FIRST TRUST PORTFOLIOS LP


12O EAST LIBERTY DRIVE
SUITE 400
WHEATON,  IL,
  USA
630-765-8000
Filing DateCurrent and former namesChanged on date
2013-02-27
FIRST TRUST PORTFOLIOS LP
Central Index Key (CIK)
0001184765
State of Incorporation
IL
Country of Incorporation
USA

All related persons/companies# Filings
1838 BOND DEBENTURE TRADING FUND 8
40 86 STRATEGIC INCOME FUND (0001062978) 12
ABERDEEN AUSTRALIA EQUITY FUND INC (0000779336) 4
ABERDEEN CHILE FUND, INC. (0000846676) 5
ABERDEEN COMMONWEALTH INCOME FUND INC 12
ABERDEEN GLOBAL INCOME FUND INC (0000876717) 12
ACM MANAGED DOLLAR INCOME FUND INC (0000910524) 2
ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND (0001219120) 17
ADVENT CLAYMORE GLOBAL CONVERTIBLE OPPORT INCOME FD 9
ADVENT CLAYMORE GLOBAL TOTAL RETURN FUND 9
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (0001278460) 9
AGIC Convertible & Income Fund (0001214935) 7
AGIC Convertible & Income Fund II (0001227857) 5
AGIC Equity & Convertible Income Fund (0001383441) 12
AGIC Global Equity & Convertible Income Fund (0001398481) 6
AGIC International & Premium Strategy Fund (0001319332) 4
ALL SEASONS GLOBAL FUND INC 2
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND (0001162028) 14
ALLIANCE NATIONAL MUNICIPAL INCOME FUND (0001162027) 13
ALLIANCE NEW YORK MUNICIPAL INCOME FUND (0001162030) 5
ALLIANCE RESOURCE PARTNERS LP (0001086600) 2
ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND (0001162027) 12
ALLMON CHARLES TRUST INC 7
ALLSTATE MUNICIPAL INCOME OPPORTUNITIES TRUST 2
ALPINE GLOBAL DYNAMIC DIVIDEND FUND (0001362481) 9
ALPINE GLOBAL PREMIER PROPERTIES FUND (0001390195) 7
ALPINE TOTAL DYNAMIC DIVIDEND FUND (0001379400) 5
AMERICAN CAPITAL BOND FUND INC 4
AMERICAN STRATEGIC INCOME INC III 4
AMERICAN STRATEGIC INCOME PORTFOLIO INC III (0000896161) 4
AMERICAS ALL SEASON FUND INC 2
AVANT IMMUNOTHERAPEUTICS INC 2
Aberdeen Income Credit Strategies Fund (0001503290) 1
Advent Claymore Convertible Securities & Income Fund II (0001391461) 7
Advent/Claymore Global Convertible Securities & Income Fund (0001391461) 11
AdvisorShares Trust (0001408970) 5
AllianzGI Convertible & Income Fund (0001214935) 4
AllianzGI Convertible & Income Fund II (0001227857) 3
AllianzGI Equity & Convertible Income Fund (0001383441) 6
AllianzGI Global Equity & Convertible Income Fund (0001398481) 1
Analytic Covered Call Plus Fund 2
Apollo Credit Fund Inc. 5
Apollo Senior Floating Rate Fund Inc. (0001502573) 9
Apollo Tactical Income Fund Inc. (0001526697) 5
Ares Dynamic Credit Allocation Fund, Inc. (0001515324) 7
Ares Multi-Strategy Credit Fund, Inc. (0001572280) 2
Ares Senior Credit Strategies Fund, Inc. 7
Avenue Income Credit Strategies Fund (0001503290) 12
BABSON CAPITAL GLOBAL FLOATING RATE & INCOME FUND 6
BABSON CAPITAL GLOBAL SHORT DURATION HIGH YIELD FUND (0001521404) 6
BANCROFT CONVERTIBLE FUND INC 4
BANCROFT FUND LTD (0000009521) 4
BARINGS GLOBAL SHORT DURATION HIGH YIELD FUND (0001521404) 3
BEA INCOME FUND INC 16
BLACK HILLS CORP /SD/ (0001130464) 6
BLACK HILLS HOLDING CORP 6
BLACKROCK CALIFORNIA INSURED MUNICIPAL INCOME TRUST (0001181027) 4
BLACKROCK CALIFORNIA MUNICIPAL BOND TRUST (0001169027) 3
BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST (0001137391) 17
BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST II (0001176196) 4
BLACKROCK CALIFORNIA MUNICIPAL INCOME TRUST III 4
BLACKROCK CAPITAL & INCOME STRATEGIES FUND INC 10
BLACKROCK CORE BOND TRUST (0001160864) 16
BLACKROCK CORPORATE HIGH YIELD FUND III INC (0001049549) 7
BLACKROCK CORPORATE HIGH YIELD FUND III, INC. (0001049549) 1
BLACKROCK CORPORATE HIGH YIELD FUND INC (0001222401) 8
BLACKROCK CORPORATE HIGH YIELD FUND V INC (0001160469) 7
BLACKROCK CORPORATE HIGH YIELD FUND V, INC. (0001160469) 1
BLACKROCK CORPORATE HIGH YIELD FUND VI INC (0001222401) 6
BLACKROCK CORPORATE HIGH YIELD FUND VI, INC. (0001222401) 6
BLACKROCK CORPORATE HIGH YIELD FUND, INC. (0001222401) 4
BLACKROCK CREDIT ALLOCATION INCOME TRUST (0001379384) 1
BLACKROCK CREDIT ALLOCATION INCOME TRUST II (0001215664) 2
BLACKROCK CREDIT ALLOCATION INCOME TRUST IV (0001379384) 2
BLACKROCK DEBT STRATEGIES FUND 10
BLACKROCK DEBT STRATEGIES FUND, INC. (0001051003) 10
BLACKROCK DIVIDEND ACHIEVERS TRUST (0001265316) 5
BLACKROCK DIVIDEND INCOME TRUST (0001280936) 1
BLACKROCK ENHANCED CAPITAL & INCOME FUND, INC (0001278895) 6
BLACKROCK ENHANCED CAPITAL & INCOME FUND, INC. (0001278895) 4
BLACKROCK EQUITY DIVIDEND TRUST (0001265316) 1
BLACKROCK FLOATING RATE INCOME STRATEGIES FUND INC (0001259708) 7
BLACKROCK FLOATING RATE INCOME STRATEGIES FUND, INC. (0001259708) 10
BLACKROCK FLOATING RATE INCOME TRUST (0001287480) 11
BLACKROCK FLORIDA INSURED MUNICIPAL INCOME TRUST 7
BLACKROCK FLORIDA MUNICIPAL BOND TRUST 4
BLACKROCK FLORIDA MUNICIPAL INCOME TRUST 7
BLACKROCK FLORIDA MUNICIPAL INCOME TRUST III 7
BLACKROCK GLOBAL FLOATING RATE INCOME TRUST 11
BLACKROCK HIGH INCOME SHARES (0000830474) 8
BLACKROCK INCOME OPPORTUNITY TRUST INC (0000880280) 7
BLACKROCK INCOME OPPORTUNITY TRUST INC. (0000880280) 4
BLACKROCK INCOME TRUST INC. (0000832327) 5
BLACKROCK INCOME TRUST, INC. (0000832327) 1
BLACKROCK INSURED MUNICIPAL INCOME INVESTMENT TRUST (0001181026) 7
BLACKROCK INSURED MUNICIPAL INCOME TRUST 9
BLACKROCK LIMITED DURATION INCOME TRUST 9
BLACKROCK LTD DURATION INCOME TRUST (0001233681) 8
BLACKROCK Ltd DURATION INCOME TRUST (0001233681) 1
BLACKROCK MANAGED DURATION INCOME TRUST 9
BLACKROCK MANAGED DURATION TRUST 8
BLACKROCK MUNI ENHANCED FUND INC (0000844172) 2
BLACKROCK MUNI ENHANCED FUND, INC. (0000844172) 3
BLACKROCK MUNI NEW YORK INTERMEDIATE DURATION FUND INC (0001232863) 1
BLACKROCK MUNI NEW YORK INTERMEDIATE DURATION FUND, INC. (0001232863) 4
BLACKROCK MUNICIPAL BOND INVESTMENT TRUST (0001169028) 4
BLACKROCK MUNICIPAL INCOME INVESTMENT QUALITY TRUST (0001181026) 6
BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST (0001137392) 7
BLACKROCK MUNICIPAL INCOME QUALITY TRUST (0001181187) 9
BLACKROCK MUNICIPAL INCOME TRUST (0001137393) 5
BLACKROCK MUNICIPAL INCOME TRUST II (0001176194) 10
BLACKROCK MUNICIPAL INCOME TRUST III 9
BLACKROCK MUNIENHANCED FUND, INC. (0000844172) 3
BLACKROCK MUNIHOLDINGS CALIFORNIA INSURED FUND, INC. (0001051004) 7
BLACKROCK MUNIHOLDINGS CALIFORNIA QUALITY FUND, INC. (0001051004) 5
BLACKROCK MUNIHOLDINGS FLORIDA INSURED FUND, INC. 7
BLACKROCK MUNIHOLDINGS FUND II , INC (0001038190) 6
BLACKROCK MUNIHOLDINGS FUND, INC. (0001034665) 3
BLACKROCK MUNIHOLDINGS INSURED FUND II, INC. (0001071899) 8
BLACKROCK MUNIHOLDINGS INSURED FUND, INC. (0001058234) 10
BLACKROCK MUNIHOLDINGS INSURED INVESTMENT FUND (0001045126) 7
BLACKROCK MUNIHOLDINGS INVESTMENT QUALITY FUND (0001045126) 5
BLACKROCK MUNIHOLDINGS NEW JERSEY INSURED FUND, INC. 9
BLACKROCK MUNIHOLDINGS NEW JERSEY QUALITY FUND, INC. (0001053988) 9
BLACKROCK MUNIHOLDINGS NEW YORK INSURED FUND, INC. (0001038186) 7
BLACKROCK MUNIHOLDINGS NEW YORK IQUALITY FUND, INC. 5
BLACKROCK MUNIHOLDINGS NEW YORK QUALITY FUND, INC. (0001038186) 5
BLACKROCK MUNIHOLDINGS QUALITY FUND II, INC. (0001071899) 5
BLACKROCK MUNIHOLDINGS QUALITY FUND, INC. (0001058234) 7
BLACKROCK MUNIVEST FUND II INC (0000897269) 2
BLACKROCK MUNIVEST FUND II, INC. (0000897269) 1
BLACKROCK MUNIVEST FUND, INC. (0000835948) 2
BLACKROCK MUNIYIELD CALIFORNIA FUND, INC (0000882152) 4
BLACKROCK MUNIYIELD CALIFORNIA FUND, INC. (0000882152) 6
BLACKROCK MUNIYIELD CALIFORNIA INSURED FUND, INC (0000888410) 9
BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC (0000888410) 2
