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T763 LTDVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2015 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T722 LTEVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2020 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T672 LTHVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2025 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T631 LTIVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2030 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T581 LTJVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2035 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T540 LTKVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2040 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T490 LTLVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2045 RETIREMENT STRATEGY ADVISO R ADVISOR 01879T458 LTPVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2050 RETIREMENT STRATEGY ADVISO R ADVISOR 01880E839 LTQVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN 2055 RETIREMENT STRATEGY ADVISO R ADVISOR 01880E755 LTWVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY ADVIS O ADVISOR 01877F625 ABWYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS A 01877F658 ABWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS B 01877F641 ABWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS C 01877F633 ABWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS S A 01879T102 ABBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS S B 01879T201 ABBBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS S C 01879T300 ABBCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN BOND INFLATION STRATEGY ADVISOR C ADVISOR 018528562 ABNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS A A 018528570 ABNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS C C 018528554 ABNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY A D ADVISOR 01877F575 ABPYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C L A 01877F617 ABPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C L B 01877F591 ABPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C L C 01877F583 ABPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN CORE OPPORTUNITIES ADVISOR CLAS S ADVISOR 01879K705 ADGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS A A 01879K101 ADGAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS B B 01879K200 ADGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS C C 01879K309 ADGCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY GROWTH ADVISOR CLASS ADVISOR 018636407 CHCYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS A A 018636100 CHCLX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS B B 018636209 CHCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS C C 018636308 CHCCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY VALUE ADVISOR CLASS ADVISOR 018914408 ABYSX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS A A 018914101 ABASX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS B B 018914200 ABBSX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS C C 018914309 ABCSX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN DYNAMIC ALL MARKET ADVISOR CLAS S ADVISOR 01877E479 ADAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN DYNAMIC ALL MARKET CLASS A A 01877E487 ADAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN DYNAMIC ALL MARKET CLASS C C 01877E461 ADACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CL A A 01877E552 ABAEX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CL A C 01877E537 ABCEX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN EQUITY INCOME ADVISOR CLASS ADVISOR 018791400 AUIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN EQUITY INCOME CLASS A A 018791103 AUIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN EQUITY INCOME CLASS B B 018791202 AUIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN EQUITY INCOME CLASS C C 018791301 AUICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN EXCHANGE RESERVE ADVISOR CLASS ADVISOR 01879M404 AEYXX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS A A 01879M107 AEAXX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS B B 01879M206 AEBXX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS C C 01879M305 AECXX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL BOND CLASS A A 01853W105 ANAGX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL BOND CLASS ADVISOR CLASS ADVISOR 01853W709 ANAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL BOND CLASS B B 01853W204 ANABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL BOND CLASS C C 01853W303 ANACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL REAL ESTATE ADVISOR CLAS S ADVISOR 01877G409 ARSYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C L A 01877G102 AREAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C L B 01877G201 AREBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C L C 01877G300 ARECX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL RISK ALLOCATION ADVISOR C L ADVISOR 018525501 CBSYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS A A 018525105 CABNX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS B B 018525204 CABBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS C C 018525402 CBACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH ADVISOR ADVISOR 018780502 ATEYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS A A 018780106 ALTFX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS B B 018780304 ATEBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS C C 018780403 ATECX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL VALUE ADVISOR CLASS ADVISOR 018912402 ABGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL VALUE CLASS A A 018912105 ABAGX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL VALUE CLASS B B 018912204 ABBGX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GLOBAL VALUE CLASS C C 018912303 ABCGX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GREAT CHINA '97 ADVISOR CLASS ADVISOR 018905406 GCHYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GROWTH ADVISOR CLASS ADVISOR 01877F757 AGRYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN GROWTH AND INCOME ADVISOR CLAS S ADVISOR 018597500 CBBYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS A A 018597104 CABDX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS B B 018597203 CBBDX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS C C 018597401 CBBCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GROWTH CLASS A A 01877F401 AGRFX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GROWTH CLASS B B 01877F500 AGBBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN GROWTH CLASS C C 01877F609 AGRCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME ADVISOR CLASS ADVISOR 01859M408 AGDYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME CLASS A A 01859M101 AGDAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME CLASS B B 01859M200 AGDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME CLASS C C 01859M309 AGDCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN HIGH INCOME MUNICIPAL ADVISOR CL A ADVISOR 018642744 ABTYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME MUNICIPAL CLASS A A 018642751 ABTHX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN HIGH INCOME MUNICIPAL CLASS C C 018642736 ABTFX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERMEDIATE BOND ADVISOR CLASS ADVISOR 018528729 ABQYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS A A 018528711 ABQUX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS B B 018528695 ABQBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS C C 018528687 ABQCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA L A 085568814 AICAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA L B 085568798 ACLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA L C 085568780 ACMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA A 085568772 AIDAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA B 085568764 AIDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA C 085568756 AIMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL A 085568848 ANIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL B 085568830 ANYBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM 2 A LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL C 085568822 ANMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERNATIONAL DISCOVERY EQUITY A D ADVISOR 01877E677 ADEYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS A A 01877E628 AIIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS C C 01877E594 ABFCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERNATIONAL GROWTH ADVISOR CL A ADVISOR 01879X400 AWPYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS A A 01879X103 AWPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS B B 01879X202 AWPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS C C 01879X301 AWPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS A A 085568673 AIZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS B B 085568665 AIZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS C C 085568657 AIZCX BACK END NON-NTF 1% > 1 YR ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH C A 018620104 AIPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PM A LLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH C C 018620302 AIPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PM A LLIANCE BERNSTEIN INTERNATIONAL VALUE ADVISOR CLAS ADVISOR 018913400 ABIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS A A 018913103 ABIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS B B 018913202 ABIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS C C 018913301 ABICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN LARGE CAP GROWTH ADVISOR CLASS ADVISOR 01877C408 APGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS A A 01877C101 APGAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS B B 01877C200 APGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS C C 01877C309 APGCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME ADVI S ADVISOR 018528331 ALHYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLA S A 018528349 ALHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLA S C 018528323 ALHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN MARKET NEUTRAL STRATEGY GLOBAL ADVISOR 01877E743 ANNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN MARKET NEUTRAL STRATEGY US CLAS ADVISOR 01877E818 AMUYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG Y ADVISOR 018528471 AUNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG Y A 018528489 AUNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG Y C 018528463 AUNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL CALIFORNIA ADVISOR CLA S ADVISOR 018642785 ALCVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS S A 018642306 ALCAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS S B 018642801 ALCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS S C 018642850 ACACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS A A 01864E797 AAZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS B 01864E789 AAZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS C 01864E771 AAZCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT S A 01864E763 AMAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT S B 01864E755 AMABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT S C 01864E748 AMACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS S A 01864E730 AMIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS S B 01864E722 AMIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS S C 01864E714 AMICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA S A 01864E409 AMNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA S B 01864E508 AMNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA S C 01864E607 AMNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL A A 01864E805 ANJAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL A B 01864E888 ANJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL A C 01864E870 ANJCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS A A 01864E862 AOHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS B B 01864E854 AOHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS C C 01864E847 AOHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA C A 01864E839 APAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA C B 01864E821 APABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA C C 01864E813 APACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS A A 01864E706 AVAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS B B 01864E698 AVABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS C C 01864E680 AVACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS A A 018642108 ALTHX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS B B 018642702 ALTBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS C C 018642835 ALNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS A 018642207 ALNYX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS B 018642876 ALNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS C 018642868 ANYCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN MUNICIPAL NATIONAL ADVISOR CLASS ADVISOR 018642819 ALTVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN MUNICIPAL NEW YORK ADVISOR CLAS S ADVISOR 018642769 ALNVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN REAL ASSET STRATEGY ADVISOR CLA S ADVISOR 018528422 AMTYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN REAL ASSET STRATEGY CLASS A A 018528430 AMTAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN REAL ASSET STRATEGY CLASS C C 018528414 ACMTX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2000 CLASS B B 01879T870 LTABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS A A 01879T847 LTBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS B B 01879T839 LTCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS C C 01879T821 LTSCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2010 CLASS B B 01879T789 LTDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2015 CLASS B B 01879T748 LTGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2020 CLASS B B 01879T698 LTHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2025 CLASS B B 01879T656 LTIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2030 CLASS B B 01879T615 LTJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS A A 01879T573 LTKAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS B B 01879T565 LTKBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS C C 01879T557 LTKCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2040 CLASS B B 01879T524 LTLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2045 CLASS B B 01879T474 LTPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS A A 01880E805 LTQAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS B B 01880E888 LTQBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS C C 01880E870 LTQCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS A A 01880E821 LTWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS B B 01880E813 LTWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS C C 01880E797 LTWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN SELECT US EQUITY ADVISOR CLASS ADVISOR 01877E297 AUUYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN SELECT US EQUITY CLASS A A 01877E313 AUUAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN SELECT US EQUITY CLASS C C 01877E289 AUUCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN SHORT DURATION CLASS A A 085568749 ADPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN SHORT DURATION CLASS B B 085568731 ADPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN SHORT DURATION CLASS C C 085568723 ADPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN SMALL CAP GROWTH ADVISOR CLASS ADVISOR 01877E503 QUAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS A A 01877E107 QUASX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS B B 01877E206 QUABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS C C 01877E404 QUACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED BALANCED WEALTH AD V ADVISOR 01877F724 AGIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT H ADVISOR 01877F716 ACIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT H A 01877F872 ACIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT H B 01877F864 ACIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT H C 01877F856 ACICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF A 085568715 ABXAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF B 085568699 ABXBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF C 085568681 ABXCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO N ADVISOR 01877F534 ATWYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO N A 01877F567 ATWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO N B 01877F559 ATWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO N C 01877F542 ATWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL A A 01877F708 AGIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL A B 01877F807 AGIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL A C 01877F880 AGICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN UNCONSTRAINED ADVISOR CLASS ADVISOR 01859N406 AGSIX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS A A 01859N109 AGSAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS B B 01859N208 AGSBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS C C 01859N307 AGCCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN US STRATEGIC RESEARCH CLASS A A 01877E883 AURAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM ALLIANCE BERNSTEIN US STRATEGIC RESEARCH CLASS C C 01877E875 AURCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM A LLIANCE BERNSTEIN US STRATEGY RESEARCH ADVISOR CL A ADVISOR 01877E834 AURYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN VALUE ADVISOR CLASS ADVISOR 018915405 ABVYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM ALLIANCE BERNSTEIN VALUE CLASS A A 018915108 ABVAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM 3 ALLIANCE BERNSTEIN VALUE CLASS B B 018915207 ABVBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM ALLIANCE BERNSTEIN VALUE CLASS C C 018915306 ABVCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY AD V ADVISOR 01877F666 AWAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM A LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL A A 01877F690 AWAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL A B 01877F682 AWABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM A LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL A C 01877F674 AWACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM ALLIANZ AGIC CONVERTIBLE CLASS A A 01900C680 ANZAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC CONVERTIBLE CLASS C C 01900C672 ANZCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC CONVERTIBLE CLASS P P 01900C342 ANCMX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ AGIC CONVERTIBLE CLASS R R 01900C656 ANZRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM A LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS A A 018920629 AOTAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS C C 018920611 AOTCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS D D 018920595 AOTDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM A LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS P P 018922401 AEMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS A A 01880B561 AVYAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS C C 01880B553 AVYCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS D D 01880B546 AVYDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS P P 01880B538 AVYPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ AGIC HIGH YIELD BOND CLASS A A 01900C615 AYBAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC HIGH YIELD BOND CLASS C C 01900C599 AYBCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC HIGH YIELD BOND CLASS R R 01900C573 AYBRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ AGIC INCOME AND GROWTH CLASS A A 018920496 AZNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC INCOME AND GROWTH CLASS C C 018920488 AZNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC INCOME AND GROWTH CLASS D D 018920470 AZNDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ AGIC INCOME AND GROWTH CLASS P P 018922708 AIGPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ AGIC INCOME AND GROWTH CLASS R R 018922641 AIGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM A LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS A A 018919308 PNIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS C C 018919316 PNICX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS D D 018919324 PNIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM A LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS R R 018920785 ANIRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ AGIC MICRO CAP CLASS A A 01880B637 GMCAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS A A 018918599 POPAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS B B 018918607 POOBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS C C 018918615 POPCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS D D 018920520 APPDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS P P 018922765 AOCPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ AGIC OPPORTUNITY CLASS R R 018922658 AOORX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ AGIC ULTRA MICRO CAP CLASS A A 01880B645 GUCAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC US EMERGING GROWTH CLASS R R 01900C292 AEGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ AGIC US MANAGED VOLATILITY CLASS A A 018919258 NGWAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC US MANAGED VOLATILITY CLASS B B 018919266 NGWBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ AGIC US MANAGED VOLATILITY CLASS C C 018919274 NGWCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ AGIC US MANAGED VOLATILITY CLASS D D 018919282 NGWDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS A A 01880B108 AZFAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS C C 01880B207 AZFCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS D D 01880B306 AZFDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS P P 01880B405 AZFPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ GLOBAL INVESTORS MONEY MARKET CLASS A A 018922625 AIAXX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS MONEY MARKET CLASS C C 018922617 AICXX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS A A 01900A643 AZGAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS C C 01900A635 AZGCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS D D 01900A627 AZGDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS R R 01900A593 AZGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS A A 01900A569 AGLAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS C C 01900A551 ABSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS D D 01900A544 AGLDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS R R 01900A528 AGLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS A A 01880B868 GVSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS P P 01880B843 GVSPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS R R 01880B850 GVSRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS A A 01900A486 ABLAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS C C 01900A478 ABLCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS D D 01900A460 ABDIX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS R R 01900A445 ABLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS A A 01880B819 GVRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS P P 01880B785 GVPAX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS R R 01880B793 GVRRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS A A 01900A411 AVSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS C C 01900A395 AVSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS D D 01900A387 AVSDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS R R 01900A361 AVSRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS A A 01880B751 GBVAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS P P 01880B736 GBVPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS R R 01880B744 GBVRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS A A 01900A338 ASNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS C C 01900A320 ASNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS D D 01900A312 ASNDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS R R 01900A288 ASNRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS A A 01880B694 GLIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS P P 01880B678 GLIPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS R R 01880B686 GLLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION A 01900C771 PALAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION B 01900C763 PALBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION C 01900C755 PALCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION D 01900C839 AGADX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS GLOBAL ALLOCATI O R 01900C813 AGARX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS GLOBAL GROWTH A R 01900C862 ASFRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT I A 01900C706 ASGAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT I C 01900C805 ASACX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT I D 01900C888 AGSDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO M A 01900A254 AGRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO M C 01900A247 ARTCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO M D 01900A239 ARTDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM A LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO M R 01900A213 ASRRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ NFJ ALL CAP VALUE CLASS A A 018919126 PNFAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ ALL CAP VALUE CLASS B B 018919134 PNFBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ ALL CAP VALUE CLASS C C 018919142 PNFCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ ALL CAP VALUE CLASS D D 018919159 PNFDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ DIVIDEND VALUE CLASS A A 018918243 PNEAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ DIVIDEND VALUE CLASS B B 018918250 PNEBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ DIVIDEND VALUE CLASS C C 018918268 PNECX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ DIVIDEND VALUE CLASS D D 018918276 PEIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ DIVIDEND VALUE CLASS R R 018918284 PNERX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS A A 01900C748 ANUAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS C C 01900C730 ANUCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS D D 01900C722 ANUDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS A A 01880B462 AJVAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS C C 01880B470 AJVCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS D D 01880B488 AJVDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS P P 01880B496 AJVPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE CLASS A A 018920702 AFJAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE CLASS C C 018920801 AFJCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE CLASS D D 018920884 AFJDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE CLASS R R 018922666 ANJRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE II CLASS A A 01880B629 NFJAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE II CLASS C C 01880B611 NFJCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE II CLASS D D 01880B595 NFJDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ INTERNATIONAL VALUE II CLASS P P 01880B587 NFJPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ NFJ LARGE CAP VALUE CLASS A A 018918458 PNBAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ LARGE CAP VALUE CLASS B B 018918466 PNBBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ LARGE CAP VALUE CLASS C C 018918474 PNBCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ LARGE CAP VALUE CLASS D D 018918482 PNBDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM 4 ALLIANZ NFJ LARGE CAP VALUE CLASS R R 018920777 ANLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ NFJ MID CAP VALUE CLASS A A 018918649 PQNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ MID CAP VALUE CLASS B B 018918656 PQNBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ MID CAP VALUE CLASS C C 018918664 PQNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ NFJ MID CAP VALUE CLASS D D 018918672 PREDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ NFJ MID CAP VALUE CLASS R R 018918680 PRNRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ NFJ SMALL CAP VALUE CLASS A A 018918714 PCVAX FRONT END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ SMALL CAP VALUE CLASS B B 018918722 PCVBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ SMALL CAP VALUE CLASS C C 018918730 PCVCX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ NFJ SMALL CAP VALUE CLASS D D 018918748 PNVDX NO LOAD NON-NTF N/A ALLIANZ N 1000 50 1000 1 4:00 PM ALLIANZ NFJ SMALL CAP VALUE CLASS R R 018918755 PNVRX NO LOAD NON-NTF N/A ALLIANZ N 1 1 1 3 4:00 PM ALLIANZ RCM DISCIPLINED EQUITY CLASS A A 01900A825 ARDAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM DISCIPLINED EQUITY CLASS C C 01900A817 ARDCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM DISCIPLINED EQUITY CLASS D D 01900A791 ARDDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM FOCUSED GROWTH CLASS A A 018918318 PGWAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM FOCUSED GROWTH CLASS B B 018918326 PGFBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM FOCUSED GROWTH CLASS C C 018918334 PGWCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM FOCUSED GROWTH CLASS R R 018918359 PPGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS A A 018920710 ARMAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS C C 018920694 ARMCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS D D 018920686 ARMDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM GLOBAL SMALL CAP CLASS A A 018919522 RGSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM GLOBAL SMALL CAP CLASS B B 018919530 RGSBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM GLOBAL SMALL CAP CLASS C C 018919548 RGSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM GLOBAL SMALL CAP CLASS D D 018919555 DGSNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM INTERNATIONAL SMALL CAP CLASS R R 01900C490 ALORX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ RCM LARGE CAP GROWTH CLASS A A 018919779 RALGX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM LARGE CAP GROWTH CLASS B B 018919787 RBLGX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM LARGE CAP GROWTH CLASS C C 018919795 RCLGX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM LARGE CAP GROWTH CLASS D D 018919803 DLCNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM LARGE CAP GROWTH CLASS R R 018919811 PLCRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ RCM MID CAP CLASS A A 018919704 RMDAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM MID CAP CLASS B B 018919712 RMDBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM MID CAP CLASS C C 018919720 RMDCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM MID CAP CLASS D D 018919738 DMCNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM MID CAP CLASS P P 018922583 ARMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ RCM MID CAP CLASS R R 018919746 PRMRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS A A 01880B603 ASHAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS C C 01880B702 ASHCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS D D 01880B801 ASHDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS P P 01880B884 ASHPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZ RCM TECHNOLOGY CLASS A A 018919472 RAGTX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM TECHNOLOGY CLASS B B 018919480 RBGTX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM TECHNOLOGY CLASS C C 018919498 RCGTX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM TECHNOLOGY CLASS D D 018919506 DGTNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZ RCM WELLNESS CLASS A A 018919423 RAGHX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM WELLNESS CLASS B B 018919431 RBGHX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM ALLIANZ RCM WELLNESS CLASS C C 018919449 RCGHX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZ RCM WELLNESS CLASS D D 018919456 DGHCX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS A A 01880B280 ADYAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS D D 01880B264 ADYDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS P P 01880B256 ADYPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZGI MULTI ASSET REAL RETURN CLASS A A 01880B231 ALRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI MULTI ASSET REAL RETURN CLASS D D 01880B215 ALRDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI MULTI ASSET REAL RETURN CLASS P P 01880B199 ALRPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS A A 01880B348 AZMAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS D D 01880B322 AZMDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS P P 01880B314 AZMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM ALLIANZGI STRUCTURED ALPHA CLASS A A 01880B454 AZIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI STRUCTURED ALPHA CLASS C C 01880B447 AZICX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI STRUCTURED ALPHA CLASS D D 01880B439 AZIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI STRUCTURED ALPHA CLASS P P 01880B421 AZIPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 50 100000 3 4:00 PM ALLIANZGI US EQUITY HEDGED CLASS A A 01880B397 AZUAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI US EQUITY HEDGED CLASS C C 01880B389 AZUCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI US EQUITY HEDGED CLASS D D 01880B371 AZUDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM ALLIANZGI US EQUITY HEDGED CLASS P P 01880B363 AZUPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 50 100000 3 4:00 PM DOW JONES ISLAMIC CLASS K K 018866103 IMANX NO LOAD NON-NTF N/A ALLIED ASSET ADVISORS Y 250 50 100 1 4:00 PM ALPINE ACCELERATING DIVIDEND INSTITUTIONAL INSTL 020875605 AADDX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE CYCLICAL ADVANTAGE PROPERTY INSTITUTIONAL INSTL 020940805 EUEYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE DYNAMIC DIVIDEND INSTITUTIONAL INSTL 020875209 ADVDX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE EMERGING MARKETS INSTITUTIONAL INSTL 020940854 AEMEX NO LOAD NON-NTF 1% < 60 DAYS ALPINE N 1000000 1 1000000 1 4:00 PM ALPINE FINANCIAL INNOVATIONS INSTITUTIONAL INSTL 020875407 ADINX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE FINANCIAL SERVICES INSTITUTIONAL INSTL 020875308 ADFSX NO LOAD NON-NTF 2% < 1 MONTH ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE FOUNDATION INSTITUTIONAL INSTL 020875100 ADBYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE GLOBAL INFRASTRUCTURE INSTITUTIONAL INSTL 020940847 AIFRX NO LOAD NON-NTF 1% < 60 DAYS ALPINE N 1000000 1 1000000 1 4:00 PM A LPINE INTERNATIONAL REAL ESTATE EQUITY INSTITUTIONA L INSTL 020940409 EGLRX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE MUNICIPAL MONEY MARKET INVESTOR INVESTOR 020828109 AMUXX NO LOAD NON-NTF N/A ALPINE Y 2500 1 2500 1 4:00 PM ALPINE REALTY INCOME AND GROWTH INSTITUTIONAL INSTL 020940862 AIGYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE TRANSFORMATIONS INSTITUTIONAL INSTL 020875506 ADTRX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM ALPINE ULTRA SHORT TAX OPTIMIZED INCOME CLASS A A 020828406 ATOAX FRONT END NON-NTF .25% < 1 MONTH ALPINE Y 2500 1 2500 1 4:00 PM A LPINE ULTRA SHORT TAX OPTIMIZED INCOME INSTITUTION A INSTL 020828208 ATOIX NO LOAD NON-NTF .25% < 1 MONTH ALPINE Y 250000 1 250000 1 4:00 PM ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS A A 66537Y629 EVOAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS C C 66537Y611 EVOCX BACK END NON-NTF 1% < 30 DAYS ALTEGRIS Y 5000 250 5000 1 4:00 PM ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS I I 66537Y595 EVOIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM ALTEGRIS MACRO STRATEGY CLASS A A 66537Y306 MCRAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM ALTEGRIS MACRO STRATEGY CLASS I I 66537Y504 MCRIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM ALTEGRIS MANAGED FUTURES STRATEGY CLASS A A 66537V351 MFTAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM ALTEGRIS MANAGED FUTURES STRATEGY CLASS C C 66537V344 MFTCX BACK END NON-NTF 1% < 30 DAYS ALTEGRIS Y 5000 250 5000 1 4:00 PM ALTEGRIS MANAGED FUTURES STRATEGY CLASS I I 66537V336 MFTIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM AMANA DEVELOPING WORLD N/A 022865307 AMDWX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM AMANA GROWTH N/A 022865208 AMAGX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM AMANA INCOME N/A 022865109 AMANX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM AMERICA FIRST ABSOLUTE RETURN CLASS A A 02365Y704 ABRFX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST ABSOLUTE RETURN CLASS I I 02356Y803 ABRWX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST ABSOLUTE RETURN CLASS U U 02365Y886 ABRUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST DEFENSIVE GROWTH CLASS A A 02365Y100 DGQAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST DEFENSIVE GROWTH CLASS I I 02365Y308 DGQIX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST DEFENSIVE GROWTH CLASS U U 02365Y209 DGQUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST INCOME TRENDS CLASS A A 02365Y407 AFPAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST INCOME TRENDS CLASS I I 02365Y605 AFPIX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST INCOME TRENDS CLASS U U 02365Y506 AFPUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST QUANTITATIVE STRATEGIES CLASS A A 02365Y860 AFIAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICA FIRST QUANTITATIVE STRATEGIES CLASS C C 02365Y878 AFISX BACK END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM AMERICAN BEACON BALANCED INVESTOR INVESTOR 02368A828 AABPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON BRIDGEWAY LARGE CAP VALUE INSTL INSTITUTION A 024524126 BRLVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM A MERICAN BEACON BRIDGEWAY LARGE CAP VALUE INVEST O INVESTOR 024524118 BWLIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON EMERGING MARKETS INVESTOR INVESTOR 02368A448 AAEPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON ENHANCED INCOME INVESTOR INVESTOR 02368A398 AANPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON FLEXIBLE BOND INVESTOR INVESTOR 024524233 AFXPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON HIGH YIELD BOND