BLACKROCK MUNIYIELD CALIFORNIA QUALITY FUND, INC. (0000888410) 5
BLACKROCK MUNIYIELD FLORIDA FUND 3
BLACKROCK MUNIYIELD FLORIDA INSURED FUND 8
BLACKROCK MUNIYIELD INSURED FUND, INC 2
BLACKROCK MUNIYIELD INSURED INVESTMENT FUND 8
BLACKROCK MUNIYIELD INSURED PENNSYLVANIA FUND 5
BLACKROCK MUNIYIELD INVESTMENT FUND (0000882153) 3
BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND (0000891188) 8
BLACKROCK MUNIYIELD MICHIGAN INSURED FUND II, INC 6
BLACKROCK MUNIYIELD MICHIGAN INSURED FUND, INC. (0000890393) 10
BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND II, INC (0000882151) 3
BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND II, INC. (0000882151) 3
BLACKROCK MUNIYIELD MICHIGAN QUALITY FUND, INC. (0000890393) 9
BLACKROCK MUNIYIELD NEW JERSEY FUND INC (0000884216) 2
BLACKROCK MUNIYIELD NEW JERSEY FUND, INC. (0000884216) 5
BLACKROCK MUNIYIELD NEW JERSEY INSURED FUND INC 7
BLACKROCK MUNIYIELD NEW JERSEY QUALITY FUND, INC (0000891037) 3
BLACKROCK MUNIYIELD NEW JERSEY QUALITY FUND, INC. (0000891037) 4
BLACKROCK MUNIYIELD NEW YORK INSURED FUND, INC. (0000882150) 6
BLACKROCK MUNIYIELD NEW YORK QUALITY FUND, INC. (0000882150) 5
BLACKROCK MUNIYIELD PENNSYLVANIA FUND 5
BLACKROCK MUNIYIELD PENNSYLVANIA INSURED FUND 5
BLACKROCK MUNIYIELD PENNSYLVANIA QUALITY FUND (0000891038) 5
BLACKROCK MUNIYIELD QUALITY FUND II, INC. (0000887394) 9
BLACKROCK MUNIYIELD QUALITY FUND III, INC (0000883412) 1
BLACKROCK MUNIYIELD QUALITY FUND III, INC. (0000883412) 1
BLACKROCK MUNIYIELD QUALITY FUND INC (0000890196) 4
BLACKROCK MUNIYIELD QUALITY FUND, INC. (0000890196) 1
BLACKROCK NEW JERSEY INVESTMENT QUALITY MUNICIPAL TRUST INC (0000902731) 1
BLACKROCK NEW JERSEY MUNICIPAL BOND TRUST (0001169031) 9
BLACKROCK NEW JERSEY MUNICIPAL INCOME TRUST (0001137440) 8
BLACKROCK NEW YORK INSURED MUNICIPAL INCOME TRUST 9
BLACKROCK NEW YORK MUNICIPAL 2018 TERM TRUST (0001159039) 4
BLACKROCK NEW YORK MUNICIPAL BOND TRUST (0001167470) 6
BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST (0001181024) 9
BLACKROCK NEW YORK MUNICIPAL INCOME TRUST II (0001176197) 5
BLACKROCK NEW YORK MUNICIPAL INCOME TRUST III 9
BLACKROCK NEW YORK TAX FREE INCOME TRUST 6
BLACKROCK NORTH AMERICAN GOVERNMENT INCOME TRUST INC 11
BLACKROCK PREFERRED & EQUITY ADVANTAGE TRUST 2
BLACKROCK PREFERRED INCOME STRATEGIES FUND, INC. 2
BLACKROCK S&P GLOBAL QUALITY RANKINGS TRUST 11
BLACKROCK S&P QUALITY RANKINGS GLOBAL EQUITY MANAGED TRUST (0001280936) 11
BLACKROCK S&P QUALITY RANKINGS TRUST 10
BLACKROCK SENIOR HIGH INCOME FUND, INC. (0000896665) 4
BLACKROCK STRATEGIC BOND TRUST (0001165216) 4
BLACKROCK STRATEGIC DIVIDEND ACHIEVERS TRUST (0001277350) 7
BLACKROCK STRATEGIC EQUITY DIVIDEND TRUST (0001277350) 1
BLACKROCK STRATEGIC MUNICIPAL TRUST (0001089094) 6
BLACKROCK VARIABLE RATE & INFLATION PROTECTED SECURITIES 11
BLACKSTONE INCOME TRUST INC 6
BLACKSTONE NORTH AMERICAN GOVERNMENT INCOME TRUST INC 11
BLUCORA, INC. (0001068875) 3
BRIGHTCOVE INC (0001313275) 3
BROOKFIELD HIGH INCOME FUND INC. (0001062978) 2
BROOKFIELD TOTAL RETURN FUND INC (0000851169) 4
Bazaarvoice Inc (0001330421) 2
BlackRock Alternative Energy & Resource Trust 4
BlackRock Defined Opportunity Credit Trust (0001412914) 9
BlackRock Diversified Income Strategies Fund, Inc. (0001303649) 7
BlackRock EcoSolutions Investment Trust (0001403238) 4
BlackRock Enhanced Dividend Achievers Trust (0001332283) 5
BlackRock Enhanced Equity Dividend Trust (0001332283) 3
BlackRock Enhanced Equity Yield & Premium Fund, Inc. (0001323785) 1
BlackRock Enhanced Equity Yield Fund, Inc. (0001318906) 1
BlackRock Enhanced Government Fund, Inc. (0001336050) 12
BlackRock FLOATING RATE INCOME STRATEGIES FUND II INC (0001269143) 8
BlackRock Fixed Income Opportunities Trust 9
BlackRock Fixed Income Strategic Opportunities 3
BlackRock Global Opportunities Equity Trust (0001320375) 5
BlackRock Health Sciences Trust (0001314966) 2
BlackRock International Growth & Income Trust (0001393299) 4
BlackRock Long-Term Municipal Advantage Trust (0001343793) 13
BlackRock Multi-Sector Income Trust (0001562818) 3
BlackRock Municipal Advantage Income Trust 13
BlackRock Preferred & Equity Trust 1
BlackRock Real Asset Equity Trust (0001368893) 2
BlackRock Real Asset Trust 2
BlackRock Strategic Income Opportunities Trust 9
Blackstone / GSO Dynamic Credit Income Fund 9
Blackstone / GSO Long-Short Credit Income Fund (0001504234) 9
Blackstone / GSO Senior Floating Rate Term Fund (0001486298) 12
Blackstone / GSO Strategic Credit Fund (0001546429) 3
BrandywineGLOBAL-Global Income Opportunities Fund Inc (0001504545) 1
Brookfield Global Listed Infrastructure Income Fund Inc. (0001522807) 5
Brookfield Investment Management Global Infrastructure Income Fund Inc. 5
Brookfield Real Assets Income Fund Inc. (0001655099) 2
C F&C PREFERRED SECURITIES INCOME FUND I INC 3
CALAMOS CONVERTIBLE & HIGH INCOME FUND (0001222719) 8
CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND (0001171471) 10
CALAMOS GLOBAL TOTAL RETURN FUND (0001285650) 7
CALIFORNIA MUNIYIELD FUND INC 10
CAPITAL & INCOME STRATEGIES FUND INC 10
CENTER COAST MLP & INFRASTRUCTURE FUND (0001576340) 6
CHASE MANHATTAN CORP /DE/ 8
CHEMICAL BANKING CORP 8
CHEMICAL NEW YORK CORP 8
CHILE FUND INC 5
CIGNA HIGH INCOME SHARES 8
CITIGROUP INVESTMENTS CORPORATE LOAN FUND INC. (0001068963) 17
CITIZENS BUDGET CO 2
CLAYMORE DIVIDEND & INCOME FUND (0001267890) 10
CLAYMORE/GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (0001380936) 6
CLEARBRIDGE AMERICAN ENERGY MLP FUND INC. (0001570318) 3
COHEN & STEERS INCOME REALTY FUND INC 2
COHEN & STEERS OPPORTUNITY TRUST INC 9
COHEN & STEERS QUALITY INCOME REALTY FUND INC (0001157842) 2
COHEN & STEERS REIT & PREFERRED BALANCED INCOME FUND INC 3
COHEN & STEERS REIT & PREFERRED INCOME FUND INC (0001224450) 3
COHEN & STEERS TOTAL RETURN REALTY FUND INC (0000891290) 9
COLONIAL CALIFORNIA INSURED MUNICIPAL FUND (0001092896) 12
COLONIAL HIGH INCOME MUNICIPAL TRUST (0000845606) 12
COLONIAL INTERMARKET INCOME TRUST I 2
COLONIAL INTERMEDIATE HIGH INCOME FUND (0000833021) 11
COLONIAL INVESTMENT GRADE MUNICIPAL TRUST 2
COLONIAL MUNICIPAL INCOME TRUST 9
COMERICA BANK (0000901541) 2
COMPUTER PROGRAMS & SYSTEMS INC (0001169445) 2
COMSTOCK RESOURCES INC (0000023194) 2
COMSTOCK TUNNEL & DRAINAGE CO 2
CONSECO STRATEGIC INCOME FUND 12
CORPORATE HIGH YIELD FUND III INC (0001049549) 9
CORPORATE HIGH YIELD FUND INC 9
CORPORATE HIGH YIELD FUND V INC (0001160469) 9
CORPORATE HIGH YIELD FUND VI INC (0001222401) 13
CORPORATE HIGH YIELD VI 10
CREDIT SUISSE ASSET MANAGEMENT INCOME FUND INC (0000810766) 16
CREDIT SUISSE HIGH YIELD BOND FUND (0001061353) 14
CS FIRST BOSTON INCOME FUND INC 16
CSAM INCOME FUND 16
CULP INC (0000723603) 2
Calamos Dynamic Convertible & Income Fund (0001602584) 2
Calamos Global Diversified Income & Opportunities Fund 6
Calamos Global Dynamic Income Fund (0001396277) 6
Celldex Therapeutics, Inc. (0000744218) 2
Claymore Strategic Opportunities Fund 6
ClearBridge Energy MLP Opportunity Fund Inc. (0001517518) 7
ClearBridge Energy MLP Total Return Fund Inc. (0001547341) 5
Cohen & Steers Dividend Majors Fund, Inc. (0001302868) 9
Cohen & Steers Global Income Builder, Inc (0001395057) 12
Cohen & Steers Low Duration Preferred Income Fund, Inc. 8
Cohen & Steers Ltd Duration Preferred & Income Fund, Inc. (0001548717) 8
Cohen & Steers MLP & Energy Income Fund 7
Cohen & Steers MLP Income & Energy Opportunity Fund (0001564216) 7
Cohen & Steers Multi-Income Builder Fund, Inc 12
Cohen & Steers Preferred & Income Fund, Inc. 6
Cohen & Steers Select Preferred & Income Fund, Inc. (0001498612) 6
Columbia Seligman Premium Technology Growth Fund, Inc. (0001471420) 8
Costamare Inc. (0001503584) 2
Covered Call Fund Inc. 7
Cushing MLP Income Fund 1
Cushing MLP Total Return Fund (0001400897) 3
Cushing Renaissance Fund (0001506488) 1
Cutwater Select Income Fund (0000030125) 9
DCA Total Return Fund 9
DEBT STRATEGIES FUND 10
DEBT STRATEGIES FUND II INC 10
DELAWARE INV COLORADO INSURED MUNICIPAL INCOME FUND INC 3
DELAWARE INVESTMENTS MINNESOTA MUNICIPAL INCOME FUND II, INC (0000895658) 2
DELPHI INFORMATION SYSTEMS INC /DE/ 3
DELTA PETROLEUM CORP/CO (0000821483) 2
DELUXE CHECK PRINTERS INC 2
DELUXE CORP (0000027996) 2
DEUTSCHE GLOBAL HIGH INCOME FUND, INC. (0000887590) 1
DEUTSCHE HIGH INCOME OPPORTUNITIES FUND, INC. (0001375387) 2
DEUTSCHE HIGH INCOME TRUST (0000830160) 2
DEUTSCHE MULTI-MARKET INCOME TRUST (0000842905) 3
DEUTSCHE MUNICIPAL INCOME TRUST (0000839533) 4
DEUTSCHE STRATEGIC INCOME TRUST (0000919708) 1
DEUTSCHE STRATEGIC MUNICIPAL INCOME TRUST (0000846596) 4
DIME COMMUNITY BANCORP INC 4
DIME COMMUNITY BANCSHARES INC (0001005409) 4
DLJ HIGH YIELD BOND FUND 14
DOUBLE EAGLE PETROLEUM & MINING CO 1
DOUBLE EAGLE PETROLEUM CO (0000029834) 1
DREMAN CLAYMORE DIVIDEND & INCOME FUND (0001267890) 11
DREXEL BOND DEBENTURE TRADING FUND 8
DREXEL INCOME SECURITIES INC 1
DREYFUS HIGH YIELD STRATEGIES FUND (0001057861) 14
DREYFUS MUNICIPAL INCOME INC (0000839122) 12
DREYFUS STRATEGIC MUNICIPAL BOND FUND INC (0000855887) 11
DREYFUS STRATEGIC MUNICIPALS INC (0000818972) 10
DTF TAX-FREE INCOME INC (0000879535) 7
DUFF & PHELPS UTILITIES TAX FREE INCOME INC 7
DUFF & PHELPS UTILITY & CORPORATE BOND TRUST INC (0000894239) 6
DWS Dreman Value IncomEdge Fund, Inc. 8
DWS Dreman Value Income Edge Fund, Inc. 8
DWS GLOBAL HIGH INCOME FUND (0000887590) 6
DWS GLOBAL HIGH INCOME FUND, INC. (0000887590) 3
DWS HIGH INCOME TRUST (0000830160) 7
DWS High Income Opportunities Fund, Inc. (0001375387) 8
DWS MULTI-MARKET INCOME TRUST (0000842905) 8
DWS MUNICIPAL INCOME TRUST (0000839533) 11
DWS STRATEGIC INCOME TRUST (0000919708) 2
DWS STRATEGIC MUNICIPAL INCOME TRUST (0000846596) 5
Defined Strategy Covered Call Fund Inc. 7
Delaware Enhanced Global Dividend & Income Fund (0001396167) 9
Delaware Investments Colorado Municipal Income Fund, Inc. (0000907573) 3
Delaware Investments Enhanced Global Dividend & Income Fund 9
Deversified Income Strategy Portfolio, Inc. 9
Diversified Income Strategies Portfolio, Inc. (0001303649) 9
Diversified Income Strategy Portfolio, Inc. 9
Diversified Real Asset Income Fund (0001598085) 1
Dividend Capital Realty Income Allocation Fund 9
Dow 30 Covered Call Fund Inc. 7
Dow 30 Enhanced Premium & Income Fund Inc. (0001390840) 1
Dow 30 Premium & Dividend Income Fund Inc. (0001314128) 7
Dreyfus Municipal Bond Infrastructure Fund, Inc. (0001565381) 5
Dreyfus Municipal Infrastructure Fund, Inc. 5
Duff & Phelps Energy MLP Total Return Fund Inc. 4
Duff & Phelps Select Energy MLP Fund Inc. (0001603998) 4
EATON VANCE CALIFORNIA MUNICIPAL BOND FUND (0001177161) 12
EATON VANCE CALIFORNIA MUNICIPAL BOND FUND II (0001196869) 10
EATON VANCE CALIFORNIA MUNICIPAL INCOME TRUST (0001074692) 14
EATON VANCE INSURED CALIFORNIA MUNICIPAL BOND FUND (0001177161) 13
EATON VANCE INSURED CALIFORNIA MUNICIPAL BOND FUND I 13
EATON VANCE INSURED CALIFORNIA MUNICIPAL BOND FUND II (0001196869) 13
EATON VANCE INSURED MUNICIPAL BOND FUND (0001176984) 13
EATON VANCE INSURED MUNICIPAL BOND FUND I 6
EATON VANCE INSURED MUNICIPAL BOND FUND II 6
EATON VANCE INSURED NEW JERSEY MUNICIPAL BOND FUND 11
EATON VANCE INSURED NEW JERSEY MUNICIPAL BOND FUND I 11
EATON VANCE INSURED NEW YORK MUNICIPAL BOND FUND I 5
EATON VANCE INSURED NEW YORK MUNICIPAL BOND FUND II 5
EATON VANCE INSURED NEW YORK MUNICIPAL BOND FUND 15
EATON VANCE LIMITED DURATION INCOME FUND 7
EATON VANCE LOW DURATION DIVERSIFIED INCOME FUND 17
EATON VANCE LTD DURATION INCOME FUND (0001222922) 7
EATON VANCE MUNICIPAL BOND FUND (0001176984) 12
EATON VANCE MUNICIPAL BOND FUND II (0001196867) 6
EATON VANCE MUNICIPAL INCOME TRUST (0001074540) 5
EATON VANCE NEW JERSEY MUNICIPAL BOND FUND (0001196874) 11
EATON VANCE NEW JERSEY MUNICIPAL INCOME TRUST (0001074691) 11
EATON VANCE NEW YORK MUNICIPAL BOND FUND (0001177162) 15
EATON VANCE NEW YORK MUNICIPAL BOND FUND II (0001196875) 5
EATON VANCE NEW YORK MUNICIPAL INCOME TRUST (0001074685) 6
EATON VANCE SENIOR FLOATING RATE FUND 14
EATON VANCE SENIOR FLOATING RATE TRUST (0001258623) 14
EATON VANCE SENIOR INCOME TRUST (0001070732) 14
EATON VANCE TAX ADVANTAGED DIVIDEND INCOME FUND (0001253327) 2
EATON VANCE TAX ADVANTAGED GLOBAL DIVIDEND INCOME FUND (0001270523) 2
EATON VANCE TAX ADVANTAGED GLOBAL DIVIDEND OPPORTUNITIES FUN 13
EBIX COM INC 3
EBIX INC (0000814549) 3
ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC 8
ELLSWORTH FUND LTD (0000793040) 8
ELLSWORTH GROWTH & INCOME FUND LTD (0000793040) 2
EMERALD HIGH INCOME FUND INC 2
EMERGING MARKETS INCOME FUND II INC 7
EMERGING MARKETS INCOME FUND INC 4
EMERGING MARKETS SOVEREIGN INCOME FUND INC 4
EMPIRE DISTRICT ELECTRIC CO (0000032689) 3
ENBRIDGE ENERGY MANAGEMENT L L C (0001173911) 5
ENERGY INCOME & GROWTH FUND (0001284940) 4
ETF Actively Managed Trust 1
ETFis Series Trust I (0001559109) 1
EVERGREEN INCOME ADVANTAGE FUND (0001210123) 12
EVERGREEN INCOME FUND 3
EVERGREEN INCOME OPPORTUNITY FUND 9
EVERGREEN MANAGED INCOME FUND 14
EVERGREEN MULTI-SECTOR INCOME FUND (0001227073) 14
EVERGREEN UTILITIES & HIGH INCOME FUND 3
EVERGREEN UTILITIES TRUST 3
EXACT CORP 2
EXACT SCIENCES CORP (0001124140) 2
Eaton Vance Credit Opportunities Fund (0001340735) 4
Eaton Vance Enhanced Equity Income Fund (0001300391) 2
Eaton Vance Enhanced Equity Income Fund II (0001308335) 5
Eaton Vance Floating Rate Income Plus Fund 5
Eaton Vance Floating-Rate Income Plus Fund (0001573698) 5
Eaton Vance Floating-Rate Income Trust (0001288992) 11
Eaton Vance National Municipal Opportunities Trust (0001454741) 10
Eaton Vance National Municipal Trust 10
Eaton Vance Risk-Managed Diversified Equity Income Fund (0001395325) 2
Eaton Vance Risk-Managed Equity Income Fund 2
Eaton Vance Short Duration Diversified Income Fund (0001287498) 17
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund (0001281926) 13
Eaton Vance Tax-Managed Buy-Write Income Fund (0001308927) 6
Eaton Vance Tax-Managed Buy-Write Opportunities Fund (0001322436) 3
Enhanced Dow 30 Income Fund Inc. 1
Enhanced Equity Yield & Premium Fund, Inc. 1
Enhanced Equity Yield Fund, Inc. 1
Enhanced Government Fund 12
Enhanced Government Income Fund 12
Enhanced Income Fund, Inc. 1
Enhanced S&P 500 Covered Call Fund Inc. (0001331948) 5
Enhanced SYP 500 Covered Call Fund, Inc. 5
Evergreen Global Dividend Opportunity Fund (0001386067) 11
Exelis MSCO Inc. 2
F&C/CLAYMORE PREFERRED SECURITIES INCOME FUND INC 3
FEDERATED INTERMEDIATE MUNICIPAL INCOME FUND 8
FEDERATED MUNICIPAL INCOME FUND 13
FEDERATED PREMIER INTERMEDIATE MUNICIPAL INCOME FUND (0001202806) 8
FEDERATED PREMIER MUNICIPAL INCOME FUND (0001199004) 13
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (0001305197) 9
FIRST AUSTRALIA FUND INC 4
FIRST BANCORP /PR/ (0001057706) 3
FIRST COMMONWEALTH FUND INC 12
FIRST DEFINED PORTFOLIO FUND LLC (0001076487) 5
FIRST DEFINED PORTFOLIO MANAGEMENT FUND LLC 5
FIRST TRUST ACTIVE DIVIDEND INCOME FUND (0001403275) 7
FIRST TRUST ADVISORS LP (0001125816) 41
FIRST TRUST DYNAMIC EUROPE EQUITY INCOME FUND (0001646109) 1