INVESTOR INVESTOR 02368A455 AHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON HOLLAND LARGE CAP GROWTH INSTL INSTITUTION A 024525404 LHGIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM A MERICAN BEACON HOLLAND LARGE CAP GROWTH INVESTO INVESTOR 024525503 LHGFX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON INTERMEDIATE BOND INVESTOR INVESTOR 02368A240 ABIPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON INTERNATIONAL EQUITY INVESTOR INVESTOR 02368A794 AAIPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON LARGE CAP VALUE INVESTOR INVESTOR 02368A810 AAGPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM A MERICAN BEACON LONDON COMPANY EQUITY INCOME INS T INSTITUTION A 024527400 ABCIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM A MERICAN BEACON LONDON COMPANY EQUITY INCOME INV E INVESTOR 024527509 ABCVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON MID CAP VALUE INVESTOR INVESTOR 02368A299 AMPAX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON S&P 500 INDEX INVESTOR INVESTOR 02368A679 AAFPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON SHORT TERM BOND INVESTOR INVESTOR 02368A786 AALPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM A MERICAN BEACON SIM HIGH YIELD OPPORTUNITIES INVEST O INVESTOR 024524274 SHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON SMALL CAP VALUE II INVESTOR INVESTOR 024533309 ABBVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM 5 AMERICAN BEACON SMALL CAP VALUE INVESTOR INVESTOR 02368A620 AVPAX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON STEPHENS MID CAP GROWTH INSTL INSTITUTION A 024524217 SFMIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM AMERICAN BEACON STEPHENS MID CAP GROWTH INVESTOR INVESTOR 024524191 STMGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON STEPHENS SMALL CAP GROWTH INSTL INSTITUTION A 02368A141 STSIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM A MERICAN BEACON STEPHENS SMALL CAP GROWTH INVEST O INVESTOR 02368A133 STSGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON TIPS INVESTOR INVESTOR 02368A257 ABTPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM AMERICAN BEACON ZEBRA GLOBAL EQUITY INVESTOR INVESTOR 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1 4:00 PM A MERICAN CENTURY CALIFORNIA LONG TERM TAX FREE CL A C 025075847 ALTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY CALIFORNIA LONG TERM TAX FREE INV E INVESTOR 025075607 BCLTX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM A MERICAN CENTURY CAPITAL PRESERVATION INVESTOR CL A INVESTOR 025081803 CPFXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY CAPITAL VALUE INVESTOR CLASS INVESTOR 025083395 ACTIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY CORE PLUS CLASS A A 024932543 ACCQX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY CORE PLUS CLASS C C 024932527 ACCKX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY CORE PLUS INVESTOR CLASS INVESTOR 024932493 ACCNX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY DISCIPLINED GROWTH CLASS A A 02507M642 ADCVX FRONT END NON-NTF N/A AMERICAN CENTURY 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AMERICAN CENTURY GLOBAL BOND INVESTOR CLASS INVESTOR 025082876 AGBVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GOLD CLASS A A 02507M204 ACGGX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GOLD CLASS C C 02507M485 AGYCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GOLD INVESTOR CLASS INVESTOR 02507M105 BGEIX NO LOAD NON-NTF 1% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GROWTH CLASS A A 025086828 AGGRX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GROWTH CLASS C C 025086695 AGLCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY GLOBAL GROWTH INVESTOR CLASS INVESTOR 025086844 TWGGX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY GOVERNMENT BOND CLASS A A 025081860 ABTAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN 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END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY HIGH YIELD CLASS C C 024932873 AHDCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY HIGH YIELD INVESTOR CLASS INVESTOR 024932808 ABHIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY HIGH YIELD MUNICIPAL BOND CLASS A A 024934861 AYMAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY HIGH YIELD MUNICIPAL BOND CLASS C C 024934879 AYMCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY HIGH YIELD MUNICIPAL BOND INVESTO R INVESTOR 024934804 ABHYX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY INCOME AND GROWTH CLASS A A 02507M402 AMADX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY INCOME AND GROWTH CLASS C C 02507M816 ACGCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY INCOME AND GROWTH INVESTOR CLAS S INVESTOR 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INVESTOR CLASS INVESTOR 02507F886 ARYIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY LIVESTRONG 2045 ADVISOR CLASS A 02507F837 AROAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY LIVESTRONG 2045 INVESTOR CLASS INVESTOR 02507F845 AROIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY LIVESTRONG 2050 INVESTOR CLASS INVESTOR 02507F563 ARFVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY LIVESTRONG INCOME ADVISOR CLASS A 02507F787 ARTAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY LIVESTRONG INCOME INVESTOR CLASS INVESTOR 02507F795 ARTOX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM 6 A MERICAN CENTURY LONG TERM TAX FREE INVESTOR CLAS S INVESTOR 024934754 ACLVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY MID CAP VALUE ADVISOR CLASS A 025076639 ACLAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 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FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY SHORT DURATION CLASS C C 024932451 ACSKX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY SHORT DURATION INFLATION PROTECT I A 024932758 APOAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY SHORT DURATION INFLATION PROTECT I B 024932741 APOBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM A MERICAN CENTURY SHORT DURATION INFLATION PROTECT I C 024932733 APOCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY SHORT DURATION INFLATION PROTECT I INVESTOR 024932774 APOIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY SHORT DURATION INVESTOR CLASS INVESTOR 024932436 ACSNX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY SHORT TERM GOVERNMENT CLASS A A 025081845 TWAVX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY SHORT TERM 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CENTURY SMALL COMPANY ADVISOR CLASS A 02507M824 ASQAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY SMALL COMPANY INVESTOR CLASS INVESTOR 02507M840 ASQIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE C A 025085887 ACVAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE C B 025085788 ALLBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE C C 025085838 ASTAX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE I INVESTOR 025085705 TWSAX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY STRATEGIC ALLOCATION CLASS A A 025085606 ACOAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION CONSERVATI V INVESTOR 025085101 TWSCX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION MODERATE C L C 025085846 ASTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM A MERICAN CENTURY STRATEGIC ALLOCATION MODERATE IN V INVESTOR 025085408 TWSMX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM A MERICAN CENTURY TAX FREE MONEY MARKET INVESTOR C INVESTOR 024934408 BNTXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ULTRA CLASS A A 025083858 TWUAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ULTRA CLASS C C 025083288 TWCCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ULTRA INVESTOR CLASS INVESTOR 025083882 TWCUX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY UTILITIES INVESTOR CLASS INVESTOR 02507M881 BULIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY VALUE CLASS A A 025076803 TWADX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY VALUE CLASS B B 025076712 ACBVX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY VALUE CLASS C C 025076761 ACLCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY VALUE INVESTOR CLASS INVESTOR 025076506 TWVLX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM AMERICAN CENTURY VEEDOT INVESTOR CLASS INVESTOR 025083551 AMVIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY VISTA ADVISOR CLASS A 025083817 TWVAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY VISTA INVESTOR CLASS INVESTOR 025083841 TWCVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ZERO COUPON 2015 INVESTOR CLASS INVESTOR 024935405 BTFTX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ZERO COUPON 2020 INVESTOR CLASS INVESTOR 024935504 BTTTX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN CENTURY ZERO COUPON 2025 INVESTOR CLASS INVESTOR 024935603 BTTRX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM AMERICAN 2010 TARGET DATE RETIREMENT CLASS A A 02630T100 AAATX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2010 TARGET DATE RETIREMENT CLASS R1 R1 02630T209 RAATX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2015 TARGET DATE RETIREMENT CLASS A A 02630T704 AABTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2015 TARGET DATE RETIREMENT CLASS R1 R1 02630T803 RAJTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2015 TARGET DATE RETIREMENT CLASS R3 R3 02630T878 RCJTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2020 TARGET DATE RETIREMENT CLASS A A 02630T845 AACTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2020 TARGET DATE RETIREMENT CLASS R1 R1 02630T837 RACTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2020 TARGET DATE