FIRST TRUST ENERGY INFRASTRUCTURE FUND (0001513789) 1
FIRST TRUST ENHANCED EQUITY INCOME FUND (0001291334) 3
FIRST TRUST EQUITY MARKET NEUTRAL OPPORTUNITIES FUND (0001671656) 1
FIRST TRUST EXCHANGE TRADED FUND (0001259542) 7
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND (0001383496) 92
FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND II (0001510337) 74
FIRST TRUST EXCHANGE-TRADED FUND (0001329377) 59
FIRST TRUST EXCHANGE-TRADED FUND II (0001364608) 30
FIRST TRUST EXCHANGE-TRADED FUND IV (0001517936) 36
FIRST TRUST EXCHANGE-TRADED FUND V (0001549548) 12
FIRST TRUST EXCHANGE-TRADED FUND VI (0001552740) 13
FIRST TRUST EXCHANGE-TRADED FUND VII (0001561785) 7
FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II (0001282850) 7
FIRST TRUST HIGH INCOME LONG/SHORT FUND (0001494530) 1
FIRST TRUST INCOME FUND (0001462211) 2
FIRST TRUST MLP & ENERGY INCOME FUND (0001556336) 1
FIRST TRUST MLP & INCOME FUND 1
FIRST TRUST MLP GROWTH & INCOME FUND 1
FIRST TRUST MUNICIPAL TARGET TERM TRUST (0001454567) 2
FIRST TRUST NEW OPPORTUNITIES MLP & ENERGY FUND (0001589420) 1
FIRST TRUST PALISADE TOTAL RETURN CONVERTIBLE SEC FUND 3
FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUND (0001687081) 1
FIRST TRUST SERIES FUND (0001497778) 5
FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (0001392994) 5
FIRST TRUST STRATEGIC HIGH INCOME FUND (0001323520) 5
FIRST TRUST STRATEGIC HIGH INCOME FUND II (0001329388) 5
FIRST TRUST STRATEGIC HIGH INCOME FUND III (0001380534) 5
FIRST TRUST TAX-ADVANTAGED PREFERRED INCOME FUND (0001356750) 4
FIRST TRUST VALUE LINE DIVIDEND FUND (0001244943) 3
FIRST TRUST VALUE LINE R & IBBOTSON EQUITY ALLOCATION FUND (0001264352) 3
FIRST TRUST VALUE LINE R & IBBOTSON EQUITY ALLOCATION FUND (0001264352) 2
FIRST TRUST VARIABLE INSURANCE TRUST (0001537395) 2
FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND (0001363438) 5
FIRST TRUST/ABERDEEN GLOBAL CREDIT STRATEGIES FUND (0001468797) 1
FIRST TRUST/ABERDEEN GLOBAL OPPORTUNITY INCOME FUND (0001302624) 7
FIRST TRUST/CHARTWELL TOTAL RETURN EQUITY INCOME FUND (0001412244) 2
FIRST TRUST/FIDAC MORTGAGE INCOME FUND (0001319183) 7
FIRST TRUST/FOUR CORNERS SENIOR FLOATING RATE INCOME FUND (0001232461) 7
FIRST TRUST/GALLATIN SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (0001392994) 7
FIRST TRUST/GALLATIN SPECIALTY FINANCE FUND 7
FIRST TRUST/STONECASTLE BANK SELECT INCOME FUND (0001427697) 3
FLAHERTY & CRUMRINE TOTAL RETURN FUND INC (0001245648) 5
FLAHERTY & CRUMRINE/CLAYMORE TOTAL RETURN FUND INC 5
FLOATING RATE INCOME STRATEGIES FUND II INC (0001269143) 9
FLOATING RATE INCOME STRATEGIES FUND INC (0001259708) 18
FLORIDA MUNIYIELD FUND INC 3
FNB CORP/FL/ (0000037808) 2
FNB CORP/PA 2
FOREIGN FUND INC 9
FOREIGN TRADE BANK OF LATIN AMERICA, INC. (0000890541) 4
FORT DEARBORN INCOME SECURITIES INC (0000038188) 6
FOUR CORNERS CLAYMORE CORPORATE HIGH INCOME PORTFOLIO 7
FRANKLIN LTD DURATION INCOME TRUST (0001233087) 4
FRANKLIN TEMPLETON LIMITED DURATION INCOME TRUST 15
FRANKLIN TEMPLETON LTD DURATION INCOME TRUST (0001233087) 15
FRANKLIN TEMPLETON STRATEGIC INCOME TRUST 15
FT PORTFOLIOS CANADA CO. (0001629209) 2
FT SERIES (0001184767) 2
Federated Enhanced Treasury Income Fund (0001406591) 9
First Trust Dow Select MicroCap Index Fund 5
First Trust Exchange Traded Fund III (0001424212) 38
First Trust Exchange-Traded Fund III (0001424212) 8
First Trust Intermediate Duration Preferred & Income Fund (0001567569) 1
First Trust Intermediate Duration Preferred & Income Trust 1
First Trust Ltd Duration Preferred & Income Trust 1
First Trust/Fiduciary Asset Management Covered Call Fund (0001291334) 7
First Trust/Fiduciary Asset Management Covered Call Income Fund 7
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc (0001559991) 3
Flaherty & Crumrine Global Preferred & Income Securities Fund Inc 3
Flaherty & Crumrine Preferred & Income Allocation Fund Inc 3
Flaherty & Crumrine/CLAYMORE PREFERRED SECURITIES INCOME FUND INC (0001174164) 3
GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC (0000845611) 2
GABELLI CONVERTIBLE SECURITIES FUND INC /DE 2
GABELLI EQUITY TRUST INC (0000794685) 3
GABELLI GLOBAL MULTIMEDIA TRUST INC 9
GABELLI MULTIMEDIA TRUST INC. (0000921671) 9
GABELLI SERIES FUNDS INC 2
GAMCO Natural Resources, Gold & Income Trust (0001438893) 4
GAMCO Natural Resources, Gold & Income Trust by Gabelli 4
GGC USS HOLDINGS, INC. 3
GLOBAL EQUITY CURRENCY FUND INC 4
GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUND 7
GLOBAL HIGH INCOME DOLLAR FUND INC 12
GLOBAL HIGH INCOME FUND INC (0000897996) 12
GLOBAL OPPORTUNITIES INCOME FUND INC /MD/ 12
GLOBAL PARTNERS INCOME FUND INC 4
GOLDMAN SACHS MLP & ENERGY RENAISSANCE FUND (0001612875) 1
GOLDMAN SACHS MLP ENERGY RENAISSANCE FUND (0001612875) 1
GROWTH STOCK OUTLOOK TRUST INC 7
GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (0001267890) 8
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (0001380936) 5
Gabelli Gold & Income Trust 4
Gabelli Natural Resources, Gold & Income Trust 4
Global Currency & Income Fund Inc. (0001334510) 4
Global Currency Strategy Income Fund Inc. 4
Global Income & Currency Fund Inc. (0001334510) 4
Goldman Sachs MLP Income Opportunities Fund (0001579762) 3
Guggenheim Credit Allocation Fund (0001551949) 6
Guggenheim Dynamic Income Fund 6
Guggenheim Dynamic Opportunities Fund 6
Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund) (0001310709) 9
Guggenheim Equal Weight Enhanced Equity Income Fund (0001526104) 7
H&Q HEALTHCARE INVESTORS (0000805267) 4
H&Q LIFE SCIENCES INVESTORS (0000884121) 6
HANCOCK JOHN BANK & THRIFT OPPORTUNITY FUND (0000925683) 6
HANCOCK JOHN INCOME SECURITIES TRUST /MA 8
HANCOCK JOHN INVESTORS TRUST (0000759828) 8
HANCOCK JOHN REGIONAL BANK & THRIFT FUND 6
HELIOS ADVANTAGE INCOME FUND, INC. (0001302246) 6
HELIOS HIGH INCOME FUND, INC (0001227122) 5
HELIOS HIGH YIELD FUND (0001062978) 8
HELIOS MULTI-SECTOR HIGH INCOME FUND, INC. (0001343602) 6
HELIOS TOTAL RETURN FUND INC (0000851169) 7
HIGH INCOME OPPORTUNITY FUND INC 14
HIGH YIELD PLUS FUND INC (0000828990) 2
HOLLY ENERGY PARTNERS LP (0001283140) 2
HYPERION BROOKFIELD TOTAL RETURN FUND INC 7
HYPERION TOTAL RETURN & INCOME FUND INC 3
HYPERION TOTAL RETURN FUND INC 7
Highland Credit Strategies Fund (0001356115) 10
Highland Funds I (0001354917) 7
INDEX EXCHANGE LISTED SECURITIES TRUST 28
INFOSPACE COM INC 3
INFOSPACE INC 3
ING Asia Pacific High Dividend Equity Income Fund (0001385632) 9
ING Asia Pacific High Dividend Fund 9
ING Emerging Markets High Dividend Equity Fund (0001496292) 10
ING GLOBAL EQUITY DIVIDEND & PREMIUM INCOME FUND 4
ING GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUND (0001285890) 7
ING Global Advantage & Premium Opportunity Fund (0001332943) 11
ING Infrastructure Development Equity Fund 10
ING Infrastructure, Industrials & Materials Fund (0001417802) 10
ING International High Dividend Equity Income Fund (0001395627) 11
ING PRIME RATE TRUST (0000826020) 11
ING Risk Managed Natural Resources Fund (0001372117) 11
INHALE THERAPEUTIC SYSTEMS 3
INHALE THERAPEUTIC SYSTEMS INC 3
INTEGRYS ENERGY GROUP, INC. (0000916863) 4
INTERCAPITAL INCOME SECURITIES INC 4
INTERCAPITAL INSURED MUNICIPAL BOND TRUST 2
INTERCAPITAL INSURED MUNICIPAL TRUST 3
INTERCAPITAL QUALITY MUNICIPAL INCOME TRUST 12
INTERNATIONAL GOVERNMENT INCOME TRUST 11
IQIA Global Currency Income Fund Inc. 4
Insight Investment 2
Insight Select Income Fund (0000030125) 2
Invesco Advantage Municipal Income Trust II (0000908993) 6
Invesco Bond Fund (0000005094) 9
Invesco California Insured Municipal Income Trust (0000894146) 4
Invesco California Quality Municipal Securities (0000898618) 3
Invesco California Value Municipal Income Trust (0000895531) 7
Invesco Dynamic Credit Opportunities Fund (0001393662) 8
Invesco High Income Trust II (0000846671) 7
Invesco High Yield Investments Fund, Inc. (0000912734) 4
Invesco Insured California Municipal Securities (0000913342) 1
Invesco Insured Municipal Bond Trust (0000861185) 2
Invesco Insured Municipal Income Trust (0000885601) 6
Invesco Insured Municipal Securities (0000913345) 3
Invesco Insured Municipal Trust (0000880161) 3
Invesco Municipal Income Opportunities Trust (0000835333) 5
Invesco Municipal Opportunity Trust (0000884152) 4
Invesco Municipal Premium Income Trust (0000842891) 1
Invesco Municipal Trust (0000877463) 5
Invesco Pennsylvania Value Municipal Income Trust (0000895528) 7
Invesco Quality Municipal Income Trust (0000885125) 12
Invesco Quality Municipal Investment Trust (0000876982) 2
Invesco Senior Income Trust (0001059386) 6
Invesco Trust for Investment Grade Municipals (0000880892) 6
Invesco Trust for Investment Grade New York Municipals (0000883265) 4
Invesco Value Municipal Income Trust (0000885601) 4
Invesco Value Municipal Securities (0000913345) 2
Invesco Van Kampen Advantage Municipal Income Trust II (0000908993) 9
Invesco Van Kampen Bond Fund (0000005094) 12
Invesco Van Kampen California Value Municipal Income Trust (0000895531) 10
Invesco Van Kampen Dynamic Credit Opportunities Fund (0001393662) 10
Invesco Van Kampen High Income Trust II (0000846671) 11
Invesco Van Kampen Municipal Opportunity Trust (0000884152) 7
Invesco Van Kampen Municipal Trust (0000877463) 8
Invesco Van Kampen Pennsylvania Value Municipal Income Trust (0000895528) 10
Invesco Van Kampen Select Sector Municipal Trust (0000912022) 3
Invesco Van Kampen Senior Income Trust (0001059386) 8
Invesco Van Kampen Trust for Investment Grade Municipals (0000880892) 9
Invesco Van Kampen Trust for Investment Grade New Jerset Municipals 2
Invesco Van Kampen Trust for Investment Grade New Jersey Municipals (0000883269) 2
Invesco Van Kampen Trust for Investment Grade New York Municipals (0000883265) 7
Ivy Credit Opportunities Fund 5
Ivy Global Credit Opportunities Fund 5
Ivy High Income Opportunities Fund (0001568292) 5
J P MORGAN CHASE & CO (0000019617) 8
JOHN HANCOCK BANK & THRIFT OPPORTUNITY FUND (0000925683) 6
JOHN HANCOCK FINANCIAL OPPORTUNITIES FUND (0000925683) 4
JOHN HANCOCK INCOME SECURITIES TRUST (0000759866) 8
JOHN HANCOCK INVESTORS TRUST (0000759828) 8
JOHN HANCOCK PREFERRED & EQUITY INCOME FUND 9
JOHN HANCOCK PREFERRED INCOME FUND III (0001215913) 2
JOHN HANCOCK TAX-ADVANTAGED DIVIDEND INCOME FUND (0001260041) 9
John Hancock Hedged Equity & Income Fund (0001496749) 6
John Hancock Tax-Advantaged Global Shareholder Yield Fund (0001396502) 11
John Hancock Tax-Advantaged Global Yield Fund 11
KAYNE ANDERSON ENERGY DEVELOPMENT CO (0001363890) 7
KAYNE ANDERSON MIDSTREAM/ENERGY FUND, INC. (0001500096) 6
KEMPER HIGH INCOME TRUST 7
KEMPER MULTI MARKET INCOME TRUST 8
KEMPER MUNICIPAL INCOME TRUST 11
KEMPER STRATEGIC INCOME FUND 1
KEMPER STRATEGIC INCOME TRUST 2
KEMPER STRATEGIC MUNICIPAL INCOME TRUST 5
KKR Alternative Income Opportunities Fund 5
KKR Global Credit Opportunities Fund 5
KKR Income Opportunities Fund (0001515940) 5
KNIGHTSBRIDGE TANKERS LTD (0001029145) 2
Kayne Anderson Energy Total Return Fund, Inc. (0001322652) 8
LA Z BOY CHAIR CO 11
LA-Z-BOY INC (0000057131) 11
LATIN AMERICAN EXPORT BANK 4
LAZARD GLOBAL TOTAL RETURN & INCOME FUND INC (0001278211) 4
LEE ENTERPRISES, INC (0000058361) 4
LEHMAN BROTHERS FIRST TRUST INCOME OPPORTUNITY FUND 2
LIBERTY ALL STAR EQUITY FUND (0000799195) 6
LIBERTY ALL STAR GROWTH FUND INC /MD/ 7
LIBERTY ALL STAR GROWTH FUND INC. (0000786035) 7
LMP CAPITAL & INCOME FUND INC. (0001270131) 7
LMP CORPORATE LOAN FUND INC. (0001068963) 15
LMP REAL ESTATE INCOME FUND INC. (0001173557) 7
Lazard World Dividend & Income Fund, Inc. (0001323206) 12
Legg Mason BW Global Income Opportunities Fund Inc. (0001504545) 7
MACQUARIE FIRST TRUST GLOBAL INFRASTR DIVIDEND & INCOME FUND 7
MACQUARIE FIRST TRUST GLOBAL INFRASTRUCTURE DIVIDEND FUND 7
MACQUARIE/FIRST TRUST GLOBAL INFRASTR/UTIL DIV & INC FUND (0001276469) 7
MANAGED DURATION INVESTMENT GRADE MUNICIPAL FUND (0001235511) 11
MANAGED HIGH INCOME PORTFOLIO INC (0000895523) 12
MANAGED HIGH YIELD PLUS FUND INC (0001060392) 12
MANAGED HIGH YIELD PORTFOLIO INC 12
MANAGED MUNICIPALS PORTFOLIO INC 4
MANZANO CORP 2
MARKET VECTORS ETF TRUST (0001137360) 30
MARKET VECTORS TRUST 30
MBIA CAPITAL CLAYMORE MAN DUR INV GRD MUNI FUND 11
MBIA CAPITAL CLAYMORE MANAGED DURATION NATIONAL MUNICIPAL TR 11
MBIA CAPITAL/CLAYMORE MAN DUR INV GRD MUNI FUND 11
MEXICO FUND INC (0000065433) 3
MFS CALIFORNIA INSURED MUNICIPAL FUND (0001092896) 11
MFS CALIFORNIA MUNICIPAL FUND (0001092896) 9
MFS CHARTER INCOME TRUST (0000851170) 5
MFS GOVERNMENT MARKETS INCOME TRUST (0000811922) 13
MFS HIGH INCOME MUNICIPAL TRUST (0000845606) 11
MFS HIGH YIELD MARKETS TRUST 11
MFS HIGH YIELD MUNICIPAL TRUST (0000809844) 9
MFS INTERMARKET INCOME TRUST I (0000853770) 2
MFS INTERMEDIATE HIGH INCOME FUND (0000833021) 10
MFS INTERMEDIATE INCOME TRUST (0000826735) 11
MFS INVESTMENT GRADE MUNICIPAL TRUST (0000847411) 2
MFS MULTI GOVERNMENT INTERMEDIATE TRUST 11
MFS MULTIMARKET INCOME TRUST (0000809173) 11
MFS MUNICIPAL INCOME TRUST (0000801961) 10
MFS PRINCIPAL INCOME TRUST 5
MLP & Strategic Equity Fund Inc. (0001389611) 4
MLP Strategy Income Fund Inc. 4
MORGAN STANLEY INSURED CALIFORNIA MUNICIPAL SEC 1
MORGAN STANLEY INSURED MUNICIPAL INCOME TRUST 6
MORGAN STANLEY INSURED MUNICIPAL SECURITIES 3
MORGAN STANLEY CA INSURED MUNICIPAL INCOME TRUST 4
MORGAN STANLEY CALIFORNIA INSURED MUNICIPAL INCO 4
MORGAN STANLEY CALIFORNIA INSURED MUNICIPAL INCOME TRUST 4
MORGAN STANLEY CALIFORNIA QUALITY MUNICIPAL SECU 3
MORGAN STANLEY CALIFORNIA QUALITY MUNICIPAL SECURITIES 3
MORGAN STANLEY DEAN WITTER CALIFORNIA QUALITY MUNICIPAL SECU 3
MORGAN STANLEY DEAN WITTER EMERGING MARKETS DEBT FUND INC (0000904112) 13
MORGAN STANLEY DEAN WITTER HIGH YIELD FUND INC (0000912734) 7
MORGAN STANLEY DEAN WITTER INCOME SECURITIES INC 4
MORGAN STANLEY DEAN WITTER INSURED MUNICIPAL BOND TRUST 2
MORGAN STANLEY DEAN WITTER INSURED MUNICIPAL INCOME TRUST 2
MORGAN STANLEY DEAN WITTER INSURED MUNICIPAL SECURITIES 1
MORGAN STANLEY DEAN WITTER INSURED MUNICIPAL TRUST 3
MORGAN STANLEY DEAN WITTER MUNICIPAL PREMIUM INCOME TRUST 1
MORGAN STANLEY DEAN WITTER QUALITY MUNICIPAL INCOME TRUST 12
MORGAN STANLEY EMERGING MARKETS DEBT FUND INC (0000904112) 13
MORGAN STANLEY HIGH YIELD FUND INC (0000912734) 3
MORGAN STANLEY HIGH YIELD FUND, INC. (0000912734) 4
MORGAN STANLEY INCOME SECURITIES INC (0000093284) 4
MORGAN STANLEY INSURED CALIFORNIA MUNICIPAL SEC 1
MORGAN STANLEY INSURED CALIFORNIA MUNICIPAL SECURITIES 1
MORGAN STANLEY INSURED MUNICIPAL BOND TRUST 2
MORGAN STANLEY INSURED MUNICIPAL INCOME TRUST 6
MORGAN STANLEY INSURED MUNICIPAL SECURITIES 3
MORGAN STANLEY INSURED MUNICIPAL TRUST 3
MORGAN STANLEY MUNICIPAL INCOME OPPORTUNITIES TRUST (0000835333) 7
MORGAN STANLEY MUNICIPAL PREMIUM INCOME TRUST 1
MORGAN STANLEY QUALITY MUNICIPAL INCOME TRUST 12
MORGAN STANLEY QUALITY MUNICIPAL INVESTMENT TRUS 2
MORGAN STANLEY QUALITY MUNICIPAL INVESTMENT TRUST 2
MSDW MUNICIPAL INCOME OPPORTUNITIES TRUST 7
MUNI NEW YORK INTERMEDIATE DURATION FUND INC 5
MUNICIPAL HIGH INCOME FUND INC 11
MUNICIPAL INCOME OPPORTUNITIES TRUST/MA 7
MUNICIPAL PARTNERS FUND INC 8
MUNICIPAL PREMIUM INCOME TRUST/MA 1
MUNIENHANCED FUND INC 5
MUNIHOLDINGS CALIFORNIA FUND INC/ 2
MUNIHOLDINGS CALIFORNIA INSURED FUND 7
MUNIHOLDINGS CALIFORNIA INSURED FUND II INC/ 7
MUNIHOLDINGS FLORIDA INSURED FUND INC 7
MUNIHOLDINGS FUND II INC 6
MUNIHOLDINGS FUND II INC /NJ/ 6
MUNIHOLDINGS FUND INC 3
MUNIHOLDINGS INSURED FUND II INC 8
MUNIHOLDINGS INSURED FUND INC 6
MUNIHOLDINGS INSURED FUND INC/NJ 10
MUNIHOLDINGS NEW JERSEY INSURED FUND INC 9
MUNIHOLDINGS NEW YORK FUND INC 2
MUNIHOLDINGS NEW YORK INSURED FUND INC 7
MUNIPLUS FUND INC 2
MUNIVEST FUND II INC 3
MUNIVEST FUND INC 2
MUNIYIELD CALIFORNIA FUND INC 10
MUNIYIELD CALIFORNIA INSURED FUND II INC 4
MUNIYIELD CALIFORNIA INSURED FUND INC 9
MUNIYIELD FLORIDA FUND 3
MUNIYIELD FLORIDA INSURED FUND /NJ/ 8
MUNIYIELD INSURED FUND INC 2
MUNIYIELD MICHIGAN FUND INC 3
MUNIYIELD MICHIGAN INSURED FUND II INC 16
MUNIYIELD MICHIGAN INSURED FUND INC 10
MUNIYIELD NEW JERSEY FUND II INC 3
MUNIYIELD NEW JERSEY FUND INC 7
MUNIYIELD NEW JERSEY INSURED FUND INC 7
MUNIYIELD NEW YORK INSURED FUND INC 6
MUNIYIELD QUALITY FUND II INC 9
MUNIYIELD QUALITY FUND INC 5
Madison Claymore Covered Call Fund 10
Madison Covered Call & Equity Strategy Fund (0001289868) 4
Madison/Claymore Covered Call & Equity Strategy Fund (0001289868) 9
Madison/Claymore Covered Call Fund (0001289868) 10
Madison/Claymore Covered Call Strategy Fund 6
MainStay DefinedTerm Municipal High Income Fund 7
MainStay DefinedTerm Municipal Opportunities Fund (0001518557) 7
Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. (0001388141) 6
NACM International & Premium Strategy Fund 8
NASDAQ Enhanced Income Fund Inc. 3
NASDAQ Premium Income & Growth Fund Inc. (0001381186) 3
NEKTAR THERAPEUTICS (0000906709) 3
NEUBERGER BERMAN CALIFORNIA INTERMEDIATE MUNICIPAL FUND INC (0001178840) 14
NEUBERGER BERMAN HIGH YIELD STRATEGIES FUND (0001228361) 2
NEUBERGER BERMAN INTERMEDIATE MUNICIPAL FUND INC (0001178839) 8
NEUBERGER BERMAN NEW YORK INTERMEDIATE MUNICIPAL FUND INC (0001178841) 6
NEUBERGER BERMAN REAL ESTATE SECURITIES INCOME FUND INC (0001261166) 3
NEW AMERICA HIGH INCOME FUND INC (0000825345) 13
NEW YORK MUNIYIELD FUND INC 6
NICHOLAS APPLEGATE CONVERTIBLE & INCOME FUND 7
NICHOLAS APPLEGATE CONVERTIBLE & INCOME FUND II 5
NICHOLAS APPLEGATE CONVERTIBLE INCOME FUND 7
NN BALL & ROLLER INC 2
NN INC (0000918541) 2
NORTHWEST PIPE CO (0001001385) 3
NOVAVAX INC (0001000694) 2
NUVEEN AMT-FREE MUNICIPAL INCOME FUND (0001195737) 2
NUVEEN CALIFORNIA AMT-FREE MUNICIPAL INCOME FUND (0001195738) 7
NUVEEN CALIFORNIA AMT-FREE QUALITY MUNICIPAL INCOME FUND (0001195738) 2
NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND (0001074952) 6
NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (0001127706) 7
NUVEEN CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND 3 (0001137888) 7
NUVEEN CALIFORNIA INVESTMENT QUALITY MUNICIPAL FUND INC (0000868440) 5
NUVEEN CALIFORNIA MUNICIPAL ADVANTAGE FUND 6
NUVEEN CALIFORNIA MUNICIPAL MARKET OPPORTUNITY FUND INC (0000862313) 4
NUVEEN CALIFORNIA MUNICIPAL VALUE FUND INC (0000818851) 5
NUVEEN CALIFORNIA PERFORMANCE PLUS MUNICIPAL FUND INC (0000856227) 5
NUVEEN CALIFORNIA PREMIUM INCOME MUNICIPAL FUND (0000905000) 3
NUVEEN CALIFORNIA PREMIUM INCOME MUNICIPAL FUND INC 2
NUVEEN CALIFORNIA QUALITY INCOME MUNICIPAL FUND INC (0000879826) 4
NUVEEN CALIFORNIA SELECT QUALITY INCOME MUNICIPAL FUND INC 4
NUVEEN CALIFORNIA SELECT QUALITY MUNICIPAL FUND INC (0000874142) 4
NUVEEN CALIFORNIA SELECT TAX FREE INCOME PORTFOLIO (0000885732) 6
NUVEEN DIVERSIFIED DIVIDEND & INCOME FUND (0001255821) 12
NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FUND (0001083839) 5
NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (0001131062) 4
NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FUND 3 (0001137887) 7
NUVEEN FLOATING RATE INCOME FUND (0001276533) 14
NUVEEN INSURED CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND (0001090117) 4
NUVEEN INSURED CALIFORNIA PREMIUM INCOME MUNICIPAL FUND 2 IN (0000897422) 4
NUVEEN INSURED CALIFORNIA PREMIUM INCOME MUNICIPAL FUND INC (0000885711) 2
NUVEEN INSURED CALIFORNIA SELECT TAX FREE INCOME PORTFOLIO 6
NUVEEN INSURED CALIFORNIA TAX FREE ADVANTAGE MUNICIPAL FUND (0001195738) 8
NUVEEN INSURED DIVIDEND ADVANTAGE MUNICIPAL FUND (0001090116) 2
NUVEEN INSURED NEW YORK DIVIDEND ADVANTAGE MUNICIPAL FUND 3
NUVEEN INSURED NEW YORK PREMIUM INCOME MUNICIPAL FUND INC (0000885712) 2
NUVEEN INSURED NEW YORK SELECT TAX FREE INCOME PORTFOLIO 5
NUVEEN INSURED NEW YORK TAX FREE ADVANTAGE MUNICIPAL FUND 5
NUVEEN INSURED PREMIUM INCOME MUNICIPAL FUND 2 (0000906959) 3
NUVEEN INSURED QUALITY MUNICIPAL FUND INC (0000869405) 6
NUVEEN INSURED TAX FREE ADVANTAGE MUNICIPAL FUND (0001195737) 3
NUVEEN INTERMEDIATE OPPORTUNITY MUNICIPAL FUND 2
NUVEEN INVESTMENT QUALITY MUNICIPAL FUND INC (0000862716) 5
NUVEEN MUNICIPAL ADVANTAGE FUND INC (0000857361) 3
NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND (0001266585) 5
NUVEEN MUNICIPAL MARKET OPPORTUNITY FUND INC (0000860188) 4
NUVEEN NEW JERSEY DIVIDEND ADVANTAGE MUNICIPAL FUND (0001087786) 8
NUVEEN NEW JERSEY DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (0001161070) 6
NUVEEN NEW JERSEY INVESTMENT QUALITY MUNICIPAL FUND INC (0000870778) 2
NUVEEN NEW JERSEY PREMIUM INCOME MUNICIPAL FUND INC (0000890898) 4
NUVEEN NEW JERSEY QUALITY MUNICIPAL INCOME FUND (0001087786) 2
NUVEEN NEW YORK AMT-FREE MUNICIPAL INCOME FUND (0001195739) 5
NUVEEN NEW YORK DIVIDEND ADVANTAGE MUNICIPAL FUND (0001074769) 3
NUVEEN NEW YORK DIVIDEND ADVANTAGE MUNICIPAL FUND 2 (0001131063) 3
NUVEEN NEW YORK DIVIDEND ADVANTAGE MUNICIPAL INCOME FUND (0001090123) 3
NUVEEN NEW YORK INVESTMENT QUALITY MUNICIPAL FUND INC (0000868449) 5
NUVEEN NEW YORK MUNICIPAL VALUE FUND INC (0000818850) 2
NUVEEN NEW YORK PREMIUM INCOME MUNICIPAL FUND INC (0000885712) 2
NUVEEN NEW YORK QUALITY INCOME MUNICIPAL FUND INC (0000879819) 4
NUVEEN NEW YORK SELECT QUALITY MUNICIPAL FUND INC (0000874143) 4
NUVEEN NEW YORK SELECT TAX -FREE INCOME PORTFOLIO (0000885731) 5
NUVEEN PREFERRED CONVERTIBLE INCOME FUND 4
NUVEEN PREFERRED CONVERTIBLE INCOME FUND 2 7
NUVEEN PREMIER INSURED MUNICIPAL INCOME FUND INC (0000880843) 4
NUVEEN PREMIER MUNICIPAL INCOME FUND INC (0000880845) 4
NUVEEN PREMIER MUNICIPAL OPPORTUNITY FUND INC (0000880843) 3
NUVEEN PREMIUM INCOME MUNICIPAL FUND 2 INC (0000885734) 3
NUVEEN PREMIUM INCOME MUNICIPAL FUND 4 INC (0000896061) 3
NUVEEN PREMIUM INCOME MUNICIPAL FUND INC (0000833251) 3
NUVEEN PREMIUM INCOME MUNICIPAL OPPORTUNITY FUND (0000906959) 2
NUVEEN QUALITY MUNICIPAL FUND INC (0000869405) 5
NUVEEN QUALITY PREFERRED INCOME FUND 3 (0001200446) 2
NUVEEN REAL ESTATE INCOME FUND (0001158289) 4
NUVEEN SELECT MATURITIES MUNICIPAL FUND (0000890119) 2
NUVEEN SELECT QUALITY MUNICIPAL FUND INC (0000872064) 2
NUVEEN SELECT TAX FREE INCOME PORTFOLIO (0000883618) 2
NUVEEN SELECT TAX FREE INCOME PORTFOLIO 3 (0000888411) 4
NUVEEN SENIOR INCOME FUND (0001093428) 16
NUVEEN TAX ADVANTAGED DIVIDEND & TOTAL RETURN FUND 10
NUVEEN TAX ADVANTAGED TOTAL RETURN STRATEGY FUND (0001265708) 10
Neuberger Berman High Yield Strategies Fund Inc. (0001487610) 11
Neuberger Berman MLP Income Fund Inc. (0001562051) 4
New RMR Asia Pacific Real Estate Fund 4
Newfleet Global Multi-Sector Income Fund 5
NexPoint Credit Strategies Fund (0001356115) 6
NextEra Energy Partners, LP (0001603145) 3