RETIREMENT CLASS R3 R3 02630T811 RCCTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2025 TARGET DATE RETIREMENT CLASS A A 02630T779 AADTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2025 TARGET DATE RETIREMENT CLASS R1 R1 02630T761 RADTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2030 TARGET DATE RETIREMENT CLASS A A 02630T712 AAETX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2030 TARGET DATE RETIREMENT CLASS R1 R1 02630T696 RAETX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2035 TARGET DATE RETIREMENT CLASS A A 02630T647 AAFTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2035 TARGET DATE RETIREMENT CLASS R1 R1 02630T639 RAFTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2035 TARGET DATE RETIREMENT CLASS R3 R3 02630T613 RCFTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2040 TARGET DATE RETIREMENT CLASS A A 02630T571 AAGTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2040 TARGET DATE RETIREMENT CLASS R1 R1 02630T563 RAKTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2045 TARGET DATE RETIREMENT CLASS A A 02630T514 AAHTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2045 TARGET DATE RETIREMENT CLASS R1 R1 02630T498 RAHTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2050 TARGET DATE RETIREMENT CLASS A A 02630T449 AALTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2050 TARGET DATE RETIREMENT CLASS R1 R1 02630T431 RAITX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN 2055 TARGET DATE RETIREMENT CLASS A A 02630T274 AAMTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN 2055 TARGET DATE RETIREMENT CLASS R1 R1 02630T266 RAMTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN AMCAP CLASS A A 023375108 AMCPX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN AMCAP CLASS B B 023375207 AMPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN AMCAP CLASS C C 023375306 AMPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN AMCAP CLASS R1 R1 023375876 RAFAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN BALANCED CLASS A A 024071102 ABALX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BALANCED CLASS B B 024071201 BALBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN BALANCED CLASS C C 024071300 BALCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BALANCED CLASS R1 R1 024071870 RLBAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN BALANCED CLASS R3 R3 024071854 RLBCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN BALANCED PORTFOLIO CLASS A A 02630Y265 BLPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BALANCED PORTFOLIO CLASS B B 02630Y257 BLPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN BALANCED PORTFOLIO CLASS C C 02630Y240 BLPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BOND FUND OF AMERICA CLASS A A 097873103 ABNDX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BOND FUND OF AMERICA CLASS B B 097873202 BFABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN BOND FUND OF AMERICA CLASS C C 097873301 BFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN BOND FUND OF AMERICA CLASS R1 R1 097873871 RBFAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN BOND FUND OF AMERICA CLASS R3 R3 097873855 RBFCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN CAPITAL INCOME BUILDER CLASS A A 140193103 CAIBX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN CAPITAL INCOME BUILDER CLASS B B 140193202 CIBBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN CAPITAL INCOME BUILDER CLASS C C 140193301 CIBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN CAPITAL INCOME BUILDER CLASS R1 R1 140193871 RIRAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN CAPITAL INCOME BUILDER CLASS R3 R3 140193855 RIRCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN CAPITAL WORLD BOND CLASS A A 140541103 CWBFX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN CAPITAL WORLD BOND CLASS B B 140541202 WBFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN CAPITAL WORLD BOND CLASS C C 140541301 CWBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN CAPITAL WORLD BOND CLASS R1 R1 140541871 RCWAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN CAPITAL WORLD BOND CLASS R3 R3 140541855 RCWCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS A A 140543109 CWGIX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS B B 140543208 CWGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS C C 140543307 CWGCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM A MERICAN CAPITAL WORLD GROWTH AND INCOME CLASS R1R1 140543877 RWIAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM A MERICAN CAPITAL WORLD GROWTH AND INCOME CLASS R 3 R3 140543851 RWICX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN EUROPACIFIC GROWTH CLASS A A 298706102 AEPGX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM 7 AMERICAN EUROPACIFIC GROWTH CLASS B B 298706201 AEGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN EUROPACIFIC GROWTH CLASS C C 298706300 AEPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN EUROPACIFIC GROWTH CLASS R1 R1 298706870 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BALANCED CLASS C C 02629W304 GBLCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GLOBAL BALANCED CLASS R1 R1 02629W866 RGBLX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN GLOBAL GROWTH CLASS A A 02630R617 PGGAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GLOBAL GROWTH CLASS B B 02630R591 PGGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN GLOBAL GROWTH CLASS C C 02630R583 GGPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GROWTH AND INCOME CLASS A A 02630R203 GAIOX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GROWTH AND INCOME CLASS B B 02630R302 GAIBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN GROWTH AND INCOME CLASS C C 02630R401 GAITX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GROWTH CLASS A A 02630R781 GWPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN GROWTH CLASS B B 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PM AMERICAN HIGH INCOME MUNICIPAL BOND CLASS C C 026545301 AHICX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM AMERICAN HIGH INCOME TRUST CLASS A A 026547109 AHITX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN HIGH INCOME TRUST CLASS B B 026547208 AHTBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN HIGH INCOME TRUST CLASS C C 026547307 AHTCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN HIGH INCOME TRUST CLASS R1 R1 026547877 RITAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN HIGH INCOME TRUST CLASS R3 R3 026547851 RITCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN INCOME CLASS A A 02630Y448 INPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN INCOME CLASS B B 02630Y430 INPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN INCOME CLASS C C 02630Y422 INPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN INCOME FUND OF AMERICA CLASS A A 453320103 AMECX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN INCOME FUND OF AMERICA CLASS B B 453320202 IFABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN INCOME FUND OF AMERICA CLASS C C 453320301 IFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN INCOME FUND OF AMERICA CLASS R1 R1 453320871 RIDAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS A A 458809100 AIBAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS B B 458809209 IBFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS C C 458809308 IBFCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM A MERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS R R1 458809878 RBOAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM AMERICAN INTERNATIONAL 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INDEPENDENCE Y 2000 25 250 3 4:00 PM AMERICAN INDEPENDENCE STOCK CLASS A A 026762807 IFCSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM AMERICAN INDEPENDENCE STOCK CLASS C C 026762732 ISFSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM AMERICAN TRUST ALLEGIANCE N/A 007989106 ATAFX NO LOAD NON-NTF N/A AMERICAN TRUST Y 2500 250 1000 1 4:00 PM AMERISTOCK MUTUAL N/A 03071F104 AMSTX NO LOAD NON-NTF N/A AMERISTOCK Y 1000 100 1000 1 4:00 PM AMF INTERMEDIATE MORTGAGE N/A 045419207 ASCPX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM AMF LARGE CAP EQUITY N/A 045419801 IICAX NO LOAD NON-NTF N/A AMF N 10000 1 10000 1 4:00 PM AMF SHORT US GOVERNMENT N/A 045419405 ASITX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM AMF ULTRA SHORT N/A 04543R106 AULTX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM AMF ULTRA SHORT MORTGAGE N/A 045419108 ASARX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM AMF US GOVERNMENT MORTGAGE N/A 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ATGAX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM AQUILA THREE PEAKS OPPORTUNITY GROWTH CLASS C C 03839M201 ATGCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM LKCM AQUINAS EQUITY GROWTH N/A 501885875 AQEGX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM LKCM AQUINAS SMALL CAP N/A 501885800 AQBLX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM LKCM AQUINAS VALUE FUND N/A 501885883 AQEIX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM ARBITRAGE CLASS I I 03875R205 ARBNX NO LOAD NON-NTF 2% < 90 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM ARBITRAGE CLASS R R 03875R106 ARBFX NO LOAD NON-NTF 2% < 90 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM ARBITRAGE CREDIT OPPORTUNITIES CLASS C C 03875R882 ARCCX BACK END NON-NTF 2% < 60 DAYS ARBITRAGE Y 2000 1 2000 3 4:00 PM ARBITRAGE CREDIT OPPORTUNITIES CLASS I I 03875R809 ACFIX NO LOAD NON-NTF 2% < 60 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM ARBITRAGE CREDIT OPPORTUNITIES CLASS R R 03875R700 ARCFX NO LOAD NON-NTF 2% < 60 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM ARBITRAGE