Nicholas Applegate Global Equity & Convertible Income Fund (0001398481) 7
Nicholas-Applegate Equity & Convertible Income Fund 12
Nicholas-Applegate Equity & Income Capture Fund 12
Nicholas-Applegate International & Premium Strategy Fund (0001319332) 8
Nuveen AMT-Free Municipal Value Fund (0001450445) 7
Nuveen All Cap Energy MLP Opportunities Fund (0001582817) 4
Nuveen California Municipal Value Fund 2 (0001454979) 6
Nuveen Core Equity Alpha Fund (0001385763) 10
Nuveen Credit Strategies Income Fund (0001227476) 7
Nuveen Diversified Currency Opportunities Fund (0001390109) 2
Nuveen Dow 30sm Dynamic Overwrite Fund (0001608742) 4
Nuveen Energy MLP Total Return Fund (0001502711) 10
Nuveen Enhanced Municipal Value Fund (0001469392) 6
Nuveen Equity Premium & Growth Fund (0001338561) 11
Nuveen Equity Premium Advantage Fund (0001320492) 8
Nuveen Equity Premium Income Fund (0001298699) 5
Nuveen Equity Premium Opportunity Fund (0001308658) 2
Nuveen Flexible Investment Income Fund (0001573312) 4
Nuveen Floating Rate Income Fund 2 16
Nuveen Floating Rate Income Opportunity Fund (0001289213) 16
Nuveen Global Equity Income Fund (0001363421) 4
Nuveen Global Government Enhanced Income Fund (0001359816) 10
Nuveen Global High Income Fund (0001615905) 6
Nuveen Global Income Opportunities Fund (0001359816) 4
Nuveen Global Value Opportunities Fund (0001363421) 6
Nuveen International Short-Term Government Income Fund 3
Nuveen Mortgage Opportunity Term Fund (0001472215) 7
Nuveen Mortgage Opportunity Term Fund 2 (0001479238) 7
Nuveen Multi-Currency Short-Term Government Income Fund (0001390109) 3
Nuveen Multi-Strategy Income & Growth Fund 4
Nuveen Multi-Strategy Income & Growth Fund 2 7
Nuveen Municipal High Income Opportunity Fund 2 (0001412495) 2
Nuveen Municipal High Income Strategy Fund 2
Nuveen Municipal Value Fund 2 7
Nuveen NASDAQ 100 Dynamic Overwrite Fund (0001608741) 4
Nuveen New Jersey Municipal Value Fund (0001454980) 10
Nuveen New York Municipal Value Fund 2 (0001454981) 8
Nuveen Preferred Income Opportunities Fund (0001216583) 4
Nuveen Premium Income Strategy Fund 5
Nuveen S&P 500 Dynamic Overwrite Fund (0001338561) 5
Nuveen Short Duration Credit Opportunities Fund (0001509253) 10
Nuveen Tax-Advantaged Dividend Growth Fund (0001397173) 7
Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund) (0001310709) 11
Old Mutual/Claymore Long-Short Premium Fund (f.k.a-Analytic Covered Call Plus Fund) 11
Old Mutual/Claymore Long-Short Premium Fund (f.k.a. Analytic Covered Call Plus Fund) 11
PACHOLDER FUND INC 9
PACHOLDER HIGH YIELD FUND INC (0000837951) 9
PACIFIC AMERICAN INCOME SHARES INC 12
PAFM NACM International & Premium Strategy Fund 8
PAFM NICHOLAS APPLEGATE NFJ CONVERTIBLE & INCOME FUND 5
PDL BIOPHARMA, INC. (0000882104) 8
PENN VIRGINIA CORP (0000077159) 3
PILGRIM AMERICA PRIME RATE TRUST 11
PILGRIM PRIME RATE TRUST 7
PILGRIM PRIME RATE TRUST/ 11
PIMCO CALIFORNIA MUNICIPAL INCOME FUND (0001140411) 11
PIMCO CALIFORNIA MUNICIPAL INCOME FUND III (0001181504) 9
PIMCO ETF Trust (0001450011) 16
PIMCO FLOATING RATE INCOME FUND (0001244183) 6
PIMCO Floating Rate Strategy Fund (0001296250) 7
PIMCO INCOME STRATEGY FUND (0001244183) 2
PIMCO Income Strategy Fund II (0001296250) 4
PIMCO MUNICIPAL INCOME FUND II (0001170299) 5
PIMCO MUNICIPAL INCOME FUND III (0001181506) 3
PIMCO NEW YORK MUNICIPAL INCOME FUND (0001140410) 9
PIMCO NEW YORK MUNICIPAL INCOME FUND III (0001181505) 6
PIONEER HIGH INCOME TRUST (0001166258) 6
PIONEER MUNICIPAL ADVANTAGE TRUST 6
PIONEER MUNICIPAL HIGH INCOME ADVANTAGE TRUST (0001258943) 6
PIONEER MUNICIPAL HIGH INCOME TRUST (0001223026) 12
PNM RESOURCES INC (0001108426) 2
PREFERRED INCOME FUND INC 2
PREFERRED INCOME STRATEGIES FUND INC 2
PREMIER CALIFORNIA MUNICIPAL INCOME FUND 12
PROFUNDS ETF TRUST 6
PROSHARES TRUST (0001174610) 6
PROSPECT STREET HIGH INCOME PORTFOLIO INC (0000832904) 2
PROTEIN DESIGN LABS INC/DE 8
PUTNAM HIGH BOND FUND 14
PUTNAM HIGH INCOME BOND FUND 14
PUTNAM HIGH INCOME CONVERTIBLE & BOND FUND 14
PUTNAM HIGH INCOME SECURITIES FUND (0000810943) 14
PUTNAM MANAGED HIGH YIELD TRUST (0000901823) 1
PUTNAM MANAGED MUNICIPAL INCOME TRUST (0000844790) 14
PUTNAM MASTER INTERMEDIATE INCOME TRUST (0000830622) 14
PUTNAM MUNICIPAL OPPORTUNITIES TRUST (0000900422) 15
PUTNAM PREMIER INCOME TRUST (0000827773) 13
PYXIS FUNDS I 7
Pioneer Diversified High Income Trust (0001388126) 13
Pioneer Diversified Income Opportunity Trust 13
Pioneer Floating Rate Trust (0001305767) 14
PowerShares Exchange-Traded Fund Trust II (0001378872) 27
PowerShares Global Exchange-Traded Fund Trust 27
Principal Commercial Mortgage Backed Securities Fund 5
Principal Commercial Mortgage Backed Securities Income Fund 5
Principal Real Estate Income Fund (0001557523) 5
Prudential Global Short Duration High Yield Fund, Inc. (0001554697) 6
Prudential Short Duration High Yield Fund, Inc. (0001534880) 8
Prudential Short Term High Yield Fund, Inc. 8
Pyxis Credit Strategies Fund 6
REAL ESTATE INCOME FUND INC 7
REAVES UTILITY INCOME FUND (0001263994) 5
REDWOOD HIGH INCOME FUND INC 2
REX ENERGY CORP (0001397516) 2
RIVUS BOND FUND (0000030125) 10
RMK Advantage Fund, Inc. 6
RMK Advantage Income Fund, Inc. 6
RMK HIGH INCOME FUND INC 5
RMK Multi-Sector High Income Fund Inc 6
RMR Asia Pacific Real Estate Fund 4
RMR REAL ESTATE FUND (0001177131) 2
RMR Real Estate Income Fund (0001452477) 4
ROYCE FOCUS TRUST INC (0000825202) 2
ROYCE GLOBAL TRUST INC 2
ROYCE MICRO CAP TRUST INC /MD/ 6
ROYCE MICRO-CAP TRUST, INC /MD/ (0000912147) 6
ROYCE OTC MICRO CAP FUND INC 6
S&P 500 Covered Call Fund Inc. (0001307155) 3
S&P QUALITY RANKINGS GLOBAL EQUITY MANAGED TRUST 11
SALOMON BROTHERS CAPITAL & INCOME FUND INC 7
SALOMON BROTHERS EMERGING MARKETS DEBT FUND INC 14
SALOMON BROTHERS EMERGING MARKETS INCOME FUND II INC 7
SALOMON BROTHERS EMERGING MARKETS INCOME FUND INC 4
SALOMON BROTHERS EQUITY & INCOME FUND INC 7
SALOMON BROTHERS FIXED INCOME STRATEGIC FUND INC 14
SALOMON BROTHERS GLOBAL HIGH INCOME FUND INC 3
SALOMON BROTHERS GLOBAL HIGH YIELD FUND INC 3
SALOMON BROTHERS GLOBAL PARTNERS INCOME FUND INC 4
SALOMON BROTHERS HIGH INCOME FUND II INC (0001058239) 9
SALOMON BROTHERS HIGH YIELD BOND FUND IN 9
SALOMON BROTHERS INFLATION MANAGEMENT FUND INC 8
SALOMON BROTHERS MUNICIPAL PARTNERS FUND INC 8
SALOMON BROTHERS REAL ESTATE INCOME FUND INC 7
SALOMON BROTHERS WORLDWIDE INCOME FUND INC 14
SCHWEITZER MAUDUIT INTERNATIONAL INC (0001000623) 2
SCUDDER GLOBAL HIGH INCOME FUND /MA/ 6
SCUDDER HIGH INCOME TRUST 7
SCUDDER MULTI MARKET INCOME TRUST 8
SCUDDER MUNICIPAL INCOME TRUST 11
SCUDDER STRATEGIC INCOME TRUST 2
SCUDDER STRATEGIC MUNICIPAL INCOME TRUST 5
SENIOR HIGH INCOME PORTFOLIO INC 4
SENSIENT TECHNOLOGIES CORP (0000310142) 2
SINCLAIR BROADCAST GROUP INC (0000912752) 2
SMC INVESTMENT CORP 5
SMITH BARNEY HIGH INCOME FUND INC 14
SMITH BARNEY HIGH INCOME OPPORTUNITY FUND INC 14
SONUS NETWORKS INC (0001105472) 2
SOURCE CAPITAL INC /DE/ (0000091847) 5
SPDR SERIES TRUST (0001064642) 28
SPECIAL OPPORTUNITIES MUNICIPAL FUND INC 11
SSGA Active Trust (0001516212) 2
SSgA Active ETF Trust 3
SSgA Active Trust (0001516212) 1
STANDARD & POORS INTERCAPITAL INCOME SEC 4
STRATEGIC GLOBAL INCOME FUND INC (0000880943) 11
STREETTRACKS SERIES TRUST 28
SUPERIOR INDUSTRIES INTERNATIONAL INC (0000095552) 4
SWIFT ENERGY CO (0000351817) 2
Salient MLP & Energy Infrastructure Fund (0001513970) 6
Salient Midstream & MLP Fund (0001534293) 9
Salomon Brothers Floating Rate Strategic Fund Inc. 10
Salomon Brothers Variable Rate Strategic Fund Inc. 10