EVENT DRIVEN CLASS I I 03875R403 AEDNX NO LOAD NON-NTF 2% < 30 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM ARBITRAGE EVENT DRIVEN CLASS R R 03875R304 AEDFX NO LOAD NON-NTF 2% < 30 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM ARIEL APPRECIATION N/A 040337206 CAAPX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM ARIEL DISCOVERY N/A 040337800 ARDFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM ARIEL FOCUS N/A 04035F107 ARFFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM ARIEL FUND N/A 040337107 ARGFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM ARISTOTLE SAUL OPPORTUNITY CLASS I I 461418287 ARSOX NO LOAD NON-NTF 1% < 30 DAYS ARISTOTLE Y 500000 25000 500000 1 4:00 PM ARROW ALTERNATIVE SOLUTIONS INSTITUTIONAL CLASS INSTL 042765305 ASFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM ARROW ALTERNATIVE STRATEGIES CLASS A A 042765107 ASFFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW ALTERNATIVE STRATEGIES CLASS C C 042765206 ASFTX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW COMMODITY STRATEGY CLASS A A 042765842 CSFFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW COMMODITY STRATEGY CLASS C C 042765834 CSFTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW COMMODITY STRATEGY INSTITUTIONAL CLASS INSTL 042765826 CSFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM ARROW DWA BALANCED CLASS A A 042765404 DWAFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW DWA BALANCED CLASS C C 042765503 DWATX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW DWA BALANCED INSTITUTIONAL CLASS INSTL 042765602 DWANX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM ARROW DWA TACTICAL CLASS A A 042765701 DWTFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW DWA TACTICAL CLASS C C 042765800 DWTTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW DWA TACTICAL INSTITUTIONAL CLASS INSTL 042765883 DWTNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM ARROW MANAGED FUTURES INSTITUTIONAL CLASS INSTL 042765859 MFTNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM ARROW MANAGED FUTURES TREND CLASS A A 042765875 MFTFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARROW MANAGED FUTURES TREND CLASS C C 042765867 MFTTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM ARTIO GLOBAL EQUITY CLASS A A 04315J605 BJGQX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM ARTIO GLOBAL HIGH INCOME CLASS A A 04315J878 BJBHX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM ARTIO GLOBAL HIGH INCOME CLASS I I 04315J860 JHYIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM 9 ARTIO INTERNATIONAL EQUITY CLASS A A 04315J407 BJBIX NO LOAD NON-NTF N/A ARTIO N 1000 1000 100 1 4:00 PM ARTIO INTERNATIONAL EQUITY CLASS I I 04315J506 JIEIX NO LOAD NON-NTF N/A ARTIO N 1000000 1 1000000 1 4:00 PM ARTIO INTERNATIONAL EQUITY II CLASS A A 04315J845 JETAX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM ARTIO INTERNATIONAL EQUITY II CLASS I I 04315J837 JETIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM ARTIO TOTAL RETURN BOND CLASS A A 04315J100 BJBGX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM ARTIO TOTAL RETURN CLASS I I 04315J209 JBGIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM ASCENDANT BALANCED CLASS A A 66537Y777 ATBAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT BALANCED CLASS C C 66537Y769 ATBTX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT BALANCED CLASS I I 66537Y751 ATBIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM ASCENDANT MULTI CAP EQUITY CLASS A A 66537Y710 AEQAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT MULTI CAP EQUITY CLASS C C 66537Y694 AEQCX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT MULTI CAP EQUITY CLASS I I 66537Y686 AEQIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM ASCENDANT NATURAL RESOURCES CLASS A A 66537Y744 NRGAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT NATURAL RESOURCES CLASS C C 66537Y736 NRGCX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM ASCENDANT NATURAL RESOURCES CLASS I I 66537Y728 NRGIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM ASTON ANCHOR CAPITAL ENHANCED EQUITY CLASS I I 00080Y694 AMDSX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON ANCHOR CAPITAL ENHANCED EQUITY CLASS N N 00080Y751 AMBEX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON BARINGS INTERNATIONAL CLASS I I 00080Y785 ABIIX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 1000000 50 1000000 1 4:00 PM ASTON BARINGS INTERNATIONAL CLASS N N 00080Y678 ABARX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON CORNERSTONE LARGE CAP VALUE CLASS I I 00080Y207 AAVIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON CORNERSTONE LARGE CAP VALUE CLASS N N 00078H844 RVALX NO LOAD NON-NTF N/A ASTON Y 2000 50 1000 1 4:00 PM ASTON DOUBLELINE CORE PLUS FIXED INCOME CLASS I I 00080Y553 ADLIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON DOUBLELINE CORE PLUS FIXED INCOME CLASS N N 00080Y561 ADBLX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON DYNAMIC ALLOCATION CLASS I I 00080Y637 ADNAX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON DYNAMIC ALLOCATION CLASS N N 00080Y769 ASENX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON FAIRPOINTE MID CAP CLASS I I 00078H158 ABMIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON FAIRPOINTE MID CAP CLASS N N 00078H315 CHTTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON HARRISON STREET REAL ESTATE CLASS I I 00080Y108 AARIX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 1000000 50 1000000 1 4:00 PM ASTON HARRISON STREET REAL ESTATE CLASS N N 00078H620 ARFCX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 2500 50 500 1 4:00 PM ASTON HERNDON LARGE CAP VALUE CLASS N N 00080Y660 AALIX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON LAKE PARTNERS LASSO ALTERNATIVES CLASS I I 00080Y728 ALSOX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON LAKE PARTNERS LASSO ALTERNATIVES CLASS N N 00080Y686 ALSNX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON MONTAG AND CALDWELL BALANCED CLASS N N 00078H273 MOBAX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON MONTAG AND CALDWELL GROWTH CLASS N N 00078H299 MCGFX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON MONTAG AND CALDWELL MID CAP GROWTH CLASS N N 00080Y819 AMCMX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON MONTAG CALDWELL BALANCE CLASS I I 00078H265 MOBIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON MONTAG CALDWELL GROWTH CLASS I I 00078H281 MCGIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON RIVER ROAD DIVIDEND ALL CAP VALUE CLASS I I 00080Y876 ARIDX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM ASTON RIVER ROAD DIVIDEND ALL CAP VALUE CLASS N N 00078H133 ARDEX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM ASTON RIVER ROAD DIVIDEND ALL CAP VALUE II CLASS I I 00080Y512 ADIVX NO LOAD NON-NTF N/A ASTON Y 100000 50 100000 1 4:00 PM ASTON RIVER ROAD DIVIDEND ALL CAP VALUE II CLASS N N 00080Y496 ADVTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON RIVER ROAD INDEPENDENT VALUE CLASS I I 00080Y579 ARVIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON RIVER ROAD INDEPENDENT VALUE CLASS N N 00080Y611 ARIVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON RIVER ROAD SELECT VALUE CLASS I I 00080Y884 ARIMX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON RIVER ROAD SELECT VALUE CLASS N N 00080Y801 ARSMX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON RIVER ROAD SMALL CAP VALUE CLASS I I 00080Y504 ARSIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON RIVER ROAD SMALL CAP VALUE CLASS N N 00078H125 ARSVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON SILVERCREST SMALL CAP CLASS I I 00080Y538 ACRTX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON SILVERCREST SMALL CAP CLASS N N 00080Y546 ASCTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON TAMRO LARGE CAP VALUE CLASS N N 00078H224 ATLVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON TAMRO SMALL CAP CLASS I I 00078H141 ATSIX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM ASTON TAMRO SMALL CAP CLASS N N 00078H216 ATASX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM ASTON TCH FIXED INCOME CLASS I I 00078H331 CTBIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON TCH FIXED INCOME CLASS N N 00078H323 CHTBX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON VEREDUS SELECT GROWTH CLASS I I 00080Y405 AVISX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM ASTON VEREDUS SELECT GROWTH CLASS N N 00078H489 AVSGX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM ASTON VEREDUS SMALL CAP GROWTH CLASS I I 00078H240 AVEIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON VEREDUS SMALL CAP GROWTH CLASS N N 00078H257 VERDX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTOR ACTIVE INCOME ETF CLASS A A 66537Y884 AXAIX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR ACTIVE INCOME ETF CLASS C C 66537Y868 CXAIX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR LONG SHORT ETF CLASS A A 66537X514 ASTLX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR LONG SHORT ETF CLASS C C 66537V641 ASTZX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR LONG SHORT ETF CLASS I I 66537V732 ASTIX NO LOAD NON-NTF N/A ASTOR Y 50000 100 1000 1 4:00 PM ASTOR LONG SHORT ETF CLASS R R 66537V724 ASTRX NO LOAD NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR STAR ETF CLASS A FEATURING ALPHA DEX A 66537Y835 ASPGX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM ASTOR STAR ETF CLASS C FEATURING ALPHA DEX C 66537Y819 CSPGX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM AUER GROWTH FUND N/A 90470K248 AUERX NO LOAD NON-NTF 2% < 90 DAYS AUER Y 10000 1 4000 1 4:00 PM BAIRD AGGRAGATE BOND INSTITUTIONAL INSTL 057071854 BAGIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM BAIRD AGGRAGATE BOND INVESTOR INVESTOR 057071862 BAGSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM BAIRD CORE PLUS BOND INVESTOR INVESTOR 057071888 BCOSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM BAIRD INTERMEDIATE BOND INSTITUTIONAL INSTL 057071805 BIMIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM BAIRD INTERMEDIATE BOND INVESTOR INVESTOR 057071706 BIMSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM BAIRD INTERMEDIATE MUNICIPAL BOND INSTITUTIONAL INSTL 057071607 BMBIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM BAIRD INTERMEDIATE MUNICIPAL BOND INVESTOR INVESTOR 057071508 BMBSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM BARON ASSET INSTITUTIONAL INSTL 068278605 BARIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON ASSET RETAIL RETAIL 068278100 BARAX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM BARON FIFTH AVENUE GROWTH INSTITUTIONAL INSTL 068278878 BFTIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON FIFTH AVENUE GROWTH RETAIL RETAIL 068278506 BFTHX NO LOAD NON-NTF N/A BARON Y 2000 500 2000 1 4:00 PM BARON GROWTH INSTITUTIONAL INSTL 068278704 BGRIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON GROWTH RETAIL RETAIL 068278209 BGRFX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM BARON INTERNATIONAL GROWTH INSTITUTIONAL INSTL 06828M603 BINIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON INTERNATIONAL GROWTH RETAIL RETAIL 06828M306 BIGFX NO LOAD NON-NTF N/A BARON Y 2500 500 2500 1 4:00 PM BARON IOPPORTUNITY INSTITUTIONAL INSTL 068278886 BIOIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON IOPPORTUNITY RETAIL RETAIL 068278407 BIOPX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM BARON PARTNERS INSTITUTIONAL INSTL 06828M405 BPTIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON PARTNERS RETAIL RETAIL 06828M108 BPTRX NO LOAD NON-NTF N/A BARON Y 2000 50 500 1 4:00 PM BARON REAL ESTATE INSTITUTIONAL INSTL 06828M801 BREIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON RETIREMENT INCOME INSTITUTIONAL INSTL 06828M504 BRRIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON SMALL CAP INSTITUTIONAL INSTL 068278803 BSFIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM BARON SMALL CAP RETAIL RETAIL 068278308 BSCFX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM BARRETT GROWTH N/A 89833W469 BGRWX NO LOAD NON-NTF N/A BARRETT GROWTH Y 2500 50 1000 1 4:00 PM BARRETT OPPORTUNITY N/A 06847P108 SAOPX NO LOAD NON-NTF N/A BARRETT OPPORTUNITY Y 1000 100 250 1 4:00 PM BBH CORE SELECT CLASS N N 05528X604 BBTEX NO LOAD NON-NTF 2% < 30 DAYS BBH N 5000 250 5000 1 4:00 PM BBH CORE SELECT RETAIL CLASS RETAIL 05528X828 BBTRX NO LOAD NON-NTF 2% < 30 DAYS BBH N 5000 250 5000 1 4:00 PM BEARLY BULLISH INVESTOR CLASS INVESTOR 461418493 BRBLX NO LOAD NON-NTF 1% < 90 DAYS BEARLY BULLISH Y 1000 1 500 1 4:00 PM BECKER VALUE EQUITY N/A 74316J516 BVEFX NO LOAD NON-NTF 1% < 30 DAYS BECKER Y 2500 100 2500 3 4:00 PM BERKSHIRE FOCUS N/A 084649102 BFOCX NO LOAD NON-NTF N/A BERKSHIRE Y 5000 500 2000 1 4:00 PM BERNZOTT US SMALL CAP VALUE N/A 461418220 BSCVX NO LOAD NON-NTF 2% < 30 DAYS BERNZOTT Y 25000 5000 10000 1 4:00 PM BERWYN CORNERSTONE N/A 086233301 BERCX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM BERWYN FUND N/A 086233103 BERWX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM BERWYN INCOME N/A 086233202 BERIX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM BIONDO FOCUS N/A 66537V633 BFONX NO LOAD NON-NTF 2% < 30 DAYS BIONDO Y 1000 100 500 1 4:00 PM BIONDO GROWTH N/A 66537T604 BIONX NO LOAD NON-NTF 2% < 30 DAYS BIONDO Y 1000 100 500 1 4:00 PM BLACKROCK AGGRESSIVE PREPARED CLASS A A 09256H799 BAAPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM BLACKROCK AGGRESSIVE PREPARED CLASS C C 09256H781 BCAPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM BLACKROCK AGGRESSIVE PREPARED CLASS I I 09256H690 BIAPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS A A 091937334 BACAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS B B 091937326 BACBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS C C 091937318 BACCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS I I 091937284 BACIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM BLACKROCK ALL CAP ENERGY AND RESOURCES SERVICE CL A SERVICE 091937292 BACSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM BLACKROCK BALANCED CAPITAL CLASS A A 09251C100 MDCPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM BLACKROCK BALANCED CAPITAL CLASS B B 09251C209 MBCPX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM BLACKROCK BALANCED CAPITAL CLASS C C 09251C308 MCCPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM BLACKROCK BALANCED CAPITAL CLASS I I 09251C506 MACPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM BLACKROCK BASIC VALUE CLASS A A 09251G101 MDBAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM BLACKROCK BASIC VALUE CLASS B B 09251G200 MBBAX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM BLACKROCK BASIC VALUE CLASS C C 09251G309 MCBAX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM BLACKROCK BASIC VALUE CLASS I I 09251G507 MABAX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS B B 09252Y309 MBCMX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS C1 C1 09252Y507 MCCMX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS I I 09252Y606 MACMX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM 10 [...]... FIDELITY ADVISOR STOCK SELECTOR MID CAP CLASS A A 315805879 FMCDX FRONT END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 4:00 PM FIDELITY ADVISOR STOCK SELECTOR MID CAP CLASS B B 315805507 FMCBX BACK END FIDELITY ADVISOR STOCK SELECTOR MID CAP CLASS C C 315805713 FMCEX BACK END FIDELITY ADVISOR STOCK SELECTOR MID CAP CLASS I I 315805606 FMCCX NO LOAD FIDELITY ADVISOR STOCK SELECTOR MID CAP CLASS T T... ADVISOR STOCK SELECTOR ALL CAP CLASS B B 316066828 FHRLX NON-NTF N/A FIDELITY INVESTMENT N 2500 1 2500 3 4:00 PM FIDELITY ADVISOR STOCK SELECTOR ALL CAP CLASS C C 316066810 FLACX BACK END NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 2500 3 FIDELITY ADVISOR STOCK SELECTOR ALL CAP CLASS I I 316066778 FBRNX NO LOAD NON-NTF N/A FIDELITY INVESTMENT Y 2500 1 500 1 4:00 PM FIDELITY ADVISOR STOCK SELECTOR ALL. .. COMPASS EMP MULTI ASSET GROWTH CLASS A A COMPASS EMP MULTI ASSET GROWTH CLASS C 3 4:00 PM B C 1000 3 C COMPASS EMP MULTI ASSET BALANCED CLASS C 1 1000 A COMPASS EMP MULTI ASSET BALANCED CLASS A 2000 1 COLUMBIA US TREASURY INDEX CLASS A COMPASS EMP ALTERNATIVE STRATEGIES CLASS T N 2000 COLUMBIA US GOVERNMENT MORTGAGE CLASS C EVRAX COLUMBIA Y 3 4:00 PM 4:00 PM 4:00 PM Y 1000 100 1000 1 4:00 PM COMPASS... NON-NTF N/A FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 EATON VANCE MINNESOTA MUNICIPAL INCOME CLASS B B 27826L876 EVMNX BACK END EATON VANCE MISSOURI MUNICIPAL INCOME CLASS A A EATON VANCE MISSOURI MUNICIPAL INCOME CLASS B B EATON VANCE MULTI CAP GROWTH CLASS A A EATON VANCE MULTI CAP GROWTH CLASS B EATON VANCE MULTI CAP GROWTH CLASS C 4:00 PM NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM... NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM EATON VANCE SMALL CAP CLASS A A 277905790 ETEGX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM EATON VANCE SMALL CAP CLASS B B 277905758 EBSMX BACK END NON-NTF N/A EATON VANCE N 1000 50 50 3 4:00 PM EATON VANCE SMALL CAP CLASS C C 277905741 ECSMX BACK END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM EATON VANCE SMALL CAP VALUE CLASS A A 277905717... ADVISORY Y 2000 100 1000 1 4:00 PM BROWN ADVISORY EQUITY INCOME INVESTOR CLASS INVESTOR 115233686 BIADX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM BROWN ADVISORY FLEXIBLE VALUE ADVISOR CLASS ADVISOR 115233850 BAFAX NO LOAD NON-NTF N/A BROWN ADVISORY N 2000 100 1000 1 4:00 PM BROWN ADVISORY GROWTH EQUITY INVESTOR CLASS INVESTOR 115233504 BIAGX NO LOAD NON-NTF N/A BROWN ADVISORY... EVARX BACK END EATON VANCE N 1000 50 1000 3 4:00 PM EATON VANCE ASIAN SMALL COMPANIES CLASS A A 277902854 EVASX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM EATON VANCE ASIAN SMALL COMPANIES CLASS B B 277902862 EBASX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 EATON VANCE ATLANTA CAPITAL FOCUSED GROWTH CLASS A A 277902664 EAALX FRONT END NON-NTF N/A EATON VANCE Y 1000 50... OPPORTUNITIES CLASS C NON-NTF N/A EATON VANCE Y 4:00 PM EATON VANCE HEXAVEST INTERNATIONAL EQUITY CLASS A EATON VANCE HIGH INCOME OPPORTUNITIES CLASS B FRONT END NON-NTF N/A EATON VANCE EATON VANCE EATON VANCE 4:00 PM EATON VANCE LARGE CAP VALUE CLASS B B BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM EATON VANCE LARGE CAP VALUE CLASS C C 277905881 ECSTX BACK END NON-NTF N/A EATON VANCE Y 1000... BROWN ADVISORY INTERMEDIATE INCOME ADVISOR CLASS ADVISOR 115233736 BAIAX NO LOAD NON-NTF N/A BROWN ADVISORY N 2000 BROWN ADVISORY OPPORTUNITY INVESTOR CLASS INVESTOR 115233769 BIAOX NO LOAD NON-NTF 2% < 180 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM BROWN ADVISORY SMALL CAP GROWTH INSTL INSTL 115233819 BAFSX NO LOAD NON-NTF N/A BROWN ADVISORY N 1000000 100 1000000 1 4:00 PM BROWN ADVISORY SMALL CAP... NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM EATON VANCE EQUITY ASSET ALLOCATION CLASS A A 277905584 EEAAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 EATON VANCE EQUITY ASSET ALLOCATION CLASS C C 277905576 EEACX BACK END EATON VANCE Y 1000 50 1000 3 4:00 PM EATON VANCE FLOATING RATE ADVANTAGE CLASS A A 277923660 EAFAX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 50 3 4:00 PM EATON VANCE . Apex Clearin g Corp. All Mutual Funds: Data as of Jan 4th 2013, but is sub j ect to chan g e. Note: Client orders must be submitted atleast 15. N/A ASTON Y 1000000 50 1000000 1 4:00 PM ASTON SILVERCREST SMALL CAP CLASS N N 00080Y546 ASCTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM ASTON