Seligman Premium Technology Growth Fund, Inc. 8
Small Cap Premium & Dividend Income Fund, Inc. (0001322979) 4
Stone Harbor Emerging Markets Fixed Income Fund 8
Stone Harbor Emerging Markets Income Fund (0001501103) 8
Stone Harbor Emerging Markets Total Income Fund (0001551040) 7
T CELL SCIENCES INC 2
TAL International Group, Inc. (0001331745) 4
TC PIPELINES LP (0001075607) 1
TCW CONVERTIBLE SECURITIES FUND INC 2
TCW STRATEGIC INCOME FUND INC (0000809559) 2
TEKLA HEALTHCARE INVESTORS (0000805267) 1
TEKLA LIFE SCIENCES INVESTORS (0000884121) 3
TEMPLETON EMERGING MARKETS INCOME FUND (0000909112) 5
TEMPLETON EMERGING MARKETS INCOME FUND INC 5
TEMPLETON GLOBAL INCOME FUND (0000828803) 2
TEMPLETON GLOBAL INCOME FUND INC 2
TEXTAINER GROUP HOLDINGS LTD (0001413159) 3
THL Credit Senior Loan Fund (0001583001) 6
TORTOISE ENERGY CAPITAL CORP (0001319869) 4
TORTOISE ENERGY INDEPENDENCE FUND, INC. (0001547158) 1
TORTOISE MLP CORP. 3
TORTOISE MLP FUND, INC. (0001490286) 3
TORTOISE NORTH AMERICAN ENERGY CORP (0001314104) 5
TRANSAMERICA INCOME SHARES, INC. (0000099197) 7
TRAVELERS CORP LOAN FUND INC 17
Tortoise MLP Investment CORP 4
TransMontaigne Partners L.P. (0001319229) 4
U.S. SILICA HOLDINGS, INC. (0001524741) 3
UNISOURCE ENERGY CORP (0000941138) 4
UNITED ONLINE INC (0001142701) 4
UNIVERSAL CORP /VA/ (0000102037) 5
UNIVERSAL FOODS CORP 2
UNIVERSAL LEAF TOBACCO CO INC 5
USF&G PACHOLDER FUND INC /OH/ 9
UTILITY INCOME TRUST 5
VALASSIS COMMUNICATIONS INC (0000883293) 1
VAN ECK ALTERNATIVES INDEX FUND 30
VAN ECK ECONOMEX INDUSTRIES INDEX FUND 17
VAN KAMPEN ADVANTAGE MUNICIPAL INCOME TRUST II (0000908993) 10
VAN KAMPEN AMERICAN CAPITAL ADVANTAGE MUNICIPAL INCOME TR II 10
VAN KAMPEN AMERICAN CAPITAL BOND FUND 16
VAN KAMPEN AMERICAN CAPITAL BOND FUND INC 7
VAN KAMPEN AMERICAN CAPITAL CALIFORNIA VALUE MUNIC INC TRUST 12
VAN KAMPEN AMERICAN CAPITAL LIMITED TERM HIGH INCOME 14
VAN KAMPEN AMERICAN CAPITAL MUNICIPAL OPPORTUNITY TRUST 8
VAN KAMPEN AMERICAN CAPITAL MUNICIPAL TRUST 8
VAN KAMPEN AMERICAN CAPITAL PENNSYLVANIA VALUE MUNIC INCO TR 10
VAN KAMPEN AMERICAN CAPITAL SELECT SECTOR MUNICIPAL TRUST 3
VAN KAMPEN AMERICAN CAPITAL SENIOR INCOME TRUST 11
VAN KAMPEN AMERICAN CAPITAL TR FOR INVSTMNT GRADE MUNICIPALS 6
VAN KAMPEN AMERICAN CAPITAL TR FOR INVT GRADE NEW JERSEY MUN 2
VAN KAMPEN AMERICAN CAPITAL TRUST FOR INVT GRADE NEW YORK MU 9
VAN KAMPEN BOND FUND (0000005094) 16
VAN KAMPEN CALIFORNIA VALUE MUNICIPAL INCOME TRUST (0000895531) 12
VAN KAMPEN HIGH INCOME TRUST II (0000846671) 14
VAN KAMPEN MERRITT ADVANTAGE MUNICIPAL INCOME TRUST II 4
VAN KAMPEN MERRITT CALIFORNIA VALUE MUNICIPAL INCOME TRUST 5
VAN KAMPEN MERRITT LIMITED TERM HIGH INCOME TRUST 7
VAN KAMPEN MERRITT MUNICIPAL OPPORTUNITY TRUST 4
VAN KAMPEN MERRITT MUNICIPAL TRUST 3
VAN KAMPEN MERRITT PENNSYLVANIA VALUE MUNICIPAL INCOME TRUST 3
VAN KAMPEN MERRITT SELECT SECTOR MUNICIPAL TRUST 3
VAN KAMPEN MERRITT TRUST FOR INVESTMENT GRADE MUNICIPALS 3
VAN KAMPEN MERRITT TRUST FOR INVESTMENT GRADE NEW YORK MUNIC 5
VAN KAMPEN MUNICIPAL OPPORTUNITY TRUST (0000884152) 8
VAN KAMPEN MUNICIPAL TRUST 8
VAN KAMPEN PENNSYLVANIA VALUE MUNICIPAL INCOME TRUST 10
VAN KAMPEN SELECT SECTOR MUNICIPAL TRUST 3
VAN KAMPEN SENIOR INCOME TRUST (0001059386) 11
VAN KAMPEN TRUST FOR INVESTMENT GRADE MUNICIPALS (0000880892) 12
VAN KAMPEN TRUST FOR INVESTMENT GRADE NEW JERSEY MUNICIPALS 2
VAN KAMPEN TRUST FOR INVESTMENT GRADE NEW YORK MUNICIPALS (0000883265) 9
VAN KAMPEN TRUST FOR INVSTMENT GRADE MUNICIPALS 12
VANGUARD SCOTTSDALE FUNDS (0001021882) 2
VANGUARD TREASURY FUND 2
VIDEO MARKETPLACE INC 3
VIRGINIA COAL & IRON CO 3
VOYAGEUR COLORADO INSURED MUNICIPAL INCOME FUND INC 3
VOYAGEUR MINNESOTA MUNICIPAL INCOME FUND II INC 2
Van Kampen Dynamic Credit Opportunities Fund (0001393662) 13
Van Kampen Global Credit Opportunities Fund 13
VanEck Vectors ETF Trust (0001137360) 13
Vectrus, Inc. (0001601548) 2
Virtus Global Multi-Sector Income Fund (0001528811) 5
Virtus Total Return Fund (0001310445) 9
Virtus Total Return Fund Inc. (0000812090) 1
Virtus-Newfleet Global Multi-Sector Income Fund 5
Voya Asia Pacific High Dividend Equity Income Fund (0001385632) 5
Voya Emerging Markets High Dividend Equity Fund (0001496292) 7
Voya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUND (0001285890) 3
Voya Global Advantage & Premium Opportunity Fund (0001332943) 5
Voya Infrastructure, Industrials & Materials Fund (0001417802) 6
Voya International High Dividend Equity Income Fund (0001395627) 6
Voya Natural Resources Equity Income Fund (0001372117) 6
Voya PRIME RATE TRUST (0000826020) 4
WADDELL & REED FINANCIAL INC (0001052100) 2
WEBS INDEX FUND INC 9
WELLS FARGO ADVANTAGE GLOBAL DIVIDEND OPPORTUNITY FUND (0001386067) 9
WELLS FARGO ADVANTAGE GLOBAL OPPORTUNITIES FUND 9
WELLS FARGO ADVANTAGE INCOME OPPORTUNITIES FUND (0001210123) 9
WELLS FARGO ADVANTAGE MULTI-SECTOR INCOME FUND (0001227073) 11
WELLS FARGO ADVANTAGE UTILITIES & HIGH INCOME FUND (0001279014) 3
WELLS FARGO GLOBAL DIVIDEND OPPORTUNITY FUND (0001386067) 3
WELLS FARGO INCOME OPPORTUNITIES FUND (0001210123) 3
WELLS FARGO MULTI-SECTOR INCOME FUND (0001227073) 5
WELLS FARGO UTILITIES & HIGH INCOME FUND (0001279014) 1
WESTERN ASSET CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND (0001267902) 10
WESTERN ASSET CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND (0001254370) 13
WESTERN ASSET CLAYMORE US TREASURY INFLATION PRO SEC FUND 2 10
WESTERN ASSET CLAYMORE US TREASURY INFLATION PRO SECU FUND 13
WESTERN ASSET CORE PLUS BOND TRUST I 14
WESTERN ASSET CORPORATE LOAN FUND INC. (0001068963) 2
WESTERN ASSET EMERGING MARKETS DEBT FUND INC. (0001227862) 14
WESTERN ASSET EMERGING MARKETS INCOME FUND II INC. (0000902978) 7
WESTERN ASSET EMERGING MARKETS INCOME FUND INC. (0000902978) 9
WESTERN ASSET GLOBAL CORPORATE DEFINED OPPORTUNITY FUND INC. (0001472341) 5
WESTERN ASSET GLOBAL HIGH INCOME FUND INC. (0001228509) 3
WESTERN ASSET GLOBAL PARTNERS INCOME FUND INC. (0000911638) 4
WESTERN ASSET HIGH INCOME FUND II INC. (0001058239) 8
WESTERN ASSET HIGH INCOME OPPORTUNITY FUND INC. (0000910068) 14
WESTERN ASSET INFLATION MANAGEMENT FUND INC. (0001283721) 8
WESTERN ASSET MANAGED HIGH INCOME FUND INC. (0000895523) 11
WESTERN ASSET MANAGED MUNICIPALS FUND INC. (0000886043) 4
WESTERN ASSET MUNICIPAL HIGH INCOME FUND INC. (0000830487) 11
WESTERN ASSET MUNICIPAL PARTNERS FUND INC. (0000894351) 8
WESTERN ASSET PREMIER BOND FUND (0001163792) 14
WESTERN ASSET VARIABLE RATE STRATEGIC FUND INC. (0001299393) 10
WESTERN ASSET WORLDWIDE INCOME FUND INC. (0000914035) 14
WESTERN ASSET/CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND (0001267902) 10
WESTERN ASSET/CLAYMORE INFLATION-LINKED SECURITIES & INCOME FUND (0001254370) 12
WESTERN ASSET/CLAYMORE INFLATION-PROTECTED SECURITIES FUND 13
WETERN ASSET MUNICIPAL PARTNERS FUND INC. 8
WPS RESOURCES CORP 4
Western Asset Global Credit Defined Opportunity Fund Inc. 5
Western Asset High Yield Defined Opportunity Fund Inc. (0001497186) 9
Western Asset Income Fund (0000075398) 12
Western Asset Investment Grade Defined Opportunity Trust Inc. (0001462586) 11
Western Asset Mortgage Defined Opportunity Fund Inc. (0001478102) 7
Western Asset Municipal Defined Opportunity Trust Inc. (0001454021) 4
Western Asset Municipal Term Trust Inc. 4
WisdomTree Trust (0001350487) 7
XTRASHARES TRUST 6
ZWEIG FUND INC /MD/ (0000812090) 11
iSHARES INC (0000930667) 9
iSHARES TRUST (0001100663) 16
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